Connecticut Practice Book: Official
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TravisOFFICIAL
2023
CONNECTICUT PRACTICE BOOK
(Revision of 1998)
OFFICIAL
2023
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
NOTICE REGARDING OFFICIAL JUDICIAL BRANCH FORMS
APPENDIX OF SECTION 1-9B CHANGES
Published by
The Commission on Official Legal Publications
Copyrighted by the Secretary of the State of the State of Connecticut
2023 by the Secretary of the State, State of Connecticut
Copyrighted by the Secretary of the State of the State of Connecticut
EXPLANATORY NOTES
The Superior Court Rules as organized herein were first published in the Connecticut Law
Journal dated July 29, 1997. This 2023 edition of the Practice Book contains amendments to the
Rules of Professional Conduct, the Superior Court Rules and the Rules of Appellate Procedure.
The amendments were published in the Connecticut Law Journals dated July 12, 2022, and
July 26, 2022.
The system used to number each section is based on the chapter in which the section is
located. Each section has a two part number. The first part of the number designates the chap-
ter, and the second part designates the number of the section within that chapter (Chapter
1 begins with 1-1, Chapter 2 with 2-1, etc.). The internal breakdown of individual rules follows
the style of the General Statutes. Subsections are designated by lower case letters in paren-
theses, (a), (b), subdivisions are designated by numbers in parentheses, (1), (2), and subpara-
graphs are designated by upper case letters in parentheses, (A), (B).
Origin of the rules. A parenthetical notation about the origin of each rule is found at the
end of every section in this volume. The notation (P.B. 1978-1997, Sec. ) indicates the
number of the section in the 1978-1997 Practice Book corresponding to the current section.
Current numbers of any sections corresponding to the sections in the 1978-1997 Practice
Book appear in the Reference Tables following the text of the rules. The notation (1998)
indicates that the section was 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 the 1978-1997 Practice Book on which they were modeled. The temporary num-
bers assigned to those 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.
When a section was adopted or amended after 1997, a parenthetical notation to that effect
appears either immediately following the text of the section or following the parenthetical nota-
tion concerning the derivation of the section. When the title to a section has been amended,
a parenthetical notation appears immediately following the title.
Histories and commentaries. Histories describing the nature of amendments and Com-
mentaries indicating the intended purpose of new rules or amendments to existing rules are
printed following the text of new or amended rules. Histories and Commentaries are included
for only those rules that were adopted or amended to take effect in the year corresponding
to the current edition of the Practice Book, with the following exceptions: (1) the Histories
and Commentaries to the rules on sealing of files and closure of the courtroom will be retained
on a cumulative basis; (2) the 2014 and 2021 Commentaries to Section 1-10B, the 2021
Commentary to Section 1-11C, the 2017 Commentary to Section 2-27A, the 2022 Commentary
to Section 25-6A and the 2022 Commentary to Section 37-1 have been retained; and (3)
Commentaries to certain sections of the Rules of Appellate Procedure have been retained.
Users wanting to access the Histories documenting rule changes and Commentaries to new
or amended rules, in a given 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, 2023, will appear only in the 2023 edition of the Practice Book and not in subsequent
editions, unless the rule falls into one of the exceptions, listed previously.
The Commentaries to the rules of practice are included in this volume for informational
purposes only. Commentaries to those rules are not adopted by the judges and justices when
they vote to adopt proposed rule changes. Commentaries to the Rules of Professional Conduct
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and Code of Judicial Conduct are adopted by the judges and justices and are printed in every
edition of the Practice Book.
Beginning in 2000, Amendment Notes were incorporated into the Rules of Professional
Conduct and the Code of Judicial Conduct. Those notes, approved by the Rules Committee
of the Superior Court to explain the revisions to the Rules of Professional Conduct and Code
of Judicial Conduct, appear only in the edition of the Practice Book corresponding to the year
of the revision and not in subsequent editions.
Every year, certain nonsubstantive, technical editorial changes are made to a number of
the rules. Some, but not all, of these changes are explained in Technical Change notes.
The Rules of Appellate Procedure. The reorganization of the Rules of Appellate Procedure
in 1998 was completed subsequent to the publication of the July 29, 1997 Connecticut Law
Journal and was published in this volume for the first time in 1998. The goal in reorganiz-
ing the Rules of Appellate Procedure was 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 pro-
ceedings were organized into separate chapters. No substantive changes were made in the
course of reorganization, but there were editorial changes.
In the Connecticut Law Journal of July 13, 2021, certain rules pertaining to briefing and
the preparation of the appellate record were amended and/or adopted. This edition of the
Practice Book contains two versions of certain of those rules, indicating whether the rule is
applicable to appeals filed before October 1, 2021, or applicable to appeals filed on or after
October 1, 2021. In the 2022 edition of the Practice Book, there were two versions of Section
63-4. Only one version of that rule is included in this edition, and the parenthetical indicating
to which appeals it applies has been removed.
Juvenile matters. Effective January 1, 2003, the rules pertaining to procedure in juvenile
matters were amended and reorganized. The amendments initially were published in the
Connecticut Law Journal of July 23, 2002. The July 23, 2002 Connecticut Law Journal gave
notice that the rules on juvenile matters, which, since 1998, had been found in Chapters 26
through 35, had been moved to Chapters 26a through 35a. In the Practice Book itself, however,
the original numbers of the juvenile rules were retained whenever possible.
Appendices and notices. In 2002, an Appendix was added following the Index. The Appen-
dix contains certain forms that previously had been in Volume 2 of the 1978-1997 Practice
Book. The Appendix of Superior Court Standing Orders, which was added in 2010, was removed
in 2012. A notice referring the reader to the Judicial Branch website for access to the Superior
Court Standing Orders was substituted in its place. The Index of Official Judicial Branch Forms
Used in Civil, Family and Juvenile Matters, which was added in 2010, was removed in 2018. A
notice referring the reader to the Judicial Branch website for access to official Judicial Branch forms
was substituted in its place. In 2021, a Temporary Appendix was added noting various changes
enacted by the Rules Committee of the Superior Court, and subsequently adopted by the judges
of the Superior Court, pursuant to Section 1-9B, in response to the public health emergency and
the civil preparedness emergency initially declared by Governor Lamont on March 10, 2020, and
then renewed by him on September 1, 2020, and January 26, 2021. The public health emergency
was renewed on June 28, 2022, and is scheduled to expire on December 28, 2022, or when the
federal public health emergency ends. Subsequent changes may be adopted. Refer to www.jud.ct.
gov, www.jud.ct.gov/COVID19.htm, and www.jud.ct.gov/pb.htm for updates.
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TABLE OF CONTENTS
Attorney’s Oath . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
Rules of Professional Conduct
Preamble. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
Scope . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2
Rules and Commentaries . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
Code of Judicial Conduct
Preamble. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 66
Scope . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 66
Terminology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 67
Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 68
Canons, Rules and Comments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 69
Superior Court Rules and Rules of Appellate Procedure
Chapter and Section Headings of the Rules . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 83
Superior Court—General Provisions
Chapter 1 Scope of Rules . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 104
Chapter 2 Attorneys. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 115
Chapter 3 Appearances . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 170
Chapter 4 Pleadings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 176
Chapter 5 Trials . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 179
Chapter 6 Judgments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 182
Chapter 7 Clerks; Files and Records . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 184
Superior Court—Procedure in Civil Matters
Chapter 8 Commencement of Action . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 190
Chapter 9 Parties . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 192
Chapter 10 Pleadings. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 198
Chapter 11 Motions, Requests, Orders of Notice and Short Calendar. . . . . . . . . . . . . . . 210
Chapter 12 Transfer of Actions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 219
Chapter 13 Discovery and Depositions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 220
Chapter 14 Dockets, Trial Lists, Pretrials and Assignment Lists . . . . . . . . . . . . . . . . . . 240
Chapter 15 Trials in General; Argument by Counsel . . . . . . . . . . . . . . . . . . . . . . . . 247
Chapter 16 Jury Trials . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 249
Chapter 17 Judgments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 255
Chapter 18 Fees and Costs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 267
Chapter 19 References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 270
Chapter 20 Hearings in Chambers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 273
Chapter 21 Receivers. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 274
Chapter 22 Unemployment Compensation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 277
Chapter 23 Miscellaneous Remedies and Procedures . . . . . . . . . . . . . . . . . . . . . . . 279
Chapter 24 Small Claims . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 289
Superior Court—Procedure in Family Matters
Chapter 25 General Provisions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 296
Superior Court—Procedure in Family Support Magistrate Matters
Chapter 25a Family Support Magistrate Matters . . . . . . . . . . . . . . . . . . . . . . . . . . . 318
Superior Court—Procedure in Juvenile Matters
Chapter 26 General Provisions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 327
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Chapter 27 Reception and Processing of Delinquency Complaints or Petitions . . . . . . . . . 330
Chapter 28 Delinquency and Family with Service Needs Nonjudicial Supervision [Repealed] . 333
Chapter 29 Reception and Processing of Delinquency Petitions and Delinquency Informations 334
Chapter 30 Detention . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 335
Chapter 30a Delinquency Hearings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 339
Chapter 31 Delinquency and Family with Service Needs Hearing [Repealed] . . . . . . . . . . 342
Chapter 31a Delinquency Motions and Applications. . . . . . . . . . . . . . . . . . . . . . . . . 343
Chapter 32 Neglected, Uncared for and Dependent Children and Termination of Parental Rights
[Repealed] . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 347
Chapter 32a Rights of Parties, Neglected, Abused and Uncared for Children and Termination
of Parental Rights . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 348
Chapter 33 Hearings concerning Neglected, Uncared for and Dependent Children and Termina-
tion of Parental Rights [Repealed] . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 351
Chapter 33a Petitions for Neglect, Uncared for, Dependency and Termination of Parental Rights:
Initiation of Proceedings, Orders of Temporary Custody and Preliminary Hearings . . . . . 352
Chapter 34 Rights of Parties [Repealed] . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 356
Chapter 34a Pleadings, Motions and Discovery Neglected, Abused and Uncared for Children
and Termination of Parental Rights . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 357
Chapter 35 General Provisions [Repealed] . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 362
Chapter 35a Hearings concerning Neglected, Abused and Uncared for Children and Termination
of Parental Rights . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 363
Superior Court—Procedure in Criminal Matters
Chapter 36 Procedure Prior to Appearance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 373
Chapter 37 Arraignment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 377
Chapter 38 Pretrial Release . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 381
Chapter 39 Disposition without Trial. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 389
Chapter 40 Discovery and Depositions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 394
Chapter 41 Pretrial Motions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 405
Chapter 42 Trial Procedure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 409
Chapter 43 Sentencing, Judgment, and Appeal . . . . . . . . . . . . . . . . . . . . . . . . . . . 421
Chapter 44 General Provisions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 430
Rules of Appellate Procedure
Chapter 60 General Provisions Relating to Appellate Rules and Appellate Review . . . . . . . 438
Chapter 61 Remedy by Appeal . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 442
Chapter 62 Chief Judge, Appellate Clerk and Docket: General Administrative Matters . . . . . 452
Chapter 63 Filing the Appeal; Withdrawals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 457
Chapter 64 Procedure concerning Memorandum of Decision . . . . . . . . . . . . . . . . . . . 464
Chapter 65 Transfer of Matters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 465
Chapter 66 Motions and Other Procedures. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 467
Chapter 67 Briefs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 472
Chapter 68 Case File and Clerk Appendix . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 486
Chapter 69 Assignment of Cases for Argument . . . . . . . . . . . . . . . . . . . . . . . . . . . 490
Chapter 70 Arguments and Media Coverage of Court Proceedings . . . . . . . . . . . . . . . . 491
Chapter 71 Appellate Judgments and Opinions . . . . . . . . . . . . . . . . . . . . . . . . . . . 494
Chapter 72 Writs of Error. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 496
Chapter 73 Reservations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 499
Chapter 74 Decisions of Judicial Review Council . . . . . . . . . . . . . . . . . . . . . . . . . . 501
Chapter 75 Appeals from Council on Probate Judicial Conduct . . . . . . . . . . . . . . . . . . 503
Chapter 76 Appeals in Workers’ Compensation Cases . . . . . . . . . . . . . . . . . . . . . . . 504
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Chapter 77 Procedures concerning Court Closure and Sealing Orders or Orders Limiting the
Disclosure of Files, Affidavits, Documents or Other Material . . . . . . . . . . . . . . . . . 506
Chapter 78 Review of Grand Jury Record or Finding Order . . . . . . . . . . . . . . . . . . . . 509
Chapter 78a Review of Orders concerning Release on Bail . . . . . . . . . . . . . . . . . . . . 510
Chapter 78b Review of Orders Denying Application for waiver of Fees to Commence a Civil
Action or a Writ of Habeas Corpus . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 511
Chapter 79 Appeals in Juvenile Matters [Repealed] . . . . . . . . . . . . . . . . . . . . . . . . . 512
Chapter 79a Appeals in Child Protection Matters . . . . . . . . . . . . . . . . . . . . . . . . . . 513
Chapter 80 Appeals in Habeas Corpus Proceedings Following Conviction . . . . . . . . . . . . 519
Chapter 81 Appeals to Appellate Court by Certification for Review in Accordance with General
Statutes Chapters 124 and 440 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 520
Chapter 82 Certified Questions to or from Courts of Other Jurisdictions . . . . . . . . . . . . . 523
Chapter 83 Certification Pursuant to General Statutes § 52-265a in Cases of Substantial Public
Interest . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 525
Chapter 84 Appeals to Supreme Court by Certification for Review . . . . . . . . . . . . . . . . 526
Chapter 84a Matters within Supreme Court’s Original Jurisdiction in which Facts May Be Found 530
Chapter 85 Sanctions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 531
Chapter 86 Rule Changes; Effective Date; Applicability . . . . . . . . . . . . . . . . . . . . . . . 532
Tables and Index
Reference Table 1978-1997 to 1998 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 533
Reference Table 1998 to 1978-1997 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 546
Table of Statutes Noted . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 557
Index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 561
Appendix: Forms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 597
Official Judicial Branch Forms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 685
Superior Court Standing Orders . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 686
Appendix of Section 1-9B Changes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 687
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RULES OF PROFESSIONAL CONDUCT
THE ATTORNEY’S OATH
You 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, and
that you will inform the court of any dishonesty of which you have knowledge; that you will not
knowingly maintain or assist in maintaining any cause of action that is false or unlawful; that
you will not obstruct any cause of action for personal gain or malice; but that you will exercise
the office of attorney, in any court in which you may practice, according to the best of your
learning and judgment, faithfully, to both your client and the court; so help you God or upon
penalty of perjury. (General Statutes § 1-25 and annotations.)
(Amended pursuant to Public Act 02-71 to take effect Oct. 1, 2002.)
RULES OF PROFESSIONAL CONDUCT
Preamble
Scope
Rules
Commentaries
Preamble: A Lawyer’s Responsibilities In all professional functions a lawyer should be
A lawyer, as a member of the legal profession, competent, prompt and diligent. A lawyer should
is a representative of clients, an officer of the legal maintain communication with a client concerning
system and a public citizen having special respon- the representation. A lawyer should keep in confi-
sibility for the quality of justice. dence information relating to representation of a
As a representative of clients, a lawyer per- client except so far as disclosure is required or
forms various functions. As advisor, a lawyer pro- permitted by the Rules of Professional Conduct
vides a client with an informed understanding of or other law.
the client’s legal rights and obligations and explains A lawyer’s conduct should conform to the require-
their practical implications. As advocate, a lawyer ments of the law, both in professional service to
zealously asserts the client’s position under the clients and in the lawyer’s business and personal
rules of the adversary system. As negotiator, a affairs. A lawyer should use the law’s procedures
lawyer seeks a result advantageous to the client only for legitimate purposes and not to harass or
but consistent with requirements of honest dealing intimidate others. A lawyer should demonstrate
with others. As evaluator, a lawyer examines a respect for the legal system and for those who
client’s legal affairs and reports about them to the serve it, including judges, other lawyers and public
client or to others on the client’s behalf. officials. While it is a lawyer’s duty, when neces-
In addition to these representational functions, sary, to challenge the rectitude of official action,
a lawyer may serve as a third-party neutral, a non- it is also a lawyer’s duty to uphold legal process.
representational role helping the parties to resolve As a public citizen, a lawyer should seek
a dispute or other matter. Some of these Rules improvement of the law, access to the legal sys-
apply directly to lawyers who are or have served tem, the administration of justice and the quality
as third-party neutrals. See, e.g., Rules 1.12 and of service rendered by the legal profession. As a
2.4. In addition, there are Rules that apply to law- member of a learned profession, a lawyer should
yers who are not active in the practice of law or cultivate knowledge of the law beyond its use for
to practicing lawyers even when they are acting in clients, employ that knowledge in reform of the
a nonprofessional capacity. For example, a lawyer law and work to strengthen legal education. All
who commits fraud in the conduct of a business lawyers should work to ensure equal access to
is subject to discipline for engaging in conduct our system of justice for all those who, because
involving dishonesty, fraud, deceit or misrepre- of economic or social barriers, cannot afford or
sentation. See Rule 8.4. secure adequate legal counsel. A lawyer should
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RULES OF PROFESSIONAL CONDUCT
aid the legal profession in pursuing these objec- authority is more readily challenged by a profession
tives and should help the bar regulate itself in the whose members are not dependent on government
public interest. for the right to practice.
Many of a lawyer’s professional responsibili- The legal profession’s relative autonomy car-
ties are prescribed in the Rules of Professional ries with it special responsibilities of self-govern-
Conduct, as well as substantive and procedural ment. The profession has a responsibility to assure
law. However, a lawyer is also guided by personal that its regulations are conceived in the public
conscience and the approbation of professional interest and not in furtherance of parochial or self-
peers. A lawyer should strive to attain the highest interested concerns of the bar. Every lawyer is
level of skill, to improve the law and the legal responsible for observance of the Rules of Profes-
profession and to exemplify the legal profession’s sional Conduct. A lawyer should also aid in secur-
ideals of public service.
A lawyer’s responsibilities as a representative ing their observance by other lawyers. Neglect of
of clients, an officer of the legal system and a pub- these responsibilities compromises the indepen-
lic citizen are usually harmonious. Thus, when an dence of the profession and the public interest
opposing party is well represented, a lawyer can which it serves.
be a zealous advocate on behalf of a client and Lawyers play a vital role in the preservation of
at the same time assume that justice is being society. The fulfillment of this role requires an
done. So also, a lawyer can be sure that preserv- understanding by lawyers of their relationship to
ing client confidences ordinarily serves the public our legal system. The Rules of Professional Con-
interest because people are more likely to seek duct, when properly applied, serve to define that
legal advice, and thereby heed their legal obliga- relationship.
tions, when they know their communications will (Amended June 26, 2006, to take effect Jan. 1, 2007.)
be private.
In the nature of law practice, however, conflict- Scope
ing responsibilities are encountered. Virtually all The Rules of Professional Conduct are rules of
difficult ethical problems arise from conflict between reason. They should be interpreted with reference
a lawyer’s responsibilities to clients, to the legal to the purposes of legal representation and of the
system and to the lawyer’s own interest in remain-
ing an ethical person while earning a satisfactory law itself. Some of the Rules are imperatives, cast
living. The Rules of Professional Conduct often in the terms ‘‘shall’’ or ‘‘shall not.’’ These define
prescribe terms for resolving such conflicts. Within proper conduct for purposes of professional dis-
the framework of these Rules, however, many dif- cipline. Others, generally cast in the term ‘‘may,’’
ficult issues of professional discretion can arise. are permissive and define areas under the Rules
Such issues must be resolved through the exer- in which the lawyer has discretion to exercise pro-
cise of sensitive professional and moral judgment fessional judgment. No disciplinary action should
guided by the basic principles underlying the Rules. be taken when the lawyer chooses not to act or
These principles include the lawyer’s obligation acts within the bounds of such discretion. Other
zealously to protect and pursue a client’s legiti- Rules define the nature of relationships between
mate interests, within the bounds of the law, while the lawyer and others. The Rules are thus partly
maintaining a professional, courteous and civil obligatory and disciplinary and partly constitutive
attitude toward all persons involved in the legal and descriptive in that they define a lawyer’s pro-
system. fessional role.
The legal profession is largely self-governing. The Rules presuppose a larger legal context shap-
Although other professions also have been granted ing the lawyer’s role. That context includes court rules
powers of self-government, the legal profession is and statutes relating to matters of licensure, laws
unique in this respect because of the close rela- defining specific obligations of lawyers and substan-
tionship between the profession and the processes tive and procedural law in general. Compliance with
of government and law enforcement. This connec-
tion is manifested in the fact that ultimate authority the Rules, as with all law in an open society, depends
over the legal profession is vested largely in the primarily upon understanding and voluntary com-
courts. pliance, secondarily upon reinforcement by peer and
To the extent that lawyers meet the obliga- public opinion and finally, when necessary, upon
tions of their professional calling, the occasion for enforcement through disciplinary proceedings. The
government regulation is obviated. Self-regulation Rules do not, however, exhaust the moral and ethical
also helps maintain the legal profession’s inde- considerations that should inform a lawyer, for no
pendence from government domination. An inde- worthwhile human activity can be completely defined
pendent legal profession is an important force in by legal rules. The Rules simply provide a framework
preserving government under law, for abuse of legal for the ethical practice of law.
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RULES OF PROFESSIONAL CONDUCT
Furthermore, for purposes of determining the necessarily warrant any other nondisciplinary rem-
lawyer’s authority and responsibility, principles of sub- edy, such as disqualification of a lawyer in pending
stantive law external to these Rules determine litigation. The Rules are designed to provide guidance
whether a client-lawyer relationship exists. Most of to lawyers and to provide a structure for regulating
the duties flowing from the client-lawyer relationship conduct through disciplinary agencies. They are not
attach only after the client has requested the lawyer designed to be a basis for civil liability. Furthermore,
to render legal services and the lawyer has agreed the purpose of the Rules can be subverted when
to do so. But there are some duties, such as that of they are invoked by opposing parties as procedural
confidentiality under Rule 1.6, that attach when the weapons. The fact that a Rule is a just basis for a
lawyer agrees to consider whether a client-lawyer lawyer’s self-assessment, or for sanctioning a lawyer
relationship shall be established. See Rule 1.18. under the administration of a disciplinary authority,
Whether a client-lawyer relationship exists for any does not imply that an antagonist in a collateral pro-
specific purpose can depend on the circumstances ceeding or transaction has standing to seek enforce-
and may be a question of fact. ment of the Rule. Nevertheless, since the Rules do
Under various legal provisions, including constitu- establish standards of conduct by lawyers, a lawyer’s
tional, statutory and common law, the responsibilities violation of a Rule may be evidence of breach of the
of government lawyers may include authority con- applicable standard of conduct.
cerning legal matters that ordinarily reposes in the Moreover, these Rules are not intended to gov-
client in private client-lawyer relationships. For exam- ern or affect judicial application of either the attorney-
client or work product privilege. Those privileges were
ple, a lawyer for a government agency may have
developed to promote compliance with law and fair-
authority on behalf of the government to decide upon ness in litigation. In reliance on the attorney-client
settlement or whether to appeal from an adverse privilege, clients are entitled to expect that communi-
judgment. Such authority in various respects is gener- cations within the scope of the privilege will be pro-
ally vested in the attorney general and the state’s tected against compelled disclosure. The attorney-
attorney in state government, and their federal coun- client privilege is that of the client and not of the law-
terparts, and the same may be true of other govern- yer. The fact that in exceptional situations the lawyer
ment law officers. Also, lawyers under the supervision under the Rules has a limited discretion to disclose
of these officers may be authorized to represent sev- a client confidence does not vitiate the proposition
eral government agencies in intragovernmental legal that, as a general matter, the client has a reasonable
controversies in circumstances where a private law- expectation that information relating to the client will
yer could not represent multiple private clients. They not be voluntarily disclosed and that disclosure of
also may have authority to represent the ‘‘public inter- such information may be judicially compelled only in
est’’ in circumstances where a private lawyer would accordance with recognized exceptions to the attor-
not be authorized to do so. These Rules do not abro- ney-client and work product privileges.
gate any such authority. The lawyer’s exercise of discretion not to disclose
Failure to comply with an obligation or prohibition information under Rule 1.6 should not be subject to
imposed by a Rule is a basis for invoking the disciplin- reexamination. Permitting such reexamination would
ary process. The Rules presuppose that disciplin- be incompatible with the general policy of promoting
ary assessment of a lawyer’s conduct will be made compliance with law through assurances that com-
on the basis of the facts and circumstances as they munications will be protected against disclosure.
existed at the time of the conduct in question and The Commentary accompanying each Rule
in recognition of the fact that a lawyer often has to explains and illustrates the meaning and purpose of
act upon uncertain or incomplete evidence of the the Rule. The Preamble and this note on Scope
situation. Moreover, the Rules presuppose that provide general orientation. The Commentaries are
intended as guides to interpretation, but the text of
whether or not discipline should be imposed for a
each Rule is authoritative. Commentaries do not add
violation, and the severity of a sanction, depend on obligations to the Rules but provide guidance for
all the circumstances, such as the wilfulness and practicing in compliance with the Rules. The Com-
seriousness of the violation, extenuating factors and mentaries are sometimes used to alert lawyers to
whether there have been previous violations. their responsibilities under other law, such as court
Violation of a Rule should not itself give rise rules and statutes relating to matters of licensure,
to a cause of action against a lawyer nor should it laws defining specific obligations of lawyers and sub-
create any presumption that a legal duty has been stantive and procedural law in general.
breached. In addition, violation of a Rule does not (Amended June 26, 2006, to take effect Jan. 1, 2007.)
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Rule 1.0 RULES OF PROFESSIONAL CONDUCT
RULES OF PROFESSIONAL CONDUCT
Rule Rule
1.0. Terminology 3.9. Advocate in Nonadjudicative Proceedings
Transactions with Persons Other than Clients
Client-Lawyer Relationships
4.1. Truthfulness in Statements to Others
1.1. Competence 4.2. Communication with Person Represented by Counsel
1.2. Scope of Representation and Allocation of Authority 4.3. Dealing with Unrepresented Person
between Client and Lawyer 4.4. Respect for Rights of Third Persons
1.3. Diligence
Law Firms and Associations
1.4. Communication
1.5. Fees 5.1. Responsibilities of Partners, Managers, and Supervi-
1.6. Confidentiality of Information sory Lawyers
1.7. Conflict of Interest: Current Clients 5.2. Responsibilities of a Subordinate Lawyer
1.8. Conflict of Interest: Prohibited Transactions 5.3. Responsibilities regarding Nonlawyer Assistance
1.9. Duties to Former Clients 5.4. Professional Independence of a Lawyer
1.10. Imputation of Conflicts of Interest: General Rule 5.5. Unauthorized Practice of Law
1.11. Special Conflicts of Interest for Former and Current Gov- 5.6. Restrictions on Right To Practice
ernment Officers and Employees Public Service
1.12. Former Judge, Arbitrator, Mediator or Other Third- 6.1. Pro Bono Publico Service
Party Neutral 6.2. Accepting Appointments
1.13. Organization as Client 6.3. Membership in Legal Services Organization
1.14. Client with Impaired Capacity 6.4. Law Reform Activities Affecting Client Interests
1.15. Safekeeping Property 6.5. Nonprofit and Court-Annexed Limited Legal Services
1.16. Declining or Terminating Representation Programs
1.17. Sale of Law Practice
Information about Legal Services
1.18. Duties to Prospective Client
7.1. Communications concerning a Lawyer’s Services
Counselor 7.2. Communications concerning a Lawyer’s Services: Spe-
2.1. Advisor cific Rules
2.2. Intermediary [Repealed] 7.3. Solicilation of Clients
2.3. Evaluation for Use by Third Persons 7.4. Communication of Fields of Practice [Repealed]
2.4. Lawyer Serving as Third-Party Neutral 7.4A. Certification as Specialist
7.4B. Legal Specialization Screening Committee
Advocate 7.4C. Application by Board or Entity To Certify Lawyers as Spe-
3.1. Meritorious Claims and Contentions cialists
3.2. Expediting Litigation 7.5. Firm Names and Letterheads [Repealed]
3.3. Candor toward the Tribunal Maintaining the Integrity of the Profession
3.4. Fairness to Opposing Party and Counsel 8.1. Bar Admission and Disciplinary Matters
3.5. Impartiality and Decorum 8.2. Judicial and Legal Officials
3.6. Trial Publicity 8.3. Reporting Professional Misconduct
3.7. Lawyer as Witness 8.4. Misconduct
3.8. Special Responsibilities of a Prosecutor 8.5. Disciplinary Authority; Choice of Law
Rule 1.0. Terminology or a writing that a lawyer promptly transmits to the
(a) ‘‘Belief’’ or ‘‘believes’’ denotes that the person person confirming an oral informed consent. See sub-
involved actually supposed the fact in question to be section (f) for the definition of ‘‘informed consent.’’ If
true. A person’s belief may be inferred from circum- it is not feasible to obtain or transmit the writing at
stances. the time the person gives informed consent, then the
(b) ‘‘Client’’ or ‘‘person’’ as used in these Rules lawyer must obtain or transmit it within a reasonable
includes an authorized representative unless other- time thereafter.
wise stated. (d) ‘‘Firm’’ or ‘‘law firm’’ denotes a lawyer or lawyers
(c) ‘‘Confirmed in writing,’’ when used in reference in a law partnership, professional corporation, sole
to the informed consent of a person, denotes proprietorship or other association authorized to prac-
informed consent that is given in writing by the person tice law; or lawyers employed in a legal services
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RULES OF PROFESSIONAL CONDUCT Rule 1.0
organization or the legal department of a corporation (Amended June 26, 2006, to take effect Jan. 1, 2007;
or other organization. amended June 14, 2013, to take effect Jan. 1, 2014.)
(e) ‘‘Fraud’’ or ‘‘fraudulent’’ denotes conduct that COMMENTARY: Confirmed in Writing. If it is not feasible
to obtain or transmit a written confirmation at the time the
is fraudulent under the substantive or procedural law client gives informed consent, then the lawyer must obtain or
of the applicable jurisdiction and has a purpose to transmit it within a reasonable time thereafter. If a lawyer has
deceive. obtained a client’s informed consent, the lawyer may act in
(f) ‘‘Informed consent’’ denotes the agreement by reliance on that consent so long as it is confirmed in writing
a person to a proposed course of conduct after the within a reasonable time thereafter.
lawyer has communicated adequate information and Firm. Whether two or more lawyers constitute a firm within
explanation about the material risks of and reason- subsection (d) can depend on the specific facts. For example,
ably available alternatives to the proposed course two practitioners who share office space and occasionally
consult or assist each other ordinarily would not be regarded
of conduct. as constituting a firm. However, if they present themselves to
(g) ‘‘Knowingly,’’ ‘‘known,’’ or ‘‘knows’’ denotes the public in a way that suggests that they are a firm or conduct
actual knowledge of the fact in question. A person’s themselves as a firm, they should be regarded as a firm for
knowledge may be inferred from circumstances. purposes of the Rules. The terms of any formal agreement
(h) ‘‘Partner’’ denotes a member of a partnership, a between associated lawyers are relevant in determining
shareholder in a law firm organized as a professional whether they are a firm, as is the fact that they have mutual
corporation, or a member of an association author- access to information concerning the clients they serve. Fur-
ized to practice law. thermore, it is relevant in doubtful cases to consider the under-
(i) ‘‘Reasonable’’ or ‘‘reasonably,’’ when used in lying purpose of the Rule that is involved. A group of lawyers
could be regarded as a firm for purposes of the Rule that the
relation to conduct by a lawyer, denotes the conduct same lawyer should not represent opposing parties in litigation,
of a reasonably prudent and competent lawyer. while it might not be so regarded for purposes of the Rule that
(j) ‘‘Reasonable belief’’ or ‘‘reasonably believes,’’ information acquired by one lawyer is attributed to another.
when used in reference to a lawyer, denotes that With respect to the law department of an organization,
the lawyer believes the matter in question and including the government, there is ordinarily no question that
that the circumstances are such that the belief the members of the department constitute a firm within the
is reasonable. meaning of the Rules of Professional Conduct. There can
(k) ‘‘Reasonably should know,’’ when used in be uncertainty, however, as to the identity of the client. For
reference to a lawyer, denotes that a lawyer of example, it may not be clear whether the law department of
a corporation represents a subsidiary or an affiliated corpora-
reasonable prudence and competence would tion, as well as the corporation by which the members of the
ascertain the matter in question. department are directly employed. A similar question can arise
(l) ‘‘Screened’’ denotes the isolation of a law- concerning an unincorporated association and its local
yer from any participation in a matter through the affiliates.
timely imposition of procedures within a firm that Similar questions can also arise with respect to lawyers in
are reasonably adequate under the circum- legal aid and legal services organizations. Depending upon
stances to protect information that the isolated the structure of the organization, the entire organization or
lawyer is obligated to protect under these Rules different components of it may constitute a firm or firms for
purposes of these Rules.
or other law. Fraud. When used in these Rules, the terms ‘‘fraud’’ or
(m) ‘‘Substantial,’’ when used in reference to ‘‘fraudulent’’ refer to conduct that is characterized as such
degree or extent denotes a material matter of clear under the substantive or procedural law of the applicable juris-
and weighty importance. diction and has a purpose to deceive. This does not include
(n) ‘‘Tribunal’’ denotes a court, an arbitrator in merely negligent misrepresentation or negligent failure to
a binding arbitration proceeding or a legislative apprise another of relevant information. For purposes of these
body, administrative agency or other body acting Rules, it is not necessary that anyone has suffered damages
in an adjudicative capacity. A legislative body, or relied on the misrepresentation or failure to inform.
administrative agency or other body acts in an Informed Consent. Many of the Rules of Professional Con-
duct require the lawyer to obtain the informed consent of a
adjudicative capacity when a neutral official, after client or other person (e.g., a former client or, under certain
the presentation of evidence or legal argument circumstances, a prospective client) before accepting or con-
by a party or parties, will render a binding legal tinuing representation or pursuing a course of conduct. See,
judgment directly affecting a party’s interests in a e.g., Rules 1.2 (c), 1.6 (a) and 1.7 (b). The communication
particular matter. necessary to obtain such consent will vary according to the
(o) ‘‘Writing’’ or ‘‘written’’ denotes a tangible or Rule involved and the circumstances giving rise to the need
electronic record of a communication or represen- to obtain informed consent. The lawyer must make reasonable
tation, including handwriting, typewriting, print- efforts to ensure that the client or other person possesses
ing, photostatting, photography, audio or video- information reasonably adequate to make an informed deci-
sion. Ordinarily, this will require communication that includes
recording and electronic communications. A a disclosure of the facts and circumstances giving rise to the
‘‘signed’’ writing includes an electronic sound, situation, any explanation reasonably necessary to inform the
symbol or process attached to or logically associ- client or other person of the material advantages and disadvan-
ated with a writing and executed or adopted by a tages of the proposed course of conduct and a discussion of
person with the intent to sign the writing. the client’s or other person’s options and alternatives. In some
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Rule 1.0 RULES OF PROFESSIONAL CONDUCT
circumstances it may be appropriate for a lawyer to advise a the legal knowledge, skill, thoroughness and prep-
client or other person to seek the advice of other counsel. A aration reasonably necessary for the represen-
lawyer need not inform a client or other person of facts or
implications already known to the client or other person; never-
tation.
(P.B. 1978-1997, Rule 1.1.)
theless, a lawyer who does not personally inform the client
COMMENTARY: Legal Knowledge and Skill. In determin-
or other person assumes the risk that the client or other per- ing whether a lawyer employs the requisite knowledge and
son is inadequately informed and the consent is invalid. In skill in a particular matter, relevant factors include the relative
determining whether the information and explanation provided complexity and specialized nature of the matter, the lawyer’s
are reasonably adequate, relevant factors include whether the general experience, the lawyer’s training and experience in
client or other person is experienced in legal matters generally the field in question, the preparation and study the lawyer is
and in making decisions of the type involved, and whether the able to give the matter and whether it is feasible to refer the
client or other person is independently represented by other matter to, or associate or consult with, a lawyer of established
counsel in giving the consent. Normally, such persons need competence in the field in question. In many instances, the
less information and explanation than others, and generally required proficiency is that of a general practitioner. Expertise
a client or other person who is independently represented by in a particular field of law may be required in some circum-
other counsel in giving the consent should be assumed to stances.
have given informed consent. A lawyer need not necessarily have special training or prior
Obtaining informed consent will usually require an affirma- experience to handle legal problems of a type with which
tive response by the client or other person. In general, a lawyer the lawyer is unfamiliar. A newly admitted lawyer can be as
may not assume consent from a client’s or other person’s competent as a practitioner with long experience. Some
silence. Consent may be inferred, however, from the conduct important legal skills, such as the analysis of precedent, the
of a client or other person who has reasonably adequate infor- evaluation of evidence and legal drafting, are required in all
mation about the matter. A number of Rules require that a legal problems. Perhaps the most fundamental legal skill con-
person’s consent be confirmed in writing. See Rules 1.7 (b) sists of determining what kind of legal problems a situation
and 1.9 (a). For a definition of ‘‘writing’’ and ‘‘confirmed in may involve, a skill that necessarily transcends any particular
writing,’’ see subsections (o) and (c). Other Rules require that specialized knowledge. A lawyer can provide adequate repre-
a client’s consent be obtained in a writing signed by the client. sentation in a wholly novel field through necessary study.
See, e.g., Rules 1.8 (a) and (g). For a definition of ‘‘signed,’’ Competent representation can also be provided through the
see subsection (o). association of a lawyer of established competence in the field
Screened. The definition of ‘‘screened’’ applies to situations in question.
where screening of a personally disqualified lawyer is permit- In an emergency, a lawyer may give advice or assistance
ted to remove imputation of a conflict of interest under Rules in a matter in which the lawyer does not have the skill ordinarily
1.10, 1.11, 1.12 or 1.18. required where referral to or consultation or association with
The purpose of screening is to assure the affected parties another lawyer would be impractical. Even in an emergency,
that confidential information known by the personally disquali- however, assistance should be limited to that reasonably nec-
fied lawyer remains protected. The personally disqualified law- essary in the circumstances, for ill-considered action under
yer shall acknowledge in writing to the client the obligation emergency conditions can jeopardize the client’s interest. A
not to communicate with any of the other lawyers in the firm lawyer may accept representation where the requisite level of
with respect to the matter. Similarly, other lawyers in the firm competence can be achieved by reasonable preparation. This
who are working on the matter should be informed that the applies as well to a lawyer who is appointed as counsel for
screening is in place and that they may not communicate with an unrepresented person. See also Rule 6.2.
the personally disqualified lawyer with respect to the matter. Thoroughness and Preparation. Competent handling of
Additional screening measures that are appropriate for the a particular matter includes inquiry into and analysis of the
particular matter will depend on the circumstances. To imple- factual and legal elements of the problem, and use of methods
ment, reinforce and remind all affected lawyers of the presence and procedures meeting the standards of competent prac-
of the screening, it may be appropriate for the firm to undertake titioners. It also includes adequate preparation. The required
attention and preparation are determined in part by what is
such procedures as a written undertaking by the screened
at stake; major litigation and complex transactions ordinarily
lawyer to avoid any communication with other firm personnel
require more extensive treatment than matters of lesser com-
and any contact with any firm files or other information, includ-
plexity and consequence. An agreement between the lawyer
ing information in electronic form, relating to the matter, written
and the client regarding the scope of the representation may
notice and instructions to all other firm personnel forbidding limit the matters for which the lawyer is responsible. See Rule
any communication with the screened lawyer relating to the 1.2 (c).
matter, denial of access by the screened lawyer to firm files Retaining or Contracting with Other Lawyers. Before
or other information, including information in electronic form, a lawyer retains or contracts with other lawyers outside the
relating to the matter and periodic reminders of the screen to lawyer’s own firm to provide or assist in the provision of legal
the screened lawyer and all other firm personnel. services to a client, the lawyer should ordinarily obtain
In order to be effective, screening measures must be imple- informed consent from the client and must reasonably believe
mented as soon as practical after a lawyer or law firm knows that the other lawyers’ services will contribute to the compe-
or reasonably should know that there is a need for screening. tent and ethical representation of the client. See also Rules
1.2 (allocation of authority), 1.4 (communication with client),
CLIENT-LAWYER RELATIONSHIPS 1.5 (b) (scope of representation, basis or rate of fee and
expenses), 1.5 (e) (fee sharing), 1.6 (confidentiality), and 5.5
Rule 1.1. Competence (a) (unauthorized practice of law). Client consent may not be
necessary when a nonfirm lawyer is hired to perform a discrete
A lawyer shall provide competent representa- and limited task and the task does not require the disclosure
tion to a client. Competent representation requires of information protected by Rule 1.6. The reasonableness of
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RULES OF PROFESSIONAL CONDUCT Rule 1.2
the decision to retain or contract with other lawyers outside is criminal or fraudulent, but a lawyer may (1)
the lawyer’s own firm will depend upon the circumstances, discuss the legal consequences of any proposed
including the education, experience and reputation of the non-
firm lawyers; the nature of the services assigned to the nonfirm
course of conduct with a client; (2) counsel or
lawyers; and the legal protections, professional conduct rules, assist a client to make a good faith effort to deter-
and ethical environments of the jurisdictions in which the ser- mine the validity, scope, meaning or application of
vices will be performed, particularly relating to confidential the law; or (3) counsel or assist a client regarding
information. conduct expressly permitted by Connecticut law,
When lawyers from more than one law firm are providing provided that the lawyer counsels the client about
legal services to the client on a particular matter, the lawyers
should consult with each other and the client about the scope
the legal consequences, under other applicable
of their respective representations and the allocation of law, of the client’s proposed course of conduct.
responsibility among them. See Rule 1.2. When making alloca- (P.B. 1978-1997, Rule 1.2.) (Amended June 26, 2006, to
tions of responsibility in a matter pending before a tribunal, take effect Jan. 1, 2007; amended June 29, 2007, to take
lawyers and parties may have additional obligations that are effect Jan. 1, 2008; amended June 13, 2014, to take effect
a matter of law beyond the scope of these Rules. Jan. 1, 2015.)
Maintaining Competence. To maintain the requisite COMMENTARY: Allocation of Authority between Client
knowledge and skill, a lawyer should keep abreast of changes and Lawyer. Subsection (a) confers upon the client the ulti-
in the law and its practice, including the benefits and risks mate authority to determine the purposes to be served by
legal representation, within the limits imposed by law and the
associated with relevant technology, engage in continuing
lawyer’s professional obligations. The decisions specified in
study and education and comply with all continuing legal edu-
subsection (a), such as whether to settle a civil matter, must
cation requirements to which the lawyer is subject.
also be made by the client. See Rule 1.4 (a) (1) for the lawyer’s
Rule 1.2. Scope of Representation and Allo- duty to communicate with the client about such decisions. With
respect to the means by which the client’s objectives are to
cation of Authority between Client and be pursued, the lawyer shall consult with the client as required
Lawyer by Rule 1.4 (a) (2) and may take such action as is impliedly
(Amended June 26, 2006, to take effect Jan. 1, 2007.) authorized to carry out the representation.
(a) Subject to subsections (c) and (d), a lawyer On occasion, however, a lawyer and a client may disagree
shall abide by a client’s decisions concerning the about the means to be used to accomplish the client’s objec-
objectives of representation and, as required by tives. Clients normally defer to the special knowledge and
skill of their lawyer with respect to the means to be used to
Rule 1.4, shall consult with the client as to the accomplish their objectives, particularly with respect to techni-
means by which they are to be pursued. A lawyer cal, legal and tactical matters. Conversely, lawyers usually
may take such action on behalf of the client as is defer to the client regarding such questions as the expense
impliedly authorized to carry out the representa- to be incurred and concern for third persons who might be
tion. A lawyer shall abide by a client’s decision adversely affected. Because of the varied nature of the matters
about which a lawyer and client might disagree and because
whether to settle a matter. In a criminal case, the the actions in question may implicate the interests of a tribunal
lawyer shall abide by the client’s decision, after or other persons, this Rule does not prescribe how such dis-
consultation with the lawyer, as to a plea to be agreements are to be resolved. Other law, however, may be
entered, whether to waive jury trial and whether applicable and should be consulted by the lawyer. The lawyer
the client will testify. Subject to revocation by the should also consult with the client and seek a mutually accept-
client and to the terms of the contract, a client’s able resolution of the disagreement. If such efforts are unavail-
ing and the lawyer has a fundamental disagreement with the
decision to settle a matter shall be implied where client, the lawyer may withdraw from the representation. See
the lawyer is retained to represent the client by a Rule 1.16 (b) (4). Conversely, the client may resolve the dis-
third party obligated under the terms of a contract agreement by discharging the lawyer. See Rule 1.16 (a) (3).
to provide the client with a defense and indemnity At the outset of a representation, the client may authorize
for the loss, and the third party elects to settle a the lawyer to take specific action on the client’s behalf without
further consultation. Absent a material change in circum-
matter without contribution by the client. stances and subject to Rule 1.4, a lawyer may rely on such
(b) A lawyer’s representation of a client, includ- an advance authorization. The client may, however, revoke
ing representation by appointment, does not con- such authority at any time.
stitute an endorsement of the client’s political, In a case in which the client appears to be suffering dimin-
economic, social or moral views or activities. ished capacity, the lawyer’s duty to abide by the client’s deci-
(c) A lawyer may limit the scope of the represen- sions is to be guided by reference to Rule 1.14.
Independence from Client’s Views or Activities. Legal
tation if the limitation is reasonable under the cir- representation should not be denied to people who are unable
cumstances and the client gives informed con- to afford legal services or whose cause is controversial or the
sent. Such informed consent shall not be required subject of popular disapproval. By the same token, represent-
when a client cannot be located despite reason- ing a client does not constitute approval of the client’s views
able efforts where the lawyer is retained to repre- or activities.
Agreements Limiting Scope of Representation. The
sent a client by a third party that is obligated by scope of services to be provided by a lawyer may be limited
contract to provide the client with a defense. by agreement with the client or by the terms under which the
(d) A lawyer shall not counsel a client to engage, lawyer’s services are made available to the client. For exam-
or assist a client, in conduct that the lawyer knows ple, when a lawyer has been retained by an insurer to represent
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an insured, the representation may be limited to matters without being subject to discipline under these Rules notwith-
related to the insurance coverage. A limited representation standing that the services concern conduct prohibited under
may be appropriate because the client has limited objectives federal or other law but expressly permitted under Connecticut
for the representation. In addition, the terms upon which repre- law, e.g., conduct under An Act Concerning the Palliative Use
sentation is undertaken may exclude specific means that might of Marijuana, Public Act 12-55, effective Oct. 1, 2012. Subsec-
otherwise be used to accomplish the client’s objectives. Such tion (d) (3) shall not provide a defense to a presentment filed
limitations may exclude actions that the client thinks are too pursuant to Practice Book Section 2-41 against an attorney
costly or that the lawyer regards as repugnant or imprudent. found guilty of a serious crime in another jurisdiction.
Nothing in Rule 1.2 shall be construed to authorize limited
appearances before any tribunal unless otherwise authorized If a lawyer comes to know or reasonably should know that
by law or rule. a client expects assistance not permitted by the Rules of Pro-
Although this Rule affords the lawyer and client substantial fessional Conduct or other law or if the lawyer intends to act
latitude to limit the scope of representation, the limitation must contrary to the client’s instructions, the lawyer must consult
be reasonable under the circumstances. If, for example, a with the client regarding the limitations on the lawyer’s conduct.
client’s objective is limited to securing general information See Rule 1.4 (a) (5).
about the law the client needs in order to handle a common
and typically uncomplicated legal problem, the lawyer and Rule 1.3. Diligence
client may agree that the lawyer’s services will be limited to
a brief telephone consultation. Such a limitation, however, A lawyer shall act with reasonable diligence and
would not be reasonable if the time allotted was not sufficient promptness in representing a client.
to yield advice upon which the client could rely. Although an (P.B. 1978-1997, Rule 1.3.)
agreement for a limited representation does not exempt a
COMMENTARY: A lawyer must pursue a matter on behalf
lawyer from the duty to provide competent representation, the
of a client despite opposition, obstruction or personal inconve-
limitation is a factor to be considered when determining the
legal knowledge, skill, thoroughness and preparation reason- nience to the lawyer, and take whatever lawful and ethical
ably necessary for the representation. See Rule 1.1. measures are required to vindicate a client’s cause or
All agreements concerning a lawyer’s representation of a endeavor. A lawyer must also act with commitment and dedica-
client must accord with the Rules of Professional Conduct and tion to the interests of the client and with zeal in advocacy
other law. See, e.g., Rules 1.1, 1.8 and 5.6. upon the client’s behalf. A lawyer is not bound, however, to
Criminal, Fraudulent and Prohibited Transactions. Sub- press for every advantage that might be realized for a client.
section (d) prohibits a lawyer from knowingly counseling or For example, a lawyer may have authority to exercise profes-
assisting a client to commit a crime or fraud. This prohibition, sional discretion in determining the means by which a matter
however, does not preclude the lawyer from giving an honest should be pursued. See Rule 1.2. The lawyer’s duty to act
opinion about the actual consequences that appear likely to with reasonable diligence does not require the use of offensive
result from a client’s conduct. Nor does the fact that a client tactics or preclude the treating of all persons involved in the
uses advice in a course of action that is criminal or fraudulent legal process with courtesy and respect.
of itself make a lawyer a party to the course of action. There A lawyer’s work load must be controlled so that each matter
is a critical distinction between presenting an analysis of legal can be handled competently.
aspects of questionable conduct and recommending the
Perhaps no professional shortcoming is more widely
means by which a crime or fraud might be committed.
resented than procrastination. A client’s interests often can
When the client’s course of action has already begun and
is continuing, the lawyer’s responsibility is especially delicate. be adversely affected by the passage of time or the change of
The lawyer is required to avoid assisting the client, for example, conditions; in extreme instances, as when a lawyer overlooks
by drafting or delivering documents that the lawyer knows are a statute of limitations, the client’s legal position may be
fraudulent or by suggesting how the wrongdoing might be destroyed. Even when the client’s interests are not affected
concealed. A lawyer may not continue assisting a client in in substance, however, unreasonable delay can cause a client
conduct that the lawyer originally believed legally proper but needless anxiety and undermine confidence in the lawyer’s
then discovers is criminal or fraudulent. The lawyer must, trustworthiness. A lawyer’s duty to act with reasonable prompt-
therefore, withdraw from the representation of the client in the ness, however, does not preclude the lawyer from agreeing
matter. See Rule 1.16 (a). In some cases, withdrawal alone to a reasonable request for a postponement that will not preju-
might be insufficient. It may be necessary for the lawyer to give dice the lawyer’s client.
notice of the fact of withdrawal and to disaffirm any opinion, Unless the relationship is terminated as provided in Rule
document, affirmation or the like. See Rule 4.1. 1.16, a lawyer should carry through to conclusion all matters
Where the client is a fiduciary, the lawyer may be charged undertaken for a client. If a lawyer’s employment is limited to
with special obligations in dealings with a beneficiary. a specific matter, the relationship terminates when the matter
Subsection (d) applies whether or not the defrauded party has been resolved. If a lawyer has served a client over a
is a party to the transaction. Hence, a lawyer must not partici-
substantial period in a variety of matters, the client sometimes
pate in a transaction to effectuate criminal or fraudulent avoid-
may assume that the lawyer will continue to serve on a continu-
ance of tax liability. Subsection (d) does not preclude
undertaking a criminal defense incident to a general retainer ing basis unless the lawyer gives notice of withdrawal. Doubt
for legal services to a lawful enterprise. Subsection (d) (2) about whether a client-lawyer relationship still exists should
recognizes that determining the validity or interpretation of a be clarified by the lawyer, preferably in writing, so that the
statute or regulation may require a course of action involving client will not mistakenly suppose the lawyer is looking after
disobedience of the statute or regulation or of the interpretation the client’s affairs when the lawyer has ceased to do so. For
placed upon it by governmental authorities. Subsection (d) (3) example, if a lawyer has handled a judicial or administrative
is intended to permit counsel to provide legal services to clients proceeding that produced a result adverse to the client and
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RULES OF PROFESSIONAL CONDUCT Rule 1.5
the lawyer and the client have not agreed that the lawyer will A lawyer’s regular communication with clients will minimize
handle the matter on appeal, the lawyer must consult with the occasions on which a client will need to request information
the client about the possibility of appeal before relinquishing concerning the representation. When a client makes a reason-
responsibility for the matter. See Rule 1.4 (a) (2). Whether able request for information, however, subsection (a) (4)
the lawyer is obligated to prosecute the appeal for the client requires prompt compliance with the request, or if a prompt
depends on the scope of the representation the lawyer has response is not feasible, that the lawyer, or a member of the
agreed to provide to the client. See Rule 1.2. lawyer’s staff, acknowledge receipt of the request and advise
To prevent neglect of client matters in the event of a sole the client when a response may be expected. A lawyer should
practitioner’s death or disability, the duty of diligence may promptly respond to or acknowledge client communications.
require that each sole practitioner prepare a plan, in conformity Explaining Matters. The client should have sufficient infor-
with applicable rules, that designates another competent law- mation to participate intelligently in decisions concerning the
yer to review client files, notify each client of the lawyer’s
objectives of the representation and the means by which they
death or disability, and determine whether there is a need for
are to be pursued, to the extent the client is willing and able
immediate protective action. Cf. Rule 28 of the American Bar
to do so. Adequacy of communication depends in part on the
Association Model Rules for Lawyer Disciplinary Enforcement
(providing for court appointment of a lawyer to inventory files kind of advice or assistance that is involved. For example,
and take other protective action in absence of a plan providing when there is time to explain a proposal made in a negotiation,
for another lawyer to protect the interests of the clients of a the lawyer should review all important provisions with the client
deceased lawyer or a lawyer with disabilities). before proceeding to an agreement. In litigation, a lawyer
should explain the general strategy and prospects of success
Rule 1.4. Communication and ordinarily should consult the client on tactics that are likely
(a) A lawyer shall: to result in significant expense or to injure or coerce others.
(1) promptly inform the client of any decision or On the other hand, a lawyer ordinarily will not be expected to
circumstance with respect to which the client’s describe trial or negotiation strategy in detail. The guiding
principle is that the lawyer should fulfill reasonable client
informed consent, as defined in Rule 1.0 (f), is expectations for information consistent with the duty to act in
required by these Rules; the client’s best interests, and the client’s overall requirements
(2) reasonably consult with the client about the as to the character of representation. In certain circumstances,
means by which the client’s objectives are to be such as when a lawyer asks a client to consent to a representa-
accomplished; tion affected by a conflict of interest, the client must give
(3) keep the client reasonably informed about informed consent, as defined in Rule 1.0 (f).
the status of the matter; Ordinarily, the information to be provided is that appropriate
(4) promptly comply with reasonable requests for a client who is a comprehending and responsible adult.
for information; and However, fully informing the client according to this standard
(5) consult with the client about any relevant may be impracticable, for example, when the client is a child
or suffers from diminished capacity. See Rule 1.14. When the
limitation on the lawyer’s conduct when the lawyer client is an organization or group, it is often impossible or
knows that the client expects assistance not per- inappropriate to inform every one of its members about its
mitted by the Rules of Professional Conduct or legal affairs; ordinarily, the lawyer should address communica-
other law. tions to the appropriate officials of the organization. See Rule
(b) A lawyer shall explain a matter to the extent 1.13. Where many routine matters are involved, a system of
reasonably necessary to permit the client to make limited or occasional reporting may be arranged with the client.
informed decisions regarding the representation. Withholding Information. In some circumstances, a law-
(P.B. 1978-1997, Rule 1.4.) (Amended June 26, 2006, to yer may be justified in delaying transmission of information
take effect Jan. 1, 2007.) when the client would be likely to react imprudently to an
COMMENTARY: Reasonable communication between the immediate communication. Thus, a lawyer might withhold a
lawyer and the client is necessary for the client effectively to psychiatric diagnosis of a client when the examining psychia-
participate in the representation. trist indicates that disclosure would harm the client. A lawyer
Communicating with Client. If these Rules or other law may not withhold information to serve the lawyer’s own interest
require that a particular decision about the representation be or convenience or the interests or convenience of another
made by the client, subsection (a) (1) requires that the lawyer person. Rules or court orders governing litigation may provide
promptly consult with and secure the client’s consent prior to that information supplied to a lawyer may not be disclosed to
taking action. See Rule 1.2 (a).
the client. Rule 3.4 (3) directs compliance with such rules
Subsection (a) (2) requires the lawyer to reasonably consult
with the client about the means to be used to accomplish the or orders.
client’s objectives. In some situations—depending on both the
importance of the action under consideration and the feasibility Rule 1.5. Fees
of consulting with the client—this duty will require consultation (a) A lawyer shall not make an agreement for,
prior to taking action. In other circumstances, such as during
a trial when an immediate decision must be made, the exigency charge, or collect an unreasonable fee or an
of the situation may require the lawyer to act without prior unreasonable amount for expenses. The factors
consultation. In such cases the lawyer must nonetheless act to be considered in determining the reasonable-
reasonably to inform the client of actions the lawyer has taken ness of a fee include the following:
on the client’s behalf. Additionally, subsection (a) (3) requires
that the lawyer keep the client reasonably informed about the (1) The time and labor required, the novelty and
status of the matter, such as significant developments affecting difficulty of the questions involved, and the skill
the timing or the substance of the representation. requisite to perform the legal service properly;
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Rule 1.5 RULES OF PROFESSIONAL CONDUCT
(2) The likelihood, if made known to the client, by the client and shall state the method by which
that the acceptance of the particular employment the fee is to be determined, including the percent-
will preclude other employment by the lawyer; age or percentages of the recovery that shall
(3) The fee customarily charged in the locality accrue to the lawyer as a fee in the event of settle-
for similar legal services; ment, trial or appeal, whether and to what extent
the client will be responsible for any court costs
(4) The amount involved and the results ob- and expenses of litigation, and whether such
tained; expenses are to be deducted before or after the
(5) The time limitations imposed by the client contingent fee is calculated. The agreement must
or by the circumstances; clearly notify the client of any expenses for which
(6) The nature and length of the professional the client will be liable whether or not the client
relationship with the client; is the prevailing party. Upon conclusion of a con-
(7) The experience, reputation, and ability of tingent fee matter, the lawyer shall provide the
client with a written statement stating the outcome
the lawyer or lawyers performing the services; and
of the matter and, if there is a recovery, showing
(8) Whether the fee is fixed or contingent. the remittance to the client and the method of
(b) The scope of the representation, the basis its determination.
or rate of the fee and expenses for which the cli- (d) A lawyer shall not enter into an arrangement
ent will be responsible, shall be communicated for, charge, or collect:
to the client, in writing, before or within a reason- (1) Any fee in a domestic relations matter, the
able time after commencing the representation, payment or amount of which is contingent upon
except when the lawyer will charge a regularly the securing of a dissolution of marriage or civil
represented client on the same basis or rate. Any union or upon the amount of alimony or support,
changes in the basis or rate of the fee or expenses or property settlement in lieu thereof; or
shall also be communicated to the client in writing (2) A contingent fee for representing a defend-
before the fees or expenses to be billed at higher ant in a criminal case.
rates are actually incurred. In any representation (e) A division of fee between lawyers who are
in which the lawyer and the client agree that the not in the same firm may be made only if:
lawyer will file a limited appearance, the limited (1) The client is advised in writing of the com-
appearance engagement agreement shall also pensation sharing agreement and of the participa-
include the following: identification of the proceed- tion of all the lawyers involved, and does not
ing in which the lawyer will file the limited appear- object; and
ance; identification of the court events for which (2) The total fee is reasonable.
(P.B. 1978-1997. Rule 1.5.) (Amended June 26, 2006, to
the lawyer will appear on behalf of the client; take effect Jan. 1, 2007; amended June 14, 2013, to take
and notification to the client that after the limited effect Oct. 1, 2013.)
appearance services have been completed, the COMMENTARY: Basis or Rate of Fee. Subsection (a)
lawyer will file a certificate of completion of limited requires that lawyers charge fees that are reasonable under
appearance with the court, which will serve to the circumstances. The factors specified in (1) through (8) are
not exclusive. Nor will each factor be relevant in each instance.
terminate the lawyer’s obligation to the client in Subsection (a) also requires that expenses for which the client
the matter, and as to which the client will have no will be charged must be reasonable. A lawyer may seek reim-
right to object. Any change in the scope of the bursement for the cost of services performed in-house, such
representation requires the client’s informed con- as copying, or for other expenses incurred in-house, such as
sent, shall be confirmed to the client in writing, telephone charges, either by charging a reasonable amount
to which the client has agreed in advance or by charging an
and shall require the lawyer to file a new limited amount that reasonably reflects the cost incurred by the
appearance with the court reflecting the change(s) lawyer.
in the scope of representation. This subsection When the lawyer has regularly represented a client, the
shall not apply to public defenders or in situations lawyer and the client ordinarily will have evolved an under-
standing concerning the basis or rate of the fee and the
where the lawyer will be paid by the court or a
expenses for which the client will be responsible. In a new
state agency. client-lawyer relationship, however, an understanding as to
(c) A fee may be contingent on the outcome of fees and expenses must be promptly established. Generally,
the matter for which the service is rendered, it is desirable to furnish the client with at least a simple memo-
randum or copy of the lawyer’s customary fee arrangements
except in a matter in which a contingent fee is that states the general nature of the legal services to be pro-
prohibited by subsection (d) or other law. A contin- vided, the basis, rate or total amount of the fee and whether
gent fee agreement shall be in a writing signed and to what extent the client will be responsible for any costs,
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RULES OF PROFESSIONAL CONDUCT Rule 1.6
expenses or disbursements in the course of the representa- Disputes over Fees. If an arbitration or mediation proce-
tion. A written statement concerning the terms of the engage- dure such as that in Practice Book Section 2-32 (a) (3) has
ment reduces the possibility of misunderstanding. Absent been established for resolution of fee disputes, the lawyer
extraordinary circumstances, the lawyer should send the writ- must comply with the procedure when it is mandatory, and,
ten fee statement to the client before any substantial services even when it is voluntary, the lawyer should conscientiously
are rendered, but in any event, not later than ten days after consider submitting to it. Law may prescribe a procedure for
commencing the representation. determining a lawyer’s fee, for example, in representation of
Contingent fees, like any other fees, are subject to the an executor or administrator, a class or a person entitled to
reasonableness standard of subsection (a) of this Rule. In a reasonable fee as part of the measure of damages. The
determining whether a particular contingent fee is reasonable, lawyer entitled to such a fee and a lawyer representing another
or whether it is reasonable to charge any form of contingent party concerned with the fee should comply with the pre-
fee, a lawyer must consider the factors that are relevant under scribed procedure.
the circumstances. Applicable law may impose limitations on
contingent fees, such as a ceiling on the percentage allowable, Rule 1.6. Confidentiality of Information
or may require a lawyer to offer clients an alternative basis (a) A lawyer shall not reveal information relating
for the fee. Applicable law also may apply to situations other to representation of a client unless the client gives
than a contingent fee, for example, government regulations
regarding fees in certain tax matters. In matters where a contin-
informed consent, the disclosure is impliedly autho-
gent fee agreement has been signed by the client and is rized in order to carry out the representation, or
in accordance with General Statutes § 52-251c, the fee is the disclosure is permitted by subsection (b), (c),
presumed to be reasonable. or (d).
Terms of Payment. A lawyer may require advance pay- (b) A lawyer shall reveal such information to the
ment of a fee, but is obliged to return any unearned portion. extent the lawyer reasonably believes necessary
See Rule 1.16 (d). A lawyer may accept property in payment
for services, such as an ownership interest in an enterprise,
to prevent the client from committing a criminal
providing this does not involve acquisition of a proprietary or fraudulent act that the lawyer believes is likely
interest in the cause of action or subject matter of the litigation to result in death or substantial bodily harm.
contrary to Rule 1.8 (i). However, a fee paid in property instead (c) A lawyer may reveal such information to the
of money may be subject to the requirements of Rule 1.8 (a) extent the lawyer reasonably believes necessary
because such fees often have the essential qualities of a to:
business transaction with the client.
An agreement may not be made whose terms might induce
(1) Prevent the client from committing a criminal
the lawyer improperly to curtail services for the client or perform or fraudulent act that the lawyer believes is likely
them in a way contrary to the client’s interest. For example, to result in substantial injury to the financial inter-
a lawyer should not enter into an agreement whereby services est or property of another;
are to be provided only up to a stated amount when it is (2) Prevent, mitigate or rectify the consequence
foreseeable that more extensive services probably will be of a client’s criminal or fraudulent act in the com-
required, unless the situation is adequately explained to the
client. Otherwise, the client might have to bargain for further
mission of which the lawyer’s services had been
assistance in the midst of a proceeding or transaction. How- used;
ever, it is proper to define the extent of services in light of (3) Secure legal advice about the lawyer’s com-
the client’s ability to pay. A lawyer should not exploit a fee pliance with these Rules;
arrangement based primarily on hourly charges by using (4) Comply with other law or a court order.
wasteful procedures. (5) Detect and resolve conflicts of interest aris-
Prohibited Contingent Fees. Subsection (d) prohibits a
lawyer from charging a contingent fee in a domestic relations
ing from the lawyer’s change of employment or
matter when payment is contingent upon the securing of a from changes in the composition or ownership of
divorce or upon the amount of alimony or support or property a firm, but only if the revealed information would
settlement to be obtained. This provision does not preclude not compromise the attorney-client privilege or
a contract for a contingent fee for legal representation in con- otherwise prejudice the client.
nection with the recovery of postjudgment balances due under (d) A lawyer may reveal such information to
support, alimony or other financial orders because such con-
tracts do not implicate the same policy concerns.
establish a claim or defense on behalf of the law-
Division of Fee. A division of fee is a single billing to a yer in a controversy between the lawyer and the
client covering the fee of two or more lawyers who are not in client, to establish a defense to a criminal charge
the same firm. A division of fee facilitates association of more or civil claim against the lawyer based upon con-
than one lawyer in a matter in which neither alone could serve duct in which the client was involved, or to respond
the client as well and most often is used when the fee is to allegations in any proceeding concerning the
contingent and the division is between a referring lawyer and lawyer’s representation of the client.
a trial specialist. Contingent fee agreements must be in writing
signed by the client and must otherwise comply with subsec- (e) A lawyer shall make reasonable efforts to
tion (c) of this Rule. A lawyer should only refer a matter to prevent the inadvertent or unauthorized disclo-
a lawyer whom the referring lawyer reasonably believes is sure of, or unauthorized access to, information
competent to handle the matter. See Rule 1.1. relating to the representation of a client.
Subsection (e) does not prohibit or regulate divisions of (P.B. 1978-1997, Rule 1.6.) (Amended June 26, 2006, to
fees to be received in the future for work done when lawyers take effect Jan. 1, 2007; amended June 14, 2013, to take
were previously associated in a law firm. effect Jan. 1, 2014.)
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Rule 1.6 RULES OF PROFESSIONAL CONDUCT
COMMENTARY: This Rule governs the disclosure by a Subsection (c) (1) is a limited exception to the Rule of
lawyer of information relating to the representation of a client confidentiality that permits the lawyer to reveal information to
during the lawyer’s representation of the client. See Rule 1.18 the extent necessary to enable affected persons or appropriate
for the lawyer’s duties with respect to information provided to authorities to prevent the client from committing a crime or
the lawyer by a prospective client, Rule 1.9 (c) (2) for the fraud, as defined in Rule 1.0 (e), that is likely to result in
lawyer’s duty not to reveal information relating to the lawyer’s substantial injury to the financial or property interests of
prior representation of a former client and Rules 1.8 (b) and another. Such a serious abuse of the client-lawyer relationship
1.9 (c) (1) for the lawyer’s duties with respect to the use of such by the client forfeits the protection of this Rule. The client
information to the disadvantage of clients and former clients. can, of course, prevent such disclosure by refraining from the
A fundamental principle in the client-lawyer relationship is wrongful conduct. Although subsection (c) (1) does not require
that, in the absence of the client’s informed consent, the lawyer the lawyer to reveal the client’s misconduct, the lawyer may
must not reveal information relating to the representation. See not counsel or assist the client in conduct the lawyer knows
Rule 1.0 (f) for the definition of informed consent. This contri- is criminal or fraudulent. See Rule 1.2 (d). See also Rule 1.16
butes to the trust that is the hallmark of the client-lawyer rela- with respect to the lawyer’s obligation or right to withdraw from
tionship. The client is thereby encouraged to seek legal the representation of the client in such circumstances, and
assistance and to communicate fully and frankly with the law- Rule 1.13 (c), which permits the lawyer, where the client is
yer even as to embarrassing or legally damaging subject mat- an organization, to reveal information relating to the represen-
ter. The lawyer needs this information to represent the client tation in limited circumstances.
effectively and, if necessary, to advise the client to refrain from Subsection (c) (2) addresses the situation in which the
wrongful conduct. Almost without exception, clients come to lawyer does not learn of the client’s crime or fraud until after
lawyers in order to determine their rights and what is, in the it has been consummated. Although the client no longer has
complex of laws and regulations, deemed to be legal and the option of preventing disclosure by refraining from the
correct. Based upon experience, lawyers know that almost all wrongful conduct, there will be situations in which the loss
clients follow the advice given, and the law is upheld. suffered by the affected person can be prevented, rectified or
The principle of client-lawyer confidentiality is given effect mitigated. In such situations, the lawyer may disclose informa-
by related bodies of law, the attorney-client privilege, the work tion relating to the representation to the extent necessary to
product doctrine and the Rule of confidentiality established enable the affected persons to prevent or mitigate reasonably
in professional ethics. The attorney-client privilege and work certain losses or to attempt to recoup their losses. Subsection
product doctrine apply in judicial and other proceedings in (c) (2) does not apply when a person who has committed a
which a lawyer may be called as a witness or otherwise crime or fraud thereafter employs a lawyer for representation
concerning that offense.
required to produce evidence concerning a client. The Rule
A lawyer’s confidentiality obligations do not preclude a law-
of client-lawyer confidentiality applies in situations other than
yer from securing confidential legal advice about the lawyer’s
those where evidence is sought from the lawyer through com-
personal responsibility to comply with these Rules. In most
pulsion of law. The confidentiality Rule, for example, applies
situations, disclosing information to secure such advice will
not only to matters communicated in confidence by the client
be impliedly authorized for the lawyer to carry out the represen-
but also to all information relating to the representation, what-
tation. Even when the disclosure is not impliedly authorized,
ever its source. A lawyer may not disclose such information
subsection (c) (3) permits such disclosure because of the
except as authorized or required by the Rules of Professional
importance of a lawyer’s compliance with the Rules of Profes-
Conduct or other law. See also Scope.
sional Conduct. The lawyer’s right to disclose such information
Subsection (a) prohibits a lawyer from revealing information to a second lawyer pursuant to subsection (c) (3) does not
relating to the representation of a client. This prohibition also give the second lawyer the duty or right to disclose such
applies to disclosures by a lawyer that do not in themselves information under subsections (b), (c) and (d). The first law-
reveal protected information but could reasonably lead to the yer’s client does not become the client of the second lawyer
discovery of such information by a third person. A lawyer’s just because the first lawyer seeks the second lawyer’s advice
use of a hypothetical to discuss issues relating to the represen- under (c) (3).
tation is permissible so long as there is no reasonable likeli- Subsection (c) (5) recognizes that lawyers in different firms
hood that the listener will be able to ascertain the identity of may need to disclose limited information to each other to detect
the client or the situation involved. and resolve conflicts of interest, such as when a lawyer is
Authorized Disclosure. Except to the extent that the cli- considering an association with another firm, two or more
ent’s instructions or special circumstances limit that authority, firms are considering a merger, or a lawyer is considering the
a lawyer is impliedly authorized to make disclosures about a purchase of a law practice. See Rule 1.17, commentary. Under
client when appropriate in carrying out the representation. these circumstances, lawyers and law firms are permitted to
In some situations, for example, a lawyer may be impliedly disclose limited information, but only once substantive discus-
authorized to admit a fact that cannot properly be disputed to sions regarding the new relationship have occurred. Any such
make a disclosure that facilitates a satisfactory conclusion to disclosure should ordinarily include no more than the identity
a matter. Lawyers in a firm may, in the course of the firm’s of the persons and entities involved in a matter, a brief sum-
practice, disclose to each other information relating to a client mary of the general issues involved, and information about
of the firm, unless the client has instructed that particular whether the matter has terminated. Even this limited informa-
information be confined to specific lawyers. tion, however, should be disclosed only to the extent reason-
Disclosure Adverse to Client. Although the public interest ably necessary to detect and resolve conflicts of interest that
is usually best served by a strict rule requiring lawyers to might arise from the possible new relationship. Moreover, the
preserve the confidentiality of information relating to the repre- disclosure of any information is prohibited if it would compro-
sentation of their clients, the confidentiality Rule is subject to mise the attorney-client privilege or otherwise prejudice the
limited exceptions. Subsection (b) recognizes the overriding client (e.g., the fact that a corporate client is seeking advice
value of life and physical integrity and requires disclosure in on a corporate takeover that has not been publicly announced,
certain circumstances. that a person consulted a lawyer about the possibility of divorce
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RULES OF PROFESSIONAL CONDUCT Rule 1.6
before the person’s intentions are known to the person’s specified. Where practicable, the lawyer should first seek to
spouse, or that a person has consulted a lawyer about a persuade the client to take suitable action to obviate the need
criminal investigation that has not led to a public charge). for disclosure. In any case, a disclosure adverse to the client’s
Under those circumstances, subsection (a) prohibits disclo- interest should be no greater than the lawyer reasonably
sure unless the client or former client gives informed consent. believes necessary to accomplish the purpose. If the disclo-
A lawyer’s fiduciary duty to the lawyer’s firm may also govern sure will be made in connection with a judicial proceeding,
a lawyer’s conduct when exploring an association with another the disclosure should be made in a manner that limits access
firm and is beyond the scope of these Rules. Any information to the information to the tribunal or other persons having a
disclosed pursuant to subsection (c) (5) may be used or further need to know it and appropriate protective orders or other
disclosed only to the extent necessary to detect and resolve arrangements should be sought by the lawyer to the fullest
conflicts of interest. Subsection (c) (5) does not restrict the extent practicable.
use of information acquired by means independent of any Subsection (c) permits but does not require the disclosure
disclosure pursuant to subsection (c) (5). Subsection (c) (5) of information relating to a client’s representation to accom-
also does not affect the disclosure of information within a law plish the purposes specified in subsections (c) (1) through (c)
firm when the disclosure is otherwise authorized, such as when (4). In exercising the discretion conferred by this Rule, the
a lawyer in a firm discloses information to another lawyer in lawyer may consider such factors as the nature of the lawyer’s
the same firm to detect and resolve conflicts of interest that relationship with the client and with those who might be injured
could arise in connection with undertaking a new represen- by the client, the lawyer’s own involvement in the transaction
tation. and factors that may extenuate the conduct in question. A
Where a legal claim or disciplinary charge alleges complicity lawyer’s decision not to disclose as permitted by subsection
of the lawyer in a client’s conduct or other misconduct of the (c) does not violate this Rule. Disclosure may be required,
lawyer involving representation of the client, the lawyer may however, by other Rules. Some Rules require disclosure only
respond to the extent the lawyer reasonably believes neces- if such disclosure would be permitted by subsection (b). See
sary to establish a defense. The same is true with respect to Rules 1.2 (d), 4.1 (b), 8.1 and 8.3. Rule 3.3, on the other
a claim involving the conduct or representation of a former hand, requires disclosure in some circumstances regardless
client. Such a charge can arise in a civil, criminal, disciplinary of whether such disclosure is permitted by this Rule. See Rule
or other proceeding and can be based on a wrong allegedly 3.3 (c).
committed by the lawyer against the client or on a wrong Acting Competently To Preserve Confidentiality. Sub-
alleged by a third person, for example, a person claiming to section (e) requires a lawyer to act competently to safeguard
have been defrauded by the lawyer and client acting together. information relating to the representation of a client against
The lawyer’s right to respond arises when an assertion of such
inadvertent or unauthorized disclosure by the lawyer or other
complicity has been made. Subsection (d) does not require
persons who are participating in the representation of the client
the lawyer to await the commencement of an action or pro-
or who are subject to the lawyer’s supervision. See Rules 1.1,
ceeding that charges such complicity, so that the defense may
5.1 and 5.3. The unauthorized access to, or the inadvertent
be established by responding directly to a third party who has
or unauthorized disclosure of, information relating to the repre-
made such an assertion. The right to defend also applies, of
sentation of a client does not constitute a violation of subsec-
course, where a proceeding has been commenced.
tion (e) if the lawyer has made reasonable efforts to prevent
A lawyer entitled to a fee is permitted by subsection (d) to
the access or disclosure. Factors to be considered in determin-
prove the services rendered in an action to collect it. This
ing the reasonableness of the lawyer’s efforts include, but are
aspect of the rule expresses the principle that the beneficiary
not limited to, the sensitivity of the information, the likelihood
of a fiduciary relationship may not exploit it to the detriment
of the fiduciary. of disclosure if additional safeguards are not employed, the
Other law may require that a lawyer disclose information cost of employing additional safeguards, the difficulty of imple-
about a client. Whether such a law supersedes Rule 1.6 is menting the safeguards, and the extent to which the safe-
a question of law beyond the scope of these Rules. When guards adversely affect the lawyer’s ability to represent clients
disclosure of information relating to the representation appears (e.g., by making a device or important piece of software exces-
to be required by other law, the lawyer must discuss the matter sively difficult to use). A client may require the lawyer to imple-
with the client to the extent required by Rule 1.4. If, however, ment special security measures not required by this Rule or
the other law supersedes this Rule and requires disclosure, may give informed consent to forgo security measures that
subsection (c) (4) permits the lawyer to make such disclosures would otherwise be required by this Rule. Whether a lawyer
as are necessary to comply with the law. may be required to take additional steps to safeguard a client’s
A lawyer may be ordered to reveal information relating to information in order to comply with other law, such as state and
the representation of a client by a court or by another tribunal federal laws that govern data privacy or that impose notification
or governmental entity claiming authority pursuant to other requirements upon the loss of, or unauthorized access to,
law to compel the disclosure. Absent informed consent of the electronic information, is beyond the scope of these Rules. For
client to do otherwise, the lawyer should assert on behalf of a lawyer’s duties when sharing information with nonlawyers
the client all nonfrivolous claims that the order is not authorized outside the lawyer’s own firm, see Rule 5.3, commentary.
by other law or that the information sought is protected against When transmitting a communication that includes informa-
disclosure by the attorney-client privilege or other applicable tion relating to the representation of a client, the lawyer must
law. In the event of an adverse ruling, the lawyer must consult take reasonable precautions to prevent the information from
with the client about the possibility of appeal to the extent coming into the hands of unintended recipients. This duty,
required by Rule 1.4. Unless review is sought, however, sub- however, does not require that the lawyer use special security
section (c) (4) permits the lawyer to comply with the court’s measures if the method of communication affords a reason-
order. able expectation of privacy. Special circumstances, however,
Subsection (b) requires and subsection (c) permits disclo- may warrant special precautions. Factors to be considered in
sure only to the extent the lawyer reasonably believes the determining the reasonableness of the lawyer’s expectation
disclosure is necessary to accomplish one of the purposes of confidentiality include the sensitivity of the information and
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Rule 1.6 RULES OF PROFESSIONAL CONDUCT
the extent to which the privacy of the communication is pro- clients whose representation might be materially limited under
tected by law or by a confidentiality agreement. A client may subsection (a) (2).
require the lawyer to implement special security measures not A conflict of interest may exist before representation is
required by this Rule or may give informed consent to the undertaken, in which event the representation must be
use of a means of communication that would otherwise be declined, unless the lawyer obtains the informed consent of
prohibited by this Rule. Whether a lawyer may be required to each client under the conditions of subsection (b). To deter-
take additional steps in order to comply with other law, such mine whether a conflict of interest exists, a lawyer should
as state and federal laws that govern data privacy, is beyond adopt reasonable procedures, appropriate for the size and
the scope of these Rules. type of firm and practice, to determine in both litigation and
Former Client. The duty of confidentiality continues after nonlitigation matters the persons and issues involved. See
the client-lawyer relationship has terminated. See Rule 1.9 (c) also Commentary to Rule 5.1. Ignorance caused by a failure
(2). See Rule 1.9 (c) (1) for the prohibition against using such to institute such procedures will not excuse a lawyer’s violation
information to the disadvantage of the former client. of this Rule. As to whether a client-lawyer relationship exists
or, having once been established, is continuing, see Commen-
Rule 1.7. Conflict of Interest: Current Clients tary to Rule 1.3 and Scope.
(Amended June 26, 2006, to take effect Jan. 1, 2007.) If a conflict arises after representation has been undertaken,
(a) Except as provided in subsection (b), a law- the lawyer ordinarily must withdraw from the representation,
unless the lawyer has obtained the informed consent of the
yer shall not represent a client if the representation client under the conditions of subsection (b). See Rule 1.16.
involves a concurrent conflict of interest. A concur- Where more than one client is involved, whether the lawyer
rent conflict of interest exists if: may continue to represent any of the clients is determined
(1) the representation of one client will be both by the lawyer’s ability to comply with duties owed to the
directly adverse to another client; or former client and by the lawyer’s ability to represent adequately
the remaining client or clients, given the lawyer’s duties to the
(2) there is a significant risk that the representa- former client. See Rule 1.9; see also the next paragraph in
tion of one or more clients will be materially limited this Commentary and the first paragraph under the ‘‘Special
by the lawyer’s responsibilities to another client, Considerations in Common Representation’’ heading, below.
a former client or a third person or by a personal Unforeseeable developments, such as changes in corpo-
interest of the lawyer. rate and other organizational affiliations or the addition or
(b) Notwithstanding the existence of a concur- realignment of parties in litigation, might create conflicts in the
midst of a representation, as when a company sued by the
rent conflict of interest under subsection (a), a lawyer on behalf of one client is bought by another client
lawyer may represent a client if: represented by the lawyer in an unrelated matter. Depending
(1) the lawyer reasonably believes that the law- on the circumstances, the lawyer may have the option to with-
yer will be able to provide competent and diligent draw from one of the representations in order to avoid the
representation to each affected client; conflict. The lawyer must seek court approval where necessary
(2) the representation is not prohibited by law; and take steps to minimize harm to the clients. See Rule 1.16.
The lawyer must continue to protect the confidences of the
(3) the representation does not involve the client from whose representation the lawyer has withdrawn.
assertion of a claim by one client against another See Rule 1.9 (c).
client represented by the lawyer in the same litiga- Identifying Conflicts of Interest: Directly Adverse. Loy-
tion or the same proceeding before any tribu- alty to a current client prohibits undertaking representation
nal; and directly adverse to that client without that client’s informed
consent. Thus, absent consent, a lawyer may not act as advo-
(4) each affected client gives informed consent, cate in one matter against a person the lawyer represents in
confirmed in writing. some other matter, even when the matters are wholly unre-
(P.B. 1978-1997, Rule 1.7.) (Amended June 26, 2006, to lated. The client as to whom the representation is directly
take effect Jan. 1, 2007.) adverse is likely to feel betrayed, and the resulting damage
COMMENTARY: General Principles. Loyalty and inde- to the client-lawyer relationship is likely to impair the lawyer’s
pendent judgment are essential elements in the lawyer’s rela- ability to represent the client effectively. In addition, the client
tionship to a client. Concurrent conflicts of interest can arise on whose behalf the adverse representation is undertaken
from the lawyer’s responsibilities to another client, a former reasonably may fear that the lawyer will pursue that client’s
client or a third person or from the lawyer’s own interests. For case less effectively out of deference to the other client, i.e.,
specific Rules regarding certain concurrent conflicts of interest, that the representation may be materially limited by the law-
see Rule 1.8. For former client conflicts of interest, see Rule yer’s interest in retaining the current client. Similarly, a directly
1.9. For conflicts of interest involving prospective clients, see adverse conflict may arise when a lawyer is required to cross-
Rule 1.18. For definitions of ‘‘informed consent’’ and ‘‘con- examine a client who appears as a witness in a lawsuit involv-
firmed in writing,’’ see Rule 1.0 (f) and (c). ing another client, as when the testimony will be damaging to
Resolution of a conflict of interest problem under this Rule the client who is represented in the lawsuit. On the other hand,
requires the lawyer to: 1) clearly identify the client or clients; simultaneous representation in unrelated matters of clients
2) determine whether a conflict of interest exists; 3) decide whose interests are only economically adverse, such as repre-
whether the representation may be undertaken despite the sentation of competing economic enterprises in unrelated liti-
existence of a conflict, i.e., whether the conflict is consentable; gation, does not ordinarily constitute a conflict of interest and
and 4) if so, consult with the clients affected under subsection thus may not require consent of the respective clients.
(a) and obtain their informed consent, confirmed in writing. Directly adverse conflicts can also arise in transactional
The clients affected under subsection (a) include both of the matters. For example, if a lawyer is asked to represent the
clients referred to in subsection (a) (1) and the one or more seller of a business in negotiations with a buyer represented
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RULES OF PROFESSIONAL CONDUCT Rule 1.7
by the lawyer, not in the same transaction but in another, of loyalty or independent judgment to the client. See Rule
unrelated matter, the lawyer could not undertake the represen- 1.8 (f). If acceptance of the payment from any other source
tation without the informed consent of each client. presents a significant risk that the lawyer’s representation of
Identifying Conflicts of Interest: Material Limitation. the client will be materially limited by the lawyer’s own interest
Even where there is no direct adverseness, a conflict of interest in accommodating the person paying the lawyer’s fee or by
exists if there is a significant risk that a lawyer’s ability to the lawyer’s responsibilities to a payer who is also a co-client,
consider, recommend or carry out an appropriate course of then the lawyer must comply with the requirements of subsec-
action for the client will be materially limited as a result of the tion (b) before accepting the representation, including
lawyer’s other responsibilities or interests. For example, a determining whether the conflict is consentable and, if so, that
lawyer asked to represent several individuals seeking to form the client has adequate information about the material risks
a joint venture is likely to be materially limited in the lawyer’s of the representation.
ability to recommend or advocate all possible positions that Prohibited Representations. Ordinarily, clients may con-
each might take because of the lawyer’s duty of loyalty to the sent to representation notwithstanding a conflict. However, as
others. The conflict in effect forecloses alternatives that would indicated in subsection (b), some conflicts are noncon-
otherwise be available to the client. The mere possibility of sentable, meaning that the lawyer involved cannot properly
subsequent harm does not itself require disclosure and con- ask for such agreement or provide representation on the basis
sent. The critical questions are the likelihood that a difference of the client’s consent. When the lawyer is representing more
in interests will eventuate and, if it does, whether it will materi- than one client, the question of consentability must be resolved
ally interfere with the lawyer’s independent professional judg- as to each client.
ment in considering alternatives or foreclose courses of action Consentability is typically determined by considering
that reasonably should be pursued on behalf of the client. whether the interests of the clients will be adequately protected
Lawyer’s Responsibilities to Former Clients and Other if the clients are permitted to give their informed consent to
Third Persons. In addition to conflicts with other current cli- representation burdened by a conflict of interest. Thus, under
ents, a lawyer’s duties of loyalty and independence may be subsection (b) (1), representation is prohibited if in the circum-
materially limited by responsibilities to former clients under stances the lawyer cannot reasonably conclude that the lawyer
Rule 1.9 or by the lawyer’s responsibilities to other persons, will be able to provide competent and diligent representation.
such as fiduciary duties arising from a lawyer’s service as a See Rule 1.1 (competence) and Rule 1.3 (diligence).
trustee, executor or corporate director. Subsection (b) (2) describes conflicts that are noncon-
Personal Interest Conflicts. The lawyer’s own interests sentable because the representation is prohibited by applica-
must not be permitted to have an adverse effect on representa- ble law.
tion of a client. For example, if the probity of a lawyer’s own Subsection (b) (3) describes conflicts that are noncon-
conduct in a transaction is in serious question, it may be difficult sentable because of the institutional interest in vigorous devel-
or impossible for the lawyer to give a client detached advice. opment of each client’s position when the clients are aligned
Similarly, when a lawyer has discussions concerning possible directly against each other in the same litigation or the same
employment with an opponent of the lawyer’s client, or with proceeding before any tribunal. Whether clients are aligned
a law firm representing the opponent, such discussions could directly against each other within the meaning of this para-
materially limit the lawyer’s representation of the client. In graph requires examination of the context of the proceeding.
addition, a lawyer may not allow related business interests to Although this paragraph does not preclude a lawyer’s multiple
affect representation, for example, by referring clients to an representation of adverse parties to a mediation (because
enterprise in which the lawyer has an undisclosed financial mediation is not a proceeding before a ‘‘tribunal’’ under Rule
interest. See Rule 1.8 for specific Rules pertaining to a number 1.0 [n]), such representation may be precluded by subsection
of personal interest conflicts, including business transactions (b) (1).
with clients; see also Rule 1.10 (personal interest conflicts Informed Consent. Informed consent requires that each
under Rule 1.7 ordinarily are not imputed to other lawyers in affected client be aware of the relevant circumstances and
a law firm). of the material and reasonably foreseeable ways that the con-
When lawyers representing different clients in the same flict could have adverse effects on the interests of that client.
matter or in substantially related matters are closely related See Rule 1.0 (f) (informed consent). The information required
by blood or marriage, there may be a significant risk that depends on the nature of the conflict and the nature of the
client confidences will be revealed and that the lawyer’s family risks involved. When representation of multiple clients in a
relationship will interfere with both loyalty and independent single matter is undertaken, the information must include the
professional judgment. As a result, each client is entitled to implications of the common representation, including possible
know of the existence and implications of the relationship effects on loyalty, confidentiality and the attorney-client privi-
between the lawyers before the lawyer agrees to undertake lege and the advantages and risks involved. See second and
the representation. Thus, a lawyer related to another lawyer, third paragraphs under the ‘‘Special Considerations in Com-
e.g., as parent, child, sibling or spouse, ordinarily may not mon Representation’’ heading in this Commentary, below
represent a client in a matter where that lawyer is representing (effect of common representation on confidentiality).
another party, unless each client gives informed consent. The Under some circumstances it may be impossible to make
disqualification arising from a close family relationship is per- the disclosure necessary to obtain consent. For example,
sonal and ordinarily is not imputed to members of firms with when the lawyer represents different clients in related matters
whom the lawyers are associated. See Rule 1.10. and one of the clients refuses to consent to the disclosure
A lawyer is prohibited from engaging in a sexual relationship necessary to permit the other client to make an informed deci-
with a client unless the sexual relationship predates the forma- sion, the lawyer cannot properly ask the latter to consent. In
tion of the client-lawyer relationship. See Rule 1.8 (j). some cases the alternative to common representation can be
Interest of Person Paying for a Lawyer’s Service. A that each party may have to obtain separate representation
lawyer may be paid from a source other than the client, includ- with the possibility of incurring additional costs. These costs,
ing a co-client, if the client is informed of that fact and consents along with the benefits of securing separate representation,
and the arrangement does not compromise the lawyer’s duty are factors that may be considered by the affected client in
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Rule 1.7 RULES OF PROFESSIONAL CONDUCT
determining whether common representation is in the cli- cases as well as civil. The potential for conflict of interest in
ent’s interests. representing multiple defendants in a criminal case is so grave
Consent Confirmed in Writing. Subsection (b) requires that ordinarily a lawyer should decline to represent more than
the lawyer to obtain the informed consent of the client, con- one codefendant. On the other hand, common representation
firmed in writing. Such a writing may consist of a document of persons having similar interests in civil litigation is proper
executed by the client or one that the lawyer promptly records if the requirements of subsection (b) are met.
and transmits to the client following an oral consent. See Ordinarily, a lawyer may take inconsistent legal positions
Rule 1.0 (c); see also Rule 1.0 (o) (writing includes electronic in different tribunals at different times on behalf of different
transmission). If it is not feasible to obtain or transmit the clients. The mere fact that advocating a legal position on behalf
writing at the time the client gives informed consent, then the of one client might create precedent adverse to the interests
lawyer must obtain or transmit it within a reasonable time of a client represented by the lawyer in an unrelated matter
thereafter. See Rule 1.0 (c). The requirement of a writing does does not create a conflict of interest. A conflict of interest
not supplant the need in most cases for the lawyer to talk exists, however, if there is a significant risk that a lawyer’s
with the client, to explain the risks and advantages, if any, of action on behalf of one client will materially limit the lawyer’s
representation burdened with a conflict of interest, as well as effectiveness in representing another client in a different case;
reasonably available alternatives, and to afford the client a for example, when a decision favoring one client will create
reasonable opportunity to consider the risks and alternatives a precedent likely to seriously weaken the position taken on
and to raise questions and concerns. Rather, the writing is behalf of the other client. Factors relevant in determining
required in order to impress upon clients the seriousness of whether the clients need to be advised of the risk include:
the decision the client is being asked to make and to avoid where the cases are pending, whether the issue is substantive
disputes or ambiguities that might later occur in the absence or procedural, the temporal relationship between the matters,
of a writing. the significance of the issue to the immediate and long-term
Revoking Consent. A client who has given consent to a interests of the clients involved and the clients’ reasonable
conflict may revoke the consent and, like any other client, may expectations in retaining the lawyer. If there is significant risk
terminate the lawyer’s representation at any time. Whether of material limitation, then absent informed consent of the
revoking consent to the client’s own representation precludes affected clients, the lawyer must refuse one of the representa-
the lawyer from continuing to represent other clients depends tions or withdraw from one or both matters.
on the circumstances, including the nature of the conflict, When a lawyer represents or seeks to represent a class of
whether the client revoked consent because of a material plaintiffs or defendants in a class action lawsuit, unnamed
change in circumstances, the reasonable expectations of the members of the class are ordinarily not considered to be clients
other clients and whether material detriment to the other clients of the lawyer for purposes of applying subsection (a) (1) of
or the lawyer would result. this Rule. Thus, the lawyer does not typically need to get the
Consent to Future Conflict. Whether a lawyer may prop- consent of such a person before representing a client suing
erly request a client to waive conflicts that might arise in the the person in an unrelated matter. Similarly, a lawyer seeking
future is subject to the test of subsection (b). The effectiveness to represent an opponent in a class action does not typically
of such waivers is generally determined by the extent to which need the consent of an unnamed member of the class whom
the client reasonably understands the material risks that the the lawyer represents in an unrelated matter.
waiver entails. The more comprehensive the explanation of Nonlitigation Conflicts. Conflicts of interest under subsec-
the types of future conflicts that might arise and the actual tions (a) (1) and (a) (2) arise in contexts other than litigation.
and reasonably foreseeable adverse consequences of those For a discussion of directly adverse conflicts in transactional
conflicts, the greater the likelihood that the client will have the matters, see second paragraph under ‘‘Identifying Conflicts of
requisite understanding. Thus, if the client agrees to consent Interest: Directly Adverse’’ heading in this Commentary,
to a particular type of conflict with which the client is already above. Relevant factors in determining whether there is signifi-
familiar, then the consent ordinarily will be effective with regard cant risk of material limitation include the duration and intimacy
to that type of conflict. If the consent is general and open- of the lawyer’s relationship with the client or clients involved,
ended, then the consent ordinarily will be ineffective, because the functions being performed by the lawyer, the likelihood
it is not reasonably likely that the client will have understood that disagreements will arise and the likely prejudice to the
the material risks involved. On the other hand, if the client is client from the conflict. The question is often one of proximity
an experienced user of the legal services involved and is and degree. See first paragraph under ‘‘Identifying Conflicts
reasonably informed regarding the risk that a conflict may of Interest: Material Limitation’’ heading in this Commentary,
arise, such consent is more likely to be effective, particularly above.
if, e.g., the client is independently represented by other counsel For example, conflict questions may also arise in estate
in giving consent and the consent is limited to future conflicts planning and estate administration. A lawyer may be called
unrelated to the subject of the representation. In any case, upon to prepare wills for several family members, such as
advance consent cannot be effective if the circumstances that husband and wife, and, depending upon the circumstances,
materialize in the future are such as would make the conflict a conflict of interest may be present. In estate administration,
nonconsentable under subsection (b). the identity of the client may be unclear under the law of a
Conflicts in Litigation. Subsection (b) (3) prohibits repre- particular jurisdiction. Under one view, the client is the fidu-
sentation of opposing parties in the same litigation, regardless ciary; under another view the client is the estate or trust,
of the clients’ consent. On the other hand, simultaneous repre- including its beneficiaries. In order to comply with conflict of
sentation of parties whose interests in litigation may conflict, interest rules, the lawyer should make clear the lawyer’s rela-
such as coplaintiffs or codefendants, is governed by subsec- tionship to the parties involved.
tion (a) (2). A conflict may exist by reason of substantial dis- Whether a conflict is consentable depends on the circum-
crepancy in the parties’ testimony, incompatibility in positions stances. For example, a lawyer may not represent multiple
in relation to an opposing party or the fact that there are parties to a negotiation whose interests are fundamentally
substantially different possibilities of settlement of the claims antagonistic to each other, but common representation is per-
or liabilities in question. Such conflicts can arise in criminal missible where the clients are generally aligned in interest
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RULES OF PROFESSIONAL CONDUCT Rule 1.8
even though there is some difference in interest among them. separately represented. Any limitations on the scope of the
Thus, a lawyer may seek to establish or adjust a relationship representation made necessary as a result of the common
between clients on an amicable and mutually advantageous representation should be fully explained to the clients at the
basis; for example, in helping to organize a business in which outset of the representation. See Rule 1.2 (c).
two or more clients are entrepreneurs, working out the financial Subject to the above limitations, each client in the common
reorganization of an enterprise in which two or more clients representation has the right to loyal and diligent representation
have an interest or arranging a property distribution in settle- and the protection of Rule 1.9 concerning the obligations to
ment of an estate. The lawyer seeks to resolve potentially a former client. The client also has the right to discharge the
adverse interests by developing the parties’ mutual interests. lawyer as stated in Rule 1.16.
Otherwise, each party might have to obtain separate represen- Organizational Clients. A lawyer who represents a corpo-
tation, with the possibility of incurring additional cost, complica- ration or other organization does not, by virtue of that repre-
tion or even litigation. Given these and other relevant factors, sentation, necessarily represent any constituent or affiliated
the clients may prefer that the lawyer act for all of them. organization, such as a parent or subsidiary. See Rule 1.13
Special Considerations in Common Representation. In (a). Thus, the lawyer for an organization is not barred from
considering whether to represent multiple clients in the same accepting representation adverse to an affiliate in an unrelated
matter, a lawyer should be mindful that if the common repre- matter, unless the circumstances are such that the affiliate
sentation fails because the potentially adverse interests can- should also be considered a client of the lawyer, there is
not be reconciled, the result can be additional cost, embar- an understanding between the lawyer and the organizational
rassment and recrimination. Ordinarily, the lawyer will be client that the lawyer will avoid representation adverse to the
forced to withdraw from representing all of the clients if the client’s affiliates, or the lawyer’s obligations to either the organi-
common representation fails. In some situations, the risk of zational client or the new client are likely to limit materially the
failure is so great that multiple representation is plainly impos- lawyer’s representation of the other client.
sible. For example, a lawyer cannot undertake common repre- A lawyer for a corporation or other organization who is also
sentation of clients where contentious litigation or negotiations a member of its board of directors should determine whether
between them are imminent or contemplated. Moreover, the responsibilities of the two roles may conflict. The lawyer
because the lawyer is required to be impartial between com- may be called on to advise the corporation in matters involving
monly represented clients, representation of multiple clients is actions of the directors. Consideration should be given to the
improper when it is unlikely that impartiality can be maintained. frequency with which such situations may arise, the potential
Generally, if the relationship between the parties has already intensity of the conflict, the effect of the lawyer’s resignation
assumed antagonism, the possibility that the clients’ interests from the board and the possibility of the corporation’s obtaining
can be adequately served by common representation is not legal advice from another lawyer in such situations. If there
very good. Other relevant factors are whether the lawyer sub- is material risk that the dual role will compromise the lawyer’s
sequently will represent both parties on a continuing basis independence of professional judgment, the lawyer should not
and whether the situation involves creating or terminating a serve as a director or should cease to act as the corporation’s
relationship between the parties. lawyer when conflicts of interest arise. The lawyer should
A particularly important factor in determining the appropri- advise the other members of the board that in some circum-
ateness of common representation is the effect on client-law- stances matters discussed at board meetings while the lawyer
yer confidentiality and the attorney-client privilege. is present in the capacity of director might not be protected
As to the duty of confidentiality, continued common repre- by the attorney-client privilege and that conflict of interest
sentation will almost certainly be inappropriate if one client considerations might require the lawyer’s recusal as a director
asks the lawyer not to disclose to the other client information or might require the lawyer and the lawyer’s firm to decline
relevant to the common representation. This is so because representation of the corporation in a matter.
the lawyer has an equal duty of loyalty to each client, and the Conflict Charged by an Opposing Party. Resolving ques-
lawyer should inform each client that each client has the right tions of conflict of interest is primarily the responsibility of the
to be informed of anything bearing on the representation that lawyer undertaking the representation. In litigation, a court
might affect that client’s interests and the right to expect that may raise the question when there is reason to infer that the
the lawyer will use that information to that client’s benefit. See lawyer has neglected the responsibility. In a criminal case,
Rule 1.4. To that end, the lawyer must, at the outset of the inquiry by the court is generally required when a lawyer repre-
common representation and as part of the process of obtaining sents multiple defendants. Where the conflict is such as clearly
each client’s informed consent, advise each client that informa- to call in question the fair or efficient administration of justice,
tion will be shared and that the lawyer will have to withdraw opposing counsel may properly raise the question. Such an
if one client decides prior to disclosure that some matter mate- objection should be viewed with caution, however, for it can
rial to the representation should be disclosed to the lawyer be misused as a technique of harassment.
but be kept from the other. In limited circumstances, it may
be appropriate for the lawyer to proceed with the representa- Rule 1.8. Conflict of Interest: Prohibited
tion when the clients have agreed, after being properly Transactions
informed, that the lawyer will keep certain information confi-
dential. For example, the lawyer may reasonably conclude (a) A lawyer shall not enter into a business trans-
that failure to disclose one client’s trade secrets to another action, including investment services, with a client
client will not adversely affect representation involving a joint or former client or knowingly acquire an ownership,
venture between the clients and agree to keep that information possessory, security or other pecuniary interest
confidential with the informed consent of both clients. adverse to a client or former client unless:
When seeking to establish or adjust a relationship between
clients, the lawyer should make clear that the lawyer’s role is
(1) The transaction and terms on which the lawyer
not that of partisanship normally expected in other circum- acquires the interest are fair and reasonable to the
stances and, thus, that the clients may be required to assume client or former client and are fully disclosed and
greater responsibility for decisions than when each client is transmitted in writing to the client or former client
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Rule 1.8 RULES OF PROFESSIONAL CONDUCT
in a manner that can be reasonably understood by individual with whom the lawyer or the client main-
the client or former client; tains a close, familial relationship.
(2) The client or former client is advised in writing (d) Prior to the conclusion of representation of
that the client or former client should consider the a client, a lawyer shall not make or negotiate an
desirability of seeking and is given a reasonable agreement giving the lawyer literary or media rights
opportunity to seek the advice of independent legal to a portrayal or account based in substantial part
counsel in the transaction; on information relating to the representation.
(3) The client or former client gives informed con- (e) A lawyer shall not provide financial assistance
sent in writing signed by the client or former client, to a client in connection with pending or contem-
to the essential terms of the transaction and the plated litigation, except that:
lawyer’s role in the transaction, including whether (1) A lawyer may pay court costs and expenses
the lawyer is representing the client in the trans- of litigation on behalf of a client, the repayment of
action; which may be contingent on the outcome of the
(4) With regard to a business transaction, the matter;
lawyer advises the client or former client in writing (2) A lawyer representing an indigent client may
either (A) that the lawyer will provide legal services pay court costs and expenses of litigation on behalf
to the client or former client concerning the transac- of the client; and
tion, or (B) that the lawyer will not provide legal (3) A lawyer representing an indigent client pro
services to the client or former client and that the bono; a lawyer representing an indigent client pro
lawyer is involved as a business person only and bono through a nonprofit legal services or public
not as a lawyer representing the client or former interest organization, a law school clinical or pro
client and that the lawyer is not one to whom the bono program, or a state or local bar association
client or former client can turn for legal advice con- program; and a lawyer representing an indigent cli-
cerning the transaction; and ent through a public defender’s office may provide
(5) With regard to the providing of investment modest gifts to the client to pay for food, shelter,
services, the lawyer advises the client or former transportation, medicine and other basic living
client in writing (A) whether such services are cov- expenses. A lawyer may not:
ered by legal liability insurance or other insurance, (i) promise, assure or imply the availability of such
and either (B) that the lawyer will provide legal ser- gifts prior to retention, or as an inducement to con-
vices to the client or former client concerning the tinue the client-lawyer relationship after retention,
transaction, or (C) that the lawyer will not provide or as an inducement to take, or forgo taking, any
legal services to the client or former client and that action in the matter;
the lawyer is involved as a business person only (ii) seek or accept reimbursement from the client,
and not as a lawyer representing the client or former a relative of the client, or anyone affiliated with the
client and that the lawyer is not one to whom the client; or
client or former client can turn to for legal services (iii) publicize or advertise a willingness to provide
concerning the transaction. Investment services such gifts to prospective clients.
shall apply only where the lawyer has either a direct A lawyer may provide financial assistance permit-
or indirect control over the invested funds and a ted by this Rule even if the representation is eligible
direct or indirect interest in the underlying invest- for fees under a fee-shifting statute.
ment. (f) A lawyer shall not accept compensation for
For purposes of subsection (a) (1) through (a) representing a client from one other than the cli-
(5), the phrase ‘‘former client’’ shall mean a client ent unless:
for whom the two-year period starting from the con- (1) The client gives informed consent; subject to
clusion of representation has not expired. revocation by the client, such informed consent shall
(b) A lawyer shall not use information relating to be implied where the lawyer is retained to represent
representation of a client to the disadvantage of a client by a third party obligated under the terms
the client unless the client gives informed consent, of a contract to provide the client with a defense;
except as permitted or required by these Rules. (2) There is no interference with the lawyer’s inde-
(c) A lawyer shall not solicit any substantial gift pendence of professional judgment or with the cli-
from a client, including a testamentary gift, or pre- ent-lawyer relationship; and
pare on behalf of a client an instrument giving the (3) Information relating to representation of a cli-
lawyer or a person related to the lawyer any sub- ent is protected as required by Rule 16.
stantial gift, unless the lawyer or other recipient of (g) A lawyer who represents two or more clients
the gift is related to the client. For purposes of this shall not participate in making an aggregate settle-
paragraph, related persons include a spouse, child, ment of the claims of or against the clients, or in a
grandchild, parent, grandparent or other relative or criminal case an aggregated agreement as to guilty
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RULES OF PROFESSIONAL CONDUCT Rule 1.8
or nolo contendere pleas, unless each client gives although its requirements must be met when the lawyer accepts
informed consent, in a writing signed by the client. an interest in the client’s business or other nonmonetary property
as payment of all or part of a fee. In addition, the Rule does not
The lawyer’s disclosure shall include the existence apply to standard commercial transactions between the lawyer
and nature of all the claims or pleas involved and and the client for products or services that the client generally
of the participation of each person in the settlement. markets to others, for example, banking or brokerage services,
Subject to revocation by the client and to the terms products manufactured or distributed by the client, and utilities’
of the contract, such informed consent shall be services. In such transactions, the lawyer has no advantage in
implied and need not be in writing where the lawyer dealing with the client, and the restrictions in subsection (a) are
is retained to represent a client by a third party unnecessary and impracticable.
Subsection (a) (1) requires that the transaction itself be fair
obligated under the terms of a contract to provide to the client and that its essential terms be communicated to the
the client with a defense and indemnity for the loss client, in writing, in a manner that can be reasonably understood.
and the third party elects to settle a matter without Subsection (a) (2) requires that the client also be advised, in
contribution by the client. writing, of the desirability of seeking the advice of independent
(h) A lawyer shall not: legal counsel. It also requires that the client be given a reasonable
(1) Make an agreement prospectively limiting the opportunity to obtain such advice. Subsection (a) (3) requires
that the lawyer obtain the client’s informed consent, in a writing
lawyer’s liability to a client for malpractice unless signed by the client, both to the essential terms of the transaction
the client is independently represented in making and to the lawyer’s role. When necessary, the lawyer should
the agreement; or discuss both the material risks of the proposed transaction,
(2) Settle a claim or potential claim for such liabil- including any risk presented by the lawyer’s involvement, and
ity with an unrepresented client or former client the existence of reasonably available alternatives and should
unless that person is advised in writing of the desir- explain why the advice of independent legal counsel is desirable.
See Rule 1.0 (f) (definition of informed consent).
ability of seeking and is given a reasonable opportu-
The risk to a client is greatest when the client expects the
nity to seek the advice of independent legal counsel lawyer to represent the client in the transaction itself or when
in connection therewith. the lawyer’s financial interest otherwise poses a significant risk
(i) A lawyer shall not acquire a proprietary interest that the lawyer’s representation of the client will be materially
in the cause of action or subject matter of litigation limited by the lawyer’s financial interest in the transaction. Here,
the lawyer is conducting for a client, except that the the lawyer’s role requires that the lawyer must comply, not only
lawyer may: with the requirements of subsection (a), but also with the require-
ments of Rule 1.7. Under that Rule, the lawyer must disclose
(1) Acquire a lien granted by law to secure the the risks associated with the lawyer’s dual role as both legal
lawyer’s fee or expenses; and adviser and participant in the transaction, such as the risk that
(2) Contract with a client for a reasonable contin- the lawyer will structure the transaction or give legal advice in
gent fee in a civil case. a way that favors the lawyer’s interests at the expense of the
(j) A lawyer shall not have sexual relations with client. Moreover, the lawyer must obtain the client’s informed
a client unless a consensual sexual relationship consent. In some cases, the lawyer’s interest may be such that
Rule 1.7 will preclude the lawyer from seeking the client’s consent
existed between them when the client-lawyer rela- to the transaction.
tionship commenced. If the client is independently represented in the transaction,
(k) While lawyers are associated in a firm, a prohi- subsection (a) (2) of this Rule is inapplicable, and the subsection
bition in the foregoing subsection (a) through (i) that (a) (1) requirement for full disclosure is satisfied either by a
applies to any one of them shall apply to all of them. written disclosure by the lawyer involved in the transaction or
(P.B. 1978-1997, Rule 1.8.) (Amended June 26, 2006, to take by the client’s independent counsel. The fact that the client
effect Jan. 1, 2007; amended June 29, 2007, to take effect Jan. was independently represented in the transaction is relevant in
1, 2008; amended June 11, 2021, to take effect Jan. 1, 2022.) determining whether the agreement was fair and reasonable to
TECHNICAL CHANGE: In the second sentence of subdivi- the client as subsection (a) (1) further requires.
sion (a) (5), ‘‘only apply’’ was deleted after ‘‘shall’’ and replaced Use of Information Related to Representation. Use of infor-
with ‘‘apply only.’’ mation relating to the representation to the disadvantage of the
COMMENTARY: Business Transactions between Client client violates the lawyer’s duty of loyalty. Subsection (b) applies
and Lawyer. Subsection (a) expressly applies to former clients when the information is used to benefit either the lawyer or a
as well as existing clients. A lawyer’s legal skill and training, third person, such as another client or business associate of the
together with the relationship of trust and confidence between lawyer. For example, if a lawyer learns that a client intends to
lawyer and client, create the possibility of overreaching when the purchase and develop several parcels of land, the lawyer may
lawyer participates in a business, property or financial transaction not use that information to purchase one of the parcels in compe-
with a client, for example, a loan or sales transaction or a lawyer tition with the client or to recommend that another client make
investment on behalf of a client. The requirements of subsection such a purchase. The Rule does not prohibit uses that do not
(a) must be met even when the transaction is not closely related disadvantage the client. For example, a lawyer who learns a
to the subject matter of the representation, as when a lawyer government agency’s interpretation of trade legislation during
drafting a will for a client learns that the client needs money for the representation of one client may properly use that information
unrelated expenses and offers to make a loan to the client. It to benefit other clients. Subsection (b) prohibits disadvantageous
also applies to lawyers purchasing property from estates they use of client information unless the client gives informed consent,
represent. It does not apply to ordinary fee arrangements except as permitted or required by these Rules. See Rules 1.2
between client and lawyer, which are governed by Rule 1.5, (d), 1.6, 1.9 (c), 3.3, 4.1 (b), 8.1 and 8.3.
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Rule 1.8 RULES OF PROFESSIONAL CONDUCT
Gifts to Lawyers. A lawyer may accept a gift from a client, eligible for fees under a fee-shifting statute. However, subsection
if the transaction meets general standards of fairness. For exam- (e) (3) does not permit lawyers to provide assistance in other
ple, a simple gift such as a present given at a holiday or as a contemplated or pending litigation in which the lawyer may even-
token of appreciation is permitted. If a client offers the lawyer a tually recover a fee, such as contingent-fee personal injury cases
more substantial gift, subsection (c) does not prohibit the lawyer or cases in which fees may be available under a contractual
from accepting it, although such a gift may be voidable by the fee-shifting provision, even if the lawyer does not eventually
client under the doctrine of undue influence, which treats client receive a fee.
gifts as presumptively fraudulent. In any event, due to concerns Person Paying for a Lawyer’s Services. Subsection (f)
about overreaching and imposition on clients, a lawyer may not requires disclosure of the fact that the lawyer’s services are
suggest that a substantial gift be made to the lawyer or for the being paid for by a third party. Such an arrangement must also
lawyer’s benefit, except where the lawyer is related to the client conform to the requirements of Rule 1.6 concerning confidential-
as set forth in paragraph (c). ity and Rule 1.7 concerning conflict of interest. Where the client
If effectuation of a substantial gift requires preparing a legal is a class, consent may be obtained on behalf of the class by
instrument such as a will or conveyance, the client should have court-supervised procedure.
the detached advice that another lawyer can provide. The sole Lawyers are frequently asked to represent a client under
exception to this Rule is where the client is a relative of the donee. circumstances in which a third person will compensate the law-
This Rule does not prohibit a lawyer from seeking to have yer, in whole or in part. The third person might be a relative or
the lawyer or a partner or associate of the lawyer named as friend, an indemnitor (such as a liability insurance company) or
executor of the client’s estate or to another potentially lucrative a co-client (such as a corporation sued along with one or more
fiduciary position. Nevertheless, such appointments will be sub- of its employees). Because third-party payers frequently have
ject to the general conflict of interest provision in Rule 1.7 when interests that differ from those of the client, including interests
there is a significant risk that the lawyer’s interest in obtaining in minimizing the amount spent on the representation and in
the appointment will materially limit the lawyer’s independent learning how the representation is progressing, lawyers are pro-
professional judgment in advising the client concerning the hibited from accepting or continuing such representations unless
choice of an executor or other fiduciary. In obtaining the client’s the lawyer determines that there will be no interference with
informed consent to the conflict, the lawyer should advise the the lawyer’s independent professional judgment and there is
client concerning the nature and extent of the lawyer’s financial informed consent from the client. See also Rule 5.4 (c) (prohib-
interest in the appointment, as well as the availability of alterna- iting interference with a lawyer’s professional judgment by one
tive candidates for the position. who recommends, employs or pays the lawyer to render legal
Literary Rights. An agreement by which a lawyer acquires services for another).
literary or media rights concerning the conduct of the representa- Sometimes, it will be sufficient for the lawyer to obtain the
tion creates a conflict between the interests of the client and client’s informed consent regarding the fact of the payment and
the personal interests of the lawyer. Measures suitable in the the identity of the third-party payer. If, however, the fee arrange-
representation of the client may detract from the publication ment creates a conflict of interest for the lawyer, then the lawyer
value of an account of the representation. Subsection (d) does must comply with Rule 1.7. The lawyer must also conform to
not prohibit a lawyer representing a client in a transaction con- the requirements of Rule 1.6 concerning confidentiality. Under
cerning literary property from agreeing that the lawyer’s fee shall Rule 1.7 (a), a conflict of interest exists if there is significant risk
consist of a share in ownership in the property, if the arrangement that the lawyer’s representation of the client will be materially
conforms to Rule 1.5 and subsections (a) and (i). limited by the lawyer’s own interest in the fee arrangement or by
Financial Assistance. Lawyers may not subsidize lawsuits the lawyer’s responsibilities to the third-party payer (for example,
or administrative proceedings brought on behalf of their clients, when the third-party payer is a co-client). Under Rule 1.7 (b),
including making or guaranteeing loans to their clients for living the lawyer may accept or continue the representation with the
expenses, because to do so would encourage clients to pursue informed consent of each affected client, unless the conflict is
lawsuits that might not otherwise be brought and because such nonconsentable under that subsection. Under Rule 1.7 (b), the
assistance gives lawyers too great a financial stake in the litiga- informed consent must be confirmed in writing.
tion. These dangers do not warrant a prohibition on a lawyer Aggregate Settlements. Differences in willingness to make
lending a client court costs and litigation expenses, including the or accept an offer of settlement are among the risks of common
expenses of medical examination and the costs of obtaining representation of multiple clients by a single lawyer. Under Rule
and presenting evidence, because these advances are virtually 1.7, this is one of the risks that should be discussed before
indistinguishable from contingent fees and help ensure access to undertaking the representation, as part of the process of
the courts. Similarly, an exception allowing lawyers representing obtaining the clients’ informed consent. In addition, Rule 1.2 (a)
indigent clients to pay court costs and litigation expenses regard- protects each client’s right to have the final say in deciding
less of whether these funds will be repaid is warranted. whether to accept or reject an offer of settlement and in deciding
Subsection (e) (3) provides another exception. A lawyer repre- whether to enter a guilty or nolo contendere plea in a criminal
senting an indigent client who does not pay a fee may give the case. The rule stated in this paragraph is a corollary of both
client gifts in the form of modest contributions toward basic these Rules and provides that, before any settlement offer or
necessities of life such as food, shelter, transportation, clothing, plea bargain is made or accepted on behalf of multiple clients,
and medicine. If the gift may have consequences for the client, the lawyer must inform each of them about all the material terms
including, e.g., for receipt of government benefits, social services, of the settlement, including what the other clients will receive or
or tax liability, the lawyer should consult with the client about pay if the settlement or plea offer is accepted. See also Rule
such consequences. See Rule 1.4. 1.0 (f) (definition of informed consent). Lawyers representing a
The subsection (e) (3) exception is narrow. Modest contribu- class of plaintiffs or defendants, or those proceeding derivatively,
tions towards basic necessities are allowed only in circum- may not have a full client-lawyer relationship with each member
stances where it is unlikely to create conflicts of interest or of the class; nevertheless, such lawyers must comply with appli-
invite abuse. cable rules regulating notification of class members and other
Financial assistance, including modest gifts pursuant to sub- procedural requirements designed to ensure adequate protec-
section (e) (3), may be provided even if the representation is tion of the entire class.
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RULES OF PROFESSIONAL CONDUCT Rule 1.9
Limiting Liability and Settling Malpractice Claims. client confidences are protected by privilege only when they are
Agreements prospectively limiting a lawyer’s liability for malprac- imparted in the context of the client-lawyer relationship. Because
tice are prohibited unless the client is independently represented of the significant danger of harm to client interest and because
in making the agreement because they are likely to undermine the client’s own emotional involvement renders it unlikely that
competent and diligent representation. Also, many clients are the client could give adequate informed consent, this Rule prohib-
unable to evaluate the desirability of making such an agreement its the lawyer from having sexual relations with a client regardless
before a dispute has arisen, particularly if they are then repre- of whether the relationship is consensual and regardless of the
sented by the lawyer seeking the agreement. This subsection absence of prejudice to the client.
does not, however, prohibit a lawyer from entering into an Sexual relationships that predate the client-lawyer relationship
agreement with the client to arbitrate legal malpractice claims, are not prohibited. Issues relating to the exploitation of the fidu-
provided such agreements are enforceable and the client is fully ciary relationship and client dependency are diminished when
informed of the scope and effect of the agreement. Nor does the sexual relationship existed prior to the commencement of
this subsection limit the ability of lawyers to practice in the form the client-lawyer relationship. However, before proceeding with
of a limited-liability entity, where permitted by law, provided that the representation in these circumstances, the lawyer should
each lawyer remains personally liable to the client for his or her consider whether the lawyer’s ability to represent the client will
own conduct and the firm complies with any conditions required be materially limited by the relationship. See Rule 1.7 (a) (2).
by law, such as provisions requiring client notification or mainte- Imputation of Prohibitions. Under subsection (k), a prohibi-
nance of adequate liability insurance. Nor does it prohibit an tion on conduct by an individual lawyer in subsections (a) through
agreement in accordance with Rule 1.2 that defines the scope (i) also applies to all lawyers associated in a firm with the person-
of the representation, although a definition of scope that makes ally prohibited lawyer. The prohibition set forth in subsection (j)
the obligations of representation illusory will amount to an attempt is personal and is not applied to associated lawyers.
to limit liability.
Agreements settling a claim or a potential claim for malprac- Rule 1.9. Duties to Former Clients
tice are not prohibited by this Rule. Nevertheless, in view of the (Amended June 26, 2006, to take effect Jan. 1, 2007.)
danger that a lawyer will take unfair advantage of an unrepre- (a) A lawyer who has formerly represented a cli-
sented client or former client, the lawyer must first advise such
a person in writing of the appropriateness of independent repre-
ent in a matter shall not thereafter represent another
sentation in connection with such a settlement. In addition, the person in the same or a substantially related matter
lawyer must give the client or former client a reasonable opportu- in which that person’s interests are materially
nity to find and consult independent counsel. adverse to the interests of the former client unless
Acquiring Proprietary Interest in Litigation. Subsection (i) the former client gives informed consent, confirmed
states the traditional general rule that lawyers are prohibited in writing.
from acquiring a proprietary interest in litigation. Like subsection
(e), the general rule, which has its basis in common-law cham-
(b) A lawyer shall not knowingly represent a per-
perty and maintenance, is designed to avoid giving the lawyer son in the same or a substantially related matter in
too great an interest in the representation. In addition, when which a firm with which the lawyer formerly was
the lawyer acquires an ownership interest in the subject of the associated had previously represented a client
representation, it will be more difficult for a client to discharge (1) whose interests are materially adverse to that
the lawyer if the client so desires. The Rule is subject to specific person; and
exceptions developed in decisional law and continued in these
Rules. The exception for certain advances of the costs of litigation
(2) about whom the lawyer had acquired informa-
is set forth in subsection (e). In addition, subsection (i) sets forth tion protected by Rules 1.6 and 1.9 (c) that is mate-
exceptions for liens authorized by law to secure the lawyer’s rial to the matter; unless the former client gives
fees or expenses and contracts for reasonable contingent fees. informed consent, confirmed in writing.
The law of each jurisdiction determines which liens are author- (c) A lawyer who has formerly represented a cli-
ized by law. These may include liens granted by statute, liens ent in a matter or whose present or former firm
originating in common law and liens acquired by contract with
the client. When a lawyer acquires by contract a security interest
has formerly represented a client in a matter shall
in property other than that recovered through the lawyer’s efforts not thereafter:
in the litigation, such an acquisition is a business or financial (1) use information relating to the representation
transaction with a client and is governed by the requirements to the disadvantage of the former client except as
of subsection (a). Contracts for contingent fees in civil cases are these Rules would permit or require with respect
governed by Rule 1.5. to a client, or when the information has become
Client-Lawyer Sexual Relationships. The relationship
between lawyer and client is a fiduciary one in which the lawyer
generally known; or
occupies the highest position of trust and confidence. The rela- (2) reveal information relating to the representa-
tionship is almost always unequal; thus, a sexual relationship tion except as these Rules would permit or require
between lawyer and client can involve unfair exploitation of the with respect to a client.
lawyer’s fiduciary role, in violation of the lawyer’s basic ethical (P.B. 1978-1997, Rule 1.9.) (Amended June 26, 2006, to take
obligation not to use the trust of the client to the client’s disadvan- effect Jan. 1, 2007.)
tage. In addition, such a relationship presents a significant danger COMMENTARY: After termination of a client-lawyer relation-
that, because of the lawyer’s emotional involvement, the lawyer ship, a lawyer has certain continuing duties with respect to confi-
will be unable to represent the client without impairment of the dentiality and conflicts of interest and thus may not represent
exercise of independent professional judgment. Moreover, a another client except in conformity with this Rule. Under this
blurred line between the professional and personal relationships Rule, for example, a lawyer could not properly seek to rescind
may make it difficult to predict to what extent client confidences on behalf of a new client a contract drafted on behalf of the
will be protected by the attorney-client evidentiary privilege, since former client. So also a lawyer who has prosecuted an accused
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Rule 1.9 RULES OF PROFESSIONAL CONDUCT
person could not properly represent the accused in a subsequent after having left a previous association. In this connection, it
civil action against the government concerning the same transac- should be recognized that today many lawyers practice in firms,
tion. Nor could a lawyer who has represented multiple clients in that many lawyers to some degree limit their practice to one
a matter represent one of the clients against the interest of the field or another, and that many move from one association to
others in the same or a substantially related matter after a dispute another several times in their careers. If the concept of imputation
arose among the clients in that matter, unless all affected clients were applied with unqualified rigor, the result would be radical
give informed consent. See last paragraph of this Commentary, curtailment of the opportunity of lawyers to move from one prac-
below. Current and former government lawyers must comply tice setting to another and of the opportunity of clients to
with this Rule to the extent required by Rule 1.11. change counsel.
The scope of a ‘‘matter’’ for purposes of this Rule depends Subsection (b) operates to disqualify the lawyer only when the
on the facts of a particular situation or transaction. The lawyer’s lawyer involved has actual knowledge of information protected
involvement in a matter can also be a question of degree. When by Rules 1.6 and 1.9 (c). Thus, if a lawyer, while with one firm
a lawyer has been directly involved in a specific transaction,
acquired no knowledge or information relating to a particular
subsequent representation of other clients with materially
client of the firm, and that lawyer later joined another firm, neither
adverse interests in that transaction clearly is prohibited. On the
the lawyer individually nor the second firm is disqualified from
other hand, a lawyer who recurrently handled a type of problem
for a former client is not precluded from later representing another representing another client in the same or a related matter even
client in a factually distinct problem of that type even though the though the interests of the two clients conflict. See Rule 1.10
subsequent representation involves a position adverse to the (b) for the restrictions on a firm once a lawyer has terminated
prior client. Similar considerations can apply to the reassignment association with the firm.
of military lawyers between defense and prosecution functions Application of subsection (b) depends on a situation’s particu-
within the same military jurisdictions. The underlying question lar facts, aided by inferences, deductions or working presump-
is whether the lawyer was so involved in the matter that the tions that reasonably may be made about the way in which
subsequent representation can be justly regarded as a changing lawyers work together. A lawyer may have general access to
of sides in the matter in question. files of all clients of a law firm and may regularly participate in
Matters are ‘‘substantially related’’ for purposes of this Rule discussions of their affairs; it should be inferred that such a
if they involve the same transaction or legal dispute or if there lawyer in fact is privy to all information about all the firm’s clients.
otherwise is a substantial risk that confidential factual information In contrast, another lawyer may have access to the files of only
as would normally have been obtained in the prior representation a limited number of clients and participate in discussions of the
would materially advance the client’s position in the subsequent affairs of no other clients; in the absence of information to the
matter. For example, a lawyer who has represented a busi- contrary, it should be inferred that such a lawyer in fact is privy
nessperson and learned extensive private financial information to information about the clients actually served but not those of
about that person may not then represent that person’s spouse other clients. In such an inquiry, the burden of proof rests upon
in seeking a divorce. Similarly, a lawyer who has previously the firm whose disqualification is sought.
represented a client in securing environmental permits to build Independent of the question of disqualification of a firm, a
a shopping center would be precluded from representing neigh- lawyer changing professional association has a continuing duty
bors seeking to oppose rezoning of the property on the basis to preserve confidentiality of information about a client formerly
of environmental considerations; however, the lawyer would not represented. See Rules 1.6 and 1.9 (c).
be precluded, on the grounds of substantial relationship, from
Subsection (c) provides that information acquired by the law-
defending a tenant of the completed shopping center in resisting
yer in the course of representing a client may not subsequently
eviction for nonpayment of rent. Information that has been dis-
be used or revealed by the lawyer to the disadvantage of the
closed to the public or to other parties adverse to the former
client ordinarily will not be disqualifying. Information acquired in client. However, the fact that a lawyer has once served a client
a prior representation may have been rendered obsolete by does not preclude the lawyer from using generally known infor-
the passage of time, a circumstance that may be relevant in mation about that client when later representing another client.
determining whether two representations are substantially The provisions of this Rule are for the protection of former
related. In the case of an organizational client, general knowledge clients and can be waived if the client gives informed consent,
of the client’s policies and practices ordinarily will not preclude which consent must be confirmed in writing under subsections
a subsequent representation; on the other hand, knowledge of (a) and (b). See Rule 1.0 (f). With regard to the effectiveness
specific facts gained in a prior representation that are relevant of an advance waiver, see Commentary to Rule 1.7. With regard
to the matter in question ordinarily will preclude such a represen- to disqualification of a firm with which a lawyer is or was formerly
tation. A former client is not required to reveal the confidential associated, see Rule 1.10.
information learned by the lawyer in order to establish a substan-
tial risk that the lawyer has confidential information to use in the Rule 1.10. Imputation of Conflicts of Interest:
subsequent matter. A conclusion about the possession of such General Rule
information may be based on the nature of the services the
lawyer provided the former client and information that would in (Amended June 26, 2006, to take effect Jan. 1, 2007.)
ordinary practice be learned by a lawyer providing such services. (a) While lawyers are associated in a firm, none
Lawyers Moving between Firms. When lawyers have been of them shall knowingly represent a client when any
associated within a firm but then end their association, the ques-
tion of whether a lawyer should undertake representation is more one of them practicing alone would be prohibited
complicated. There are several competing considerations. First, from doing so by Rules 1.7 or 1.9, unless:
the client previously represented by the former firm must be (1) the prohibition is based on a personal interest
reasonably assured that the principle of loyalty to the client is of the disqualified lawyer and does not present a
not compromised. Second, the rule should not be so broadly
cast as to preclude other persons from having reasonable choice significant risk of materially limiting the representa-
of legal counsel. Third, the rule should not unreasonably hamper tion of the client by the remaining lawyers in the
lawyers from forming new associations and taking on new clients firm; or
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RULES OF PROFESSIONAL CONDUCT Rule 1.10
(2) the prohibition is based upon Rule 1.9 (a) or firm. When a lawyer moves from one firm to another, the situation
1.9 (b) and arises out of the disqualified lawyer’s is governed by Rules 1.9 (b) and 1.10 (b).
The Rule in subsection (a) does not prohibit representation
association with a prior firm, and where neither questions of client loyalty nor protection of confi-
(A) the disqualified lawyer is timely screened from dential information are presented. Where one lawyer in a firm
any participation in the matter and is apportioned could not effectively represent a given client because of strong
no part of the fee therefrom; political beliefs, for example, but that lawyer will do no work on
(B) written notice is promptly given to any affected the case and the personal beliefs of the lawyer will not materially
former client to enable the former client to ascertain limit the representation by others in the firm, the firm should not
be disqualified. On the other hand, if an opposing party in a
compliance with the provisions of this Rule, which case were owned by a lawyer in the law firm, and others in the
shall include a description of the screening proce- firm would be materially limited in pursuing the matter because
dures employed; a statement of the firm’s and of of loyalty to that lawyer, the personal disqualification of the lawyer
the screened lawyer’s compliance with these Rules; would be imputed to all others in the firm.
a statement that review may be available before a The Rule in subsection (a) also does not prohibit representa-
tribunal; and an agreement by the firm to respond tion by others in the law firm where the person prohibited from
involvement in a matter is a nonlawyer, such as a paralegal or
promptly to any written inquiries or objections by the legal secretary. Nor does subsection (a) prohibit representation
former client about the screening procedures; and if the lawyer is prohibited from acting because of events before
(C) certifications of compliance with these Rules the person became a lawyer, for example, work that the person
and with the screening procedures are provided to did while a law student. Such persons, however, must be
the former client by the screened lawyer and by a screened from any personal participation in the matter to avoid
partner of the firm, at reasonable intervals upon the communication to others in the firm of confidential information
that both the nonlawyers and the firm have a legal duty to protect.
former client’s written request and upon termination See Rules 1.0 (k) and 5.3.
of the screening procedures. Rule 1.10 (b) operates to permit a law firm, under certain
(b) When a lawyer has terminated an association circumstances, to represent a person with interests directly
with a firm, the firm is not prohibited from thereafter adverse to those of a client represented by a lawyer who formerly
representing a person with interests materially was associated with the firm. The Rule applies regardless of
adverse to those of a client represented by the when the formerly associated lawyer represented the client.
However, the law firm may not represent a person with interests
formerly associated lawyer and not currently repre- adverse to those of a present client of the firm, which would
sented by the firm, unless: violate Rule 1.7. Moreover, the firm may not represent the person
(1) The matter is the same or substantially related where the matter is the same or substantially related to that in
to that in which the formerly associated lawyer rep- which the formerly associated lawyer represented the client and
resented the client; and any other lawyer currently in the firm has material information
protected by Rules 1.6 and 1.9 (c).
(2) Any lawyer remaining in the firm has informa- Rule 1.10 (c) removes imputation with the informed consent
tion protected by Rules 1.6 and 1.9 (c) that is mate- of the affected client or former client under the conditions stated
rial to the matter. in Rule 1.7. The conditions stated in Rule 1.7 require the lawyer
(c) A disqualification prescribed by this Rule may to determine that the representation is not prohibited by Rule
be waived by the affected client under the conditions 1.7 (b) and that each affected client or former client has given
stated in Rule 1.7. informed consent to the representation, confirmed in writing. In
some cases, the risk may be so severe that the conflict may
(d) The disqualification of lawyers associated in not be cured by client consent. For a discussion of the effective-
a firm with former or current government lawyers ness of client waivers of conflicts that might arise in the future,
is governed by Rule 1.11. see Rule 1.7 and its commentary. For a definition of informed
(P.B. 1978-1997, Rule 1.10.) (Amended June 26, 2006, to consent, see Rule 1.0 (f).
take effect Jan. 1, 2007; amended June 15, 2012, to take effect Rule 1.10 (a) (2) similarly removes the imputation otherwise
Jan. 1, 2013.) required by Rule 1.10 (a), but unlike subsection (c), it does so
COMMENTARY: Definition of ‘‘Firm.’’ For purposes of the without requiring that there be informed consent by the former
Rules of Professional Conduct, the term ‘‘firm’’ denotes lawyers client. Instead, it requires that the procedures laid out in subpara-
in a law partnership, professional corporation, sole proprietorship graphs (A) through (C) of subsection (a) (2) be followed. A
or other association authorized to practice law; or lawyers description of effective screening mechanisms appears in Rule
employed in a legal services organization or the legal department 1.0 (l) and commentary thereto. Lawyers should be aware,
of a corporation or other organization. See Rule 1.0 (d). Whether however, that, even where screening mechanisms have been
two or more lawyers constitute a firm within this definition can adopted, tribunals may consider additional factors in ruling upon
depend on the specific facts. See Rule 1.0 and its Commentary. motions to disqualify a lawyer from pending litigation.
Principles of Imputed Disqualification. The rule of imputed Subparagraph (A) of subsection (a) (2) does not prohibit the
disqualification stated in subsection (a) gives effect to the princi- screened lawyer from receiving a salary or partnership share
ple of loyalty to the client as it applies to lawyers who practice established by prior independent agreement, but that lawyer
in a law firm. Such situations can be considered from the premise may not receive compensation directly related to the matter in
that a firm of lawyers is essentially one lawyer for purposes of which the lawyer is disqualified.
the rules governing loyalty to the client, or from the premise that The notice required by subparagraph (B) of subsection (a)
each lawyer is vicariously bound by the obligation of loyalty owed (2) generally should include a description of the screened law-
by each lawyer with whom the lawyer is associated. Subsection yer’s prior representation and be given as soon as practicable
(a) operates only among the lawyers currently associated in a after the need for screening becomes apparent. It also should
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Rule 1.10 RULES OF PROFESSIONAL CONDUCT
include a statement by the screened lawyer and the firm that public or has a legal privilege not to disclose and
the client’s material confidential information has not been dis- which is not otherwise available to the public. A
closed or used in violation of the Rules. The notice is intended
to enable the former client to evaluate and comment upon the
firm with which that lawyer is associated may under-
effectiveness of the screening procedures. take or continue representation in the matter only
The certifications required by subparagraph (C) of subsection if the disqualified lawyer is timely screened from
(a) (2) give the former client assurance that the client’s material any participation in the matter and is apportioned
confidential information has not been disclosed or used inappro- no part of the fee therefrom.
priately, either prior to timely implementation of a screen or (d) Except as law may otherwise expressly per-
thereafter. If compliance cannot be certified, the certificate must mit, a lawyer currently serving as a public officer
describe the failure to comply. or employee:
Where a lawyer has joined a private firm after having repre-
sented the government, imputation is governed by Rule 1.11 (1) Is subject to Rules 1.7 and 1.9; and
(b) and (c), not this Rule. Under Rule 1.11 (d), where a lawyer (2) Shall not:
represents the government after having served clients in private (A) Participate in a matter in which the lawyer
practice, nongovernmental employment or in another govern- participated personally and substantially while in
ment agency, former-client conflicts are not imputed to govern- private practice or nongovernmental employment,
ment lawyers associated with the individually disqualified lawyer. unless the appropriate government agency gives
Where a lawyer is prohibited from engaging in certain transac- its informed consent, confirmed in writing; or
tions under Rule 1.8, subsection (k) of that Rule, and not this (B) Negotiate for private employment with any
Rule, determines whether that prohibition also applies to other
lawyers associated in a firm with the personally prohibited lawyer. person who is involved as a party or as lawyer
for a party in a matter in which the lawyer is partici-
Rule 1.11. Special Conflicts of Interest for For- pating personally and substantially; except that a
mer and Current Government Officers and lawyer serving as a law clerk to a judge, other
Employees adjudicative officer or arbitrator may negotiate for
(Amended June 26, 2006, to take effect Jan. 1, 2007.) private employment as permitted by Rule 1.12
(a) Except as law may otherwise expressly per- (b) and subject to the conditions stated in Rule
mit, a lawyer who has formerly served as a public 1.12 (b).
officer or employee of the government: (e) Grievance counsel, disciplinary counsel and
(1) is subject to Rule 1.9 (c); and bar counsel as well as members of the Statewide
(2) shall not otherwise represent a client in con- Grievance Committee and grievance panels shall
nection with a matter in which the lawyer partic- not represent any party other than the state with
ipated personally and substantially as a public offi- respect to an unauthorized practice of law com-
cer or employee, unless the appropriate govern- plaint or attorney grievance matter, while serving
ment agency gives its informed consent, confirmed as such. In addition, such counsel and members
in writing, to the representation. shall not represent an individual or entity investi-
(b) When a lawyer is disqualified from representa- gated or prosecuted for the unauthorized practice
tion under subsection (a), no lawyer in a firm with of law or an attorney investigated or prosecuted
with respect to an attorney grievance matter if that
which that lawyer is associated may knowingly
specific unauthorized practice of law complaint or
undertake or continue representation in such a mat- attorney grievance matter was pending in their
ter unless: office or with their committee or panel at the time
(1) The disqualified lawyer is timely screened of such counsel’s or member’s termination of
from any participation in the matter and is appor- employment or service as such grievance coun-
tioned no part of the fee therefrom; and sel, disciplinary counsel, bar counsel or member
(2) Written notice is promptly given to the appro- of the Statewide Grievance Committee or a griev-
priate government agency to enable it to ascertain ance panel.
compliance with the provisions of this Rule. (f) As used in this Rule, the term ‘‘matter’’
(c) Except as law may otherwise expressly per- includes:
mit, a lawyer having information that the lawyer (1) Any judicial or other proceeding, applica-
knows is confidential government information about tion, request for a ruling or other determination,
a person acquired when the lawyer was a public contract, claim, controversy, investigation, charge,
officer or employee, may not represent a private accusation, arrest or other particular matter involv-
client whose interests are adverse to that person ing a specific party or parties, and
in a matter in which the information could be used (2) Any other matter covered by the conflict of
to the material disadvantage of that person. As interest rules of the appropriate government
used in this Rule, the term ‘‘confidential govern- agency.
ment information’’ means information that has (P.B. 1978-1997, Rule 1.11.) (Amended June 26, 2006, to
take effect Jan. 1, 2007; amended June 15, 2018, to take
been obtained under governmental authority and effect Jan. 1, 2019.)
which, at the time this Rule is applied, the govern- COMMENTARY: A lawyer who has served or is currently
ment is prohibited by law from disclosing to the serving as a public officer or employee is personally subject
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RULES OF PROFESSIONAL CONDUCT Rule 1.12
to the Rules of Professional Conduct, including the prohibition the same or different clients for conflict of interest purposes
against concurrent conflicts of interest stated in Rule 1.7. In is beyond the scope of these Rules. See Commentary to
addition, such a lawyer may be subject to statutes and govern- Rule 1.13.
ment regulations regarding conflicts of interest. Such statutes Subsections (b) and (c) contemplate a screening arrange-
and regulations may circumscribe the extent to which the gov- ment. See Rule 1.0 (l) (requirements for screening proce-
ernment agency may give consent under this Rule. See Rule dures). These subsections do not prohibit a lawyer from
1.0 (f) for the definition of informed consent. receiving a salary or partnership share established by prior
Subsections (a) (1), (a) (2) and (d) (1) restate the obligations independent agreement, but that lawyer may not receive com-
of an individual lawyer who has served or is currently serving pensation directly relating the lawyer’s compensation to the
as an officer or employee of the government toward a former fee in the matter in which the lawyer is disqualified.
government or private client. Rule 1.10 is not applicable to Notice, including a description of the screened lawyer’s prior
the conflicts of interest addressed by this Rule. Rather, sub- representation and of the screening procedures employed,
section (b) sets forth a special imputation rule for former gov- generally should be given as soon as practicable after the
ernment lawyers that provides for screening and notice. need for screening becomes apparent.
Because of the special problems raised by imputation within Subsection (c) operates only when the lawyer in question
a government agency, subsection (d) does not impute the has knowledge of the information, which means actual knowl-
conflicts of a lawyer currently serving as an officer or employee edge; it does not operate with respect to information that
of the government to other associated government officers or merely could be imputed to the lawyer.
employees, although ordinarily it will be prudent to screen Subsections (a) and (d) do not prohibit a lawyer from jointly
such lawyers. representing a private party and a government agency when
Subsections (a) (2) and (d) (2) apply regardless of whether doing so is permitted by Rule 1.7 and is not otherwise prohib-
a lawyer is adverse to a former client and are thus designed ited by law.
not only to protect the former client, but also to prevent a lawyer For purposes of subsection (e), an ‘‘unauthorized practice
from exploiting public office for the advantage of another client. of law complaint’’ means a complaint alleging conduct covered
For example, a lawyer who has pursued a claim on behalf of by General Statutes § 51-88. ‘‘Attorney grievance matter’’
the government may not pursue the same claim on behalf of a means any grievance complaint, investigation, presentment,
later private client after the lawyer has left government service, interim suspension, disability, resignation, reinstatement,
except when authorized to do so by the government agency reciprocal discipline, discipline following a finding of guilt of a
under subsection (a). Similarly, a lawyer who has pursued a serious crime or inactive status matter.
claim on behalf of a private client may not pursue the claim For purposes of subsection (f) of this Rule, a ‘‘matter’’ may
on behalf of the government, except when authorized to do continue in another form. In determining whether two particular
so by subsection (d). As with subsections (a) (1) and (d) (1), matters are the same, the lawyer should consider the extent
Rule 1.10 is not applicable to the conflicts of interest addressed to which the matters involve the same basic facts, the same
by these subsections. or related parties, and the time elapsed.
This Rule represents a balancing of interests. On the one Rule 1.12. Former Judge, Arbitrator, Media-
hand, where the successive clients are a government agency
and another client, public or private, the risk exists that power
tor or Other Third-Party Neutral
or discretion vested in that agency might be used for the (Amended June 26, 2006, to take effect Jan. 1, 2007.)
special benefit of the other client. A lawyer should not be (a) Except as stated in subsection (d), a lawyer
in a position where benefit to the other client might affect shall not represent anyone in connection with a
performance of the lawyer’s professional functions on behalf matter in which the lawyer participated personally
of the government. Also, unfair advantage could accrue to the and substantially as a judge or other adjudica-
other client by reason of access to confidential government
information about the client’s adversary, obtainable only
tive officer or law clerk to such a person or as an
through the lawyer’s government service. On the other hand, arbitrator, mediator or other third-party neutral,
the rules governing lawyers presently or formerly employed unless all parties to the proceeding give informed
by a government agency should not be so restrictive as to consent, confirmed in writing.
inhibit transfer of employment to and from the government. (b) A lawyer shall not negotiate for employment
The government has a legitimate need to attract qualified with any person who is involved as a party or as
lawyers as well as to maintain high ethical standards. Thus,
a former government lawyer is disqualified only from particular
lawyer for a party in a matter in which the lawyer
matters in which the lawyer participated personally and sub- is participating personally as a judge or other adju-
stantially. The provisions for screening and waiver in subsec- dicative officer, or as an arbitrator, mediator or other
tion (b) are necessary to prevent the disqualification rule from third-party neutral. A lawyer serving as a law clerk
imposing too severe a deterrent against entering public ser- to a judge or other adjudicative officer may negoti-
vice. The limitation of disqualification in subsections (a) (2) ate for employment with a party or lawyer involved
and (d) (2) to matters involving a specific party or parties,
rather than extending disqualification to all substantive issues
in a matter in which the clerk is participating per-
on which the lawyer worked, serves a similar function. sonally, but only after the lawyer has notified the
When a lawyer has been employed by one government judge or other adjudicative officer.
agency and then moves to a second government agency, it (c) If a lawyer is disqualified by subsection (a),
may be appropriate to treat that second agency as another no lawyer in a firm with which that lawyer is associ-
client for purposes of this Rule, as when a lawyer is employed ated may knowingly undertake or continue repre-
by a city and subsequently is employed by a federal agency.
However, because the conflict of interest is governed by sub-
sentation in the matter unless:
section (d), the latter agency is not required to screen the (1) The disqualified lawyer is timely screened
lawyer as subsection (b) requires a law firm to do. The question from any participation in the matter and is appor-
of whether two government agencies should be regarded as tioned no part of the fee therefrom; and
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Rule 1.12 RULES OF PROFESSIONAL CONDUCT
(2) Written notice is promptly given to the parties the organization, then the lawyer shall proceed
and any appropriate tribunal to enable them to as is reasonably necessary in the best interest of
ascertain compliance with the provisions of this the organization.
Rule. Unless the lawyer reasonably believes that it is
(d) An arbitrator selected as a partisan of a not in the best interest of the organization to do so,
party in a multi-member arbitration panel is not the lawyer shall refer the matter to higher authority
prohibited from subsequently representing that in the organization, including, if warranted by the
party. circumstances, to the highest authority that can act
(P.B. 1978-1997, Rule 1.12.) (Amended June 26, 2006, to
take effect Jan. 1, 2007; amended June 13, 2014, to take
in behalf of the organization as determined by
effect Jan. 1, 2015.) applicable law.
COMMENTARY: This Rule generally parallels Rule 1.11. (c) Except as provided in subsection (d), if
The term ‘‘personally and substantially’’ signifies that a judge (1) Despite the lawyer’s efforts in accordance
who was a member of a multi-member court, and thereafter
left judicial office to practice law, is not prohibited from repre-
with subsection (b), the highest authority that can
senting a client in a matter pending in the court, but in which act on behalf of the organization insists upon or
the former judge did not participate. So also the fact that a fails to address in a timely and appropriate manner
former judge exercised administrative responsibility in a court an action, or a refusal to act, that is clearly a vio-
does not prevent the former judge from acting as a lawyer in lation of law and
a matter where the judge had previously exercised remote or
incidental administrative responsibility that did not affect the (2) The lawyer reasonably believes that the vio-
merits. Compare the Commentary to Rule 1.11. Participation lation is reasonably certain to result in substantial
on the merits or in settlement discussions is considered per- injury to the organization, then the lawyer may
sonal and substantial. Nominal or ministerial responsibility is reveal information relating to the representation
not considered personal and substantial. whether or not Rule 1.6 permits such disclosure,
Like former judges, lawyers who have served as arbitrators,
mediators or other third-party neutrals may be asked to repre- but only if and to the extent the lawyer reasonably
sent a client in a matter in which the lawyer participated person- believes necessary to prevent substantial injury
ally. This Rule forbids such representation unless all of the to the organization.
parties to the proceedings give their informed consent, con- (d) Subsection (c) shall not apply with respect
firmed in writing. See Rule 1.0 (c) and (f). Other law or codes
of ethics governing third-party neutrals may impose more strin-
to information relating to a lawyer’s representation
gent standards of personal or imputed disqualification. See of an organization to investigate an alleged vio-
Rule 2.4. lation of law, or to defend the organization or an
Although lawyers who serve as third-party neutrals do not officer, employee or other constituent associated
have information concerning the parties that is protected under with the organization against a claim arising out
Rule 1.6, they typically owe the parties an obligation of confi-
dentiality under law or codes of ethics governing third-party
of an alleged violation of law.
neutrals. Thus, subsection (c) provides that conflicts of the (e) A lawyer who reasonably believes that he
personally disqualified lawyer will be imputed to other lawyers or she has been discharged because of the law-
in a law firm unless the conditions of this subsection are met. yer’s actions taken pursuant to subsection (b) or
Requirements for screening procedures are stated in Rule
1.0 (l). Subsection (c) (1) does not prohibit the screened lawyer
(c), or who withdraws under circumstances that
from receiving a salary or partnership share established by require or permit the lawyer to take action under
prior independent agreement, but that lawyer may not receive either of those subsections, shall proceed as the
compensation directly related to the matter in which the lawyer lawyer reasonably believes necessary to assure
is disqualified. that the organization’s highest authority is informed
Notice, including a description of the screened lawyer’s prior
representation and of the screening procedures employed,
of the lawyer’s discharge or withdrawal.
generally should be given as soon as practicable after the (f) In dealing with an organization’s directors,
need for screening becomes apparent. officers, employees, members, shareholders or
Rule 1.13. Organization as Client other constituents, a lawyer shall explain the iden-
tity of the client when the lawyer knows or reason-
(a) A lawyer employed or retained by an organi-
ably should know that the organization’s interests
zation represents the organization acting through
its duly authorized constituents. are adverse to those of the constituents with
(b) If a lawyer for an organization knows that whom the lawyer is dealing.
an officer, employee or other person associated (g) A lawyer representing an organization may
with the organization is engaged in action, intends also represent any of its directors, officers, employ-
to act or refuses to act in a matter related to the ees, members, shareholders or other constituents,
representation that is a violation of a legal obliga- subject to the provisions of Rule 1.7. If the organi-
tion to the organization, or a violation of law that zation’s consent to the dual representation is
reasonably might be imputed to the organization, required by Rule 1.7, the consent shall be given
and that is likely to result in substantial injury to by an appropriate official of the organization other
26
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RULES OF PROFESSIONAL CONDUCT Rule 1.13
than the individual who is to be represented, or minimize the risk of revealing information relating to the repre-
by the shareholders. sentation to persons outside the organization. Even in circum-
stances where a lawyer is not obligated by Rule 1.13 to
(P.B. 1978-1997, Rule 1.13.) (Amended June 26, 2006, to proceed, a lawyer may bring to the attention of an organiza-
take effect Jan. 1, 2007.) tional client, including its highest authority, matters that the
COMMENTARY: The Entity as the Client. An organiza- lawyer reasonably believes to be of sufficient importance to
tional client is a legal entity, but it cannot act except through warrant doing so in the best interest of the organization.
its officers, directors, employees, shareholders and other con- Subsection (b) also makes clear that when it is reasonably
stituents. Officers, directors, employees and shareholders are necessary to enable the organization to address the matter
the constituents of the corporate organizational client. The in a timely and appropriate manner, the lawyer must refer
duties defined in this Commentary apply equally to unincorpo- the matter to higher authority, including, if warranted by the
rated associations. ‘‘Other constituents’’ as used in this Com- circumstances, the highest authority that can act on behalf
mentary means the positions equivalent to officers, directors, of the organization under applicable law. The organization’s
employees and shareholders held by persons acting for orga- highest authority to whom a matter may be referred ordinarily
nizational clients that are not corporations. will be the board of directors or similar governing body. How-
ever, applicable law may prescribe that under certain condi-
When one of the constituents of an organizational client tions the highest authority reposes elsewhere; for example,
communicates with the organization’s lawyer in that person’s in the independent directors of a corporation.
organizational capacity, the communication is protected by Relation to Other Rules. The authority and responsibility
Rule 1.6. Thus, by way of example, if an organizational client provided in this Rule are concurrent with the authority and
requests its lawyer to investigate allegations of wrongdoing, responsibility provided in other Rules. In particular, this Rule
interviews made in the course of that investigation between does not limit or expand the lawyer’s responsibility under Rules
the lawyer and the client’s employees or other constituents 1.8, 1.16, 3.3 and 4.1. Subsection (c) of this Rule supplements
are covered by Rule 1.6. This does not mean, however, that Rule 1.6 (b) by providing an additional basis upon which the
constituents of an organizational client are the clients of the lawyer may reveal information relating to the representation,
lawyer. The lawyer may not disclose to such constituents infor- but does not modify, restrict, or limit the provisions of Rule
mation relating to the representation except for disclosures 1.6 (b) (1) through (6). Under subsection (c) the lawyer may
explicitly or impliedly authorized by the organizational client reveal such information only when the organization’s highest
in order to carry out the representation or as otherwise permit- authority insists upon or fails to address threatened or ongoing
action that is clearly a violation of law, and then only to the
ted by Rule 1.6.
extent the lawyer reasonably believes necessary to prevent
When constituents of the organization make decisions for reasonably certain substantial injury to the organization. It is
it, the decisions ordinarily must be accepted by the lawyer not necessary that the lawyer’s services be used in furtherance
even if their utility or prudence is doubtful. Decisions concern- of the violation, but it is required that the matter be related to
ing policy and operations, including ones entailing serious risk, the lawyer’s representation of the organization. If the lawyer’s
are not as such in the lawyer’s province. Subsection (b) makes services are being used by an organization to further a crime
clear, however, that when the lawyer knows that the organiza- or fraud by the organization, Rules 1.6 (b) (2) and 1.6 (b) (3)
tion is likely to be substantially injured by action of an officer may permit the lawyer to disclose confidential information. In
or other constituent that violates a legal obligation to the organi- such circumstances, Rule 1.2 (d) may also be applicable, in
zation or is in violation of law that might be imputed to the which event, withdrawal from the representation under Rule
organization, the lawyer must proceed as is reasonably neces- 1.6 (a) (1) may be required.
sary in the best interest of the organization. As defined in Rule Subsection (d) makes clear that the authority of a lawyer
1.0 (g), knowledge can be inferred from circumstances, and to disclose information relating to a representation in circum-
a lawyer cannot ignore the obvious. stances described in subsection (c) does not apply with respect
to information relating to a lawyer’s engagement by an organi-
In determining how to proceed under subsection (b), the zation to investigate an alleged violation of law or to defend
lawyer should give due consideration to the seriousness of the organization or an officer, employee or other person asso-
the violation and its consequences, the responsibility in the ciated with the organization against a claim arising out of an
organization and the apparent motivation of the persons alleged violation of law. This is necessary in order to enable
involved, the policies of the organization concerning such mat- organizational clients to enjoy the full benefits of legal counsel
ters, and any other relevant considerations. Ordinarily, referral in conducting an investigation or defending against a claim.
to a higher authority would be necessary. In some circum- A lawyer who reasonably believes that he or she has been
stances, however, it may be appropriate for the lawyer to ask discharged because of the lawyer’s actions taken pursuant to
the constituent to reconsider the matter; for example, if the subsection (b) or (c), or who withdraws in circumstances that
circumstances involve a constituent’s innocent misunder- require or permit the lawyer to take action under either of these
standing of law and subsequent acceptance of the lawyer’s subsections, must proceed as the lawyer reasonably believes
advice, the lawyer may reasonably believe conclude that the necessary to assure that the organization’s highest authority
best interest of the organization does not require that the is informed of the lawyer’s discharge or withdrawal.
Government Agency. The duty defined in this Rule applies
matter be referred to higher authority. If a constituent persists
to governmental organizations. Defining precisely the identity
in conduct contrary to the lawyer’s advice, it will be necessary
of the client and prescribing the resulting obligations of such
for the lawyer to take steps to have the matter reviewed by a lawyers may be more difficult in the government context and
higher authority in the organization. If the matter is of sufficient is a matter beyond the scope of these Rules. See Scope.
seriousness and importance or urgency to the organization, Although in some circumstances the client may be a specific
referral to higher authority in the organization may be neces- agency, it may also be a branch of government, such as the
sary even if the lawyer has not communicated with the constit- executive branch, or the government as a whole. For example,
uent. Any measures taken should, to the extent practicable, if the action or failure to act involves the head of a bureau,
27
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Rule 1.13 RULES OF PROFESSIONAL CONDUCT
either the department of which the bureau is a part or the unless action is taken and cannot adequately act
relevant branch of government may be the client for purposes in the client’s own interest, the lawyer may take
of this Rule. Moreover, in a matter involving the conduct of
government officials, a government lawyer may have authority reasonably necessary protective action, including
under applicable law to question such conduct more exten- consulting with individuals or entities that have
sively than that of a lawyer for a private organization in similar the ability to take action to protect the client and,
circumstances. Thus, when the client is a governmental orga- in appropriate cases, seeking the appointment of
nization, a different balance may be appropriate between a legal representative.
maintaining confidentiality and assuring that the wrongful act
is prevented or rectified, for public business is involved. In (c) Information relating to the representation of
addition, duties of lawyers employed by the government or a client with impaired capacity is protected by Rule
lawyers in military service may be defined by statutes and 1.6. When taking protective action pursuant to
regulations. This Rule does not limit that authority. See Scope. subsection (b), the lawyer is impliedly authorized
Clarifying the Lawyer’s Role. There are times when the
organization’s interest may be or become adverse to those of
under Rule 1.6 (a) to reveal information about the
one or more of its constituents. In such circumstances the client, but only to the extent reasonably necessary
lawyer should advise any constituent, whose interest the law- to protect the client’s interests.
yer finds adverse to that of the organization of the conflict or (P.B. 1978-1997, Rule 1.14.) (Amended June 26, 2006, to
potential conflict of interest, that the lawyer cannot represent take effect Jan. 1, 2007; amended June 30, 2008, to take
such constituent, and that such person may wish to obtain effect Jan. 1, 2009.)
independent representation. Care must be taken to assure that COMMENTARY: The normal client-lawyer relationship is
the individual understands that, when there is such adversity based on the assumption that the client, when properly advised
of interest, the lawyer for the organization cannot provide legal and assisted, is capable of making decisions about important
representation for that constituent individual, and that discus- matters. When the client is a minor or is unable to make
sions between the lawyer for the organization and the individ- or communicate adequately considered decisions, however,
ual may not be privileged. maintaining the ordinary client-lawyer relationship may not be
Whether such a warning should be given by the lawyer for possible in all respects. In particular, a severely incapacitated
the organization to any constituent individual may turn on the person may have no power to make legally binding decisions.
facts of each case. Nevertheless, a client with impaired capacity often has the
Dual Representation. Subsection (e) recognizes that a
ability to understand, deliberate upon, and reach conclusions
lawyer for an organization may also represent a principal offi-
about matters affecting the client’s own well-being. For exam-
cer or major shareholder.
ple, children as young as five or six years of age, and certainly
Derivative Actions. Under generally prevailing law, the
shareholders or members of a corporation may bring suit to those of ten or twelve, are regarded as having opinions that
compel the directors to perform their legal obligations in the are entitled to weight in legal proceedings concerning their
supervision of the organization. Members of unincorporated custody. So also, it is recognized that some persons of
associations have essentially the same right. Such an action advanced age can be quite capable of handling routine finan-
may be brought nominally by the organization, but usually is, in cial matters while needing special legal protection concerning
fact, a legal controversy over management of the organization. major transactions.
The question can arise whether counsel for the organization The fact that a client suffers a disability does not diminish
may defend such an action. The proposition that the organiza- the lawyer’s obligation under these rules. Even if the person
tion is the lawyer’s client does not alone resolve the issue. Most has a legal representative, the lawyer should as far as possible
derivative actions are a normal incident of an organization’s accord the represented person the status of client, particularly
affairs, to be defended by the organization’s lawyer like any in maintaining communication.
other suit. However, if the claim involves serious charges of The client may wish to have family members or other per-
wrongdoing by those in control of the organization, a conflict sons participate in discussions with the lawyer. When neces-
may arise between the lawyer’s duty to the organization and sary to assist in the representation, the presence of such
the lawyer’s relationship with the board. In those circum- persons generally does not constitute a waiver of the attorney-
stances, Rule 1.7 governs who should represent the directors client evidentiary privilege. Nevertheless, the lawyer must
and the organization. keep the client’s interests foremost and, except for protective
action authorized under subsection (b), must look to the client,
Rule 1.14. Client with Impaired Capacity and not family members, to make decisions on the client’s
(Amended June 26, 2006, to take effect Jan. 1, 2007; behalf.
amended June 30, 2008, to take effect Jan. 1, 2009.) If a legal representative has already been appointed for the
(a) When a client’s capacity to make or com- client, the lawyer should look to the representative for deci-
municate adequately considered decisions in con- sions on behalf of the client only when such decisions are
nection with a representation is impaired, whether within the scope of the authority of the legal representative.
because of minority, mental impairment or for some In matters involving a minor, whether the lawyer should look
other reason, the lawyer shall, as far as reasonably to the parents as natural guardians may depend on the type
of proceeding or matter in which the lawyer is representing
possible, maintain a normal client-lawyer relation-
the minor. If the lawyer represents the guardian as distinct from
ship with the client. the ward, and is aware that the guardian is acting adversely
(b) When the lawyer reasonably believes that to the ward’s interest, the lawyer may have an obligation to
the client is unable to make or communicate prevent or rectify the guardian’s misconduct. See Rule 1.2 (d).
adequately considered decisions, is likely to suf- Taking Protective Action. If a lawyer reasonably believes
fer substantial physical, financial or other harm that a client is likely to suffer substantial physical, financial or
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RULES OF PROFESSIONAL CONDUCT Rule 1.15
other harm unless action is taken, and that a normal client- on that person’s behalf has consulted with the lawyer. Even
lawyer relationship cannot be maintained as provided in sub- in such an emergency, however, the lawyer should not act
section (a) because the client lacks sufficient capacity to com- unless the lawyer reasonably believes that the person has
municate or to make adequately considered decisions in no other lawyer, agent or other representative available. The
connection with the representation, then subsection (b) per- lawyer should take legal action on behalf of the person only
mits the lawyer to take protective measures deemed neces- to the extent reasonably necessary to maintain the status quo
sary. Such measures could include: consulting with family or otherwise avoid imminent and irreparable harm. A lawyer
members, using a reconsideration period to permit clarification who undertakes to represent a person in such an exigent
or improvement of circumstances, using voluntary surrogate situation has the same duties under these Rules as the lawyer
decision-making tools such as durable powers of attorney or would with respect to a client.
consulting with support groups, professional services, adult- A lawyer who acts on behalf of a person with impaired
protective agencies or other individuals or entities that have capacity in an emergency should keep the confidences of the
the ability to protect the client. In taking any protective action, person as if dealing with a client, disclosing them only to the
the lawyer should be guided by such factors as the wishes extent necessary to accomplish the intended protective action.
and values of the client to the extent known, the client’s best The lawyer should disclose to any tribunal involved and to
interests and the goals of intruding into the client’s decision- any other counsel involved the nature of his or her relationship
making autonomy to the least extent feasible, maximizing cli- with the person. The lawyer should take steps to regularize
ent capacities and respecting the client’s family and social con- the relationship or implement other protective solutions as
nections. soon as possible. Normally, a lawyer would not seek compen-
In determining the extent of the client’s impaired capacity, sation for such emergency actions taken.
the lawyer should consider and balance such factors as: the
client’s ability to articulate reasoning leading to a decision, Rule 1.15. Safekeeping Property
variability of state of mind and ability to appreciate conse- (a) As used in this Rule, the terms below shall
quences of a decision; the substantive fairness of a decision;
and the consistency of a decision with the known long-term have the following meanings:
commitments and values of the client. In appropriate circum- (1) ‘‘Allowable reasonable fees’’ for IOLTA
stances, the lawyer may seek guidance from an appropriate accounts are per check charges, per deposit
diagnostician. charges, a fee in lieu of a minimum balance, fed-
If a legal representative has not been appointed, the lawyer eral deposit insurance fees, sweep fees, and a
should consider whether appointment of a legal representative reasonable IOLTA account administrative or
is necessary to protect the client’s interests. In addition, rules
of procedure in litigation sometimes provide that minors or maintenance fee.
persons with impaired capacity must be represented by a (2) An ‘‘eligible institution’’ means (i) a bank or
guardian or next friend if they do not have a general guardian. savings and loan association authorized by fed-
In many circumstances, however, appointment of a legal repre- eral or state law to do business in Connecticut,
sentative may be more expensive or traumatic for the client the deposits of which are insured by an agency
than circumstances in fact require. Evaluation of such circum-
stances is a matter entrusted to the professional judgment of
of the United States government, or (ii) an open-
the lawyer. In considering alternatives, however, the lawyer end investment company registered with the
should be aware of any law that requires the lawyer to advocate United States Securities and Exchange Commis-
the least restrictive action on behalf of the client. sion and authorized by federal or state law to do
Disclosure of the Client’s Condition. Disclosure of the business in Connecticut. In addition, an eligible
client’s impaired capacity could adversely affect the client’s institution shall meet the requirements set forth
interests. For example, raising the question of impaired capac-
ity could, in some circumstances, lead to proceedings for invol- in subsection (i) (3) below. The determination of
untary conservatorship and/or commitment. Information whether or not an institution is an eligible institu-
relating to the representation is protected by Rule 1.6. There- tion shall be made by the organization designated
fore, unless authorized to do so by these rules or other law, by the judges of the Superior Court to administer
the lawyer may not disclose such information. When taking the program pursuant to subsection (i) (4) below,
protective action pursuant to subsection (b), the lawyer is subject to the dispute resolution process provided
impliedly authorized to make the necessary disclosures, even
when the client directs the lawyer to the contrary. Neverthe- in subsection (i) (4) (E) below.
less, given the risks of disclosure, subsection (c) limits what (3) ‘‘Federal Funds Target Rate’’ means the
the lawyer may disclose in consulting with other individuals target level for the federal funds rate set by the
or entities or seeking the appointment of a legal representative. Federal Open Market Committee of the Board of
At the very least, the lawyer should determine whether it is Governors of the Federal Reserve System from
likely that the person or entity consulted with will act adversely
to the client’s interests before discussing matters related to the
time to time or, if such rate is no longer available,
client. The lawyer’s position in such cases is an unavoidably any comparable successor rate. If such rate or
difficult one. successor rate is set as a range, the term ‘‘Federal
Emergency Legal Assistance. In an emergency where the Funds Target Rate’’ means the upper limit of
health, safety or a financial interest of a person with impaired such range.
capacity is threatened with imminent and irreparable harm, a
lawyer may take legal action on behalf of such a person even
(4) ‘‘Interest- or dividend-bearing account’’ means
though the person is unable to establish a client-lawyer rela- (i) an interest-bearing checking account, or (ii) an
tionship or to make or express considered judgments about investment product which is a daily (overnight)
the matter, when the person or another acting in good faith financial institution repurchase agreement or an
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Rule 1.15 RULES OF PROFESSIONAL CONDUCT
open-end money market fund. A daily financial on the account, but only in an amount necessary
institution repurchase agreement must be fully for those purposes.
collateralized by U.S. Government Securities and (d) Absent a written agreement with the client
may be established only with an eligible institution otherwise, a lawyer shall deposit into a client trust
that is ‘‘well-capitalized’’ or ‘‘adequately capital- account legal fees and expenses that have been
ized’’ as those terms are defined by applicable paid in advance, to be withdrawn by the lawyer
federal statutes and regulations. An open-end only as fees are earned or expenses incurred.
money market fund must be invested solely in (e) Upon receiving funds or other property in
U.S. Government Securities or repurchase agree- which a client or third person has an interest,
ments fully collateralized by U.S. Government a lawyer shall promptly notify the client or third
Securities, must hold itself out as a ‘‘money mar- person. Except as stated in this Rule or otherwise
ket fund’’ as that term is defined by federal statutes permitted by law or by agreement with the client
and regulations under the Investment Company or third person, a lawyer shall promptly deliver to
Act of 1940 and, at the time of the investment, the client or third person any funds or other prop-
must have total assets of at least $250,000,000. erty that the client or third person is entitled to
(5) ‘‘IOLTA account’’ means an interest- or divi- receive and, upon request by the client or third
dend-bearing account established by a lawyer or person, shall promptly render a full accounting
law firm for clients’ funds at an eligible institution regarding such property.
from which funds may be withdrawn upon request (f) When in the course of representation a law-
by the depositor without delay. An IOLTA account yer is in possession of property in which two or
shall include only client or third person funds, more persons (one of whom may be the lawyer)
except as permitted by subsection (i) (6) below. have interests, the property shall be kept separate
The determination of whether or not an interest- or by the lawyer until any competing interests are
dividend-bearing account meets the requirements resolved. The lawyer shall promptly distribute all
of an IOLTA account shall be made by the organi- portions of the property as to which the lawyer is
zation designated by the judges of the Superior able to identify the parties that have interests and
Court to administer the program pursuant to sub- as to which there are no competing interests.
section (i) (4) below. Where there are competing interests in the prop-
(6) ‘‘Non-IOLTA account’’ means an interest- erty or a portion of the property, the lawyer shall
or dividend-bearing account, other than an IOLTA segregate and safeguard the property subject to
account, from which funds may be withdrawn the competing interests.
upon request by the depositor without delay. (g) The word ‘‘interest(s)’’ as used in this sub-
(7) ‘‘U.S. Government Securities’’ means direct section and subsections (e) and (f) means more
obligations of the United States government, or than the mere assertion of a claim by a third party.
obligations issued or guaranteed as to principal In the event a lawyer is notified by a third party
and interest by the United States or any agency or a third party’s agent of a claim to funds held
or instrumentality thereof, including United States by the lawyer on behalf of a client, but it is unclear
government-sponsored enterprises, as such term to the lawyer whether the third party has a valid
is defined by applicable federal statutes and regu- interest within the meaning of this Rule, the lawyer
lations. may make a written request that the third party
(b) A lawyer shall hold property of clients or or third party’s agent provide the lawyer such rea-
third persons that is in a lawyer’s possession in sonable information and/or documentation as
connection with a representation separate from needed to assist the lawyer in determining whether
the lawyer’s own property. Funds shall be kept in substantial grounds exist for the third party’s claim
a separate account maintained in the state where to the funds. If the third party or third party’s agent
the lawyer’s office is situated or elsewhere with fails to comply with such a request within sixty
the consent of the client or third person. Other days, the lawyer may distribute the funds in ques-
property shall be identified as such and appropri- tion to the client.
ately safeguarded. Complete records of such (h) Notwithstanding subsections (b), (c), (d), (e)
account funds and other property shall be kept and (f), lawyers and law firms shall participate in
by the lawyer and shall be preserved for a period the statutory program for the use of interest
of seven years after termination of the represen- earned on lawyers’ clients’ funds accounts to pro-
tation. vide funding for the delivery of legal services to
(c) A lawyer may deposit the lawyer’s own funds the poor by nonprofit corporations whose principal
in a client trust account for the sole purposes of purpose is providing legal services to the poor
paying bank service charges on that account or and for law school scholarships based on financial
obtaining a waiver of fees and service charges need. Lawyers and law firms shall place a client’s
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RULES OF PROFESSIONAL CONDUCT Rule 1.15
or third person’s funds in an IOLTA account if the amount and type of fees and service charges
lawyer or law firm determines, in good faith, that deducted, if any, and the average account bal-
the funds cannot earn income for the client in ance for the period for which the report is made
excess of the costs incurred to secure such and such other information as is reasonably
income. For the purpose of making this good faith required by such organization; and
determination of whether a client’s funds cannot (C) To transmit to the depositing lawyer or law
earn income for the client in excess of the costs firm at the same time a report in accordance with
incurred to secure such income, the lawyer or law the institution’s normal procedures for reporting
firm shall consider the following factors: (1) The to its depositors.
amount of the funds to be deposited; (2) the (3) Participation by banks, savings and loan
expected duration of the deposit, including the associations, and investment companies in the
likelihood of delay in resolving the relevant trans- IOLTA program is voluntary. An eligible institution
action, proceeding or matter for which the funds that elects to offer and maintain IOLTA accounts
are held; (3) the rates of interest, dividends or shall meet the following requirements:
yield at eligible institutions where the funds are (A) The eligible institution shall pay no less on
to be deposited; (4) the costs associated with its IOLTA accounts than the highest interest rate
establishing and administering interest-bearing or dividend generally available from the institution
accounts or other appropriate investments for the to its non-IOLTA customers when the IOLTA
benefit of the client, including service charges,
account meets or exceeds the same minimum
minimum balance requirements or fees imposed
balance or other eligibility qualifications on its non-
by the eligible institutions; (5) the costs of the
services of the lawyer or law firm in connection IOLTA accounts, if any. In determining the highest
with establishing and maintaining the account or interest rate or dividend generally available from
other appropriate investments; (6) the costs of the institution to its non-IOLTA customers, an eli-
preparing any tax reports required for income gible institution may consider, in addition to the
earned on the funds in the account or other appro- balance in the IOLTA account, factors customarily
priate investments; and (7) any other circum- considered by the institution when setting interest
stances that affect the capability of the funds to rates or dividends for its non-IOLTA customers,
earn income for the client in excess of the costs provided that such factors do not discriminate
incurred to secure such income. No lawyer shall between IOLTA accounts and non-IOLTA accounts
be subject to discipline for determining in good and that these factors do not include the fact that
faith to deposit funds in the interest earned on the account is an IOLTA account. In lieu of the
lawyers’ clients’ funds account in accordance with rate set forth in the first sentence of this subpara-
this subsection. graph, an eligible institution may pay a rate equal
(i) An IOLTA account may only be established to the higher of either (i) one percent per annum,
at an eligible institution that meets the following or (ii) sixty percent of the Federal Funds Target
requirements: Rate. Such alternate rate shall be determined for
(1) No earnings from the IOLTA account shall each calendar quarter as of the first business day
be made available to a lawyer or law firm. of such quarter and shall be deemed net of allow-
(2) Lawyers or law firms depositing a client’s or able reasonable fees and service charges. The
third person’s funds in an IOLTA account shall eligible institution may offer, and the lawyer or law
direct the depository institution: firm may request, a sweep account that provides
(A) To remit interest or dividends, net of allow- a mechanism for the overnight investment of bal-
able reasonable fees, if any, on the average ances in the IOLTA account in an interest- or
monthly balance in the account, or as otherwise dividend-bearing account that is a daily financial
computed in accordance with the institution’s institution repurchase agreement or a money mar-
standard accounting practices, at least quarterly, ket fund. Nothing in this Rule shall preclude an
to the organization designated by the judges of eligible institution from paying a higher interest
the Superior Court to administer this statutory rate or dividend than described above or electing
program; to waive any fees and service charges on an
(B) To transmit to the organization administer- IOLTA account. An eligible institution may choose
ing the program with each remittance a report that to pay the higher interest or dividend rate on an
identifies the name of the lawyer or law firm for IOLTA account in lieu of establishing it as a higher
whom the remittance is sent, the amount of remit- rate product.
tance attributable to each IOLTA account, the rate (B) Interest and dividends shall be calculated in
and type of interest or dividends applied, the accordance with the eligible institution’s standard
amount of interest or dividends earned, the practices for non-IOLTA customers.
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Rule 1.15 RULES OF PROFESSIONAL CONDUCT
(C) Allowable reasonable fees are the only fees allocate between the two uses of funds provided
and service charges that may be deducted by for in § 51-81c and the frequency with which it
an eligible institution from interest earned on an disburses funds for such purposes; (vi) the proce-
IOLTA account. Allowable reasonable fees may dures it has established to monitor grantees to
be deducted from interest or dividends on an ensure that any limitations or restrictions on the
IOLTA account only at the rates and in accord- use of the granted funds have been observed
ance with the customary practices of the eligible by the grantees, such procedures to include the
institution for non-IOLTA customers. No fees or receipt of annual audits of each grantee showing
service charges other than allowable reasonable compliance with grant awards and setting forth
fees may be assessed against the accrued inter- quantifiable levels of services that each grantee
est or dividends on an IOLTA account. Any fees has provided with grant funds; (vii) the procedures
and service charges other than allowable reason- it has established to ensure that no funds that
able fees shall be the sole responsibility of, and have been awarded to grantees are used for lob-
may only be charged to, the lawyer or law firm bying purposes; and (viii) the procedures it has
maintaining the IOLTA account. Fees and service established to segregate funds to be disbursed
charges in excess of the interest or dividends under the program from other funds of the organi-
earned on one IOLTA account for any period shall zation;
not be taken from interest or dividends earned on (C) Allow the Judicial Branch access to its books
any other IOLTA account or accounts or from the and records upon reasonable notice;
principal of any IOLTA account. (D) Submit to audits by the Judicial Branch; and
(4) The judges of the Superior Court, upon rec-
(E) Provide for a dispute resolution process for
ommendation of the chief court administrator,
resolving disputes as to whether a bank, savings
shall designate an organization qualified under
and loan association, or open-end investment
Sec. 501 (c) (3) of the Internal Revenue Code, or
company is an eligible institution within the mean-
any subsequent corresponding Internal Revenue
ing of this Rule.
Code of the United States, as from time to time
amended, to administer the program. The chief (5) Before an organization may be designated
court administrator shall cause to be published to administer this program, it shall file with the
in the Connecticut Law Journal an appropriate chief court administrator, and the judges of the
announcement identifying the designated organi- Superior Court shall have approved, a resolution
zation. The organization administering the pro- of the board of directors of such an organization
gram shall comply with the following: which includes provisions:
(A) Each June shall publish on the designated (A) Establishing that all funds the organization
organization’s website a detailed annual report of might receive pursuant to subsection (i) (2) (A)
all funds disbursed under the program, including above will be exclusively devoted to providing
the amount disbursed to each recipient of funds, funding for the delivery of legal services to the
and shall cause to be published in the Connecticut poor by nonprofit corporations whose principal
Law Journal a notice that the detailed annual purpose is providing legal services to the poor
report is available on the designated organiza- and for law school scholarships based on financial
tion’s website, along with a link to the report that need and to the collection, management and dis-
can be accessed by members of the public as tribution of such funds;
well as each judge of the Superior Court, and (B) Establishing that all interest and dividends
mail to each lawyer or law firm participating in the earned on such funds, less allowable reasonable
program a copy of that detailed annual report; fees, if any, shall be used exclusively for such
(B) Each June submit the following in detail purposes;
to the chief court administrator for approval and (C) Establishing and describing the methods
comment by the Executive Committee of the the organization will utilize to implement and
Superior Court: (i) its proposed goals and objec- administer the program and to allocate funds to
tives for the program; (ii) the procedures it has be disbursed under the program, the frequency
established to avoid discrimination in the award- with which the funds will be disbursed by the orga-
ing of grants; (iii) information regarding the insur- nization for such purposes, and the segregation
ance and fidelity bond it has procured; (iv) a of such funds from other funds of the organization;
description of the recommendations and advice (D) Establishing that the organization shall con-
it has received from the Advisory Panel estab- sult with and receive recommendations from the
lished by General Statutes § 51-81c and the Advisory Panel established by General Statutes
action it has taken to implement such recommen- § 51-81c regarding the implementation and admin-
dations and advice; (v) the method it utilizes to istration of the program, including the method of
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RULES OF PROFESSIONAL CONDUCT Rule 1.15
allocation and the allocation of funds to be dis- (6) copies of records showing disbursements
bursed under such program; on behalf of clients;
(E) Establishing that the organization shall com- (7) the physical or electronic equivalents of all
ply with the requirements of this Rule; and checkbook registers, bank statements, records of
(F) Establishing that said resolution will not be deposit, prenumbered canceled checks, and sub-
amended, and the facts and undertakings set forth stitute checks provided by a financial institution;
in it will not be altered, until the same shall have (8) records of all electronic transfers from client
been approved by the judges of the Superior Court trust accounts, including the name of the person
and ninety days have elapsed after publication by authorizing transfer, the date of transfer, the name
the chief court administrator of the notice of such of the recipient and confirmation from the financial
approval in the Connecticut Law Journal. institution of the trust account number from which
(6) Nothing in this subsection (i) shall prevent money was withdrawn and the date and the time
a lawyer or law firm from depositing a client’s or the transfer was completed;
third person’s funds, regardless of the amount of (9) copies of monthly trial balances and at least
such funds or the period for which such funds are quarterly reconciliations of the client trust
expected to be held, in a separate non-IOLTA accounts maintained by the lawyer; and
account established on behalf of and for the bene- (10) copies of those portions of client files that
fit of the client or third person. Such an account are reasonably related to client trust account
shall be established as: transactions.
(A) A separate clients’ funds account for the (k) With respect to client trust accounts required
particular client or third person on which the inter- by this Rule:
est or dividends will be paid to the client or third (1) only a lawyer admitted to practice law in this
person; or jurisdiction or a person under the direct supervi-
(B) A pooled clients’ funds account with subac- sion of the lawyer shall be an authorized signatory
counting by the bank, savings and loan associa- or authorize transfers from a client trust account;
tion or investment company or by the lawyer or (2) receipts shall be deposited intact and
law firm, which provides for the computation of records of deposit should be sufficiently detailed
interest or dividends earned by each client’s or to identify each item; and
third person’s funds and the payment thereof to
(3) withdrawals shall be made only by check
the client or third person.
payable to a named payee or by authorized elec-
(j) A lawyer who practices in this jurisdiction
tronic transfer and not to cash.
shall maintain current financial records as pro-
vided in this Rule and shall retain the following (l) The records required by this Rule may be
records for a period of seven years after termina- maintained by electronic, photographic, or other
tion of the representation: media provided that they otherwise comply with
(1) receipt and disbursement journals con- these Rules and that printed copies can be pro-
taining a record of deposits to and withdrawals duced. These records shall be readily accessible
from client trust accounts, specifically identifying to the lawyer.
the date, source, and description of each item (m) Upon dissolution of a law firm or of any
deposited, as well as the date, payee and purpose legal professional corporation, the partners shall
of each disbursement; make reasonable arrangements for the mainte-
(2) ledger records for all client trust accounts nance of client trust account records specified in
showing, for each separate trust client or benefi- this Rule.
ciary, the source of all funds deposited, the names (n) Upon the sale of a law practice, the seller
of all persons for whom the funds are or were shall make reasonable arrangements for the
held, the amount of such funds, the descriptions maintenance of records specified in this Rule.
and amounts of charges or withdrawals, and the (P.B. 1978-1997, Rule 1.15.) (Amended June 26, 2006, to
take effect Sept. 1, 2006; amended June 29, 2007, to take
names of all persons or entities to whom such effect Sept. 1, 2007; amended June 30, 2008, to take effect
funds were disbursed; Aug. 1, 2008; amended June 21, 2010, to take effect Aug. 1,
(3) copies of retainer and compensation agree- 2010; amended June 20, 2011, to take effect Jan. 1, 2012;
ments with clients as required by Rule 1.5 of the amended June 12, 2015, to take effect Jan. 1, 2016; amended
Rules of Professional Conduct; June 10, 2022, to take effect Jan. 1, 2023.)
(4) copies of accountings to clients or third per- HISTORY—2023: In the second sentence of subdivision
(i) (4), ‘‘printed’’ was deleted after ‘‘cause to be’’ and replaced
sons showing the disbursement of funds to them with ‘‘published.’’ Additionally, prior to 2023, subparagraph (i)
or on their behalf; (4) (A) read: ‘‘Each June mail to each judge of the Superior
(5) copies of bills for legal fees and expenses Court and to each lawyer or law firm participating in the pro-
rendered to clients; gram a detailed annual report of all fund disbursed under the
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Rule 1.15 RULES OF PROFESSIONAL CONDUCT
program including the amount disbursed to each recipient Subsection (j) lists the basic financial records that a lawyer
of funds.’’ must maintain with regard to all trust accounts of a law firm.
COMMENTARY: A lawyer should hold property of others These include the standard books of account, and the support-
with the care required of a professional fiduciary. Securities ing records that are necessary to safeguard and account for
should be kept in a safe deposit box, except when some other the receipt and disbursement of client or third person funds
form of safekeeping is warranted by special circumstances. as required by Rule 1.15 of the Rules of Professional Conduct.
All property that is the property of clients or third persons, Subsection (j) requires that lawyers maintain client trust
including prospective clients, must be kept separate from the account records, including the physical or electronic equiva-
lawyer’s business and personal property and, if moneys, in lents of all checkbook registers, bank statements, records of
one or more trust accounts. Separate trust accounts may be deposit, prenumbered canceled checks, and substitute checks
warranted when administering estate moneys or acting in simi- for a period of at least seven years after termination of each
lar fiduciary capacities. A lawyer should maintain on a current particular legal engagement or representation. The ‘‘Check
basis books and records in accordance with generally Clearing for the 21st Century Act’’ or ‘‘Check 21 Act,’’ codified
accepted accounting practices. at 12 U.S.C. § 5001 et seq., recognizes ‘‘substitute checks’’
While normally it is impermissible to commingle the lawyer’s as the legal equivalent of an original check. A ‘‘substitute
own funds with client funds, subsection (c) provides that it is check’’ is defined at 12 U.S.C. § 5002 (16) as paper reproduc-
permissible when necessary to pay bank service charges on tion of the original check that contains an image of the front
that account. Accurate records must be kept regarding which and back of the original check; bears a magnetic ink character
part of the funds is the lawyer’s. recognition (‘‘MICR’’) line containing all the information
Lawyers often receive funds from which the lawyer’s fee appearing on the MICR line of the original check; conforms
will be paid. The lawyer is not required to remit to the clients’ with generally applicable industry standards for substitute
funds account funds that the lawyer reasonably believes repre- checks; and is suitable for automated processing in the same
sent fees owed. However, a lawyer may not hold funds to manner as the original check. Banks, as defined in 12 U.S.C.
coerce a client into accepting the lawyer’s contention. The § 5002 (2), are not required to return to customers the original
disputed portion of the funds must be kept in a trust account canceled checks. Most banks now provide electronic images
and the lawyer should suggest means for prompt resolution of checks to customers who have access to their accounts on
of the dispute, such as arbitration. The undisputed portion of internet based websites. It is the lawyer’s responsibility to
the funds shall be promptly distributed. download electronic images. Electronic images shall be main-
Subsection (f) also recognizes that third parties, such as a tained for the requisite number of years and shall be readily
client’s creditor who has a lien on funds recovered in a personal available for printing upon request or shall be printed and
injury action, may have lawful interests in specific funds or maintained for the requisite number years.
other property in a lawyer’s custody. A lawyer may have a
The ACH (Automated Clearing House) Network is an elec-
duty under applicable law to protect such third-party interests
tronic funds transfer or payment system that primarily provides
against wrongful interference by the client. In such cases the
for the interbank clearing of electronic payments between origi-
lawyer must refuse to surrender the property to the client until
nating and receiving participating financial institutions. ACH
the competing interests are resolved. A lawyer should not
transactions are payment instructions to either debit or credit
unilaterally assume to arbitrate a dispute between the client
a deposit account. ACH payments are used in a variety of
and the third party, but, when there are substantial grounds
payment environments including bill payments, business-to-
for dispute as to the person entitled to the funds, the lawyer
business payments, and government payments (e.g., tax
may file an action to have a court resolve the dispute.
refunds). In addition to the primary use of ACH transactions,
The word ‘‘interest(s)’’ as used in subsections (e), (f) and
(g) includes, but is not limited to, the following: a valid judgment retailers and third parties use the ACH system for other types
concerning disposition of the property; a valid statutory or of transactions including electronic check conversion (ECC).
judgment lien, or other lien recognized by law, against the ECC is the process of transmitting MICR information from
property; a letter of protection or similar obligation that is both the bottom of a check, converting check payments to ACH
(a) directly related to the property held by the lawyer, and transactions depending upon the authorization given by the
(b) an obligation specifically entered into to aid the lawyer in account holder at the point-of-purchase. In this type of transac-
obtaining the property; or a written assignment, signed by the tion, the lawyer should be careful to comply with the require-
client, conveying an interest in the funds or other property to ments of subsection (j) (8).
another person or entity. There are five types of check conversions where a lawyer
The obligations of a lawyer under this Rule are independent should be careful to comply with the requirements of subsec-
of those arising from activity other than rendering legal ser- tion (j) (8). First, in a ‘‘point-of-purchase conversion,’’ a paper
vices. For example, a lawyer who serves only as an escrow check is converted into a debit at the point of purchase, and
agent is governed by the applicable law relating to fiduciaries the paper check is returned to the issuer. Second, in a ‘‘back-
even though the lawyer does not render legal services in the office conversion,’’ a paper check is presented at the point-
transaction and is not governed by this Rule. A ‘‘lawyers’ fund’’ of-purchase and is later converted into a debit, and the paper
for client protection provides a means through the collective check is destroyed. Third, in a ‘‘account-receivable conver-
efforts of the bar to reimburse persons who have lost money sion,’’ a paper check is converted into a debit, and the paper
or property as a result of dishonest conduct of a lawyer. Where check is destroyed. Fourth, in a ‘‘telephone-initiated debit’’
such a fund has been established, a lawyer must participate or ‘‘check-by-phone’’ conversion, bank account information is
where it is mandatory, and, even when it is voluntary, the provided via the telephone, and the information is converted
lawyer should participate. to a debit. Fifth, in a ‘‘web-initiated debit,’’ an electronic pay-
Subsection (i) requires lawyers and law firms to participate ment is initiated through a secure web environment. Subsec-
in the statutory IOLTA program. The lawyer or law firm should tion (j) (8) applies to each of the types of electronic funds
review its IOLTA account at reasonable intervals to determine transfers described. All electronic funds transfers shall be
whether changed circumstances require further action with recorded, and a lawyer should not reuse a check number which
respect to the funds of any client or third person. has been previously used in an electronic transfer transaction.
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RULES OF PROFESSIONAL CONDUCT Rule 1.16
The potential of these records to serve as safeguards is daily) backup procedures is essential. If a lawyer uses third-
realized only if the procedures set forth in subsection (j) (9) are party electronic or internet based file storage, the lawyer must
regularly performed. The trial balance is the sum of balances make reasonable efforts to ensure that the company has in
of each client’s ledger card (or the electronic equivalent). Its place, or will establish reasonable procedures to protect the
value lies in comparing it on a monthly basis to a control confidentiality of client information. See ABA Formal Ethics
balance. The control balance starts with the previous month’s Opinion 398 (1995). Records required by subsection (j) shall
balance, then adds receipts from the Trust Receipts Journal be readily accessible and shall be readily available to be pro-
and subtracts disbursements from the Trust Disbursements duced upon request by the client or third person who has an
Journal. Once the total matches the trial balance, the reconcili- interest as provided in Rule 1.15 of the Rules of Professional
ation readily follows by adding amounts of any outstanding Conduct, or by the official request of a disciplinary authority,
checks and subtracting any deposits not credited by the bank including but not limited to, a subpoena duces tecum. Personal
at month’s end. This balance should agree with the bank identifying information in records produced upon request by
statement. Quarterly reconciliation is recommended only as the client or third person or by disciplinary authority shall
a minimum requirement; monthly reconciliation is the preferred remain confidential and shall be disclosed only in a manner
practice given the difficulty of identifying an error (whether by to ensure client confidentiality as otherwise required by law
the lawyer or the bank) among three months’ transactions. or court rule.
In some situations, documentation in addition to that listed
Subsections (m) and (n) provide for the preservation of a
in subdivisions (1) through (9) of subsection (i) is necessary
lawyer’s client trust account records in the event of dissolution
for a complete understanding of a trust account transaction.
or sale of a law practice. Regardless of the arrangements the
The type of document that a lawyer must retain under subdivi-
sion (10) of subsection (i) because it is ‘‘reasonably related’’ partners or shareholders make among themselves for mainte-
to a client trust transaction will vary depending on the nature nance of the client trust records, each partner may be held
of the transaction and the significance of the document in responsible for ensuring the availability of these records. For
shedding light on the transaction. Examples of documents the purposes of these Rules, the terms ‘‘law firm,’’ ‘‘partner,’’
that typically must be retained under this subdivision include and ‘‘reasonable’’ are defined in accordance with Rules 1.0
correspondence between the client and lawyer relating to a (d), (h), and (i) of the Rules of Professional Conduct.
disagreement over fees or costs or the distribution of proceeds, AMENDMENT NOTE: The changes to this rule authorize
settlement agreements contemplating payment of funds, set- the administrator of the IOLTA program to distribute electroni-
tlement statements issued to the client, documentation relating cally to the judges its annual report required by the rule.
to sharing litigation costs and attorney’s fees for subrogated
claims, agreements for division of fees between lawyers, guar- Rule 1.16. Declining or Terminating Repre-
antees of payment to third parties out of proceeds recovered sentation
on behalf of a client, and copies of bills, receipts or correspon-
dence related to any payments to third parties on behalf of a (a) Except as stated in subsection (c), a lawyer
client (whether made from the client’s funds or from the law- shall not represent a client or, where representa-
yer’s funds advanced for the benefit of the client). tion has commenced, shall withdraw from the rep-
Subsection (k) lists minimal accounting controls for client resentation of a client if:
trust accounts. It also enunciates the requirement that only a
lawyer admitted to the practice of law in this jurisdiction or a (1) The representation will result in violation of
person who is under the direct supervision of the lawyer shall the Rules of Professional Conduct or other law;
be the authorized signatory or authorized to make electronic (2) The lawyer’s physical or mental condition
transfers from a client trust account. While it is permissible to materially impairs the lawyer’s ability to represent
grant limited nonlawyer access to a client trust account, such
access should be limited and closely monitored by the lawyer. the client; or
The lawyer has a nondelegable duty to protect and preserve (3) The lawyer is discharged.
the funds in a client trust account and can be disciplined for (b) Except as stated in subsection (c), a lawyer
failure to supervise subordinates who misappropriate client may withdraw from representing a client if:
funds. See Rules 5.1 and 5.3 of the Rules of Professional
Conduct. (1) withdrawal can be accomplished without
Authorized electronic transfers shall be limited to (1) money material adverse effect on the interests of the
required for payment to a client or third person on behalf of client;
a client; (2) expenses properly incurred on behalf of a client, (2) the client persists in a course of action
such as filing fees or payment to third persons for services
rendered in connection with the representation; or (3) money
involving the lawyer’s services that the lawyer rea-
transferred to the lawyer for fees that are earned in connection sonably believes is criminal or fraudulent;
with the representation and are not in dispute; or (4) money (3) the client has used the lawyer’s services to
transferred from one client trust account to another client perpetrate a crime or fraud;
trust account.
The requirements in subdivision (2) of subsection (k) that
(4) the client insists upon taking action that the
receipts shall be deposited intact mean that a lawyer cannot lawyer considers repugnant or with which the law-
deposit one check or negotiable instrument into two or more yer has a fundamental disagreement;
accounts at the same time, a practice commonly known as a (5) the client fails substantially to fulfill an obliga-
split deposit. tion to the lawyer regarding the lawyer’s services
Subsection (l) allows the use of alternative media for the
maintenance of client trust account records if printed copies and has been given reasonable warning that the
of necessary reports can be produced. If trust records are lawyer will withdraw unless the obligation is ful-
computerized, a system of regular and frequent (preferably filled;
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Rule 1.16 RULES OF PROFESSIONAL CONDUCT
(6) the representation will result in an unreason- for the lawyer’s services. Where future dispute about the with-
able financial burden on the lawyer or has been drawal may be anticipated, it may be advisable to prepare a
written statement reciting the circumstances.
rendered unreasonably difficult by the client; or
Whether a client can discharge appointed counsel may
(7) other good cause for withdrawal exists. depend on applicable law. A client seeking to do so should
(c) A lawyer must comply with applicable law be given a full explanation of the consequences. These conse-
requiring notice to or permission of a tribunal when quences may include a decision by the appointing authority
terminating a representation. When ordered to do that appointment of successor counsel is unjustified, thus
so by a tribunal, a lawyer shall continue represen- requiring the client to represent himself or herself.
If the client has diminished capacity, the client may lack
tation notwithstanding good cause for terminating the legal capacity to discharge the lawyer and, in any event,
the representation. the discharge may be seriously adverse to the client’s inter-
(d) Upon termination of representation, a lawyer ests. The lawyer should make special effort to help the client
shall take steps to the extent reasonably practi- consider the consequences and may take reasonably neces-
cable to protect a client’s interest, such as giv- sary action as provided in Rule 1.14.
ing reasonable notice to the client, allowing time Assisting the Client upon Withdrawal. Even if the lawyer
for employment of other counsel, surrendering has been unfairly discharged by the client, a lawyer must take
all reasonable steps to mitigate the consequences to the client.
papers and properly to which the client is entitled The lawyer may retain papers as security for a fee only to the
and refunding any advance payment of the fee extent permitted by law. See Rule 1.5.
that has not been earned. The lawyer may retain Confirmation in Writing. A written statement to the client
papers relating to the client to the extent permitted confirming the termination of the relationship and the basis of
by other law. If the representation of the client is the termination reduces the possibility of misunderstanding
terminated either by the lawyer withdrawing from the status of the relationship. The written statement should
be sent to the client before or within a reasonable time after
representation or by the client discharging the law- the termination of the relationship.
yer, the lawyer shall confirm the termination in
writing to the client before or within a reasonable Rule 1.17. Sale of Law Practice
time after the termination of the representation. A lawyer or a law firm may sell or purchase a
(P.B. 1978-1997, Rule 1.16.) (Amended June 25, 2001, to
take effect Jan. 1, 2002; amended June 26, 2006, to take
law practice, or an area of practice, including good
effect Jan. 1, 2007.) will, if the following conditions are satisfied:
COMMENTARY: A lawyer should not accept representation (a) The seller ceases to engage in the private
in a matter unless it can be performed competently, promptly, practice of law, or in the area of practice that has
without improper conflict of interest and to completion. Ordi- been sold, in Connecticut;
narily, a representation in a matter is completed when the
agreed upon assistance has been concluded. See Rules 1.2
(b) The entire practice, or the entire area of
(c) and 6.5; see also Rule 1.3, Commentary. practice, is sold to one or more lawyers or law
Mandatory Withdrawal. A lawyer ordinarily must decline firms;
or withdraw from representation if the client demands that the (c) The seller gives written notice to each of the
lawyer engage in conduct that is illegal or violates the Rules seller’s clients regarding:
of Professional Conduct or other law. The lawyer is not obliged (1) the proposed sale;
to decline or withdraw simply because the client suggests such
a course of conduct; a client may make such a suggestion in (2) the client’s right to retain other counsel or
the hope that a lawyer will not be constrained by a profes- to take possession of the file; and
sional obligation. (3) the fact that the client’s consent to the trans-
When a lawyer has been appointed to represent a client, fer of the client’s files will be presumed if the client
withdraws ordinarily requires approval of the appointing does not take any action or does not otherwise
authority. See also Rule 6.2. Similarly, court approval or notice object within ninety days of receipt of the notice.
to the court is often required by applicable law before a lawyer
withdraws from pending litigation. Difficulty may be encoun- If a client cannot be given notice, the representa-
tered if withdrawal is based on the client’s demand that the tion of that client may be transferred to the pur-
lawyer engage in unprofessional conduct. The court may chaser only upon entry of an order so authorizing
request an explanation for the withdrawal, while the lawyer by a court having jurisdiction. The seller may dis-
may be bound to keep confidential the facts that would consti- close to the court in camera information relating
tute such an explanation. Lawyers should be mindful of their to the representation only to the extent necessary
obligations to both clients and the court under Rules 1.6
and 3.3. to obtain an order authorizing the transfer of a file.
Withdrawal of Limited Appearance. When the lawyer has (d) The fees charged clients shall not be
filed a limited appearance under Practice Book Section 3-8 increased by reason of the sale.
(b) and the lawyer has completed the representation described (Adopted June 26, 2006, to take effect Jan. 1, 2007.)
in the limited appearance, the lawyer is not required to obtain COMMENTARY: The practice of law is a profession, not
permission of the tribunal to terminate the representation merely a business. Clients are not commodities that can be
before filing the certificate of completion. purchased and sold at will. Pursuant to this Rule, when a
Discharge. A client has a right to discharge a lawyer at lawyer or an entire firm ceases to practice, or ceases to prac-
any time, with or without cause, subject to liability for payment tice in an area of law, and other lawyers or firms take over
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RULES OF PROFESSIONAL CONDUCT Rule 1.18
the representation, the selling lawyer or firm may obtain com- purchaser the client must be given actual written notice of the
pensation for the reasonable value of the practice as may contemplated sale, including the identity of the purchaser,
withdrawing partners of law firms. See Rules 5.4 and 5.6. and must be told that the decision to consent or make other
Termination of Practice by the Seller. The requirement arrangements must be made within ninety days. If nothing is
that all of the private practice, or all of an area of practice, be heard from the client within that time, consent to the sale
sold is satisfied if the seller in good faith makes the entire is presumed.
practice, or the area of practice, available for sale to the pur- A lawyer or law firm ceasing to practice cannot be required
chasers. The fact that a number of the seller’s clients decide to remain in practice because some clients cannot be given
not to be represented by the purchasers but take their matters actual notice of the proposed purchase. Since these clients
elsewhere, therefore, does not result in a violation. cannot themselves consent to the purchase or direct any other
The requirement that the seller cease to engage in the disposition of their files, the Rule requires an order from a
private practice of law does not prohibit employment as a court having jurisdiction authorizing their transfer or other dis-
lawyer on the staff of a public agency or a legal services entity position. The court can be expected to determine whether
that provides legal services to the poor, or as in-house counsel reasonable efforts to locate the client have been exhausted,
to a business. and whether the absent client’s legitimate interests will be
The Rule permits a sale of an entire practice attendant served by authorizing the transfer of the file so that the pur-
upon retirement from the private practice of law within the chaser may continue the representation. Preservation of client
jurisdiction. Its provisions, therefore, accommodate the lawyer confidences requires that the petition for a court order be
who sells the practice upon the occasion of moving to another considered in camera. This procedure is contemplated as an
state. Some states are so large that a move from one locale in camera review of privileged materials.
therein to another is tantamount to leaving the jurisdiction in All the elements of client autonomy, including the client’s
which the lawyer has engaged in the practice of law. To also absolute right to discharge a lawyer and transfer the represen-
accommodate lawyers so situated, states may permit the sale tation to another, survive the sale of the practice or area of
of the practice when the lawyer leaves the geographic area practice.
rather than the jurisdiction. The alternative desired should be Fee Arrangements between Client and Purchaser. The
indicated by selecting one of the two provided for in Rule sale may not be financed by increases in fees charged exclu-
1.17 (a). sively to the clients of the purchased practice. Existing
This Rule also permits a lawyer or law firm to sell an area agreements between the seller and the client as to fees and
of practice. If an area of practice is sold and the lawyer remains the scope of the work must be honored by the purchaser.
in the active practice of law, the lawyer must cease accepting Other Applicable Ethical Standards. Lawyers participat-
any matters in the area of practice that has been sold, either ing in the sale of a law practice or a practice area are subject
as counsel or co-counsel or by assuming joint responsibility to the ethical standards applicable to involving another lawyer
for a matter in connection with the division of a fee with another in the representation of a client. These include, for example,
lawyer as would otherwise be permitted by Rule 1.5 (e). For the seller’s obligation to exercise competence in identifying a
example, a lawyer with a substantial number of estate planning purchaser qualified to assume the practice and the purchaser’s
matters and a substantial number of probate administration obligation to undertake the representation competently (see
cases may sell the estate planning portion of the practice but Rule 1.1); the obligation to avoid disqualifying conflicts, and
remain in the practice of law by concentrating on probate to secure the client’s informed consent for those conflicts that
administration; however, that practitioner may not thereafter can be agreed to (see Rule 1.7 regarding conflicts and Rule
accept any estate planning matters. Although a lawyer who 1.0 for the definition of informed consent); and the obligation
leaves a jurisdiction or geographical area typically would sell to protect information relating to the representation (see Rules
the entire practice, this Rule permits the lawyer to limit the 1.6 and 1.9).
sale to one or more areas of the practice, thereby preserving If approval of the substitution of the purchasing lawyer for
the lawyer’s right to continue practice in the areas of the prac- the selling lawyer is required by the rules of any tribunal in
tice that were not sold. which a matter is pending, such approval must be obtained
Sale of Entire Practice or Entire Area of Practice. The before the matter can be included in the sale (see Rule 1.16).
Rule requires that the seller’s entire practice, or an entire area Applicability of the Rule. This Rule applies to the sale of
of practice, be sold. The prohibition against sale of less than a law practice by representatives of a lawyer with disabilities
an entire practice area protects those clients whose matters or a lawyer who is deceased or has disappeared. Thus, the
are less lucrative and who might find it difficult to secure other seller may be represented by a nonlawyer representative not
counsel if a sale could be limited to substantial fee-generating subject to these Rules. Since, however, no lawyer may partici-
matters. The purchasers are required to undertake all client pate in a sale of a law practice which does not conform to the
matters in the practice or practice area, subject to client con- requirements of this Rule, the representatives of the seller as
sent. This requirement is satisfied, however, even if a pur- well as the purchasing lawyer can be expected to see to it
chaser is unable to undertake a particular client matter that they are met.
because of a conflict of interest. Admission to or retirement from a law partnership or profes-
Client Confidences, Consent and Notice. Negotiations sional association, retirement plans and similar arrangements,
between a seller and a prospective purchaser prior to disclo- and a sale of tangible assets of a law practice, do not constitute
sure of information relating to a specific representation of an a sale or purchase governed by this Rule.
identifiable client no more violate the confidentiality provisions This Rule does not apply to the transfers of legal representa-
of Rule 1.6 than do preliminary discussions concerning the tion between lawyers when such transfers are unrelated to
possible association of another lawyer or mergers between the sale of a practice or an area of practice.
firms, with respect to which client consent is not required. See
Rule 1.6 (c) (5). Providing the purchaser access to detailed Rule 1.18. Duties to Prospective Client
information relating to the representation, such as the client’s
file, however, requires client consent. The Rule provides that (a) A person who consults with a lawyer con-
before such information can be disclosed by the seller to the cerning the possibility of forming a client-lawyer
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Rule 1.18 RULES OF PROFESSIONAL CONDUCT
relationship with respect to a matter is a prospec- of practice, and contact information, or provides legal informa-
tive client. tion of general interest. Such a person communicates informa-
tion unilaterally to a lawyer, without any reasonable expec-
(b) Even when no client-lawyer relationship
tation that the lawyer is willing to discuss the possibility of
ensues, a lawyer who has learned information forming a client-lawyer relationship, and is thus not a ‘‘prospec-
from a prospective client shall not use or reveal tive client.’’ Moreover, a person who communicates with a
that information, except as Rule 1.9 would permit lawyer for the purpose of disqualifying the lawyer is not a
with respect to information of a former client. ‘‘prospective client.’’
(c) A lawyer subject to subsection (b) shall not It is often necessary for a prospective client to reveal infor-
represent a client with interests materially adverse mation to the lawyer during an initial consultation prior to the
to those of a prospective client in the same or a decision about formation of a client-lawyer relationship. The
substantially related matter if the lawyer received lawyer often must learn such information to determine whether
there is a conflict of interest with an existing client and whether
information from the prospective client that could
the matter is one that the lawyer is willing to undertake. Subsec-
be significantly harmful to that person in the mat- tion (b) prohibits the lawyer from using or revealing that infor-
ter, except as provided in subsection (d). If a law- mation, except as permitted by Rule 1.9, even if the client or
yer is disqualified from representation under this lawyer decides not to proceed with the representation. The
paragraph, no lawyer in a firm with which that law- duty exists regardless of how brief the initial consultation
yer is associated may knowingly undertake or may be.
continue representation in such a matter, except In order to avoid acquiring disqualifying information from
as provided in subsection (d). a prospective client, a lawyer considering whether or not to
(d) When the lawyer has received disqualifying undertake a new matter should limit the initial consultation to
only such information as reasonably appears necessary for
information as defined in subsection (c), represen- that purpose. Where the information indicates that a conflict
tation is permissible if: of interest or other reason for nonrepresentation exists, the
(1) both the affected client and the prospective lawyer should so inform the prospective client or decline the
client have given informed consent, confirmed in representation. If the prospective client wishes to retain the
writing, or lawyer, and if consent is possible under Rule 1.7, then consent
(2) the lawyer who received the information took from all affected present or former clients must be obtained
before accepting the representation.
reasonable measures to avoid exposure to more
A lawyer may condition consultations with a prospective
disqualifying information than was reasonably
client on the person’s informed consent that no information
necessary to determine whether to represent the disclosed during the consultation will prohibit the lawyer from
prospective client; and representing a different client in the matter. See Rule 1.0 (f)
(A) the disqualified lawyer is timely screened for the definition of informed consent. If the agreement
from any participation in the matter; and expressly so provides, the prospective client may also consent
(B) written notice is promptly given to the pro- to the lawyer’s subsequent use of information received from
spective client. the prospective client.
(Adopted June 26, 2006, to take effect Jan. 1, 2007; Even in the absence of an agreement, under subsection
amended June 13, 2014, to take effect Jan. 1, 2015.) (c), the lawyer is not prohibited from representing a client with
COMMENTARY: Prospective clients, like clients, may dis- interests adverse to those of the prospective client in the same
close information to a lawyer, place documents or other prop- or a substantially related matter unless the lawyer has received
erty in the lawyer’s custody, or rely on the lawyer’s advice. A from the prospective client information that could be signifi-
lawyer’s consultations with a prospective client usually are cantly harmful if used in the matter.
limited in time and depth and leave both the prospective client Under subsection (c), the prohibition in this Rule is imputed
and the lawyer free (and sometimes required) to proceed no to other lawyers as provided in Rule 1.10, but, under subsec-
further. Hence, prospective clients should receive some but tion (d) (1), imputation may be avoided if the lawyer obtains
not all of the protection afforded clients. the informed consent, confirmed in writing, of both the prospec-
A person becomes a prospective client by consulting with tive and affected clients. In the alternative, imputation may be
a lawyer about the possibility of forming a client-lawyer rela- avoided if the conditions of subsection (d) (2) are met and all
tionship with respect to a matter. Whether communications, disqualified lawyers are timely screened and written notice
including written, oral, or electronic communications, consti- is promptly given to the prospective client. See Rule 1.0 (l)
tute a consultation depends on the circumstances. For exam- (requirements for screening procedures).
ple, a consultation is likely to have occurred if a lawyer, either
Notice, including a general description of the subject matter
in person or through the lawyer’s advertising in any medium,
specifically requests or invites the submission of information about which the lawyer was consulted, and of the screening
about a potential representation without clear and reasonably procedures employed, generally should be given as soon as
understandable warnings and cautionary statements that limit practicable after the need for screening becomes apparent.
the lawyer’s obligations, and a person provides information in For the duty of competence of a lawyer who gives assis-
response. In contrast, a consultation does not occur if a person tance on the merits of a matter to a prospective client, see Rule
provides information to a lawyer in response to advertising that 1.1. For a lawyer’s duties when a prospective client entrusts
merely describes the lawyer’s education, experience, areas valuables or papers to the lawyer’s care, see Rule 1.15.
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RULES OF PROFESSIONAL CONDUCT Rule 2.3
COUNSELOR other than the client if the lawyer reasonably
believes that making the evaluation is compatible
Rule 2.1. Advisor with other aspects of the lawyer’s relationship with
In representing a client, a lawyer shall exercise the client.
independent professional judgment and render (b) When the lawyer knows or reasonably
candid advice. In rendering advice, a lawyer may should know that the evaluation is likely to affect
refer not only to law but to other considerations the client’s interests materially and adversely, the
such as moral, economic, social and political fac- lawyer shall not provide the evaluation unless the
tors, that may be relevant to the client’s situation. client gives informed consent.
(P.B. 1978-1997, Rule 2.1.) (c) Except as disclosure is authorized in con-
COMMENTARY: Scope of Advice. A client is entitled to
straightforward advice expressing the lawyer’s honest assess-
nection with a report of an evaluation, information
ment. Legal advice often involves unpleasant facts and alter- relating to the evaluation is otherwise protected
natives that a client may be disinclined to confront. In pre- by Rule 1.6.
senting advice, a lawyer endeavors to sustain the client’s (P.B. 1978-1997, Rule 2.3.) (Amended June 26, 2006, to
morale and may put advice in as acceptable a form as honesty take effect Jan. 1, 2007.)
permits. However, a lawyer should not be deterred from giving COMMENTARY: Definition. An evaluation may be per-
candid advice by the prospect that the advice will be unpalat- formed at the client’s direction or when impliedly authorized
able to the client. in order to carry out the representation. See Rule 1.2. Such
Advice couched in narrow legal terms may be of little value an evaluation may be for the primary purpose of establishing
to a client, especially where practical considerations, such information for the benefit of third parties; for example, an
as cost or effects on other people, are predominant. Purely opinion concerning the title of property rendered at the behest
technical legal advice, therefore, can sometimes be inade- of a vendor for the information of a prospective purchaser, or
quate. It is proper for a lawyer to refer to relevant moral and at the behest of a borrower for the information of a prospective
ethical considerations in giving advice. Although a lawyer is lender. In some situations, the evaluation may be required by
not a moral advisor as such, moral and ethical considerations a government agency; for example, an opinion concerning the
impinge upon most legal questions and may decisively influ- legality of the securities registered for sale under the securities
ence how the law will be applied. laws. In other instances, the evaluation may be required by
A client may expressly or impliedly ask the lawyer for purely a third person, such as a purchaser of a business.
technical advice. When such a request is made by a client A legal evaluation should be distinguished from an investi-
experienced in legal matters, the lawyer may accept it at face gation of a person with whom the lawyer does not have a
value. When such a request is made by a client inexperienced client-lawyer relationship. A legal evaluation of a client should
in legal matters, however, the lawyer’s responsibility as advisor also be distinguished from a report by counsel for an insured
may include indicating that more may be involved than strictly to the insured’s carrier on the status of the matter that is the
legal considerations. subject of representation, provided the report does not contain
Matters that go beyond strictly legal questions may also matter that is detrimental to the client’s relationship with the
be in the ___domain of another profession. Family matters can insurance carrier. For example, a lawyer retained by a pur-
involve problems within the professional competence of psy- chaser to analyze a vendor’s title to property does not have
chiatry, clinical psychology or social work; business matters a client-lawyer relationship with the vendor. So also, an investi-
can involve problems within the competence of the accounting gation into a person’s affairs by a government lawyer, or by
profession or of financial specialists. Where consultation with special counsel employed by the government, is not an evalua-
a professional in another field is itself something a competent tion as that term is used in this Rule. The question is whether
lawyer would recommend, the lawyer should make such a the lawyer is retained by the person whose affairs are being
recommendation. At the same time, a lawyer’s advice at its examined. When the lawyer is retained by that person, the
best often consists of recommending a course of action in the general rules concerning loyalty to client and preservation of
face of conflicting recommendations of experts. confidences apply, which is not the case if the lawyer is
Offering Advice. In general, a lawyer is not expected to retained by someone else. For this reason, it is essential to
give advice until asked by the client. However, when a lawyer identify the person by whom the lawyer is retained. This should
knows that a client proposes a course of action that is likely be made clear not only to the person under examination, but
to result in substantial adverse legal consequences to the also to others to whom the results are to be made available.
client, the lawyer’s duty to the client under Rule 1.4 may require Duties Owed to Third Person and Client. When the evalu-
that the lawyer offer advice if the client’s course of action is ation is intended for the information or use of a third person,
related to the representation. Similarly, when a matter is likely a legal duty to that person may or may not arise. That legal
to involve litigation, it may be necessary under Rule 1.4 to question is beyond the scope of this Rule. However, since
inform the client of forms of dispute resolution that might consti- such an evaluation involves a departure from the normal client-
tute reasonable alternatives to litigation. lawyer relationship, careful analysis of the situation is required.
A lawyer ordinarily has no duty to initiate investigation of The lawyer must be satisfied as a matter of professional judg-
a client’s affairs or to give advice that the client has indicated ment that making the evaluation is compatible with other func-
is unwanted, but a lawyer may initiate advice to a client when tions undertaken in behalf of the client. For example, if the
doing so appears to be in the client’s interest. lawyer is acting as advocate in defending the client against
charges of fraud, it would normally be incompatible with that
Rule 2.2. Intermediary responsibility for the lawyer to perform an evaluation for others
[Repealed as of Jan. 1, 2007.] concerning the same or a related transaction. Assuming no
such impediment is apparent, however, the lawyer should
Rule 2.3. Evaluation for Use by Third Persons advise the client of the implications of the evaluation, particu-
(a) A lawyer may provide an evaluation of a larly the lawyer’s responsibilities to third persons and the duty
matter affecting a client for the use of someone to disseminate the findings.
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Rule 2.3 RULES OF PROFESSIONAL CONDUCT
Access to and Disclosure of Information. The quality evaluator or decision maker depends on the particular process
of an evaluation depends on the freedom and extent of the that is either selected by the parties or mandated by a court.
investigation upon which it is based. Ordinarily, a lawyer should The role of a third-party neutral is not unique to lawyers,
have whatever latitude of investigation seems necessary as although, in some court-connected contexts, only lawyers are
a matter of professional judgment. Under some circumstances, allowed to serve in this role or to handle certain types of cases.
however, the terms of the evaluation may be limited. For exam- In performing this role, the lawyer may be subject to court rules
ple, certain issues or sources may be categorically excluded, or other law that apply either to third-party neutrals generally
or the scope of search may be limited by time constraints or or to lawyers serving as third-party neutrals. Lawyer-neutrals
the noncooperation of persons having relevant information. may also be subject to various codes of ethics, such as the
Any such limitations that are material to the evaluation should Code of Ethics for Arbitration in Commercial Disputes prepared
be described in the report. If after a lawyer has commenced by a joint committee of the American Bar Association and the
an evaluation, the client refuses to comply with the terms upon American Arbitration Association or the Model Standards of
which it was understood the evaluation was to have been Conduct for Mediators jointly prepared by the American Bar
made, the lawyer’s obligations are determined by law, having Association, the American Arbitration Association and the
reference to the terms of the client’s agreement and the sur- Society of Professionals in Dispute Resolution.
rounding circumstances. In no circumstances is the lawyer Unlike nonlawyers who serve as third-party neutrals, law-
permitted to knowingly make a false statement of material fact yers serving in this role may experience unique problems as
or law in providing an evaluation under this Rule. See Rule 4.1. a result of differences between the role of a third-party neutral
Obtaining Client’s Informed Consent. Information relat- and a lawyer’s service as a client representative. The potential
ing to an evaluation is protected by Rule 1.6. In many situa- for confusion is significant when the parties are unrepresented
tions, providing an evaluation to a third party poses no in the process. Thus, subsection (b) requires a lawyer-neutral
significant risk to the client; thus, the lawyer may be impliedly to inform unrepresented parties that the lawyer is not repre-
authorized to disclose information to carry out the representa- senting them. For some parties, particularly parties who fre-
tion. See Rule 1.6 (a). Where, however, it is reasonably likely quently use dispute-resolution processes, this information will
that providing the evaluation will affect the client’s interests be sufficient. For others, particularly those who are using the
materially and adversely, the lawyer must first obtain the cli- process for the first time, more information will be required.
ent’s consent after the client has been adequately informed Where appropriate, the lawyer should inform unrepresented
concerning the important possible effects on the client’s inter- parties of the important differences between the lawyer’s role
ests. See Rules 1.6 (a) and 1.0 (f). as third-party neutral and a lawyer’s role as a client representa-
Financial Auditors’ Requests for Information. When a tive, including the inapplicability of the attorney-client eviden-
question concerning the legal situation of a client arises at the tiary privilege as well as the inapplicability of the duty of
instance of the client’s financial auditor and the question is confidentiality. The extent of disclosure required under this
referred to the lawyer, the lawyer’s response may be made subsection will depend on the particular parties involved and
in accordance with procedures recognized in the legal profes- the subject matter of the proceeding, as well as the particular
sion. Such a procedure is set forth in the American Bar Associ- features of the dispute-resolution process selected.
ation Statement of Policy Regarding Lawyers’ Responses to A lawyer who serves as a third-party neutral subsequently
Auditors’ Requests for Information, adopted in 1975. may be asked to serve as a lawyer representing a client in
the same matter. The conflicts of interest that arise for both
Rule 2.4. Lawyer Serving as Third-Party the individual lawyer and the lawyer’s law firm are addressed
Neutral in Rule 1.12.
(a) A lawyer serves as a third-party neutral Lawyers who represent clients in alternative dispute-resolu-
when the lawyer assists two or more persons who tion processes are governed by the Rules of Professional
Conduct. When the dispute-resolution process takes place
are not clients of the lawyer to reach a resolution of before a tribunal, as in binding arbitration (see Rule 1.0 [n]),
a dispute or other matter that has arisen between the lawyer’s duty of candor is governed by Rule 3.3. Otherwise,
them. Service as a third-party neutral may include the lawyer’s duty of candor toward both the third-party neutral
service as an arbitrator, a mediator or in such and other parties is governed by Rule 4.1.
other capacity as will enable the lawyer to assist
the parties to resolve the matter. ADVOCATE
(b) A lawyer serving as a third-party neutral Rule 3.1. Meritorious Claims and Conten-
shall inform unrepresented parties that the lawyer tions
is not representing them. When the lawyer knows A lawyer shall not bring or defend a proceeding,
or reasonably should know that a party does not or assert or controvert an issue therein, unless
understand the lawyer’s role in the matter, the there is a basis in law and fact for doing so that
lawyer shall explain the difference between the is not frivolous, which includes a good faith argu-
lawyer’s role as a third-party neutral and a law- ment for an extension, modification or reversal of
yer’s role as one who represents a client. existing law. A lawyer for the defendant in a crimi-
(Adopted June 26, 2006, to take effect Jan. 1, 2007.) nal proceeding, or the respondent in a proceeding
COMMENTARY: Alternative dispute resolution has
become a substantial part of the civil justice system. Aside from that could result in incarceration, may neverthe-
representing clients in dispute-resolution processes, lawyers less so defend the proceeding as to require that
often serve as third-party neutrals. A third-party neutral is a every element of the case be established.
person, such as a mediator, arbitrator, conciliator or evaluator, (P.B. 1978-1997, Rule 3.1.) (Amended June 26, 2006, to
who assists the parties, represented or unrepresented, in the take effect Jan. 1, 2007.)
resolution of a dispute or in the arrangement of a transaction. COMMENTARY: The advocate has a duty to use legal
Whether a third-party neutral serves primarily as a facilitator, procedure for the fullest benefit of the client’s cause, but also
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RULES OF PROFESSIONAL CONDUCT Rule 3.3
a duty not to abuse legal procedure. The law, both procedural intends to engage, is engaging or has engaged
and substantive, establishes the limits within which an advo- in criminal or fraudulent conduct related to the
cate may proceed. However, the law is not always clear and
never is static. Accordingly, in determining the proper scope
proceeding shall take reasonable remedial mea-
of advocacy, account must be taken of the law’s ambiguities sures, including, if necessary, disclosure to the
and potential for change. tribunal.
The filing of an action or defense or similar action taken (c) The duties stated in subsections (a) and (b)
for a client is not frivolous merely because the facts have not continue at least to the conclusion of the proceed-
first been fully substantiated or because the lawyer expects
to develop vital evidence only by discovery. What is required
ing, and apply even if compliance requires disclo-
of lawyers, however, is that they inform themselves about sure of information otherwise protected by Rule
the facts of their clients’ cases and the applicable law and 1.6.
determine that they can make good faith arguments in support (d) In an ex parte proceeding, a lawyer shall
of their clients’ positions. Such action is not frivolous even inform the tribunal of all material facts known to
though the lawyer believes that the client’s position ultimately
will not prevail. The action is frivolous, however, if the lawyer
the lawyer that will enable the tribunal to make
is unable either to make a good faith argument on the merits an informed decision, whether or not the facts
of the action taken or to support the action taken by a good are adverse.
faith argument for an extension, modification or reversal of (e) When, prior to judgment, a lawyer becomes
existing law. aware of discussion or conduct by a juror which
The lawyer’s obligations under this Rule are subordinate violates the trial court’s instructions to the jury,
to federal or state constitutional law that entitles a defendant
in a criminal matter to the assistance of counsel in presenting the lawyer shall promptly report that discussion
a claim or contention that otherwise would be prohibited by or conduct to the trial judge.
this Rule. (P.B. 1978-1997, Rule 3.3.)
COMMENTARY: This Rule governs the conduct of a lawyer
Rule 3.2. Expediting Litigation who is representing a client in the proceedings of a tribunal.
A lawyer shall make reasonable efforts to expe- See Rule 1.0 (n) for the definition of ‘‘tribunal.’’ It also applies
dite litigation consistent with the interests of the when the lawyer is representing a client in an ancillary proceed-
ing conducted pursuant to the tribunal’s adjudicative authority,
client. such as a deposition. Thus, for example, subsection (a) (3)
(P.B. 1978-1997, Rule 3.2.)
requires a lawyer to take reasonable remedial measures if
COMMENTARY: Dilatory practices bring the administration
of justice into disrepute. Although there will be occasions when the lawyer comes to know that a client who is testifying in a
a lawyer may properly seek a postponement for personal rea- deposition has offered evidence that is false.
sons, it is not proper for a lawyer to routinely fail to expedite This Rule sets forth the special duties of lawyers as officers
litigation solely for the convenience of the advocates. Nor will of the court to avoid conduct that undermines the integrity of
a failure to expedite be reasonable if done for the purpose of the adjudicative process. A lawyer acting as an advocate in
frustrating an opposing party’s attempt to obtain rightful an adjudicative proceeding has an obligation to present the
redress or repose. It is not a justification that similar conduct client’s case with persuasive force. Performance of that duty
is often tolerated by the bench and bar. The question is whether while maintaining confidences of the client, however, is quali-
a competent lawyer acting in good faith would regard the fied by the advocate’s duty of candor to the tribunal. Conse-
course of action as having some substantial purpose other quently, although a lawyer in an adversary proceeding is not
than delay. Realizing financial or other benefit from otherwise required to present an impartial exposition of the law or to
improper delay in litigation is not a legitimate interest of the vouch for the evidence submitted in a cause, the lawyer must
client. not allow the tribunal to be misled by false statements of law
or fact or evidence that the lawyer knows to be false.
Rule 3.3. Candor toward the Tribunal Representations by a Lawyer. An advocate is responsible
(a) A lawyer shall not knowingly: for pleadings and other documents prepared for litigation, but
is usually not required to have personal knowledge of matters
(1) Make a false statement of fact or law to a asserted therein, for litigation documents ordinarily present
tribunal or fail to correct a false statement of mate- assertions by the client, or by someone on the client’s behalf,
rial fact or law previously made to the tribunal by and not assertions by the lawyer. Compare Rule 3.1. However,
the lawyer; an assertion purporting to be on the lawyer’s own knowledge,
(2) Fail to disclose to the tribunal legal authority as in an affidavit by the lawyer or in a statement in open
in the controlling jurisdiction known to the lawyer court, may properly be made only when the lawyer knows the
to be directly adverse to the position of the client assertion is true or believes it to be true on the basis of a
reasonably diligent inquiry. There are circumstances where
and not disclosed by opposing counsel; or failure to make a disclosure is the equivalent of an affirmative
(3) Offer evidence that the lawyer knows to be misrepresentation. The obligation prescribed in Rule 1.2 (d)
false. If a lawyer, the lawyer’s client, or a witness not to counsel a client to commit or assist the client in commit-
called by the lawyer, has offered material evi- ting a fraud applies in litigation. Regarding compliance with
dence and the lawyer comes to know of its falsity, Rule 1.2 (d), see the Commentary to that Rule. See also the
the lawyer shall take reasonable remedial mea- Commentary to Rule 8.4 (2).
Legal Argument. Legal argument based on a knowingly
sures, including, if necessary, disclosure to the false representation of law constitutes dishonesty toward the
tribunal. tribunal. A lawyer is not required to make a disinterested expo-
(b) A lawyer who represents a client in an adju- sition of the law, but must recognize the existence of pertinent
dicative proceeding and who knows that a person legal authorities. Furthermore, as stated in subsection (a) (2),
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Rule 3.3 RULES OF PROFESSIONAL CONDUCT
an advocate has a duty to disclose directly adverse authority of betrayal but also loss of the case and perhaps a prosecution
in the controlling jurisdiction that has not been disclosed by for perjury. But the alternative is that the lawyer cooperate
the opposing party. The underlying concept is that legal argu- in deceiving the court, thereby subverting the truth-finding
ment is a discussion seeking to determine the legal premises process which the adversary system is designed to implement.
properly applicable to the case. See Rule 1.2 (d). Furthermore, unless it is clearly understood
Offering Evidence. Subsection (a) (3) requires that the that the lawyer will act upon the duty to disclose the existence
lawyer refuse to offer evidence that the lawyer knows to be of false evidence, the client can simply reject the lawyer’s
false, regardless of the client’s wishes. This duty is premised advice to reveal the false evidence and insist that the lawyer
on the lawyer’s obligation as an officer of the court to prevent keep silent. Thus, the client could in effect coerce the lawyer
the trier of fact from being misled by false evidence. A lawyer into being a party to fraud on the court.
does not violate this Rule if the lawyer offers the evidence for
Preserving Integrity of Adjudicative Process. Lawyers
the purpose of establishing its falsity.
If a lawyer knows that the client intends to testify falsely or have a special obligation to protect a tribunal against criminal
wants the lawyer to introduce false evidence, the lawyer should or fraudulent conduct that undermines the integrity of the adju-
seek to persuade the client that the evidence should not be dicative process, such as bribing, intimidating or otherwise
offered. If the persuasion is ineffective and the lawyer contin- unlawfully communicating with a witness, juror, court official
ues to represent the client, the lawyer must refuse to offer the or other participant in the proceeding, unlawfully destroying or
false evidence. If only a portion of a witness’ testimony will concealing documents or other evidence or failing to disclose
be false, the lawyer may call the witness to testify but may information to the tribunal when required by law to do so.
not elicit or otherwise permit the witness to present the testi- Thus, subsection (b) requires a lawyer to take reasonable
mony that the lawyer knows is false. remedial measures, including disclosure if necessary, when-
The duties stated in subsections (a) and (b) apply to all ever the lawyer knows that a person, including the lawyer’s
lawyers, including defense counsel in criminal cases. In some client, intends to engage, is engaging or has engaged in crimi-
jurisdictions, however, courts have required counsel to present nal or fraudulent conduct related to the proceeding. Nothing
the accused as a witness or to give a narrative statement if in Rule 3.3 (e) is meant to limit a lawyer’s obligation to take
the accused so desires, even if counsel knows that the testi- appropriate action after judgment has entered.
mony or statement will be false. The obligation of the advocate Duration of Obligation. A practical time limit on the obliga-
under the Rules of Professional Conduct is subordinate to
tion to rectify false evidence or false statements of fact has
such requirements.
to be established. The conclusion of the proceeding is a rea-
The prohibition against offering false evidence only applies
if the lawyer knows that the evidence is false. A lawyer’s sonably definite point for the termination of the obligation. In
reasonable belief that evidence is false does not preclude its criminal and juvenile delinquency matters, the duty to correct
presentation to the trier of fact. A lawyer’s knowledge that a newly discovered and material falsehood continues until
evidence is false, however, can be inferred from the circum- the defendant or delinquent is discharged from custody or
stances. See Rule 1.0 (g). Thus, although a lawyer should released from judicial supervision, whichever occurs later. The
resolve doubts about the veracity of testimony or other evi- lawyer shall notify the tribunal that false evidence or false
dence in favor of the client, the lawyer cannot ignore an obvi- statements of fact were made.
ous falsehood. Ex Parte Proceedings. Ordinarily, an advocate has the
Because of the special protections historically provided limited responsibility of presenting one side of the matters that
criminal defendants, however, this Rule does not permit a a tribunal should consider in reaching a decision; the conflicting
lawyer to refuse to offer the testimony of such a client where position is expected to be presented by the opposing party.
the lawyer reasonably believes but does not know that the However, in any ex parte proceeding, such as an application
testimony will be false. Unless the lawyer knows the testimony for a temporary restraining order, there is no balance of presen-
will be false, the lawyer must honor the client’s decision to tation by opposing advocates. The object of an ex parte pro-
testify.
ceeding is nevertheless to yield a substantially just result. The
Remedial Measures. Having offered material evidence in
the belief that it was true, a lawyer may subsequently come judge has an affirmative responsibility to accord the absent
to know that the evidence is false. Or, a lawyer may be sur- party just consideration. The lawyer for the represented party
prised when the lawyer’s client, or another witness called by has the correlative duty to make disclosures of material facts
the lawyer, offers testimony the lawyer knows to be false, known to the lawyer and that the lawyer reasonably believes
either during the lawyer’s direct examination or in response are necessary to an informed decision.
to cross-examination by the opposing lawyer. In such situa- Withdrawal. Normally, a lawyer’s compliance with the duty
tions or if the lawyer knows of the falsity of testimony elicited of candor imposed by this Rule does not require that the lawyer
from the client during a deposition, the lawyer must take rea- withdraw from the representation of a client whose interests
sonable remedial measures. In such situations, the advocate’s will be or have been adversely affected by the lawyer’s disclo-
proper course is to remonstrate with the client confidentially, sure. The lawyer may, however, be required by Rule 1.16 (a)
advise the client of the lawyer’s duty of candor to the tribunal to seek permission of the tribunal to withdraw if the lawyer’s
and seek the client’s cooperation with respect to the withdrawal compliance with this Rule’s duty of candor results in such an
or correction of the false statements or evidence. If that fails, extreme deterioration of the client-lawyer relationship that the
the advocate must take further remedial action. If withdrawal
lawyer can no longer competently represent the client. Also
from the representation is not permitted or will not undo the
effect of the false evidence, the advocate must make such see Rule 1.16 (b) for the circumstances in which a lawyer will
disclosure to the tribunal as is reasonably necessary to remedy be permitted to seek a tribunal’s permission to withdraw. In
the situation, even if doing so requires the lawyer to reveal connection with a request for permission to withdraw that is
information that otherwise would be protected by Rule 1.6. It premised on a client’s misconduct, a lawyer may reveal infor-
is for the tribunal then to determine what should be done. mation relating to the representation only to the extent reason-
The disclosure of a client’s false testimony can result in ably necessary to comply with this Rule or as otherwise
grave consequences to the client, including not only a sense permitted by Rule 1.6.
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RULES OF PROFESSIONAL CONDUCT Rule 3.6
Rule 3.4. Fairness to Opposing Party and require the lawyer to turn the evidence over to the police or
Counsel other prosecuting authority, depending on the circumstances.
With regard to subdivision (2), it is not improper to pay a
A lawyer shall not: witness’ expenses or to compensate an expert witness on
(1) Unlawfully obstruct another party’s access terms permitted by law. The common law rule in most jurisdic-
to evidence or unlawfully alter, destroy or conceal tions is that it is improper to pay an occurrence witness any
a document or other material having potential evi- fee for testifying and that it is improper to pay an expert witness
dentiary value. A lawyer shall not counsel or assist a contingent fee.
Subdivision (6) permits a lawyer to advise employees of a
another person to do any such act; client to refrain from giving information to another party, for
(2) Falsify evidence, counsel or assist a witness the employees may identify their interests with those of the
to testify falsely, or offer an inducement to a wit- client. See also Rule 4.2.
ness that is prohibited by law;
(3) Knowingly disobey an obligation under the Rule 3.5. Impartiality and Decorum
rules of a tribunal except for an open refusal based (Amended June 26, 2006, to take effect Jan. 1, 2007.)
on an assertion that no valid obligation exists; A lawyer shall not:
(4) In pretrial procedure, make a frivolous dis- (1) Seek to influence a judge, juror, prospective
covery request or fail to make reasonably diligent juror or other official by means prohibited by law;
effort to comply with a legally proper discovery (2) Communicate ex parte with such a person
request by an opposing party; during the proceeding unless authorized to do so
(5) In trial, allude to any matter that the lawyer by law or court order;
does not reasonably believe is relevant or that will (3) Communicate with a juror or prospective
not be supported by admissible evidence, assert juror after discharge of the jury if:
personal knowledge of facts in issue except when (a) the communication is prohibited by law or
testifying as a witness, or state a personal opinion court order;
as to the justness of a cause, the credibility of a (b) the juror has made known to the lawyer a
witness, the culpability of a civil litigant or the guilt desire not to communicate; or
or innocence of an accused; or (c) the communication involves misrepresenta-
(6) Request a person other than a client to tion, coercion, duress or harassment; or
refrain from voluntarily giving relevant information (4) Engage in conduct intended to disrupt a
to another party unless: tribunal or ancillary proceedings such as deposi-
(A) The person is a relative or an employee or tions and mediations.
(P.B. 1978-1997, Rule 3.5.) (Amended June 26, 2006, to
other agent of a client; and take effect Jan. 1, 2007; amended June 29, 2007, to take
(B) The lawyer reasonably believes that the per- effect Jan. 1, 2008.)
son’s interests will not be adversely affected by COMMENTARY: Many forms of improper influence upon
refraining from giving such information. a tribunal are proscribed by criminal law. Others are specified
(7) Present, participate in presenting, or in the ABA Model Code of Judicial Conduct, with which an
threaten to present criminal charges solely to advocate should be familiar. A lawyer is required to avoid
contributing to a violation of such provisions.
obtain an advantage in a civil matter. During a proceeding a lawyer may not communicate ex
(P.B. 1978-1997, Rule 3.4.)
COMMENTARY: The procedure of the adversary system parte with persons serving in an official capacity in the proceed-
contemplates that the evidence in a case is to be marshaled ing, such as judges, masters or jurors, unless authorized to
competitively by the contending parties. Fair competition in do so by law or court order.
the adversary system is secured by prohibitions against A lawyer may on occasion want to communicate with a
destruction or concealment of evidence, improperly influencing juror or prospective juror after the jury has been discharged.
witnesses, obstructive tactics in discovery procedure, and The lawyer may do so unless the communication is prohibited
the like. by law or a court order but must respect the desire of the juror
Documents and other items of evidence are often essential not to talk with the lawyer. The lawyer may not engage in
to establish a claim or defense. Subject to evidentiary privi- improper conduct during the communication.
leges, the right of an opposing party, including the government, The advocate’s function is to present evidence and argu-
to obtain evidence through discovery or subpoena is an ment so that the cause may be decided according to law.
important procedural right. The exercise of that right can be Refraining from abusive or obstreperous conduct is a corollary
frustrated if relevant material is altered, concealed or of the advocate’s right to speak on behalf of litigants. A lawyer
destroyed. Applicable law in many jurisdictions makes it an may stand firm against abuse by a judge but should avoid
offense to destroy material for the purpose of impairing its reciprocation; the judge’s default is no justification for similar
availability in a pending proceeding or one whose commence- dereliction by an advocate. An advocate can present the
ment can be foreseen. Falsifying evidence is also generally a cause, protect the record for subsequent review and preserve
criminal offense. Subdivision (1) applies to evidentiary material professional integrity by patient firmness no less effectively
generally, including computerized information. Applicable law than by belligerence or theatrics.
may permit a lawyer to take temporary possession of physical
evidence of client crimes for the purpose of conducting a
Rule 3.6. Trial Publicity
limited examination that will not alter or destroy material char- (a) A lawyer who is participating or has partici-
acteristics of the evidence. In such a case, applicable law may pated in the investigation or litigation of a matter
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Rule 3.6 RULES OF PROFESSIONAL CONDUCT
shall not make an extrajudicial statement that the (g) in a criminal case: in addition to subparagraphs (a)
lawyer knows or reasonably should know will be through (f):
(i) identity, residence, occupation and family status of the
disseminated by means of public communication accused;
and will have a substantial likelihood of materially (ii) if the accused has not been apprehended, information
prejudicing an adjudicative proceeding in the necessary to aid in apprehension of that person;
matter. (iii) the fact, time and place of arrest; and
(b) Notwithstanding subsection (a), a lawyer (iv) the identity of investigating and arresting officers or
may make a statement that a reasonable lawyer agencies and the length of the investigation.
(5) There are, on the other hand, certain subjects which
would believe is required to protect a client from are more likely than not to have a material prejudicial effect
the substantial undue prejudicial effect of recent on a proceeding, particularly when they refer to a civil matter
publicity not initiated by the lawyer or the lawyer’s triable to a jury, a criminal matter, or any other proceeding
client. A statement made pursuant to this subsec- that could result in incarceration. These subjects relate to:
tion shall be limited to such information as is nec- (a) the character, credibility, reputation or criminal record
essary to mitigate the recent adverse publicity. of a party, suspect in a criminal investigation or witness, or
the identity of a witness, or the expected testimony of a party
(c) No lawyer associated in a firm or govern- or witness;
ment agency with a lawyer subject to subsection (b) in a criminal case or proceeding that could result in
(a) shall make a statement prohibited by subsec- incarceration, the possibility of a plea of guilty to the offense
tion (a). or the existence or contents of any confession, admission, or
(P.B. 1978-1997, Rule 3.6.) (Amended June 24, 2002, to statement given by a defendant or suspect or that person’s
take effect Jan. 1, 2003; amended June 26, 2006, to take refusal or failure to make a statement;
effect Jan. 1, 2007.) (c) the performance or results of any examination or test
COMMENTARY: (1) It is difficult to strike a balance between or the refusal or failure of a person to submit to an examination
protecting the right to a fair trial and safeguarding the right of or test, or the identity or nature of physical evidence expected
free expression. Preserving the right to a fair trial necessarily to be presented;
entails some curtailment of the information that may be dis- (d) any opinion as to the guilt or innocence of a defendant
seminated about a party prior to trial, particularly where trial or suspect in a criminal case or proceeding that could result
by jury is involved. If there were no such limits, the result in incarceration;
would be the practical nullification of the protective effect of (e) information that the lawyer knows or reasonably should
the rules of forensic decorum and the exclusionary rules of know is likely to be inadmissible as evidence in a trial and
evidence. On the other hand, there are vital social interests that would, if disclosed, create a substantial risk of prejudicing
served by the free dissemination of information about events an impartial trial; or
having legal consequences and about legal proceedings them- (f) the fact that a defendant has been charged with a crime,
selves. The public has a right to know about threats to its unless there is included therein a statement explaining that
safety and measures aimed at assuring its security. It also the charge is merely an accusation and that the defendant is
has a legitimate interest in the conduct of judicial proceedings, presumed innocent until and unless proven guilty.
particularly in matters of general public concern. Furthermore, (6) Another relevant factor in determining prejudice is the
the subject matter of legal proceedings is often of direct signifi- nature of the proceeding involved. Criminal jury trials will be
cance in debate and deliberations over questions of public most sensitive to extrajudicial speech. Civil trials may be less
policy. sensitive. Nonjury hearings and arbitration proceedings may
(2) Special rules of confidentiality may validly govern pro- be even less affected. The Rule will still place limitations on
ceedings in juvenile, domestic relations and mental disability prejudical comments in these cases, but the likelihood of preju-
proceedings, and perhaps other types of litigation. Rule 3.4 dice may be different depending on the type of proceeding.
(3) requires compliance with such Rules. (7) Finally, extrajudicial statements that might otherwise
(3) The Rule sets forth a basic general prohibition against raise a question under this Rule may be permissible when
a lawyer making statements that the lawyer knows or should they are made in response to statements made publicly by
know will have a substantial likelihood of materially prejudicing another party, another party’s lawyer, or third persons, where
an adjudicative proceeding. Recognizing that the public value a reasonable lawyer would believe a public response is
of informed commentary is great and the likelihood of prejudice required in order to avoid prejudice to the lawyer’s client. When
to a proceeding by the commentary of a lawyer who is not prejudicial statements have been publicly made by others,
involved in the proceeding is small, the Rule applies only to responsive statements may have the salutary effect of less-
lawyers who are, or who have been involved in the investiga- ening any resulting adverse impact on the adjudicative pro-
tion or litigation of a case, and their associates. ceeding. Such responsive statements should be limited to
(4) Certain subjects would not ordinarily be considered to contain only such information as is necessary to mitigate
present a substantial likelihood of material prejudice, such as: undue prejudice created by the statements made by others.
(a) the claim, offense or defense involved and, except when (8) See Rule 3.8 (5) for additional duties of prosecutors in
prohibited by law, the identity of the persons involved; connection with extrajudicial statements about criminal pro-
(b) information contained in a public record; ceedings.
(c) that an investigation of the matter is in progress;
(d) the scheduling or result of any step in litigation; Rule 3.7. Lawyer as Witness
(e) a request for assistance in obtaining evidence and infor- (a) A lawyer shall not act as advocate at a trial
mation necessary thereto;
(f) a warning of danger concerning the behavior of a person
in which the lawyer is likely to be a necessary
involved, when there is reason to believe that there exists the witness unless:
likelihood of substantial harm to an individual or to the public (1) The testimony relates to an uncontested
interest; and issue;
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RULES OF PROFESSIONAL CONDUCT Rule 3.8
(2) The testimony relates to the nature and substantial hardship on the client. Similarly, a lawyer who
value of legal services rendered in the case; or might be permitted to simultaneously serve as an advocate
and a witness by subsection (a) (3) might be precluded from
(3) Disqualification of the lawyer would work doing so by Rule 1.9. The problem can arise whether the
substantial hardship on the client. lawyer is called as a witness on behalf of the client or is called
(b) A lawyer may act as advocate in a trial in by the opposing party. Determining whether or not such a
which another lawyer in the lawyer’s firm is likely conflict exists is primarily the responsibility of the lawyer
involved. If there is a conflict of interest, the lawyer must secure
to be called as a witness unless precluded from the client’s informed consent, confirmed in writing. In some
doing so by Rule 1.7 or Rule 1.9. cases, the lawyer will be precluded from seeking the client’s
(P.B. 1978-1997, Rule 3.7.) (Amended June 26, 2006, to consent. See Rule 1.7. See Rule 1.0 (c) for the definition of
take effect Jan. 1, 2007.) ‘‘confirmed in writing’’ and Rule 1.0 (f) for the definition of
COMMENTARY: Combining the roles of advocate and wit- ‘‘informed consent.’’
ness can prejudice the tribunal and the opposing party and can Subsection (b) provides that a lawyer is not disqualified
also involve a conflict of interest between the lawyer and client. from serving as an advocate because a lawyer with whom the
Advocate-Witness Rule. The tribunal has proper objection lawyer is associated in a firm is precluded from doing so by
when the trier of fact may be confused or misled by a lawyer subsection (a). If, however, the testifying lawyer would also
serving as both advocate and witness. The opposing party has be disqualified by Rule 1.7 or Rule 1.9 from representing the
proper objection where the combination of roles may prejudice client in the matter, other lawyers in the firm will be precluded
that party’s rights in the litigation. A witness is required to from representing the client by Rule 1.10 unless the client
gives informed consent under the conditions stated in Rule 1.7.
testify on the basis of personal knowledge, while an advocate
is expected to explain and comment on evidence given by Rule 3.8. Special Responsibilities of a Pros-
others. It may not be clear whether a statement by an advo- ecutor
cate-witness should be taken as proof or as an analysis of The prosecutor in a criminal case shall:
the proof. (1) Refrain from prosecuting a charge that the
To protect the tribunal, subsection (a) prohibits a lawyer
from simultaneously serving as advocate and necessary wit- prosecutor knows is not supported by probable
ness except in those circumstances specified in subsections cause;
(a) (1) through (a) (3). Subsection (a) (1) recognizes that if (2) Make reasonable efforts to assure that the
the testimony will be uncontested, the ambiguities in the dual accused has been advised of the right to, and the
role are purely theoretical. Subsection (a) (2) recognizes that procedure for obtaining, counsel and has been
where the testimony concerns the extent and value of legal given reasonable opportunity to obtain counsel;
services rendered in the action in which the testimony is (3) Not seek to obtain from an unrepresented
offered, permitting the lawyers to testify avoids the need for accused a waiver of important pretrial rights, such
a second trial with new counsel to resolve that issue. Moreover, as the right to a preliminary hearing;
in such a situation the judge has firsthand knowledge of the (4) Make timely disclosure to the defense of all
matter in issue; hence, there is less dependence on the adver-
sary process to test the credibility of the testimony.
evidence or information known to the prosecutor
Apart from these two exceptions, subsection (a) (3) recog- that tends to negate the guilt of the accused or
nizes that a balancing is required between the interests of the mitigates the offense, and, in connection with sen-
client and those of the tribunal and the opposing party. Whether tencing, disclose to the defense and to the tribunal
the tribunal is likely to be misled or the opposing party is likely all unprivileged mitigating information known to
to suffer prejudice depends on the nature of the case, the the prosecutor, except when the prosecutor is
importance and probable tenor of the lawyer’s testimony, and relieved of this responsibility by a protective order
the probability that the lawyer’s testimony will conflict with that of the tribunal; and
of other witnesses. Even if there is risk of such prejudice, in (5) Exercise reasonable care to prevent investi-
determining whether the lawyer should be disqualified, due gators, law enforcement personnel, employees
regard must be given to the effect of disqualification on the
lawyer’s client. It is relevant that one or both parties could
or other persons assisting or associated with the
reasonably foresee that the lawyer would probably be a wit- prosecutor in a criminal case from making an
ness. The conflict of interest principles stated in Rules 1.7, extrajudicial statement that the prosecutor would
1.9 and 1.10 have no application to this aspect of the problem. be prohibited from making under Rule 3.6.
Because the tribunal is not likely to be misled when a lawyer (6) When a prosecutor knows of new and credi-
acts as advocate in a trial in which another lawyer in the ble evidence creating a reasonable probability
lawyer’s firm will testify as a necessary witness, subsection that a convicted defendant did not commit an
(b) permits the lawyer to do so except in situations involving offense of which the defendant was convicted, the
a conflict of interest. prosecutor shall, unless a court authorizes delay:
Conflict of Interest. In determining if it is permissible to (A) if the conviction was obtained outside the
act as advocate in a trial in which the lawyer will be a necessary
witness, the lawyer must also consider that the dual role may
prosecutor’s jurisdiction, promptly disclose that
give rise to a conflict of interest that will require compliance evidence to a court and an appropriate author-
with Rules 1.7 or 1.9. For example, if there is likely to be ity, and
substantial conflict between the testimony of the client and (B) if the conviction was obtained in the prose-
that of the lawyer, the representation involves a conflict of cutor’s jurisdiction, promptly disclose that evi-
interest that requires compliance with Rule 1.7. This would dence to the defendant, and a court and an
be true even though the lawyer might not be prohibited by appropriate authority.
subsection (a) from simultaneously serving as advocate and (P.B. 1978-1997, Rule 3.8.) (Amended June 13, 2014, to
witness because the lawyer’s disqualification would work a take effect Jan. 1, 2015.)
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Rule 3.8 RULES OF PROFESSIONAL CONDUCT
COMMENTARY: A prosecutor has the responsibility of a obligations of subdivision (6), though subsequently determined
minister of justice and not simply that of an advocate. This to have been erroneous, does not constitute a violation of
responsibility carries with it specific obligations to see that this Rule.
the defendant is accorded procedural justice and that guilt is
decided upon the basis of sufficient evidence. Precisely how Rule 3.9. Advocate in Nonadjudicative Pro-
far the prosecutor is required to go in this direction is a matter of
debate and varies in different jurisdictions. Many jurisdictions ceedings
have adopted the ABA Standards of Criminal Justice Relating A lawyer representing a client before a leg-
to the Prosecution Function, which in turn are the product of islative body or administrative agency in a nonad-
prolonged and careful deliberation by lawyers experienced in
both criminal prosecution and defense. See also Rule 3.3 judicative proceeding shall disclose that the
(d), governing ex parte proceedings, among which grand jury appearance is in a representative capacity and
proceedings are included. Applicable law may require other shall conform to the provisions of Rules 3.3 (a)
measures by the prosecutor and knowing disregard of those through (c), 3.4 (1) through (3), and 3.5.
obligations or a systematic abuse of prosecutorial discretion
(P.B. 1978-1997, Rule 3.9.) (Amended June 26, 2006, to
could constitute a violation of Rule 8.4.
Subdivision (3) does not apply to an accused appearing as take effect Jan. 1, 2007.)
a self-represented party with the approval of the tribunal. Nor COMMENTARY: In representation before bodies such as
does it forbid the lawful questioning of a suspect who has legislatures, municipal councils, and executive and administra-
knowingly waived the rights to counsel and silence. tive agencies acting in a rule-making or policy-making capac-
The exception in subdivision (4) recognizes that a prosecu- ity, lawyers present facts, formulate issues and advance
tor may seek an appropriate protective order from the tribunal argument in the matters under consideration. The decision-
if disclosure of information to the defense could result in sub- making body, like a court, should be able to rely on the integrity
stantial harm to an individual or to the public interest. of the submissions made to it. A lawyer appearing before
When a prosecutor knows of new and credible evidence such a body must deal with it honestly and in conformity with
creating a reasonable probability that a person outside the applicable rules of procedure. See Rules 3.3 (a) through (c),
prosecutor’s jurisdiction was convicted of a crime that the
3.4 (a) through (c) and 3.5.
person did not commit, subdivision (6) requires prompt disclo-
sure to a court and other appropriate authority, such as the Lawyers have no exclusive right to appear before nonadju-
Office of the Chief Public Defender, the Office of the Federal dicative bodies, as they do before a court. The requirements
Defender or the chief prosecutor of the jurisdiction where the of this Rule therefore may subject lawyers to regulations inap-
conviction occurred. When disclosure is made to the chief plicable to advocates who are not lawyers. However, legisla-
prosecutor of the jurisdiction, that prosecutor must then inde- tures and administrative agencies have a right to expect
pendently evaluate his or her own ethical obligations under lawyers to deal with them as they deal with courts.
this Rule with respect to the evidence. If the conviction was This Rule only applies when a lawyer represents a client
obtained in the prosecutor’s jurisdiction, subdivision (6) in connection with an official hearing or meeting of a govern-
requires the prosecutor to promptly disclose the evidence to mental agency or a legislative body to which the lawyer or the
the defendant and a court and other appropriate authority, lawyer’s client is presenting evidence or argument. It does not
such as the Office of the Chief Public Defender or the Office apply to representation of a client in a negotiation or other
of the Federal Defender. Disclosure to a court shall be by
bilateral transaction with a governmental agency or in connec-
written notice to the presiding judge of the jurisdiction in which
the conviction was obtained, or, where the conviction was in tion with an application for a license or other privilege or the
federal court, to the chief United States District Court Judge. client’s compliance with generally applicable reporting require-
Consistent with the objectives of Rules 4.2 and 4.3, disclosure ments, such as the filing of income tax returns. Nor does it
to a represented defendant must be made through the defend- apply to the representation of a client in connection with an
ant’s counsel. If a defendant is not represented, or if the pros- investigation or examination of the client’s affairs conducted
ecutor cannot determine if a defendant is represented, disclo- by government investigators or examiners. Representation in
sure to the Office of the Chief Public Defender or the Office such matters is governed by Rules 4.1 through 4.4.
of the Federal Defender shall satisfy the requirement of notice
to the defendant. The prosecutor may seek to delay disclosure TRANSACTIONS WITH PERSONS
by means of a protective order or other appropriate measure
to protect the safety of a witness, to secure the integrity of an OTHER THAN CLIENTS
ongoing investigation, or other similar purpose. Knowledge
denotes the actual knowledge of the prosecutor who is Rule 4.1. Truthfulness in Statements to Others
determining the scope of his or her own ethical duty to act. A
‘‘reasonable probability that the defendant did not commit an
In the course of representing a client a lawyer
offense of which the defendant was convicted’’ is ‘‘a probability shall not knowingly:
sufficient to undermine confidence in the outcome,’’ as articu- (1) Make a false statement of material fact or
lated in Brady v. Maryland, 373 U.S. 83, 87, 83 S. Ct. 1194, law to a third person; or
10 L. Ed. 2d 215 (1963), and Strickland v. Washington, 466
U.S. 668, 694, 104 S. Ct. 2052, 80 L. Ed. 2d 674 (1984). The (2) Fail to disclose a material fact when disclo-
decision by a prosecutor to disclose information to a defendant sure is necessary to avoid assisting a criminal or
or an appropriate authority shall not be deemed a concession fraudulent act by a client, unless disclosure is
that, and shall not ethically foreclose the prosecutor from con- prohibited by Rule 1.6.
testing before a factfinder or an appellate tribunal that, the
evidence is new or credible or that it creates a reasonable (P.B. 1978-1997, Rule 4.1.) (Amended June 26, 2006, to
probability that the defendant did not commit the offense. take effect Jan. 1, 2007.)
A prosecutor’s independent judgment, made in good faith, COMMENTARY: Misrepresentation. A lawyer is required
that the new evidence is not of such nature as to trigger the to be truthful when dealing with others on a client’s behalf,
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RULES OF PROFESSIONAL CONDUCT Rule 4.3
but generally has no affirmative duty to inform an opposing of the other regarding a separate matter. Also, parties to a
party of relevant facts. A misrepresentation can occur if the matter may communicate directly with each other and a lawyer
lawyer incorporates or affirms a statement of another person having independent justification for communicating with the
that the lawyer knows is false. Misrepresentations can also other party is permitted to do so. Communications authorized
occur by partially true but misleading statements or omissions by law include, for example, the right of a party to a controversy
that are the equivalent of affirmative false statements. For with a government agency to speak with government officials
dishonest conduct that does not amount to a false statement about the matter.
or for misrepresentations by a lawyer other than in the course In the case of an organization, this Rule prohibits communi-
of representing a client, see Rule 8.4.
Statements of Fact. This Rule refers to statements of fact. cations by a lawyer for one party concerning the matter in
Whether a particular statement should be regarded as one representation with persons having a managerial responsibility
of fact can depend on the circumstances. Under generally on behalf of the organization, and with any other person whose
accepted conventions in negotiation, certain types of state- act or omission in connection with that matter may be imputed
ments ordinarily are not taken as statements of material fact. to the organization for purposes of civil or criminal liability or
Estimates of price or value placed on the subject of a transac- whose statement may constitute an admission on the part of
tion and a party’s intentions as to an acceptable settlement the organization. If an agent or employee of the organization
of a claim are ordinarily in this category, and so is the existence is represented in the matter by his or her own counsel, the
of an undisclosed principal except where nondisclosure of the consent by that counsel to a communication will be sufficient
principal would constitute fraud. Lawyers should be mindful for purposes of this Rule. (Compare Rule 3.4).
of their obligations under applicable law to avoid criminal and This Rule also covers any person, whether or not a party
tortious misrepresentation. to a formal proceeding, who is represented by counsel con-
Crime or Fraud by Client. Under Rule 1.2 (d), a lawyer cerning the matter in question.
is prohibited from counseling or assisting a client in conduct
that the lawyer knows is criminal or fraudulent. Subdivision Rule 4.3. Dealing with Unrepresented Person
(2) states a specific application of the principle set forth in
Rule 1.2 (d) and addresses the situation where a client’s crime In dealing on behalf of a client with a person
or fraud takes the form of a lie or misrepresentation. Ordinarily, who is not represented by counsel, in whole or in
a lawyer can avoid assisting a client’s crime or fraud by with- part, a lawyer shall not state or imply that the
drawing from the representation. Sometimes it may be neces-
sary for the lawyer to give notice of the fact of withdrawal and lawyer is disinterested. When the lawyer knows
to disaffirm an opinion, document, affirmation or the like. In or reasonably should know that the unrepresented
extreme cases, substantive law may require a lawyer to dis- person misunderstands the lawyer’s role in the
close information relating to the representation to avoid being matter, the lawyer shall make reasonable efforts
deemed to have assisted the client’s crime or fraud. If the
lawyer can avoid assisting a client’s crime or fraud only by to correct the misunderstanding. The lawyer shall
disclosing this information, then under subdivision (2) the law- not give legal advice to an unrepresented person,
yer is required to do so, unless the disclosure is prohibited by other than the advice to secure counsel, if the
Rule 1.6. lawyer knows or reasonably should know that the
Rule 4.2. Communication with Person Rep- interests of such a person are or have a reason-
resented by Counsel able possibility of being in conflict with the inter-
In representing a client, a lawyer shall not com- ests of the client.
municate about the subject of the representation (P.B. 1978-1997, Rule 4.3.) (Amended June 26, 2006, to
with a party the lawyer knows to be represented take effect Jan. 1, 2007; amended June 14, 2013, to take
by another lawyer in the matter, unless the lawyer effect Oct. 1, 2013.)
COMMENTARY: An unrepresented person, particularly
has the consent of the other lawyer or is author-
one not experienced in dealing with legal matters, might
ized by law to do so. An otherwise unrepresented assume that a lawyer is disinterested in loyalties or is a disinter-
party for whom a limited appearance has been ested authority on the law even when the lawyer represents
filed pursuant to Practice Book Section 3-8 (b) is a client. In order to avoid a misunderstanding, a lawyer will
considered to be unrepresented for purposes of typically need to identify the lawyer’s client and, where neces-
this Rule as to anything other than the subject sary, explain that the client has interests opposed to those of
matter of the limited appearance. When a limited the unrepresented person. For misunderstandings that some-
appearance has been filed for the party, and times arise when a lawyer for an organization deals with an
served on the other lawyer, or the other lawyer is unrepresented constituent, see Rule 1.13 (d).
otherwise notified that a limited appearance has The Rule distinguishes between situations involving unrep-
been filed or will be filed, that lawyer may directly resented persons whose interests may be adverse to those
of the lawyer’s client and those in which the person’s interests
communicate with the party only about matters are not in conflict with the client’s. In the former situation, the
outside the scope of the limited appearance with- possibility that the lawyer will compromise the unrepresented
out consulting with the party’s limited appear- person’s interests is so great that the Rule prohibits the giving
ance lawyer. of any advice, apart from the advice to obtain counsel. Whether
(P.B. 1978-1997, Rule 4.2.) (Amended June 14, 2013, to a lawyer is giving impermissible advice may depend on the
take effect Oct. 1, 2013.)
COMMENTARY: This Rule does not prohibit communica- experience and sophistication of the unrepresented person,
tion with a party, or an employee or agent of a party, concerning as well as the setting in which the behavior and comments
matters outside the representation. For example, the existence occur. This Rule does not prohibit a lawyer from negotiating
of a controversy between a government agency and a private the terms of a transaction or settling a dispute with an unrepre-
party, or between two organizations, does not prohibit a lawyer sented person. So long as the lawyer has explained that the
for either from communicating with nonlawyer representatives lawyer represents an adverse party and is not representing
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Rule 4.3 RULES OF PROFESSIONAL CONDUCT
the person, the lawyer may inform the person of the terms on electronically stored information is a matter of professional
which the lawyer’s client will enter into an agreement or settle a judgment ordinarily reserved to the lawyer. See Rules 1.2
matter, prepare documents that require the person’s signature and 1.4.
and explain the lawyer’s own view of the meaning of the docu-
ment or the lawyer’s view of the underlying legal obligations. LAW FIRMS AND ASSOCIATIONS
See Rule 3.8 for particular duties of prosecutors in dealing
with unrepresented persons. Rule 5.1. Responsibilities of Partners, Man-
agers, and Supervisory Lawyers
Rule 4.4. Respect for Rights of Third Persons (Amended June 26, 2006, to take effect Jan. 1, 2007.)
(a) In representing a client, a lawyer shall not (a) A partner in a law firm, and a lawyer who
use means that have no substantial purpose other individually or together with other lawyers pos-
than to embarrass, delay, or burden a third per- sesses comparable managerial authority in a law
son, or use methods of obtaining evidence that firm, shall make reasonable efforts to ensure that
violate the legal rights of such a person. the firm has in effect measures giving reasonable
(b) A lawyer who receives a document or elec- assurance that all lawyers in the firm conform to
tronically stored information relating to the rep- the Rules of Professional Conduct.
resentation of the lawyer’s client and knows or (b) A lawyer having direct supervisory authority
reasonably should know that the document or over another lawyer shall make reasonable efforts
electronically stored information was inadver- to ensure that the other lawyer conforms to the
tently sent shall promptly notify the sender. Rules of Professional Conduct.
(P.B. 1978-1997, Rule 4.4.) (Amended June 26, 2006, to (c) A lawyer shall be responsible for another
take effect Jan. 1, 2007; amended June 14, 2013, to take lawyer’s violation of the Rules of Professional
effect Jan. 1, 2014.)
COMMENTARY: Responsibility to a client requires a lawyer
Conduct if:
to subordinate the interests of others to those of the client, (1) The lawyer orders or, with knowledge of the
but that responsibility does not imply that a lawyer may disre- specific conduct, ratifies the conduct involved; or
gard the rights of third persons. It is impractical to catalogue (2) The lawyer is a partner or has comparable
all such rights, but they include legal restrictions on methods managerial authority in the law firm in which the
of obtaining evidence from third persons and unwarranted other lawyer practices, or has direct supervisory
intrusions into privileged relationships, such as the client-law-
yer relationship.
authority over the other lawyer, and knows of the
Subsection (b) recognizes that lawyers sometimes receive conduct at a time when its consequences can be
a document or electronically stored information that was mis- avoided or mitigated but fails to take reasonable
takenly sent or produced by opposing parties or their lawyers. remedial action.
A document or electronically stored information is inadvertently (P.B. 1978-1997, Rule 5.1.) (Amended June 26, 2006, to
sent when it is accidentally transmitted, such as when an take effect Jan. 1, 2007.)
e-mail or letter is misaddressed or a document or electronically COMMENTARY: Subsection (a) applies to lawyers who
stored information is accidentally included with information that have managerial authority over the professional work of a firm.
was intentionally transmitted. If a lawyer knows or reasonably See Rule 1.0 (d). This includes members of a partnership,
should know that such a document or electronically stored the shareholders in a law firm organized as a professional
information was sent inadvertently, then this Rule requires the corporation, and members of other associations authorized to
lawyer to promptly notify the sender in order to permit that practice law; lawyers having comparable managerial authority
person to take protective measures. Whether the lawyer is in a legal services organization or a law department of an
required to take additional steps, such as returning the docu- enterprise or government agency; and lawyers who have inter-
ment or electronically stored information, is a matter of law mediate managerial responsibilities in a firm. Subsection (b)
beyond the scope of these Rules, as is the question of whether applies to lawyers who have supervisory authority over the
the privilege status of a document or electronically stored work of other lawyers in a firm.
information has been waived. Similarly, this Rule does not Subsection (a) requires lawyers with managerial authority
address the legal duties of a lawyer who receives a document within a firm to make reasonable efforts to establish internal
or electronically stored information that the lawyer knows or policies and procedures designed to provide reasonable
reasonably should know may have been inappropriately assurance that all lawyers in the firm will conform to the Rules
obtained by the sending person. For purposes of this Rule, of Professional Conduct. Such policies and procedures include
‘‘document or electronically stored information’’ includes, in those designed to detect and resolve conflicts of interest, iden-
addition to paper documents, e-mail and other forms of elec- tify dates by which actions must be taken in pending matters,
tronically stored information, including embedded data (com- account for client funds and property and ensure that inexperi-
monly referred to as ‘‘metadata’’), that is subject to being read enced lawyers are properly supervised.
or put into readable form. Metadata in electronic documents Other measures that may be required to fulfill the responsi-
creates an obligation under this Rule only if the receiving bility prescribed in subsection (a) can depend on the firm’s
lawyer knows or reasonably should know that the metadata structure and the nature of its practice. In a small firm of
was inadvertently sent to the receiving lawyer. experienced lawyers, informal supervision and periodic review
Some lawyers may choose to return a document or delete of compliance with the required systems ordinarily will suffice.
electronically stored information unread, for example, when In a large firm, or in practice situations in which difficult ethical
the lawyer learns before receiving it that it was inadvertently problems frequently arise, more elaborate measures may be
sent. Where a lawyer is not required by applicable law to do necessary. Some firms, for example, have a procedure
so, the decision to voluntarily return such a document or delete whereby junior lawyers can make confidential referral of ethical
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RULES OF PROFESSIONAL CONDUCT Rule 5.3
problems directly to a designated senior partner or special the course of action. That authority ordinarily reposes in the
committee. See Rule 5.2. Firms, whether large or small, may supervisor, and a subordinate may be guided accordingly. For
also rely on continuing legal education in professional ethics. example, if a question arises whether the interests of two
In any event, the ethical atmosphere of a firm can influence clients conflict under Rule 1.7, the supervisor’s reasonable
the conduct of all its members and the partners may not resolution of the question should protect the subordinate pro-
assume that all lawyers associated with the firm will inevitably fessionally if the resolution is subsequently challenged.
conform to the Rules.
Subsection (c) expresses a general principle of personal Rule 5.3. Responsibilities regarding Non-
responsibility for acts of another. See also Rule 8.4 (1). lawyer Assistance
Subsection (c) (2) defines the duty of a partner or other (Amended June 13, 2014, to take effect Jan. 1, 2015.)
lawyer having comparable managerial authority in a law firm, With respect to a nonlawyer employed or
as well as a lawyer who has direct supervisory authority over retained by or associated with a lawyer:
performance of specific legal work by another lawyer. Whether
a lawyer has supervisory authority in particular circumstances (1) A partner, and a lawyer who individually or
is a question of fact. Partners and lawyers with comparable together with other lawyers possesses compara-
authority have at least indirect responsibility for all work being ble managerial authority in a law firm shall make
done by the firm, while a partner or manager in charge of a reasonable efforts to ensure that the firm has in
particular matter ordinarily also has supervisory responsibility effect measures giving reasonable assurance that
for the work of other firm lawyers engaged in the matter. the person’s conduct is compatible with the pro-
Appropriate remedial action by a partner or managing lawyer
would depend on the immediacy of that lawyer’s involvement fessional obligations of the lawyer;
and the seriousness of the misconduct. A supervisor is (2) A lawyer having direct supervisory authority
required to intervene to prevent avoidable consequences of over the nonlawyer shall make reasonable efforts
misconduct if the supervisor knows that the misconduct to ensure that the person’s conduct is compatible
occurred. Thus, if a supervising lawyer knows that a subordi- with the professional obligations of the lawyer; and
nate misrepresented a matter to an opposing party in negotia-
tion, the supervisor as well as the subordinate has a duty to
(3) A lawyer shall be responsible for conduct
correct the resulting misapprehension. of such a person that would be a violation of the
Professional misconduct by a lawyer under supervision Rules of Professional Conduct if engaged in by a
could reveal a violation of subsection (b) on the part of the lawyer if:
supervisory lawyer even though it does not entail a violation (A) The lawyer orders or, with the knowledge of
of subsection (c) because there was no direction, ratification the specific conduct, ratifies the conduct involved;
or knowledge of the violation.
Apart from this Rule and Rule 8.4 (1), a lawyer does not
or
have disciplinary liability for the conduct of a partner, associate (B) The lawyer is a partner or has comparable
or subordinate. Whether a lawyer may be liable civilly or crimi- managerial authority in the law firm in which the
nally for another lawyer’s conduct is a question of law beyond person is employed, or has direct supervisory
the scope of these Rules. authority over the person, and knows of the con-
The duties imposed by this Rule on managing and supervis- duct at a time when its consequences can be
ing lawyers do not alter the personal duty of each lawyer in
a firm to abide by the Rules of Professional Conduct. See
avoided or mitigated but fails to take reasonable
Rule 5.2 (a). remedial action.
(P.B. 1978-1997, Rule 5.3.) (Amended June 26, 2006, to
Rule 5.2. Responsibilities of a Subordinate take effect Jan. 1, 2007.)
Lawyer COMMENTARY: Lawyers generally employ assistants in
their practice, including secretaries, investigators, law student
A lawyer is bound by the Rules of Professional interns, and paraprofessionals. Such assistants, whether
Conduct notwithstanding that that lawyer acted at employees or independent contractors, act for the lawyer in
the direction of another person. rendition of the lawyer’s professional services. A lawyer must
(P.B. 1978-1997, Rule 5.2.) (Amended June 26, 2006, to give such assistants appropriate instruction and supervision
take effect Jan. 1, 2007.) concerning the ethical aspects of their employment, particu-
COMMENTARY: Although a lawyer is not relieved of larly regarding the obligation not to disclose information relat-
responsibility for a violation by the fact that the lawyer acted ing to representation of the client, and should be responsible
at the direction of a supervisor, that fact may be relevant in for their work product. The measures employed in supervising
determining whether a lawyer had the knowledge required to nonlawyers should take account of the fact that they do not
render conduct a violation of the Rules. For example, if a have legal training and are not subject to professional dis-
subordinate filed a frivolous pleading at the direction of a cipline.
supervisor, the subordinate would not be guilty of a profes- Subdivision (1) requires lawyers with managerial authority
sional violation unless the subordinate knew of the document’s within a law firm to make reasonable efforts to ensure that
frivolous character. the firm has in effect measures giving reasonable assurance
When lawyers in a supervisor-subordinate relationship that nonlawyers in the firm and nonlawyers outside the firm
encounter a matter involving professional judgment as to ethi- who work on firm matters act in a way compatible with the
cal duty, the supervisor may assume responsibility for making professional obligations of the lawyer. See Commentary to
the judgment. Otherwise a consistent course of action or posi- Rule 1.1 and first paragraph of Commentary to Rule 5.1. Subdi-
tion could not be taken. If the question can reasonably be vision (2) applies to lawyers who have supervisory authority
answered only one way, the duty of both lawyers is clear and over such nonlawyers within or outside the firm. Subdivision
they are equally responsible for fulfilling it. However, if the (3) specifies the circumstances in which a lawyer is responsible
question is reasonably arguable, someone has to decide upon for the conduct of such nonlawyers within or outside the firm
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Rule 5.3 RULES OF PROFESSIONAL CONDUCT
that would be a violation of the Rules of Professional Conduct legal services for another to direct or regulate the
if engaged in by a lawyer. lawyer’s professional judgment in rendering such
Nonlawyers Outside the Firm. A lawyer may use nonlaw-
yers outside the firm to assist the lawyer in rendering legal legal services.
services to the client. Examples include the retention of an (d) A lawyer shall not practice with or in the
investigative or paraprofessional service, hiring a document form of a professional corporation or association
management company to create and maintain a database for authorized to practice law for a profit, if:
complex litigation, sending client documents to a third party
for printing or scanning, and using an internet based service
(1) A nonlawyer owns any interest therein,
to store client information. When using such services outside except that a fiduciary representative of the estate
the firm, a lawyer must make reasonable efforts to ensure that of a lawyer may hold the stock or interest of the
the services are provided in a manner that is compatible with lawyer for a reasonable time during adminis-
the lawyer’s professional obligations. The extent of this obliga- tration;
tion will depend upon the circumstances, including the educa-
tion, experience and reputation of the nonlawyer; the nature
(2) A nonlawyer is a corporate director or officer
of the services involved; the terms of any arrangements con- thereof or occupies the position of similar respon-
cerning the protection of client information; and the legal and sibility in any form of association other than a
ethical environments of the jurisdictions in which the services corporation; or
will be performed, particularly with regard to confidentiality. (3) A nonlawyer has the right to direct or control
See also Rules 1.1 (competence), 1.2 (allocation of authority),
1.4 (communication with client), 1.6 (confidentiality), 5.4 (a)
the professional judgment of a lawyer.
(professional independence of the lawyer), and 5.5 (a) (unau- (P.B. 1978-1997, Rule 5.4.) (Amended June 26, 2006, to
thorized practice of law). When retaining or directing a nonlaw- take effect Jan. 1, 2007; amended June 13, 2019, to take
yer outside the firm, a lawyer should communicate directions effect July 16, 2019.)
appropriate under the circumstances to give reasonable assur- COMMENTARY: The provisions of this Rule express tradi-
ance that the nonlawyer’s conduct is compatible with the pro- tional limitations on sharing fees. These limitations are to pro-
fessional obligations of the lawyer. tect the lawyer’s professional independence of judgment. Where
Where the client directs the selection of a particular nonlaw- someone other than the client pays the lawyer’s fee or salary,
yer service provider outside the firm, the lawyer may need or recommends employment of the lawyer, that arrangement
to consult with the client to determine how the outsourcing does not modify the lawyer’s obligation to the client. As stated
arrangement should be structured and who will be responsible in subsection (c), such arrangements should not interfere with
for monitoring the performance of the nonlawyer services. the lawyer’s professional judgment.
Unless the client expressly agrees that the client will be respon- This Rule also expresses traditional limitations on permit-
sible for monitoring the nonlawyer’s services, the lawyer will ting a third party to direct or regulate the lawyer’s professional
be responsible for monitoring the nonlawyer’s services. judgment in rendering legal services to another. See also Rule
1.8 (f) (lawyer may accept compensation from a third party as
Rule 5.4. Professional Independence of a long as there is no interference with the lawyer’s independent
Lawyer professional judgment and the client gives informed consent).
(a) A lawyer or law firm shall not share legal
fees with a nonlawyer, except that: Rule 5.5. Unauthorized Practice of Law
(1) An agreement by a lawyer with the lawyer’s (a) A lawyer shall not practice law in a jurisdic-
firm, partner, or associate may provide for the tion in violation of the regulation of the legal pro-
payment of money, over a reasonable period of fession in that jurisdiction, or assist another in
time after the lawyer’s death, to the lawyer’s estate doing so. The practice of law in this jurisdiction is
or to one or more specified persons; defined in Practice Book Section 2-44A. Conduct
(2) A lawyer who purchases the practice of described in subsections (c), (d) and (f) in another
a lawyer with disabilities or a lawyer who is jurisdiction shall not be deemed the unauthorized
deceased or has disappeared may, pursuant to practice of law for purposes of this subsection (a).
the provisions of Rule 1.17, pay to the estate or (b) A lawyer who is not admitted to practice in
other representative of that lawyer the agreed this jurisdiction, shall not:
upon purchase price; and
(3) A lawyer or law firm may include nonlawyer (1) except as authorized by law, establish an
employees in a compensation or retirement plan, office or other systematic and continuous pres-
even though the plan is based in whole or in part ence in this jurisdiction for the practice of law; or
on a profit-sharing arrangement. (2) hold out to the public or otherwise represent
(4) A lawyer may share legal fees from a court that the lawyer is admitted to practice law in this
award or settlement with a nonprofit organiza- jurisdiction.
tion that employed, retained, or recommended (c) A lawyer admitted in another United States
employment of the lawyer in the matter. jurisdiction which accords similar privileges to
(b) A lawyer shall not form a partnership with a Connecticut lawyers in its jurisdiction, and pro-
nonlawyer if any of the activities of the partnership vided that the lawyer is not disbarred or sus-
consist of the practice of law. pended from practice in any jurisdiction, may
(c) A lawyer shall not permit a person who rec- provide legal services on a temporary basis in this
ommends, employs, or pays the lawyer to render jurisdiction, that:
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RULES OF PROFESSIONAL CONDUCT Rule 5.5
(1) are undertaken in association with a lawyer (1) shall notify the statewide bar counsel as to
who is admitted to practice in this jurisdiction and each separate matter prior to any such represen-
who actively participates in the matter; tation in Connecticut;
(2) are in or reasonably related to a pending or (2) shall notify the statewide bar counsel upon
potential proceeding before a tribunal in this or termination of each such representation in Con-
another jurisdiction, if the lawyer, or a person the necticut; and
lawyer is assisting, is authorized by law or order (3) shall pay such fees as may be prescribed
to appear in such proceeding or reasonably by the Judicial Branch.
expects to be so authorized; (P.B. 1978-1997, Rule 5.5.) (Amended June 28, 1999, to
(3) are in or reasonably related to a pending or take effect Jan. 1, 2000; amended June 24, 2002, to take
potential mediation or other alternative dispute effect Jan. 1, 2003; amended June 29, 2007, to take effect
resolution proceeding in this or another jurisdic- Jan. 1, 2008; amended June 30, 2008, to take effect Jan. 1,
2009; amended June 15, 2012, to take effect Jan. 1, 2013;
tion, with respect to a matter that is substantially amended June 13, 2014, to take effect Jan. 1, 2015; amended
related to, or arises in, a jurisdiction in which the June 11, 2021, to take effect Jan. 1, 2022; amended June 10,
lawyer is admitted to practice and are not services 2022, to take effect Jan. 1, 2023.)
for which the forum requires pro hac vice admis- HISTORY—2023: In the third sentence of subsection (a),
sion; or ‘‘and’’ was deleted after ‘‘(c),’’ and ‘‘and (f)’’ was added after
(4) are not within subdivisions (c) (2) or (c) (3) ‘‘(d).’’ In addition, what is now subsection (f) was added and
what had been subsections (f) and (g) were designated sub-
and arise out of or are substantially related to the
sections (g) and (h), respectively.
legal services provided to an existing client of COMMENTARY: A lawyer may practice law only in a juris-
the lawyer’s practice in a jurisdiction in which the diction in which the lawyer is authorized to practice. A lawyer
lawyer is admitted to practice. may be admitted to practice law in a jurisdiction on a regular
(d) A lawyer admitted in another United States basis or may be authorized by court rule or order or by law
jurisdiction, who is in good standing in each juris- to practice for a limited purpose or on a restricted basis. Sub-
diction in which he or she has been admitted, or section (a) applies to unauthorized practice of law by a lawyer,
who has taken retirement status or otherwise left whether through the lawyer’s direct action or by the lawyer’s
assisting another person. For example, a lawyer may not assist
the active practice of law while in good standing a person in practicing law in violation of the rules governing
in another jurisdiction, may participate in the provi- professional conduct in that person’s jurisdiction.
sion of uncompensated pro bono publico legal A lawyer may provide professional advice and instruction
services in Connecticut where such services are to nonlawyers whose employment requires knowledge of the
offered under the supervision of an organized law; for example, claims adjusters, employees of financial
legal aid society or state or local bar associa- or commercial institutions, social workers, accountants and
tion project. persons employed in government agencies. Lawyers also may
assist independent nonlawyers, such as paraprofessionals,
(e) A lawyer admitted to practice in another who are authorized by the law of a jurisdiction to provide
jurisdiction, and not disbarred or suspended from particular law-related services. In addition, a lawyer may coun-
practice in any jurisdiction, may provide legal ser- sel nonlawyers who wish to proceed as self-represented
vices in this jurisdiction that: parties.
(1) the lawyer is authorized to provide pursuant Other than as authorized by law or this Rule, a lawyer who
to Practice Book Section 2-15A and the lawyer is is not admitted to practice generally in this jurisdiction violates
an authorized house counsel as provided in that subsection (b) (1) if the lawyer establishes an office or other
systematic and continuous presence in this jurisdiction for the
section; or practice of law. Presence may be systematic and continuous
(2) the lawyer is authorized by federal or other even if the lawyer is not physically present here. Such a lawyer
law or rule to provide in this jurisdiction. must not hold out to the public or otherwise represent that the
(f) To the extent that a lawyer is physically pre- lawyer is admitted to practice law in this jurisdiction. See also
sent in this jurisdiction and remotely engages in Rules 7.1 (a) and 7.5 (b). A lawyer not admitted to practice
the practice of law as authorized under the laws in this jurisdiction who engages in repeated and frequent activi-
ties of a similar nature in this jurisdiction such as the prepara-
of another United States jurisdiction in which that tion and/or recording of legal documents (loans and
lawyer is admitted, such conduct does not consti- mortgages) involving residents or property in this state may
tute the practice of law in this jurisdiction. be considered to have a systematic and continuous presence
(g) A lawyer not admitted to practice in this in this jurisdiction that would not be authorized by this Rule
jurisdiction and authorized by the provisions of and could, thereby, be considered to constitute unauthorized
this Rule to engage in providing legal services on practice of law.
a temporary basis in this jurisdiction is thereby There are occasions in which a lawyer admitted to practice
in another United States jurisdiction, and not disbarred or
subject to the disciplinary rules of this jurisdiction suspended from practice in any jurisdiction, may provide legal
with respect to the activities in this jurisdiction. services on a temporary basis in this jurisdiction under circum-
(h) A lawyer desirous of obtaining the privileges stances that do not create an unreasonable risk to the interests
set forth in subsection (c) (3) or (4): of their clients, the public or the courts. Subsection (c) identifies
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Rule 5.5 RULES OF PROFESSIONAL CONDUCT
four such circumstances. The fact that conduct is not so identi- the services are with respect to a matter that is substantially
fied does not imply that the conduct is or is not authorized. related to, or arises out of, a jurisdiction in which the lawyer
With the exception of subdivisions (e) (1) and (e) (2), this Rule is admitted to practice. The lawyer, however, must obtain
does not authorize a lawyer to establish an office or other admission pro hac vice in the case of a court-annexed arbitra-
systematic and continuous presence in this jurisdiction without tion or mediation or otherwise if court rules or law so require.
being admitted to practice generally here. There is no single Subdivision (c) (4) permits a lawyer admitted in another
test to determine whether a lawyer’s services are provided on jurisdiction to provide certain legal services on a temporary
a ‘‘temporary basis’’ in this jurisdiction and may, therefore, be basis in this jurisdiction if they arise out of or are substantially
permissible under subsection (c). Services may be ‘‘tempo- related to the lawyer’s practice in a jurisdiction in which the
rary’’ even though the lawyer provides services in this jurisdic- lawyer is admitted but are not within subdivision (c) (2) or (c)
tion for an extended period of time, as when the lawyer is (3). These services include both legal services and services
representing a client in a single lengthy negotiation or litigation. that nonlawyers may perform but that are considered the prac-
Subsections (c), (d) and (f) apply to lawyers who are admit- tice of law when performed by lawyers.
ted to practice law in any United States jurisdiction, which Subdivision (c) (3) requires that the services be with respect
includes the District of Columbia and any state, territory or to a matter that is substantially related to, or arises out of, a
commonwealth of the United States. The word ‘‘admitted’’ in jurisdiction in which the lawyer is admitted. A variety of factors
subsections (c), (d) and (f) contemplates that the lawyer is may evidence such a relationship. However, the matter,
authorized to practice in the jurisdiction in which the lawyer although involving other jurisdictions, must have a significant
is admitted and excludes a lawyer who, while technically admit- connection with the jurisdiction in which the lawyer is admitted
ted, is not authorized to practice, because, for example, the to practice. A significant aspect of the lawyer’s work might be
lawyer is in an inactive status. conducted in that jurisdiction or a significant aspect of the
Subdivision (c) (1) recognizes that the interests of clients matter may involve the law of that jurisdiction. The necessary
and the public are protected if a lawyer admitted only in another relationship might arise when the client’s activities and the
jurisdiction associates with a lawyer licensed to practice in resulting legal issues involve multiple jurisdictions. Subdivision
this jurisdiction. For this subdivision to apply, however, the (c) (4) requires that the services provided in this jurisdiction
lawyer admitted to practice in this jurisdiction must actively in which the lawyer is not admitted to practice be for (1) an
participate in and share responsibility for the representation existing client, i.e., one with whom the lawyer has a previous
of the client. relationship and not arising solely out of a Connecticut based
Lawyers not admitted to practice generally in a jurisdiction matter and (2) arise out of or be substantially related to the
may be authorized by law or order of a tribunal or an adminis- legal services provided to that client in a jurisdiction in which
trative agency to appear before the tribunal or agency. This the lawyer is admitted to practice. Without both, the lawyer is
authority may be granted pursuant to formal rules governing prohibited from practicing law in the jurisdiction in which the
admission pro hac vice or pursuant to informal practice of the lawyer is not admitted to practice.
tribunal or agency. Under subdivision (c) (2), a lawyer does For purposes of subsection (d), an attorney in ‘‘good stand-
not violate this Rule when the lawyer appears before a tribunal ing’’ is one who: (1) has been admitted to practice law in any
or agency pursuant to such authority. To the extent that a United States jurisdiction; (2) is not suspended or disbarred
court rule or other law of this jurisdiction requires a lawyer in any other jurisdiction; (3) has never resigned or retired from
who is not admitted to practice in this jurisdiction to obtain the practice of law while subject to discipline or disciplinary
admission pro hac vice before appearing before a tribunal or proceedings in any other jurisdiction; (4) has not been placed
administrative agency, this Rule requires the lawyer to obtain on inactive status while subject to discipline or disciplinary
that authority. proceedings in any other jurisdiction; and (5) is not currently
Subdivision (c) (2) also provides that a lawyer rendering subject to disciplinary proceedings in any other jurisdiction.
services in this jurisdiction on a temporary basis does not Subdivision (e) (2) recognizes that a lawyer may provide
violate this Rule when the lawyer engages in conduct in antici- legal services in a jurisdiction in which the lawyer is not
pation of a proceeding or hearing in a jurisdiction in which the licensed when authorized to do so by federal or other law,
lawyer is authorized to practice law or in which the lawyer which includes statute, court rule, executive regulation or judi-
reasonably expects to be admitted pro hac vice. Examples of cial precedent.
such conduct include meetings with the client, interviews of A lawyer who practices law in this jurisdiction pursuant to
potential witnesses, and the review of documents. Similarly, subsection (c), (d) or (e) or otherwise is subject to the disciplin-
a lawyer admitted only in another jurisdiction may engage ary authority of this jurisdiction. See Rule 8.5 (a). In some
in conduct temporarily in this jurisdiction in connection with circumstances, a lawyer who practices law in this jurisdiction
pending litigation in another jurisdiction in which the lawyer is pursuant to subsection (c), (d) or (e) may have to inform the
or reasonably expects to be authorized to appear, including client that the lawyer is not licensed to practice law in this juris-
taking depositions in this jurisdiction. diction.
When a lawyer has been or reasonably expects to be admit- Subsections (c), (d), (e) and (f) do not authorize communica-
ted to appear before a court or administrative agency, subdivi- tions advertising legal services in this jurisdiction by lawyers
sion (c) (2) also permits conduct by lawyers who are associated who are admitted to practice in other jurisdictions. Whether
with that lawyer in the matter, but who do not expect to appear and how lawyers may communicate the availability of their
before the court or administrative agency. For example, subor- services in this jurisdiction is governed by Rules 7.1 to 7.5.
dinate lawyers may conduct research, review documents, and Subsection (f) reflects the reality that with the advancement
attend meetings with witnesses in support of the lawyer of technology, many lawyers work remotely from locations
responsible for the litigation. outside the jurisdiction(s) in which they are admitted to practice
Subdivision (c) (3) permits a lawyer admitted to practice law. Subsection (f) allows those lawyers to practice law as
law in another jurisdiction to perform services on a temporary authorized in the jurisdiction(s) in which they are admitted while
basis in this jurisdiction if those services are in or reasonably physically present in Connecticut. This subsection coordinates
related to a pending or potential mediation or other alternative with Practice Book Section 2-44A (c), which provides that a
dispute resolution proceeding in this or another jurisdiction, if lawyer admitted in another United States jurisdiction engaged
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RULES OF PROFESSIONAL CONDUCT Rule 6.2
in the remote practice of law as authorized by that jurisdiction the administration of justice. This Rule expresses that policy
while physically present in Connecticut is not engaged in the but is not intended to be enforced through disciplinary process.
practice of law in this jurisdiction. The rights and responsibilities of individuals and organiza-
HISTORY—2023: In both the first and second sentences tions in the United States are increasingly defined in legal
of paragraph 5 of the commentary, ‘‘and’’ was deleted after terms. As a consequence, legal assistance in coping with the
‘‘(c),’’ and ‘‘and (f)’’ was added after ‘‘(d).’’ In the first sentence web of statutes, rules and regulations is imperative for persons
of paragraph 16 of the commentary, ‘‘and’’ was deleted after of modest and limited means, as well as for the relatively well-
‘‘(d),’’ and ‘‘and (f)’’ was added after ‘‘(e).’’ Additionally, what to-do.
is now paragraph 17 was added to the commentary. The basic responsibility for providing legal services for those
AMENDMENT NOTE: The changes to this rule and to Prac- unable to pay ultimately rests upon the individual lawyer, and
tice Book Section 2-44A address the issue of remote practice personal involvement in the problems of the disadvantaged
and provide that to the extent that a lawyer is physically present can be one of the most rewarding experiences in the life of a
in Connecticut and remotely engaged in the practice of law lawyer. Every lawyer, regardless of professional prominence
under the law of another recognized jurisdiction in which the or professional workload, should find time to participate in
lawyer is admitted, such conduct does not constitute the prac- or otherwise support the provision of legal services to the
tice of law in Connecticut. disadvantaged. The provision of free legal services to those
unable to pay reasonable fees continues to be an obligation
Rule 5.6. Restrictions on Right To Practice of each lawyer as well as the profession generally, but the
efforts of individual lawyers are often not enough to meet the
A lawyer shall not participate in offering or need. Thus, it has been necessary for the profession and
making: government to institute additional programs to provide legal
(1) A partnership, shareholders, operating, services. Accordingly, legal aid offices, lawyer referral services
employment, or other similar type of agreement and other related programs have been developed, and others
that restricts the right of a lawyer to practice after will be developed by the profession and government. Every
lawyer should support all proper efforts to meet this need for
termination of the relationship, except an agree- legal services. Law firms should act reasonably to enable and
ment concerning benefits upon retirement; or encourage all lawyers in the firm to provide the pro bono legal
(2) An agreement in which a restriction on the services recommended by this Rule.
lawyer’s right to practice is part of the settlement
of a client controversy. Rule 6.2. Accepting Appointments
(P.B. 1978-1997, Rule 5.6.) (Amended June 26, 2006, to A lawyer shall not seek to avoid appointment
take effect Jan. 1, 2007.) by a tribunal to represent a person except for good
COMMENTARY: An agreement restricting the right of law- cause, such as:
yers to practice after leaving a firm not only limits their profes-
sional autonomy but also limits the freedom of clients to choose
(1) Representing the client is likely to result in
a lawyer. Subdivision (1) prohibits such agreements except violation of the Rules of Professional Conduct or
for restrictions incident to provisions concerning retirement other law;
benefits for service with the firm. (2) Representing the client is likely to result in an
Subdivision (2) prohibits a lawyer from agreeing not to rep- unreasonable financial burden on the lawyer; or
resent other persons in connection with settling a claim on (3) The client or the cause is so repugnant to
behalf of a client.
This Rule does not apply to prohibit restrictions that may
the lawyer as to be likely to impair the client-lawyer
be included in the terms of the sale of a law practice pursuant relationship or the lawyer’s ability to represent the
to Rule 1.17. client.
(P.B. 1978-1997, Rule 6.2.)
PUBLIC SERVICE COMMENTARY: A lawyer ordinarily is not obliged to accept
a client whose character or cause the lawyer regards as repug-
Rule 6.1. Pro Bono Publico Service nant. The lawyer’s freedom to select clients is, however, quali-
fied. All lawyers have a responsibility to assist in providing pro
A lawyer should render public interest legal ser- bono publico service. See Rule 6.1. An individual lawyer fulfills
vice. A lawyer may discharge this responsibility this responsibility by accepting a fair share of unpopular mat-
by providing professional services at no fee or a ters or indigent or unpopular clients. A lawyer may also be
reduced fee to persons of limited means or to subject to appointment by a court to serve unpopular clients
public service or charitable groups or organiza- or persons unable to afford legal services.
tions, by service in activities for improving the law, Appointed Counsel. For good cause a lawyer may seek
to decline an appointment to represent a person who cannot
the legal system or the legal profession, and by afford to retain counsel or whose cause is unpopular. Good
financial support for organizations that provide cause exists if the lawyer could not handle the matter compe-
legal services to persons of limited means. tently, see Rule 1.1, or if undertaking the representation would
(P.B. 1978-1997, Rule 6.1.) result in an improper conflict of interest, for example, when
COMMENTARY: The ABA House of Delegates has formally the client or the cause is so repugnant to the lawyer as to be
acknowledged ‘‘the basic responsibility of each lawyer likely to impair the client-lawyer relationship or the lawyer’s
engaged in the practice of law to provide public interest legal ability to represent the client. A lawyer may also seek to decline
services’’ without fee, or at a substantially reduced fee in one an appointment if acceptance would be unreasonably burden-
or more of the following areas: poverty law, civil rights law, some, for example, when it would impose a financial sacrifice
public rights law, charitable organization representation and so great as to be unjust.
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Rule 6.2 RULES OF PROFESSIONAL CONDUCT
An appointed lawyer has the same obligations to the client protect the integrity of the program by making an appropriate
as retained counsel, including the obligations of loyalty and disclosure within the organization when the lawyer knows a
confidentiality, and is subject to the same limitations on the private client might be materially benefitted.
client-lawyer relationship, such as the obligation to refrain from
assisting the client in violation of the Rules. Rule 6.5. Nonprofit and Court-Annexed Lim-
ited Legal Services Programs
Rule 6.3. Membership in Legal Services
(a) A lawyer who, under the auspices of a pro-
Organization
gram sponsored by a nonprofit organization or
A lawyer may serve as a director, officer or mem- court, provides short-term limited legal services
ber of a legal services organization, apart from the to a client without expectation by either the lawyer
law firm in which the lawyer practices, notwith- or the client that the lawyer will provide continuing
standing that the organization serves persons representation in the matter:
having interests adverse to a client of the lawyer. (1) is subject to Rules 1.7 and 1.9 (a) only if
The lawyer shall not knowingly participate in a the lawyer knows that the representation of the
decision or action of the organization: client involves a conflict of interest; and
(1) If participating in the decision or action would (2) is subject to Rule 1.10 only if the lawyer
be incompatible with the lawyer’s obligations to a knows that another lawyer associated with the
client under Rule 1.7; or lawyer in a law firm is disqualified by Rule 1.7 or
(2) Where the decision or action could have a 1.9 (a) with respect to the matter.
material adverse effect on the representation of (b) A lawyer who provides short-term limited
a client of the organization whose interests are legal services pursuant to this Rule must secure
adverse to a client of the lawyer. the client’s informed consent to the limited scope
(P.B. 1978-1997, Rule 6.3.) of the representation. See Rule 1.2 (c). If a short-
COMMENTARY: Lawyers should be encouraged to support
and participate in legal services organizations. A lawyer who
term limited representation would not be reason-
is an officer or a member of such an organization does not able under the circumstances, the lawyer may
thereby have a client-lawyer relationship with persons served offer advice to the client but must also advise the
by the organization. However, there is potential conflict client of the need for further assistance of counsel.
between the interests of such persons and the interests of the Except as provided in this Rule, the Rules of Pro-
lawyer’s clients. If the possibility of such conflict disqualified fessional Conduct, including Rules 1.6 and 1.9
a lawyer from serving on the board of a legal services organiza-
tion, the profession’s involvement in such organizations would
(c), are applicable to the limited representation.
be severely curtailed. (c) Except as provided in subsection (a) (2),
It may be necessary in appropriate cases to reassure a Rule 1.10 is inapplicable to a representation gov-
client of the organization that the representation will not be erned by this Rule.
affected by conflicting loyalties of a member of the board. (Adopted June 26, 2006, to take effect Jan. 1, 2007.)
Established, written policies in this respect can enhance the COMMENTARY: Legal services organizations, courts and
credibility of such assurances. various nonprofit organizations have established programs
through which lawyers provide short-term limited legal ser-
Rule 6.4. Law Reform Activities Affecting vices—such as advice or the completion of legal forms—that
Client Interests will assist persons to address their legal problems without
further representation by a lawyer. In these programs, such
A lawyer may serve as a director, officer or as legal advice hotlines, advice only clinics or self-represented
member of an organization involved in reform of party counseling programs, a client-lawyer relationship is
the law or its administration notwithstanding that established, but there is no expectation that the lawyer’s
the reform may affect the interests of a client of representation of the client will continue beyond the limited
the lawyer. When the lawyer knows that the inter- consultation. Such programs are normally operated under cir-
ests of a client may be materially benefitted by a cumstances in which it is not feasible for a lawyer to systemati-
cally screen for conflicts of interest as is generally required
decision in which the lawyer participates, the law- before undertaking a representation. See, e.g., Rules 1.7,
yer shall disclose that fact but need not identify 1.9 and 1.10.
the client. Because a lawyer who is representing a client in the cir-
(P.B. 1978-1997, Rule 6.4.) cumstances addressed by this Rule ordinarily is not able to
COMMENTARY: Lawyers involved in organizations seek- check systematically for conflicts of interest, subsection (a)
ing law reform generally do not have a client-lawyer relation- requires compliance with Rules 1.7 or 1.9 (a) only if the lawyer
ship with the organization. Otherwise, it might follow that a knows that the representation presents a conflict of interest
lawyer could not be involved in a bar association law reform for the lawyer, and with Rule 1.10 only if the lawyer knows that
program that might indirectly affect a client. See also Rule 1.2 another lawyer in the lawyer’s firm is disqualified by Rules 1.7
(b). For example, a lawyer specializing in antitrust litigation or 1.9 (a) in the matter.
might be regarded as disqualified from participating in drafting Because the limited nature of the services significantly
revisions of rules governing that subject. In determining the reduces the risk of conflicts of interest with other matters being
nature and scope of participation in such activities, a lawyer handled by the lawyer’s firm, subsection (b) provides that Rule
should be mindful of obligations to clients under other Rules, 1.10 is inapplicable to a representation governed by this Rule
particularly Rule 1.7. A lawyer is professionally obligated to except as provided by subsection (a) (2). Subsection (a) (2)
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RULES OF PROFESSIONAL CONDUCT Rule 7.2
requires the participating lawyer to comply with Rule 1.10 when Firm names, letterhead and professional designations are
the lawyer knows that the lawyer’s firm is disqualified by Rules communications concerning a lawyer’s services. A firm may
1.7 or 1.9 (a). By virtue of subsection (b), however, a lawyer’s be designated by the names of all or some of its current mem-
participation in a short-term limited legal services program will bers, by the names of deceased or retired members where
not preclude the lawyer’s firm from undertaking or continuing there has been a succession in the firm’s identity or by a trade
the representation of a client with interests adverse to a client name if it is not false or misleading. A lawyer or law firm also
being represented under the program’s auspices. Nor will the may be designated by a distinctive website address, social
personal disqualification of a lawyer participating in the pro- media username or comparable professional designation that
gram be imputed to other lawyers participating in the program. is not misleading. A law firm name or designation is misleading
If, after commencing a short-term limited representation in if it implies a connection with a government agency, with a
accordance with this Rule, a lawyer undertakes to represent deceased lawyer who was not a former member of the firm,
the client in the matter on an ongoing basis, Rules 1.7, 1.9 with a lawyer not associated with the firm or a predecessor
(a) and 1.10 become applicable. firm, with a nonlawyer or with a public or charitable legal services
organization. If a firm uses a trade name that includes a geo-
INFORMATION ABOUT LEGAL SERVICES graphical name such as "Springfield Legal Clinic," an express
statement explaining that it is not a public legal aid organization
Rule 7.1. Communications concerning a may be required to avoid a misleading implication.
Lawyer’s Services Letterhead identification of the lawyers in the office of the
A lawyer shall not make a false or misleading firm shall indicate the jurisdictional limitations on those not
licensed to practice in the jurisdiction where the office is located.
communication about the lawyer or the lawyer’s A law firm with offices in more than one jurisdiction may
services. A communication is false or misleading use the same name or other professional designation in each
if it contains a material misrepresentation of fact jurisdiction.
or law, or omits a fact necessary to make the state- Lawyers may not imply or hold themselves out as practicing
ment considered as a whole not materially mis- together in one firm when they are not a firm, as defined in
leading. Rule 1.0 (d), because to do so would be false and misleading.
(P.B. 1978-1997, Rule 7.1.) (Amended June 26, 2006, to It is misleading to use the name of a lawyer holding a public
take effect Jan. 1, 2007.) office in the name of a law firm, or in communications on the
COMMENTARY: This Rule governs all communications about law firm’s behalf, during any substantial period in which the
a lawyer’s services, including advertising. Whatever means lawyer is not actively and regularly practicing with the firm.
are used to make known a lawyer’s services, statements about
them must be truthful. Misleading truthful statements are pro- Rule 7.2. Communications concerning a
hibited by this Rule. A truthful statement is misleading if it omits Lawyer’s Services: Specific Rules
a fact necessary to make the lawyer’s communication consid- (Amended June 13, 2019, to take effect Jan. 1, 2020.)
ered as a whole not materially misleading. A truthful statement (a) A lawyer may communicate information
is misleading if a substantial likelihood exists that it will lead
a reasonable person to formulate a specific conclusion about regarding the lawyer’s services through all media.
the lawyer or the lawyer’s services for which there is no reason- (b) (1) A copy or recording of a communication
able factual foundation. A truthful statement also is misleading regarding the lawyer’s services shall be kept for
if presented in a way that leads a reasonable person to believe three years after its last dissemination along with
the lawyer’s communication requires that person to take further a record of when and where it was used. An elec-
action when, in fact, no action is required. tronic communication regarding the lawyer’s ser-
A communication that truthfully reports a lawyer’s achieve-
ments on behalf of clients or former clients may be misleading vices shall be copied once every three months on
if presented without a disclaimer indicating that the communi- a compact disc or similar technology and kept for
cated result is based upon the particular facts of that case so three years after its last dissemination.
as to lead a reasonable person to form an unjustified expecta- (2) A lawyer shall comply with the mandatory
tion that the same results could be obtained for other clients filing requirement of Practice Book Section 2-28A.
in similar matters without reference to the specific factual and
legal circumstances of each client’s case. Similarly, an unsub-
(c) A lawyer shall not compensate, give or prom-
stantiated claim about a lawyer’s or law firm’s services or fees, ise anything of value to a person for recommend-
or an unsubstantiated comparison of the lawyer’s services or ing the lawyer’s services, except that a lawyer
fees with those of other lawyers or law firms may be misleading may:
if presented with such specificity as would lead a reasonable (1) pay the reasonable cost of advertisements
person to conclude that the comparison or claim can be sub- or communications permitted by this Rule;
stantiated. The inclusion of an appropriate disclaimer or quali-
fying language may preclude a finding that a statement is likely (2) pay the usual charges of a not-for-profit or
to create unjustified expectations or otherwise mislead the pub- qualified lawyer referral service;
lic. (3) pay for a law practice in accordance with
In addition to the provisions of this Rule, see Rule 8.4 (3) Rule 1.17;
defining professional misconduct to include conduct involving (4) refer clients to another lawyer or a nonlawyer
dishonesty, fraud, deceit, or misrepresentation. See also Rule
8.4 (5) for the prohibition against stating or implying an ability
professional pursuant to an agreement not other-
to improperly influence a government agency or official or to wise prohibited under these Rules that provides
achieve results by means that violate the Rules of Professional for the other person to refer clients or customers
Conduct or other law. to the lawyer, if:
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Rule 7.2 RULES OF PROFESSIONAL CONDUCT
(A) the reciprocal referral agreement is not (h) A lawyer and service may participate in an
exclusive; and internet based client to lawyer matching service,
(B) the client is informed of the existence and provided the service otherwise complies with the
nature of the agreement; and Rules of Professional Conduct. If the service pro-
(5) give a nominal gift as an expression of vides an exclusive referral to a lawyer or law firm
appreciation, provided that such a gift is neither for a particular practice area in a particular geo-
intended nor reasonably expected to be a form graphical region, then the service must comply
of compensation for recommending a lawyer’s with subsection (e).
services, and such gifts are limited to no more (P.B. 1978-1997, Rule 7.2.) (Amended June 26, 2006, to
than two per year to any recipient. take effect Jan. 1, 2007; amended June 15, 2012, to take
(d) A lawyer shall not state or imply that a lawyer effect Jan. 1, 2013; amended June 13, 2019, to take effect
is certified as a specialist in a particular field of Jan. 1, 2020.)
law, unless: COMMENTARY: This Rule permits public dissemination of
(1) the lawyer is currently certified as a special- information concerning a lawyer or law firm’s name, address,
ist in that field of law by a board or other entity e-mail address, website, and telephone number; the kinds of
which is approved by the Rules Committee of the services the lawyer will undertake; the basis on which the
lawyer’s fees are determined, including prices for specific ser-
Superior Court of this state or by an organization vices and payment and credit arrangements; whether and to
accredited by the American Bar Association; and what extent the client will be responsible for any court costs
(2) the name of the certifying organization is and expenses of litigation; lawyer’s foreign language ability;
clearly identified in the communication. names of references and, with their consent, names of clients
(e) Any communication made under this Rule regularly represented; and other information that might invite
must include the name and contact information the attention of those seeking legal assistance.
of at least one lawyer admitted in Connecticut Record of Communications. Subsection (b) requires that
responsible for its content. In the case of television a record of the content and use of advertising be kept in order
advertisements, the name, address and tele- to facilitate enforcement of this Rule. It does not require that
phone number of the lawyer admitted in Connect- advertising be subject to review prior to dissemination. Such
a requirement would be burdensome and expensive relative
icut shall be displayed in bold print for fifteen sec- to its possible benefits, and may be of doubtful constitutionality.
onds or the duration of the commercial, whichever
Paying Others To Recommend a Lawyer. Except as per-
is less, and shall be prominent enough to be read- mitted under subsection (c) (1) through (c) (5), lawyers are
able. not permitted to pay others for recommending the lawyer’s
(f) Every communication that contains infor- services. A communication contains a recommendation if it
mation about the lawyer’s fee, including those endorses or vouches for a lawyer’s credentials, abilities, com-
indicating that the charging of a fee is contingent petence, character, or other professional qualities. Directory
on outcome, or that no fee will be charged in the listings and group advertisements that list lawyers by practice
absence of a recovery, or that the fee will be a area, without more, do not constitute impermissible ‘‘recom-
percentage of the recovery, shall disclose whether mendations.’’
and to what extent the client will be responsible Subsection (c) (1) allows a lawyer to pay for advertising
and communications permitted by this Rule, including the costs
for any court costs and expenses of litigation. The
of print directory listings, on-line directory listings, newspaper
disclosure concerning court costs and expenses advertisements, television and radio airtime, ___domain name
of litigation shall be in the same print size and registrations, sponsorship fees, advertisements, internet
type as the information regarding the lawyer’s fee based advertisements, and group advertising. A lawyer may
and, if broadcast, shall appear for the same dura- compensate employees, agents and vendors who are
tion as the information regarding the lawyer’s fee. engaged to provide marketing or client development services,
If the information regarding the fee is spoken, the such as publicists, public relations personnel, business devel-
disclosure concerning court costs and expenses opment staff, television and radio employees or spokesper-
of litigation shall also be spoken. sons, and website designers. See also Rule 5.3 (duties of
(g) A lawyer who communicates a specific fee lawyers and law firms with respect to the conduct of nonlaw-
or range of fees for a particular service shall honor yers); Rule 8.4 (1) (duty to avoid violating the Rules through
the acts of another).
the fee or range of fees described in the communi-
Pursuant to subsection (c) (4), a lawyer also may agree to
cation for at least ninety days unless the communi-
refer clients to another lawyer or a nonlawyer professional, in
cation specifies a shorter period; provided that, for return for the undertaking of that person to refer clients or
communications in the yellow pages of telephone customers to the lawyer. Such reciprocal referral arrange-
directories or other media not published more fre- ments must not interfere with the lawyer’s professional judg-
quently than annually, the fee or range of fees ment as to making referrals or as to providing substantive
described in the communication shall be honored legal services. See Rules 2.1 and 5.4 (c). Except as provided
for no less than one year following publication. in Rule 1.5 (e), a lawyer who receives referrals from a lawyer
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RULES OF PROFESSIONAL CONDUCT Rule 7.3
or nonlawyer professional must not pay anything solely for the be false or misleading, as would be the case if the communica-
referral, but the lawyer does not violate subsection (c) of this tions of a group advertising program or a group legal services
Rule by agreeing to refer clients to the other lawyer or nonlaw- plan would mislead the public to think that it was a lawyer
yer professional, so long as the reciprocal referral agreement referral service sponsored by a state agency or bar asso-
is not exclusive and the client is informed of the referral ciation.
agreement. Conflicts of interest created by such arrangements Communications about Fields of Practice. Subsection
are governed by Rule 1.7. Reciprocal referral agreements (a) of this Rule permits a lawyer to communicate that the
should not be of indefinite duration and should be reviewed lawyer does or does not practice in particular areas of law. A
periodically to determine whether they comply with these lawyer is generally permitted to state that the lawyer ‘‘concen-
Rules. This Rule does not restrict referrals or divisions of trates in,’’ ‘‘focuses on,’’ or that the practice is ‘‘limited to’’
revenues or net income among lawyers within firms comprised particular fields of practice, but such communications are sub-
of multiple entities. ject to the ‘‘false and misleading’’ standard applied in Rule
Subsection (c) (5) permits lawyers to give nominal gifts as 7.1 to communications concerning a lawyer’s services.
an expression of appreciation to a person for recommending The Patent and Trademark Office has a long established
the lawyer’s services or referring a prospective client. The gift policy of designating lawyers practicing before the Office. The
may not be more than a token item as might be given for
designation of Admiralty practice also has a long historical
holidays, or other ordinary social hospitality. A gift is prohibited
tradition associated with maritime commerce and the federal
if the value of the gift is more than $50, or otherwise indicates
courts. A lawyer’s communications about these practice areas
a sharing of either legal fees or the ultimate recovery in the
are not prohibited by this Rule.
referred case, or if the gift is offered or given in consideration
of any promise, agreement or understanding that such a gift This Rule permits a lawyer to state that the lawyer is certified
would be forthcoming or that referrals would be made or as a specialist in a field of law if such lawyer is currently
encouraged in the future. certified as a specialist in that field of law by a board or other
A lawyer may pay others for generating client leads, such entity which is approved by the Rules Committee of the Supe-
as internet based client leads, as long as the lead generator rior Court of this state or by an organization accredited by
does not recommend the lawyer, any payment to the lead the American Bar Association. Certification signifies that an
generator is consistent with Rules 1.5 (e) (division of fees) objective entity has recognized an advanced degree of knowl-
and 5.4 (professional independence of the lawyer), and the edge and experience in the specialty area greater than is
lead generator’s communications are consistent with Rule 7.1 suggested by general licensure to practice law. Certifying orga-
(communications concerning a lawyer’s services). To comply nizations may be expected to apply standards of experience,
with Rule 7.1, a lawyer must not pay a lead generator that knowledge and proficiency to ensure that a lawyer’s recogni-
states, implies, or creates a reasonable impression that it tion as a specialist is meaningful and reliable. To ensure that
is recommending the lawyer, is making the referral without consumers can obtain access to useful information about an
payment from the lawyer, or has analyzed a person’s legal organization granting certification, the name of the certifying
problems when determining which lawyer should receive the organization must be included in any communication regarding
referral. See Paying Others To Recommend a Lawyer above the certification.
(definition of ‘‘recommendation’’). See also Rule 5.3 (duties Required Contact Information. This Rule requires that
of lawyers and law firms with respect to the conduct of nonlaw- any communication about a lawyer or law firm’s services
yers); Rule 8.4 (1) (duty to avoid violating the Rules through include the name of, and contact information for, the lawyer
the acts of another). or law firm. Contact information includes a website address,
A lawyer may pay the usual charges of a legal service plan a telephone number, an e-mail address or a physical office
or a not-for-profit or qualified lawyer referral service. A legal ___location.
service plan is a prepaid or group legal service plan or a similar
delivery system that assists people who seek to secure legal Rule 7.3. Solicitation of Clients
representation. A lawyer referral service, on the other hand,
(Amended June 13, 2014, to take effect Jan. 1, 2015.)
is any organization that holds itself out to the public as a lawyer
referral service. Such referral services are understood by the (a) ‘‘Solicitation’’ or ‘‘solicit’’ denotes a commu-
public to be consumer oriented organizations that provide unbi- nication initiated by or on behalf of a lawyer or
ased referrals to lawyers with appropriate experience in the law firm that is directed to a specific person the
subject matter of the representation and afford other client lawyer knows or reasonably should know needs
protections, such as complaint procedures or malpractice
insurance requirements. Consequently, this Rule only permits legal services in a particular matter and that offers
a lawyer to pay the usual charges of a not-for-profit or qualified to provide, or reasonably can be understood as
lawyer referral service. A qualified lawyer referral service is offering to provide, legal services for that matter.
one that is approved by an appropriate regulatory authority (b) A lawyer shall not solicit professional employ-
as affording adequate protections for the public. See, e.g., ment by live person-to-person contact when a sig-
the American Bar Association’s Model Supreme Court Rules
Governing Lawyer Referral Services and Model Lawyer Refer- nificant motive for the lawyer’s doing so is the
ral and Information Service Quality Assurance Act. lawyer’s or law firm’s pecuniary gain unless the
A lawyer who accepts assignments or referrals from a legal contact is:
service plan or referrals from a lawyer referral service must (1) With a lawyer or a person who has a family,
act reasonably to assure that the activities of the plan or service close personal or prior business or professional
are compatible with the lawyer’s professional obligations. See
Rule 5.3. Legal service plans and lawyer referral services may
relationship with the lawyer;
communicate with the public, but such communication must (2) Under the auspices of a public or charitable
be in conformity with these Rules. Thus, advertising must not legal services organization;
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Rule 7.3 RULES OF PROFESSIONAL CONDUCT
(3) Under the auspices of a bona fide political, shall be made in the solicitation to the solicitation
social, civic, fraternal, employee or trade organi- having any kind of approval from the Connecticut
zation whose purposes include but are not limited bar. Such written solicitations shall be sent only
to providing or recommending legal services, if by regular United States mail, not by registered
the legal services are related to the principal pur- mail or other forms of restricted delivery.
poses of the organization; (f) Notwithstanding the prohibitions in this Rule,
(4) With a person who routinely uses for busi- a lawyer may participate with a prepaid or group
ness purposes the type of legal services offered legal service plan operated by an organization not
by the lawyer or with a business organization, a not- owned or directed by the lawyer which uses live
for-profit organization or governmental body and the person-to-person contact to enroll members or
lawyer seeks to provide services related to the orga- sell subscriptions for the plan from persons who
nization. are not known to need legal services in a particular
(c) A lawyer shall not solicit professional employ- matter covered by the plan.
ment even when not otherwise prohibited by sub- (P.B. 1978-1997, Rule 7.3.) (Amended June 26, 2006, to
section (b) if: take effect Jan. 1, 2007; amended June 13, 2014, to take
effect Jan. 1, 2015; amended June 13, 2019, to take effect
(1) The lawyer knows or reasonably should Jan. 1, 2020.)
know that the physical, emotional or mental state COMMENTARY: Subsection (b) prohibits a lawyer from
of the person makes it unlikely that the person soliciting professional employment by live person-to-person
would exercise reasonable judgment in employing contact when a significant motive for the lawyer’s doing so
a lawyer; is the lawyer’s or the law firm’s pecuniary gain. A lawyer’s
(2) The target of the solicitation has made communication is not a solicitation if it is directed to the general
known to the lawyer a desire not to be solicited public, such as through a billboard, an internet banner adver-
tisement, a website or a television commercial, or if it is in
by the lawyer; response to a request for information or is automatically gener-
(3) The solicitation involves coercion, duress, ated in response to electronic searches.
fraud, overreaching, harassment, intimidation or ‘‘Live person-to-person contact’’ means in-person, face-to-
undue influence; or face, live telephone and other real-time visual or auditory per-
(4) The solicitation concerns an action for per- son-to-person communications where the person is subject
sonal injury or wrongful death or otherwise relates to a direct personal encounter without time for reflection. Such
person-to-person contact does not include chat rooms, text
to an accident or disaster involving the person to messages or other written communications that recipients may
whom the solicitation is addressed or a relative easily disregard. A potential for overreaching exists when a
of that person, unless the accident or disaster lawyer, seeking pecuniary gain, solicits a person known to be
occurred more than forty days prior to the mailing in need of legal services. This form of contact subjects a person
of the solicitation, or the recipient is a person or to the private importuning of the trained advocate in a direct
entity within the scope of subsection (b) of this interpersonal encounter. The person, who may already feel
Rule. overwhelmed by the circumstances giving rise to the need for
legal services, may find it difficult to fully evaluate all available
(d) This Rule does not prohibit communications alternatives with reasoned judgment and appropriate self-
authorized by law or ordered by a court or other interest in the face of the lawyer’s presence and insistence
tribunal. upon an immediate response. The situation is fraught with the
(e) Every written solicitation, as well as any possibility of undue influence, intimidation, and overreaching.
solicitation by audio or video recording, or other The potential for overreaching inherent in live person-to-
electronic means, used by a lawyer for the pur- person contact justifies its prohibition, since lawyers have alter-
native means of conveying necessary information. In particu-
pose of obtaining professional employment from lar, communications can be mailed or transmitted by e-mail
anyone known to be in need of legal services in a or other electronic means that do not violate other laws. These
particular matter, must be clearly and prominently forms of communications make it possible for the public to be
labeled ‘‘Advertising Material’’ in red ink on the informed about the need for legal services, and about the
first page of any written solicitation and the lower qualifications of available lawyers and law firms, without sub-
left corner of the outside envelope or container, jecting the public to live person-to-person persuasion that may
overwhelm a person’s judgment.
if any, and at the beginning and ending of any The contents of live person-to-person contact can be dis-
solicitation by audio or video recording or other puted and may not be subject to a third-party scrutiny. Conse-
electronic means. If the written solicitation is in quently, they are much more likely to approach (and occasion-
the form of a self-mailing brochure or pamphlet, ally cross) the dividing line between accurate representations
the label ‘‘Advertising Material’’ in red ink shall and those that are false and misleading.
appear on the address panel of the brochure or There is far less likelihood that a lawyer would engage in
overreaching against a former client, or a person with whom
pamphlet. Communications solicited by clients or the lawyer has a close personal, family, business or profes-
any other person, or if the recipient is a person sional relationship, or in situations in which the lawyer is moti-
or entity within the scope of subsection (b) of this vated by considerations other than the lawyer’s pecuniary
Rule, need not contain such marks. No reference gain. Nor is there a serious potential for overreaching when
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RULES OF PROFESSIONAL CONDUCT Rule 7.4A
the person contacted is a lawyer or is known to routinely use Rule 7.4. Communication of Fields of
the type of legal services involved for business purposes. Practice
Examples include persons who routinely hire outside counsel
to represent the entity; entrepreneurs who regularly engage [Repealed as of Jan. 1, 2020.]
business, employment law or intellectual property lawyers;
small business proprietors who routinely hire lawyers for lease Rule 7.4A. Certification as Specialist
or contract issues; and other people who routinely retain law-
yers for business transactions or formations. Subsection (b)
(a) A lawyer shall not state or imply that he or
is not intended to prohibit a lawyer from participating in consti- she is a specialist in a field of law unless the
tutionally protected activities of public or charitable legal ser- lawyer is currently certified as a specialist in that
vice organizations or bona fide political, social, civic, fraternal, field of law by a board or other entity which is
employee or trade organizations whose purposes include pro- approved by the Rules Committee of the Superior
viding or recommending legal services to their members or Court of this state or by an organization accredited
beneficiaries. by the American Bar Association. Among the crite-
A solicitation that contains false or misleading information ria to be considered by the Rules Committee in
within the meaning of Rule 7.1, that involves coercion, duress
or harassment within the meaning of Rule 7.3 (c) (3), or that determining upon application whether to approve
involves contact with someone who has made known to the a board or entity as an agency which may certify
lawyer a desire not to be solicited by the lawyer within the lawyers practicing in this state as being special-
meaning of Rule 7.3 (c) (2) is prohibited. Live person-to-person ists, shall be the requirement that the board or
solicitation of individuals who may be especially vulnerable to entity certify specialists on the basis of published
coercion or duress, for example, the elderly, those whose first standards and procedures which (1) do not dis-
language is not English, or persons with disabilities, is ordi-
narily not appropriate when a significant motive for the solicita-
criminate against any lawyer properly qualified for
tion is pecuniary gain. such certification, (2) provide a reasonable basis
This Rule does not prohibit a lawyer from contacting repre- for the representation that lawyers so certified
sentatives of organizations or groups that may be interested possess special competence, and (3) require
in establishing a group or prepaid legal plan for their members, redetermination of the special qualifications of
insureds, beneficiaries or other third parties for the purpose certified specialists after a period of not more than
of informing such entities of the availability of and details con- five years.
cerning the plan or arrangement which the lawyer or lawyer’s
firm is willing to offer. This form of communication is not directed (b) Upon certifying a lawyer practicing in this
to people who are seeking legal services for themselves. Rather, state as being a specialist, the board or entity
it is usually addressed to an individual acting in a fiduciary that certified the lawyer shall notify the Statewide
capacity seeking a supplier of legal services for others who Grievance Committee of the name and juris num-
may, if they choose, become prospective clients of the lawyer. ber of the lawyer, the specialty field in which the
Under these circumstances, the activity which the lawyer lawyer was certified, the date of such certification
undertakes in communicating with such representatives and
the type of information transmitted to the individual are func- and the date such certification expires.
tionally similar to and serve the same purpose as advertising (c) A lawyer shall not state that he or she is a
permitted under Rule 7.2. certified specialist if the lawyer’s certification has
Communications authorized by law or ordered by a court terminated, or if the statement is otherwise con-
or tribunal include a notice to potential members of a class in trary to the terms of such certification.
class action litigation.
(d) Certification as a specialist may not be attrib-
Subsection (f) of this Rule permits a lawyer to participate
with an organization that uses personal contact to solicit mem-
uted to a law firm.
bers for its group or prepaid legal service plan, provided that (e) Lawyers may be certified as specialists in
the personal contact is not undertaken by any lawyer who would the following fields of law:
be a provider of legal services through the plan. The organiza- (1) Administrative law: The practice of law deal-
tion must not be owned by or directed (whether as manager ing with states, their political subdivisions, regional
or otherwise) by any lawyer or law firm that participates in the
plan. For example, subsection (f) would not permit a lawyer
and metropolitan authorities and other public enti-
to create an organization controlled directly or indirectly by the ties including, but not limited to, their rights and
lawyer and use the organization for the in-person or telephone duties, financing, public housing and urban devel-
solicitation of legal employment of the lawyer through member- opment, the rights of public employees, election
ships in the plan or otherwise. The communication permitted law, school law, sovereign immunity, and constitu-
by these organizations also must not be directed to a person tional law; practice before federal and state courts
known to need legal services in a particular matter, but is to
and governmental agencies.
be designed to inform potential plan members generally of
another means of affordable legal services. Lawyers who par- (2) Admiralty: The practice of law dealing with
ticipate in a legal service plan must reasonably ensure that all matters arising under the Carriage of Goods
the plan sponsors are in compliance with Rules 7.1, 7.2 and by Sea Act (COGSA), Harter Act, Jones Act, and
7.3 (c). federal and state maritime law including, but not
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Rule 7.4A RULES OF PROFESSIONAL CONDUCT
limited to, the carriage of goods, collision and (10) Commercial transactions: The practice of
other maritime torts, general average, salvage, law dealing with all aspects of commercial paper,
limitation of liability, ship financing, ship subsidies, contracts, sales and financing, including, but not
the rights of injured sailors and longshoremen; limited to, secured transactions.
practice before federal and state courts and gov- (11) Consumer claims and protection: The prac-
ernmental agencies (including the Federal Mari- tice of law dealing with all aspects of consumer
time Commission). transactions including, but not limited to, sales
(3) Antitrust: The practice of law dealing with practices, credit transactions, secured transac-
all matters arising under the Sherman Act, Clay- tions and warranties; all matters arising under the
ton Act, Federal Trade Commission Act, Hart- Equal Credit Opportunity Act, the Fair Credit
Scott-Rodino Antitrust Improvements Act and Reporting Act, the Magnuson-Moss Act, the Truth
state antitrust statutes including, but not limited in Lending Act, state statutes such as the ‘‘Little
to, restraints of trade, unfair competition, monopo- FTC’’ acts, and other analogous federal and
lization, price discrimination, restrictive practices; state statutes.
practice before federal and state courts and gov- (12) Corporate and business organizations:
ernmental agencies. The practice of law dealing with all aspects of the
(4) Appellate practice: The practice of law deal- formation, operation and dissolution of corpora-
ing with all procedural and substantive aspects of tions, partnerships (general and limited), agency
civil and criminal matters before federal and state and other forms of business organizations.
appeals courts including, but not limited to, argu- (13) Corporate finance and securities: The
ments and the submission of briefs. practice of law dealing with all matters arising
(5) Business bankruptcy: The practice of law under the Securities Act of 1933, Securities
dealing with all aspects of the United States Bank-
Exchange Act of 1934, Investment Advisors Act
ruptcy Code when the debtor was engaged in
(or the Federal Securities Code, if adopted) and
business before the institution of a Chapter 7, 9,
other federal and state securities statutes; financ-
or 11 proceeding. This includes, but is not limited
to, business liquidations, business reorganiza- ing corporate activities; mergers and acquisitions;
tions, and related adversary and contested pro- practice before the Securities and Exchange
ceedings. Commission and state securities commissions.
(6) Child welfare law: The practice of law repre- (14) Criminal: The practice of law dealing with
senting children, parents or the government in all the prosecution or representation of persons
child protection proceedings including emer- accused of crimes at all stages of criminal pro-
gency, temporary custody, adjudication, disposi- ceedings in federal or state courts including, but
tion, foster care, permanency planning, termi- not limited to, the protection of the accused’s con-
nation, guardianship, and adoption. Child welfare stitutional rights.
law does not include representation in private (15) Elder law: The practice of law involving
child custody and adoption disputes where the the counseling and representation of older per-
state is not a party. sons and their representatives relative to the legal
(7) Consumer bankruptcy: The practice of law aspects of health and long term care planning
dealing with all aspects of the United States Bank- and financing; public benefits; alternative living
ruptcy Code when the debtor was not engaged arrangements and attendant residents’ rights
in business before the institution of a Chapter 7, under state and federal law; special needs coun-
12, or 13 proceeding. This includes, but is not seling; surrogate decision making; decision mak-
limited to, liquidations, wage earner plans, family ing capacity; conservatorships; conservation, dis-
farmers and related adversary and contested pro- position, and administration of the estates of older
ceedings. persons and the implementation of decisions of
(8) Civil rights and discrimination: The practice older persons and their representatives relative
of law dealing with all matters arising under federal to the foregoing with due consideration to the
and state law relating to proper treatment in the applicable tax consequences of an action, involv-
areas of, among others, public accommodations, ing, when appropriate, consultation and collab-
voting, employment, housing, administration of oration with professionals in related disciplines.
welfare and social security benefits; practice Lawyers certified in elder law must be capable of
before federal and state courts and governmen- recognizing issues that arise during counseling
tal agencies. and representation of older persons or their repre-
(9) Civil trial practice: The practice of law deal- sentatives with respect to the following: Abuse,
ing with representation of parties before federal neglect or exploitation of older persons; estate,
or state courts in all noncriminal matters. trust, and tax planning; other probate matters.
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RULES OF PROFESSIONAL CONDUCT Rule 7.4A
Elder law specialists must be capable of recogniz- Reporting and Disclosure Act (Landrum-Griffin
ing the professional conduct and ethical issues Act), Fair Labor Standards Act, Title VII of The
that arise during representation. Civil Rights Act of 1964, Occupational Safety and
(16) Environmental: The practice of law dealing Health Act (OSHA), Employee Retirement Income
with all aspects of the regulation of environmental Security Act (ERISA), other federal statutes and
quality by both federal and state governments; analogous state statutes; practice before the
control of air pollution, water pollution, noise National Labor Relations Board, analogous state
pollution, toxic substances, pesticides, and civil- boards, federal and state courts, and arbitrators.
ian uses of nuclear energy; solid waste/resource (23) Military: The practice of law dealing with
recovery; all matters arising under the National the presentation of parties before courts-martial
Environmental Policy Act, Clean Air Act, Federal and other military tribunals in disputes arising
Water Pollution Control Act, Noise Control Act, under the Uniform Code of Military Justice; the
Solid Waste Disposal Act, Toxic Substance Con- representation of veterans and their dependents
trol Act and other federal and state environmental in seeking government benefits due to them on
statutes; practice before federal and state courts account of military service; handling civil law prob-
and governmental agencies. lems of the military.
(17) Estate planning and probate: The practice (24) Natural resources: The practice of law
of law dealing with all aspects of the analysis and dealing with all aspects of the regulation of natural
planning for the conservation and disposition of resources such as coal, oil, gas, minerals, water
estates, giving due consideration to the applicable and public lands; the rights and responsibilities
tax consequences, both federal and state; the relating to the ownership and exploitation of such
preparation of legal instruments in order to effec- natural resources.
tuate estate plans; administering estates, includ-
(25) Patent, trademark and copyright: The prac-
ing tax related matters, both federal and state.
tice of law dealing with all aspects of the registra-
(18) Family and matrimonial: The practice of
tion, protection and licensing of patents, trade-
law dealing with all aspects of antenuptial and
domestic relationships, separation and divorce, marks or copyrights; practice before federal and
alimony and child support, distribution of assets, state courts in actions for infringement and other
child custody matters and adoption, giving due actions; the prosecution of applications before the
consideration to the tax consequences, and court United States Patent and Trademark Office; coun-
proceedings relating thereto. seling with regard to the law of unfair competition
(19) Government contracts and claims: The as it relates to patents, trademarks and copy-
practice of law dealing with all aspects of the rights.
negotiation and administration of contracts with (26) (A) Residential real estate: The practice
federal and state governmental agencies. of law dealing with all aspects of real property
(20) Immigration and naturalization: The prac- transactions involving single one-to-four family
tice of law dealing with obtaining and retaining residential dwellings when the client uses such
permission to enter and remain in the United dwelling or expresses in writing the intent to use
States including, but not limited to, such matters such dwelling as the client’s primary or other resi-
as visas, change of status, deportation and natu- dence including, but not limited to, real estate
ralization; representation of aliens before courts conveyances, title searches and property trans-
and governmental agencies; protection of aliens’ fers, leases, condominiums, cooperatives, and
constitutional rights. other common interest communities, planned unit
(21) International: The practice of law dealing developments, mortgages, condemnation and
with all aspects of the relations among states, eminent ___domain, zoning and land use planning,
international business transactions, international property taxes, and determination of property
taxation, customs and trade law and foreign and rights.
comparative law. (B) Commercial real estate: The practice of law
(22) Labor: The practice of law dealing with dealing with all aspects of real property transac-
all aspects of employment relations (public and tions except for residential real estate as defined
private) including, but not limited to, unfair labor in subparagraph (A) of this subdivision, including,
practices, collective bargaining, contract adminis- but not limited to, real estate conveyances, title
tration, the rights of individual employees and searches and property transfers, leases, condo-
union members, employment discrimination; all miniums, cooperatives and other common interest
matters arising under the National Labor Rela- communities, planned unit developments, mort-
tions Act (Wagner Act), Labor Management Rela- gages, condemnation and eminent ___domain, zon-
tions Act (Taft-Hartley Act), Labor Management ing and land use planning, property taxes, real
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estate development and financing (with due con- therefor, for approval or disapproval of each appli-
sideration to tax and securities consequences) cation, or for the termination of any prior approval
and determination of property rights. granted by the Rules Committee.
(27) Taxation: The practice of law dealing with (4) Adopt regulations and develop forms neces-
all matters arising under the Internal Revenue sary to carry out its duties under this section. The
Code, Employee Retirement Income Security Act regulations and forms shall not become effective
(ERISA), state and local tax laws and foreign tax until first approved by the Rules Committee of the
laws, including counseling with respect thereto; Superior Court.
practice before federal and state courts and gov- (5) Consult with such persons deemed by the
ernmental agencies. committee to be knowledgeable in the fields of
(28) Workers’ compensation: The practice of law to assist it in carrying out its duties.
law dealing with the representation of parties (P.B. 1978-1997, Rule 7.4B.)
before federal and state agencies, boards and Rule 7.4C. Application by Board or Entity To
courts in actions to determine eligibility for work- Certify Lawyers as Specialists
ers’ compensation, and disability.
(P.B. 1978-1997, Rule 7.4A.) (Amended June 20, 2005, to Any board or entity seeking the approval of the
take effect Jan. 1, 2006; amended June 29, 2007, to take Rules Committee of the Superior Court for author-
effect Jan. 1, 2008; amended June 30, 2008, to take effect, ity to certify lawyers practicing in this state as
Jan. 1, 2009; amended June 13, 2014, to take effect Jan. 1, being specialists in a certain field or fields of law
2015; amended June 13, 2019, to take effect Jan. 1, 2020.) as set forth in Rule 7.4A (e), shall file its application
Rule 7.4B. Legal Specialization Screening with the Legal Specialization Screening Commit-
Committee tee pursuant to Rule 7.4B on form JD-ES-63. The
application materials shall be filed in a format pre-
(a) The chief justice, upon recommendation of
scribed by the Legal Specialization Screening
the Rules Committee of the Superior Court, shall Committee, which may require them to be filed
appoint a committee of five members of the bar
electronically.
of this state which shall be known as the ‘‘Legal (P.B. 1978-1997, Rule 7.4.) (Amended June 30, 2008, to
Specialization Screening Committee.’’ The Rules take effect Jan. 1, 2009; amended June 12, 2015, to take
Committee of the Superior Court shall designate effect Jan. 1, 2016; amended June 13, 2019, to take effect
one appointee as chair of the Legal Specialization Jan. 1, 2020.)
Screening Committee and another as vice chair
to act in the absence or disability of the chair. Rule 7.5. Firm Names and Letterheads
(b) When the committee is first selected, two [Repealed as of Jan. 1, 2020.]
of its members shall be appointed for a term of MAINTAINING THE INTEGRITY OF
one year, two members for a term of two years, THE PROFESSION
and one member for a term of three years, and
thereafter all regular terms shall be three years. Rule 8.1. Bar Admission and Disciplinary
Terms shall commence on July 1. In the event Matters
that a vacancy arises in this position before the An applicant for admission to the bar, or a law-
end of a term, the chief justice, upon recommen- yer in connection with a bar admission application
dation of the Rules Committee of the Superior or in connection with a disciplinary matter, shall
Court, shall appoint a member of the bar of this not:
state to fill the vacancy for the balance of the term. (1) Knowingly make a false statement of mate-
The Legal Specialization Screening Committee rial fact; or
shall act only with a concurrence of a majority of its (2) Fail to disclose a fact necessary to correct
members, provided, however, that three members a misapprehension known by the person to have
shall constitute a quorum. arisen in the matter, or knowingly fail to respond
(c) The Legal Specialization Screening Com- to a lawful demand for information from an admis-
mittee shall have the power and duty to: sions or disciplinary authority, except that this rule
(1) Receive applications from boards or other does not require disclosure of information other-
entities for authority to certify lawyers practicing wise protected by Rule 1.6.
in this state as being specialists in a certain area (P.B. 1978-1997, Rule 8.1.)
or areas of law. COMMENTARY: The duty imposed by this Rule extends
(2) Investigate each applicant to determine to persons seeking admission to the bar as well as to lawyers.
Hence, if a person makes a material false statement in connec-
whether it meets the criteria set forth in Rule tion with an application for admission, it may be the basis for
7.4A (a). subsequent disciplinary action if the person is admitted, and
(3) Submit to the Rules Committee of the Supe- in any event may be relevant in a subsequent admission appli-
rior Court a written recommendation, with reasons cation. The duty imposed by this Rule applies to a lawyer’s
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RULES OF PROFESSIONAL CONDUCT Rule 8.4
own admission or discipline as well as that of others. Thus, it (b) A lawyer who knows that a judge has com-
is a separate professional offense for a lawyer to knowingly mitted a violation of applicable rules of judicial con-
make a misrepresentation or omission in connection with a
disciplinary investigation of the lawyer’s own conduct. Subdivi-
duct that raises a substantial question as to the
sion (2) of this Rule also requires correction of any prior mis- judge’s fitness for office shall inform the appro-
statement in the matter that the applicant or lawyer may have priate authority.
made and affirmative clarification of any misunderstanding on (c) This Rule does not require disclosure of
the part of the admissions or disciplinary authority of which information otherwise protected by Rule 1.6 or
the person involved becomes aware. General Statutes § 51-81d (f) or obtained while
This Rule is subject to the provisions of the fifth amendment serving as a member of a bar association ethics
to the United States Constitution and corresponding provisions
of state constitutions. A person relying on such a provision in
committee or the Judicial Branch Committee on
response to a question, however, should do so openly and Judicial Ethics.
not use the right of nondisclosure as a justification for failure (P.B. 1978-1997, Rule 8.3.) (Amended June 26, 2006, to
to comply with this Rule. take effect Jan. 1, 2007; amended June 30, 2008, to take
A lawyer representing an applicant for admission to the effect Aug. 1, 2008.)
bar, or representing a lawyer who is the subject of a disciplinary COMMENTARY: Self-regulation of the legal profession
inquiry or proceeding, is governed by the rules applicable to requires that members of the profession initiate a disciplinary
the client-lawyer relationship, including Rule 1.6 and, in some investigation when they know of a violation of the Rules of
cases, Rule 3.3. Professional Conduct. Lawyers have a similar obligation with
respect to judicial misconduct. An apparently isolated violation
may indicate a pattern of misconduct that only a disciplinary
Rule 8.2. Judicial and Legal Officials investigation can uncover. Reporting a violation is especially
(a) A lawyer shall not make a statement that important where the victim is unlikely to discover the offense.
the lawyer knows to be false or with reckless disre- A report about misconduct is not required where it would
gard as to its truth or falsity concerning the qualifi- involve violation of Rule 1.6. However, a lawyer should encour-
age a client to consent to disclosure where prosecution would
cations or integrity of a judge, adjudicatory officer not substantially prejudice the client’s interests.
or public legal officer, or of a candidate for election If a lawyer were obliged to report every violation of the
or appointment to judicial or legal office. Rules, the failure to report any violation would itself be a
(b) A lawyer who is a candidate for judicial office professional offense. Such a requirement existed in many
shall comply with the applicable provisions of the jurisdictions but proved to be unenforceable. This Rule limits
Code of Judicial Conduct. the reporting obligation to those offenses that a self-regulating
profession must vigorously endeavor to prevent. A measure
(P.B. 1978-1997, Rule 8.2.)
of judgment is, therefore, required in complying with the provi-
COMMENTARY: Assessments by lawyers are relied on in sions of this Rule. The term ‘‘substantial’’ refers to the seri-
evaluating the professional or personal fitness of persons ousness of the possible offense and not the quantum of
being considered for election or appointment to judicial office evidence of which the lawyer is aware. A report should be
and to public legal offices, such as attorney general, prosecut- made to the bar disciplinary agency unless some other agency,
ing attorney and public defender. Expressing honest and can- such as a peer review agency, is more appropriate in the
did opinions on such matters contributes to improving the circumstances. Similar considerations apply to the reporting
administration of justice. Conversely, false statements by a of judicial misconduct.
lawyer can unfairly undermine public confidence in the admin- The duty to report professional misconduct does not apply
istration of justice. to a lawyer retained to represent a lawyer whose professional
When a lawyer seeks judicial office, the lawyer should be conduct is in question. Such a situation is governed by the
bound by applicable limitations on political activity. Rules applicable to the client-lawyer relationship.
To maintain the fair and independent administration of jus- Information about a lawyer’s or judge’s misconduct or fit-
tice, lawyers are encouraged to continue traditional efforts to ness may be received by a lawyer in the course of that lawyer’s
defend judges and courts unjustly criticized. participation in an approved lawyers or judges assistance pro-
gram. In that circumstance, providing for an exception to the
Rule 8.3. Reporting Professional Miscon- reporting requirements of subsections (a) and (b) of this Rule
duct encourages lawyers and judges to seek treatment through
such a program. Conversely, without such an exception, law-
(a) A lawyer who knows that another lawyer has yers and judges may hesitate to seek assistance from these
committed a violation of the Rules of Professional programs, which may then result in additional harm to their
Conduct that raises a substantial question as to professional careers and additional injury to the welfare of
that lawyer’s honesty, trustworthiness or fitness clients and the public.
as a lawyer in other respects, shall inform the appro-
priate professional authority. A lawyer may not con- Rule 8.4. Misconduct
dition settlement of a civil dispute involving alle- It is professional misconduct for a lawyer to:
gations of improprieties on the part of a lawyer (1) Violate or attempt to violate the Rules of
on an agreement that the subject misconduct not Professional Conduct, knowingly assist or induce
be reported to the appropriate disciplinary author- another to do so, or do so through the acts of
ity. another;
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Rule 8.4 RULES OF PROFESSIONAL CONDUCT
(2) Commit a criminal act that reflects adversely prejudice on the basis of one or more of the protected catego-
on the lawyer’s honesty, trustworthiness or fitness ries. Not all conduct that involves consideration of these char-
acteristics manifests bias or prejudice: there may be a
as a lawyer in other respects; legitimate nondiscriminatory basis for the conduct.
(3) Engage in conduct involving dishonesty, Harassment includes severe or pervasive derogatory or
fraud, deceit or misrepresentation; demeaning verbal or physical conduct. Harassment on the
(4) Engage in conduct that is prejudicial to the basis of sex includes unwelcome sexual advances, requests
administration of justice; for sexual favors and other unwelcome verbal or physical
conduct of a sexual nature.
(5) State or imply an ability to influence improp- The substantive law of antidiscrimination and antiharass-
erly a government agency or official or to achieve ment statutes and case law should guide application of para-
results by means that violate the Rules of Profes- graph (7), where applicable. Where the conduct in question is
sional Conduct or other law; subject to federal or state antidiscrimination or antiharassment
law, a lawyer’s conduct does not violate paragraph (7) when
(6) Knowingly assist a judge or judicial officer the conduct does not violate such law. Moreover, an adminis-
in conduct that is a violation of applicable rules trative or judicial finding of a violation of state or federal antidis-
of judicial conduct or other law; or crimination or antiharassment laws does not alone establish
(7) Engage in conduct that the lawyer knows a violation of paragraph (7).
or reasonably should know is harassment or dis- A lawyer’s conduct does not violate paragraph (7) when
the conduct in question is protected under the first amendment
crimination on the basis of race, color, ancestry, to the United States constitution or article first, § 4 of the
sex, pregnancy, religion, national origin, ethnicity, Connecticut constitution.
disability, status as a veteran, age, sexual orienta- Conduct related to the practice of law includes representing
tion, gender identity, gender expression or marital clients; interacting with witnesses, coworkers, court personnel,
status in conduct related to the practice of law. lawyers and others while engaged in the practice of law;
operating or managing a law firm or law practice; and partici-
This paragraph does not limit the ability of a lawyer pating in bar association, business or professional activities
to accept, decline or withdraw from a representa- or events in connection with the practice of law. Lawyers may
tion, or to provide advice, assistance or advocacy engage in conduct undertaken to promote diversity, equity
consistent with these Rules. and inclusion without violating this Rule by, for example, imple-
(P.B. 1978-1997, Rule 8.4.) (Amended June 26, 2006, to menting initiatives aimed at recruiting, hiring, retaining and
take effect Jan. 1, 2007; amended June 11, 2021, to take advancing diverse employees or sponsoring diverse law stu-
effect Jan. 1, 2022.) dent organizations.
A trial judge’s finding that peremptory challenges were exer-
COMMENTARY: Lawyers are subject to discipline when
cised on a discriminatory basis does not alone establish a
they violate or attempt to violate the Rules of Professional
violation of paragraph (7). Moreover, no disciplinary violation
Conduct, knowingly assist or induce another to do so or do
may be found where a lawyer exercises a peremptory chal-
so through the acts of another, as when they request or instruct lenge on a basis that is permitted under substantive law. A
an agent to do so on the lawyer’s behalf. Subdivision (1), lawyer does not violate paragraph (7) by limiting the scope or
however, does not prohibit a lawyer from advising a client subject matter of the lawyer’s practice or by limiting the law-
concerning action the client is legally entitled to take. yer’s practice to members of a particular segment of the popu-
Many kinds of illegal conduct reflect adversely on fitness lation in accordance with these rules and other law. A lawyer
to practice law, such as offenses involving fraud and the may charge and collect reasonable fees and expenses for a
offense of wilful failure to file an income tax return. However, representation. Rule 1.5 (a). Lawyers also should be mindful
some kinds of offenses carry no such implication. Traditionally, of their professional obligations under Rule 6.1 to provide legal
the distinction was drawn in terms of offenses involving ‘‘moral services to those who are unable to pay, and their obligation
turpitude.’’ That concept can be construed to include offenses under Rule 6.2 not to avoid appointments from a tribunal
concerning some matters of personal morality, such as adul- except for good cause. See Rule 6.2 (1), (2) and (3). A lawyer’s
tery and comparable offenses, which have no specific connec- representation of a client does not constitute an endorsement
tion to fitness for the practice of law. Although a lawyer is by the lawyer of the client’s views or activities. See Rule 1.2 (b).
personally answerable to the entire criminal law, a lawyer The provisions of Rule 1.2 (d) concerning a good faith
should be professionally answerable only for offenses that challenge to the validity, scope, meaning or application of the
indicate lack of those characteristics relevant to law practice. law apply to challenges of legal regulation of the practice of law.
Offenses involving violence, dishonesty, breach of trust, or Lawyers holding public office assume legal responsibilities
serious interference with the administration of justice are in going beyond those of other citizens. A lawyer’s abuse of
that category. A pattern of repeated offenses, even ones of public office can suggest an inability to fulfill the professional
minor significance when considered separately, can indicate role of a lawyer. The same is true of abuse of positions of
indifference to legal obligation. Counseling or assisting a client private trust, such as trustee, executor, administrator, guard-
with regard to conduct expressly permitted under Connecticut ian, agent and officer, director or manager of a corporation or
law is not conduct that reflects adversely on a lawyer’s fitness other organization.
notwithstanding any conflict with federal or other law. Nothing Rule 8.5. Disciplinary Authority; Choice of
in this commentary shall be construed to provide a defense
to a presentment filed pursuant to Practice Book Section 2-41.
Law
Discrimination and harassment in the practice of law under- (Amended June 26, 2006, to take effect Jan. 1, 2007.)
mine confidence in the legal profession and the legal system. (a) Disciplinary Authority. A lawyer admitted to
Discrimination includes harmful verbal or physical conduct practice in this jurisdiction is subject to the disci-
directed at an individual or individuals that manifests bias or plinary authority of this jurisdiction, regardless of
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RULES OF PROFESSIONAL CONDUCT Rule 8.5
where the lawyer’s conduct occurs. A lawyer not that differ from those of the jurisdiction or jurisdictions in which
admitted in this jurisdiction is also subject to the the lawyer is licensed to practice. Additionally, the lawyer’s
conduct may involve significant contacts with more than
disciplinary authority of this jurisdiction if the law- one jurisdiction.
yer provides or offers to provide any legal services Subsection (b) seeks to resolve such potential conflicts. Its
in this jurisdiction. A lawyer may be subject to the premise is that minimizing conflicts between rules, as well as
disciplinary authority of both this jurisdiction and uncertainty about which rules are applicable, is in the best
another jurisdiction for the same conduct. interest of both clients and the profession (as well as the bodies
(b) Choice of Law. In any exercise of the disci- having authority to regulate the profession). Accordingly, it
takes the approach of (i) providing that any particular conduct
plinary authority of this jurisdiction, the Rules of of a lawyer shall be subject to only one set of Rules of Profes-
Professional Conduct to be applied shall be as sional Conduct, and (ii) making the determination of which set
follows: of rules applies to particular conduct as straightforward as
(1) For conduct in connection with a matter possible, consistent with recognition of appropriate regulatory
pending before a tribunal, the rules of the jurisdic- interests of relevant jurisdictions.
Subsection (b) (1) provides that, as to a lawyer’s conduct
tion in which the tribunal sits, unless the rules of relating to a proceeding pending before a tribunal, the lawyer
the tribunal provide otherwise; and shall be subject only to the rules of the jurisdiction in which
(2) For any other conduct, the rules of the juris- the tribunal sits unless the rules of the tribunal, including its
diction in which the lawyer’s conduct occurred, or, choice of law rule, provide otherwise. As to all other conduct,
if the predominant effect of the conduct is in a including conduct in anticipation of a proceeding not yet pend-
different jurisdiction, the rules of that jurisdiction ing before a tribunal, subsection (b) (2) provides that a lawyer
shall be subject to the rules of the jurisdiction in which the
shall be applied to the conduct. A lawyer shall not lawyer’s conduct occurred, or, if the predominant effect of the
be subject to discipline if the lawyer’s conduct conduct is in another jurisdiction, the rules of that jurisdiction
conforms to the rules of a jurisdiction in which shall be applied to the conduct. So long as the lawyer’s conduct
the lawyer reasonably believes the predominant conforms to the rules of a jurisdiction in which the lawyer
effect of the lawyer’s conduct will occur. reasonably believes the predominant effect will occur, the law-
(P.B. 1978-1997, Rule 8.5.) (Amended June 26, 2006, to yer shall not be subject to discipline under this Rule.
take effect Jan. 1, 2007.) When a lawyer’s conduct involves significant contacts with
more than one jurisdiction, it may not be clear whether the
COMMENTARY: Disciplinary Authority. It is longstanding
predominant effect of the lawyer’s conduct will occur in a
law that the conduct of a lawyer admitted to practice in this
jurisdiction other than the one in which the conduct occurred.
jurisdiction is subject to the disciplinary authority of this jurisdic-
So long as the lawyer’s conduct conforms to the rules of a
tion. Extension of the disciplinary authority of this jurisdiction jurisdiction in which the lawyer reasonably believes the pre-
to other lawyers who provide or offer to provide legal services dominant effect will occur, the lawyer shall not be subject to
in this jurisdiction is for the protection of the citizens of this discipline under this Rule. With respect to conflicts of interest,
jurisdiction. Reciprocal enforcement of a jurisdiction’s disciplin- in determining a lawyer’s reasonable belief under subsection
ary findings and sanctions will further advance the purposes (b) (2), a written agreement between the lawyer and client
of this Rule. See Rules 6 and 22, ABA Model Rules for Lawyer that reasonably specifies a particular jurisdiction as within the
Disciplinary Enforcement. A lawyer who is admitted pursuant scope of that paragraph may be considered if the agreement
to Practice Book Section 2-16 or 2-17 et seq. is subject to the was obtained with the client’s informed consent confirmed in
disciplinary authority of this jurisdiction under Rule 8.5 (a) and the agreement.
appoints an official to be designated by this court to receive If two admitting jurisdictions were to proceed against a
service of process in this jurisdiction. The fact that the lawyer lawyer for the same conduct, they should, applying this Rule,
is subject to the disciplinary authority of this jurisdiction may identify the same governing ethics rules. They should take all
be a factor in determining whether personal jurisdiction may appropriate steps to see that they do apply the same rule to
be asserted over the lawyer for civil matters. the same conduct, and in all events should avoid proceeding
Choice of Law. A lawyer may be potentially subject to against a lawyer on the basis of two inconsistent rules.
more than one set of Rules of Professional Conduct which The choice of law provision applies to lawyers engaged in
impose different obligations. The lawyer may be licensed to transnational practice, unless international law, treaties or
practice in more than one jurisdiction with differing rules, or other agreements between competent regulatory authorities
may be admitted to practice before a particular court with rules in the affected jurisdictions provide otherwise.
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CODE OF JUDICIAL CONDUCT
CODE OF JUDICIAL CONDUCT
Preamble
Scope
Terminology
Application
Canons
Rules
Comments
For the Code of Judicial Conduct as it read prior for the conduct of judges, who must be guided in
to 2011, see editions of the Practice Book prior their professional and personal lives by general
to the 2011 edition. ethical standards as well as by the law, which
includes this Code, it is intended to assist judges
AMENDMENT NOTE: This is a major rewrite of the Code
of Judicial Conduct, adopted by the judges of the Superior
in maintaining the highest standards of profes-
Court on June 21, 2010, the judges of the Appellate Court on sional and personal conduct, as it affects their
July 15, 2010, and the justices of the Supreme Court on July judicial work.
1, 2010, to take effect January 1, 2011. It is based on the
Model Code adopted by the ABA in 2007. Our prior Code,
SCOPE
which was adopted with an effective date of October 1, 1974, (1) The Code of Judicial Conduct consists of
was based on the Model Code adopted by the ABA in 1972. four Canons, numbered Rules1 under each Canon,
In the early 1990s, the ABA adopted a revised Model Code;
however, the major changes in the Model Code were not
and Comments that generally follow and explain
adopted by the judges of Connecticut. each Rule. Scope and Terminology sections pro-
vide additional guidance in interpreting and apply-
PREAMBLE ing the Code. An Application section establishes
when the various Rules apply to a judge.
(1) An independent, fair and impartial judiciary (2) The Canons state overarching principles
is indispensable to our system of justice. The of judicial ethics that all judges must observe.
United States legal system is based on the princi- Although a judge may be disciplined hereunder
ple that an independent, impartial, and competent only for violating a Rule, the Canons provide impor-
judiciary, composed of men and women of integ- tant guidance in interpreting the Rules. Where a
rity, will interpret and apply the law that governs Rule contains a permissive term, such as ‘‘may’’
our society. Thus, the judiciary plays a central role or ‘‘should,’’ the conduct being addressed is com-
in preserving the principles of justice and the rule mitted to the sound personal and professional dis-
of law. Inherent in all the Rules contained in this cretion of the judge in question, and no disciplinary
Code are the precepts that judges, individually action shall be taken for action or inaction within
and collectively, must respect and honor the judi- the bounds of such discretion.
cial office as a public trust and strive to maintain (3) The Comments that accompany the Rules
and enhance confidence in the legal system. serve two functions. First, they provide guidance
(2) Judges should maintain the dignity of judicial regarding the purpose, meaning, and proper
office at all times and avoid both impropriety and application of the Rules. They contain explanatory
the appearance of impropriety in their professional material and, in some instances, provide exam-
and personal lives. They should aspire at all times ples of permitted or prohibited conduct. Com-
to conduct that ensures the greatest possible pub- ments neither add to nor subtract from the binding
lic confidence in their independence, impartiality, obligations set forth in the Rules. Therefore, when
integrity, and competence. a Comment contains the term ‘‘must,’’ it does not
(3) The Code of Judicial Conduct establishes mean that the Comment itself is binding or
standards for the ethical conduct of judges in mat- enforceable; it signifies that the Rule in question,
ters affecting the performance of their judicial properly understood, is obligatory as to the con-
duties and the fair and efficient operation of the duct at issue.
courts or other tribunals on which they serve. 1
References herein to numbered Rules are to the Rules of
Although it is not intended as an exhaustive guide this Code, unless stated otherwise.
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(4) Second, the Comments identify aspirational insignificant interest that could not raise a reason-
goals for judges. To implement fully the principles able question regarding the judge’s impartiality.
of this Code as articulated in the Canons, judges See Rule 2.11.
should strive to exceed the standards of conduct ‘‘Domestic partner’’ means a person with whom
established by the Rules, holding themselves to another person maintains a household and an
the highest ethical standards and seeking to intimate relationship, other than a spouse. See
achieve those aspirational goals, thereby enhanc- Rules 2.11, 2.13, 3.13, and 3.14.
ing the dignity of the judicial office. ‘‘Economic interest’’ means ownership of more
(5) The Rules of the Code of Judicial Conduct than a de minimis legal or equitable interest.
are rules of reason that should be applied consis- Except for situations in which the judge partici-
tently with constitutional requirements, statutes, pates in the management of such a legal or equita-
other court rules, and decisional law, and with due ble interest, or the interest could be substantially
regard for all relevant circumstances. The Rules affected by the outcome of a proceeding before
a judge, it does not include:
should not be interpreted in such a way as to (1) an interest in the individual holdings within
impinge on the essential independence of judges a mutual or common investment fund;
in making judicial decisions. (2) an interest in securities held by an educa-
(6) Although these Rules are binding and tional, religious, charitable, fraternal, or civic orga-
enforceable, it is not contemplated that every nization in which the judge or the judge’s spouse,
transgression will necessarily result in the imposi- domestic partner, parent, or child serves as a
tion of discipline. Whether discipline should be director, an officer, an advisor, or other participant;
imposed should be determined through a reason- (3) a deposit in a financial institution or deposits
able and reasoned application of the Rules and or proprietary interests the judge may maintain as
should depend on factors such as the seriousness a member of a mutual savings association or
of the transgression, the facts and circumstances credit union, or similar proprietary interests; or
that existed at the time of the transgression, the (4) an interest in the issuer of government secu-
extent of any pattern of improper activity, whether rities held by the judge. See Rules 1.3, 2.11, and
there have been previous violations, and the effect 3.2.
of the improper activity on the judicial system or ‘‘Fiduciary’’ includes relationships such as
other persons. executor, administrator, trustee, or guardian. See
(7) The Code is not designed or intended as Rules 2.11, 3.2, and 3.8.
a basis for civil or criminal liability. Neither is it ‘‘Impartial,’’ ‘‘impartiality,’’ and ‘‘impartially’’
intended to be the basis for litigants to seek collat- mean absence of bias or prejudice in favor of, or
eral remedies against each other or to obtain tacti- against, particular parties or classes of parties, as
cal advantages in proceedings before a court. well as maintenance of an open mind in consider-
ing issues that may come before a judge. See
TERMINOLOGY Canons 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.
As used in this Code, the following definitions ‘‘Impending matter’’ is any matter a judge knows
shall apply: is imminent or reasonably expects to be com-
‘‘Appropriate authority’’ means the authority menced in the near future. See Rules 2.9, 2.10,
having responsibility for taking corrective action 3.13, and 4.1.
in connection with the conduct or violation to be ‘‘Impropriety’’ includes conduct that violates the
reported under Rules 2.14 and 2.15. law or provisions of this Code and conduct that
‘‘Confidential’’ means information that is not undermines a judge’s independence, integrity, or
available to the public. Confidential information impartiality. See Canon 1 and Rule 1.2.
may include, but is not limited to, information that ‘‘Independence’’ means a judge’s freedom from
is sealed by statute, rule or court order or lodged influence or controls other than those established
with the court or communicated in camera. See by law. See Canons 1 and 4, and Rules 1.2, 3.1,
Rule 3.5. 3.12, 3.13, and 4.2.
‘‘Integrity’’ means probity, fairness, honesty,
‘‘Contribution’’ means both financial and in-kind uprightness, and soundness of character. See
contributions, such as goods, professional or vol- Canons 1 and 4 and Rules 1.2, 3.1, 3.12, 3.13,
unteer services, advertising, and other types of and 4.2.
assistance, which, if obtained by the recipient ‘‘Knowingly,’’ ‘‘knowledge,’’ ‘‘known,’’ and
otherwise, would require a financial expenditure. ‘‘knows’’ mean actual knowledge of the fact in
See Rules 2.11, 3.7, and 4.1. question. A person’s knowledge may be inferred
‘‘De minimis,’’ in the context of interests per- from circumstances. See Rules 2.11, 2.15, 2.16,
taining to disqualification of a judge, means an 3.2, 3.6, and 4.1.
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‘‘Law’’ encompasses court rules as well as stat- ‘‘Third degree of relationship’’ includes the fol-
utes, constitutional provisions, decisional law, and lowing persons: great-grandparent, grandparent,
this Code. See Rules 1.1, 2.1, 2.2, 2.6, 2.7, 2.9, parent, uncle, aunt, brother, sister, child, grand-
3.1, 3.2, 3.4, 3.7, 3.9, 3.12, 3.13, 3.14, 3.15, 4.1, child, great-grandchild, nephew, and niece. See
and 4.3. Rule 2.11.
‘‘Member of the judge’s family’’ means any rela-
tive of a judge related by consanguinity within the APPLICATION
third degree as determined by the common law, The Application section establishes when and
a spouse or domestic partner or an individual to whom the various Rules apply.
related to a spouse or domestic partner within I. APPLICABILITY OF THIS CODE
the third degree as so determined, including an (a) Except as provided in subsection (b), the
individual in an adoptive relationship within the provisions of the Code apply to all judges of
third degree. See Rules 3.5, 3.7, 3.8, 3.10, and the Superior Court, senior judges, judge trial refer-
3.11. ees, state referees, family support magistrates
‘‘Member of a judge’s family residing in the appointed pursuant to General Statutes § 46b-
judge’s household’’ means any member of the 231 (f), and family support magistrate referees.
judge’s family or other person treated by a judge
(b) State referees and family support magistrate
as a member of the judge’s family, who resides in
referees are not required to comply with Rules
the judge’s household. See Rules 2.11 and 3.13.
‘‘Pending matter’’ is a matter that has com- 3.4 and 3.8.
menced. A matter continues to be pending II. TIME FOR COMPLIANCE
through any appellate process until final disposi- A person to whom this Code becomes applica-
tion. See Rules 2.9, 2.10, 3.13, and 4.1. ble shall comply immediately with its provisions,
‘‘Personally solicit’’ means a direct request except that those judges to whom Rules 3.8
made by a judge for financial support or in-kind (Appointments to Fiduciary Positions) and 3.11
services, whether made by letter, telephone, or (Financial, Business, or Remunerative Activities)
any other means of communication. See Rule 4.1. apply shall comply with those Rules as soon as
‘‘Political organization’’ means a political party reasonably possible, but in no event later than
or other group sponsored by or affiliated with a one year after the Code becomes applicable to
political party or candidate, the principal purpose the judge.
of which is to further the election or appointment COMMENT: If serving as a fiduciary when selected as
of candidates for political office. See Rules 4.1 judge, a new judge may, notwithstanding the prohibitions in
and 4.2. Rule 3.8, continue to serve as fiduciary, but only for that period
‘‘Public election’’ includes primary and general of time necessary to avoid serious adverse consequences to
elections, partisan elections and nonpartisan the beneficiaries of the fiduciary relationship and in no event
longer than one year. Similarly, if engaged at the time of
elections. See Rule 4.3. judicial selection in a business activity, a new judge may,
‘‘Spouse’’ means a person to whom one is notwithstanding the prohibitions in Rule 3.11, continue in that
legally married or joined in a civil union. See Rules activity for a reasonable period but in no event longer than
2.11, 3.13, and 3.14. one year.
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CODE OF JUDICIAL CONDUCT
Canon Canon
1. A Judge Shall Uphold and Promote the Independence, 3. A Judge Shall Conduct the Judge’s Personal and Extraju-
Integrity, and Impartiality of the Judiciary, and Shall dicial Activities To Minimize the Risk of Conflict with
Avoid Impropriety and the Appearance of Impropriety. the Obligations of Judicial Office.
Rule
Rule 3.1. Extrajudicial Activities in General
1.1. Compliance with the Law 3.2. Appearances before Governmental Bodies and Consul-
1.2. Promoting Confidence in the Judiciary tation with Government Officials
1.3. Avoiding Abuse of the Prestige of Judicial Office 3.3. Testifying as a Character Witness
3.4. Appointments to Governmental Positions
Canon 3.5. Use of Confidential Information
2. A Judge Shall Perform the Duties of Judicial Office Impar- 3.6. Affiliation with Discriminatory Organizations
3.7. Participation in Educational, Religious, Charitable, Fra-
tially, Competently, and Diligently.
ternal, or Civic Organizations and Activities
3.8. Appointments to Fiduciary Positions
Rule
3.9. Service as Arbitrator or Mediator
2.1. Giving Precedence to the Duties of Judicial Office 3.10. Practice of Law
2.2. Impartiality and Fairness 3.11. Financial, Business, or Remunerative Activities
2.3. Bias, Prejudice, and Harassment 3.12. Compensation for Extrajudicial Activities
2.4. External Influences on Judicial Conduct or Judgment 3.13. Acceptance and Reporting of Gifts, Loans, Bequests,
2.5. Competence, Diligence, and Cooperation Benefits, or Other Things of Value
2.6. Ensuring the Right To Be Heard 3.14. Reimbursement of Expenses and Waivers of Fees or
2.7. Responsibility To Decide Charges
3.15. Reporting Requirements
2.8. Decorum, Demeanor, and Communication with Jurors
2.9. Ex Parte Communications Canon
2.10. Judicial Statements on Pending and Impending Cases 4. A Judge Shall Not Engage in Political or Campaign Activ-
ity that Is Inconsistent with the Independence, Integrity,
2.11. Disqualification
or Impartiality of the Judiciary.
2.12. Supervisory Duties Rule
2.13. Administrative Appointments 4.1. Political Activities of Judges in General
2.14. Disability and Impairment 4.2. Activities of Judges as Candidates for Reappointment or
2.15. Responding to Judicial and Lawyer Misconduct Elevation to Higher Judicial Office
2.16. Cooperation with Disciplinary Authorities 4.3. Activities of Judges Who Become Candidates for Pub-
lic Office
Canon 1. A Judge Shall Uphold and Pro- whether the conduct would create in reasonable
mote the Independence, Integrity, and minds a perception that the judge violated this
Impartiality of the Judiciary, and Shall Avoid Code or engaged in other conduct that reflects
Impropriety and the Appearance of Impro- adversely on the judge’s honesty, impartiality,
priety. temperament, or fitness to serve as a judge.
(Effective Jan. 1, 2011.)
Rule 1.1. Compliance with the Law COMMENT: (1) Public confidence in the judiciary is eroded
by improper conduct and conduct that creates the appearance
A judge shall comply with the law. of impropriety as defined in this Rule. This principle applies
(Effective Jan. 1, 2011.) to both the professional and personal conduct of a judge.
COMMENT: This rule deals with the judge’s personal con- (2) A judge should expect to be the subject of public scrutiny
duct. A judge’s professional conduct in enforcing the law is that might be viewed as burdensome if applied to other citizens
covered by Rule 2.2. When applying and interpreting the law, and must accept the restrictions imposed by the Code.
a judge sometimes may make good faith errors of fact or law. (3) Conduct that compromises the independence, integrity,
Errors of this kind do not violate this Rule. and impartiality of a judge undermines public confidence in
the judiciary. Because it is not practicable to list all such con-
Rule 1.2. Promoting Confidence in the duct, the Rule is necessarily cast in general terms.
(4) Judges may initiate or participate in activities that pro-
Judiciary mote ethical conduct among judges and lawyers, support pro-
A judge shall act at all times in a manner that fessionalism within the judiciary and the legal profession, and
promotes public confidence in the independence, promote access to justice for all.
(5) A judge may initiate or participate in community activities
integrity, and impartiality of the judiciary and shall for the purpose of promoting public understanding of and confi-
avoid impropriety and the appearance of impro- dence in the administration of justice. In conducting such activi-
priety. The test for appearance of impropriety is ties, the judge must act in a manner consistent with this Code.
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Rule 1.3. Avoiding Abuse of the Prestige of (3) When applying and interpreting the law, a judge some-
Judicial Office times may make good faith errors of fact or law. Errors of this
kind do not violate this Rule.
A judge shall not use or attempt to use the (4) It is not a violation of this Rule for a judge to make
prestige of judicial office to advance the personal reasonable accommodations to ensure self-represented liti-
or economic interests of the judge or others or gants the opportunity to have their matters fairly heard.
allow others to do so. Rule 2.3. Bias, Prejudice, and Harassment
(Effective Jan. 1, 2011.)
COMMENT: (1) It is improper for a judge to use or attempt (a) A judge shall perform the duties of judicial
to use his or her position to gain personal advantage or defer- office, including administrative duties, without bias
ential treatment of any kind. For example, it would be improper or prejudice.
for a judge to allude to his or her judicial status to gain favorable (b) A judge shall not, in the performance of judi-
treatment in encounters with traffic officials. Similarly, a judge cial duties, by words or conduct, manifest bias
must not use judicial letterhead to gain an advantage in con-
ducting his or her personal business. or prejudice or engage in harassment including,
(2) A judge may provide a reference or recommendation but not limited to, bias, prejudice, or harassment
for an individual based on the judge’s personal knowledge. based on race, sex, gender, religion, national ori-
The judge may use official letterhead if the judge indicates gin, ethnicity, disability, age, sexual orientation,
that the reference is personal and if the use of the letterhead marital status, socioeconomic status, or political
would not reasonably be perceived as an attempt to exert affiliation and shall not condone such conduct by
pressure by reason of the judicial office.
(3) Judges may participate in the process of judicial selec- court staff, court officials, or others subject to the
tion by cooperating with appointing authorities and screening judge’s direction and control.
committees and by responding to inquiries from such entities (c) A judge shall require lawyers in proceedings
concerning the professional qualifications of a person being before the court to refrain from manifesting bias
considered for judicial office. or prejudice or engaging in harassment, based
(4) Special considerations arise when judges write or con- on attributes including, but not limited to, race, sex,
tribute to publications of for-profit entities, whether related
or unrelated to the law. A judge should not permit anyone
gender, religion, national origin, ethnicity, disability,
associated with the publication of such materials to exploit the age, sexual orientation, marital status, socioeco-
judge’s office in a manner that violates this Code or other nomic status, or political affiliation against parties,
applicable law. In contracts for publication of a judge’s writing, witnesses, lawyers, or others.
the judge should retain sufficient control over the advertising (d) The restrictions of subsections (b) and (c)
to avoid such exploitation. do not preclude judges or lawyers from making
Canon 2. A Judge Shall Perform the Duties legitimate reference to the listed factors or similar
of Judicial Office Impartially, Competently, factors when they are relevant to an issue in a pro-
and Diligently. ceeding.
(Effective Jan. 1, 2011.)
Rule 2.1. Giving Precedence to the Duties of COMMENT: (1) A judge who manifests bias or prejudice
Judicial Office in a proceeding impairs the fairness of the proceeding and
brings the judiciary into disrepute.
The duties of judicial office, as prescribed by (2) Examples of manifestations of bias or prejudice include,
law, shall take precedence over all of a judge’s but are not limited to, epithets; slurs; demeaning nicknames;
personal and extrajudicial activities. negative stereotyping; attempted humor based on stereo-
(Effective Jan. 1, 2011.) types; threatening, intimidating, or hostile acts; suggestions
COMMENT: (1) To ensure that judges are available to fulfill of connections between race, ethnicity, or nationality and crimi-
their judicial duties, judges must conduct their personal and nality; and irrelevant references to personal characteristics.
extrajudicial activities in such a way as to minimize the risk of Even facial expressions and body language can convey to
conflicts that would result in disqualification. A judge’s personal parties and lawyers in the proceeding, jurors, the media, and
extrajudicial activities shall not be conducted in such a way others an appearance of bias or prejudice. A judge must avoid
as to interfere unduly with the duties of judicial office. See conduct that may reasonably be perceived as prejudiced or
Canon 3. biased.
(2) Although it is not a duty of judicial office, judges are (3) Harassment, as referred to in subsections (b) and (c),
encouraged to initiate or participate in activities that promote is verbal or physical conduct that denigrates or shows hostility
public understanding of and confidence in the justice system. or aversion toward a person on bases such as race, sex,
gender, religion, national origin, ethnicity, disability, age, sex-
Rule 2.2. Impartiality and Fairness ual orientation, marital status, socioeconomic status, or politi-
A judge shall uphold and apply the law and shall cal affiliation.
perform all duties of judicial office fairly and impar- (4) Sexual harassment includes, but is not limited to, sexual
advances, requests for sexual favors, and other verbal or
tially. physical conduct of a sexual nature that is unwelcome.
(Effective Jan. 1, 2011.)
COMMENT: (1) To ensure impartiality and fairness to all Rule 2.4. External Influences on Judicial
parties, a judge must be objective and open-minded. Conduct or Judgment
(2) Although each judge comes to the bench with a unique
background and personal philosophy, a judge must interpret (a) A judge shall not be swayed in the perfor-
and apply the law without regard to whether the judge approves mance of the judge’s judicial duties by public
or disapproves of the law in question. clamor or fear of criticism.
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(b) A judge shall not permit family, social, politi- also on the perceptions of the lawyers and the parties if the
cal, financial, or other interests or relationships to case remains with the judge after settlement efforts are unsuc-
cessful. Among the factors that a judge should consider when
influence the judge’s judicial conduct or judgment. deciding on appropriate settlement practices for a case are: (a)
(c) A judge shall not convey or permit others to whether the parties have requested or voluntarily consented
convey the impression that any person or organi- to a certain level of participation by the judge in settlement
zation is in a position to influence the judge’s judi- discussions, (b) whether the parties and their counsel are
cial conduct or judgment. relatively sophisticated in legal matters, (c) whether the case
(Effective Jan. 1, 2011.) will be tried by the judge or a jury, (d) whether the parties
COMMENT: An independent judiciary requires that judges participate with their counsel in settlement discussions, (e)
decide cases according to the law and facts, without regard whether any parties are unrepresented by counsel, and (f)
to whether particular laws or litigants are popular or unpopular whether the matter is civil or criminal.
with the public, the media, government officials, or the judge’s (3) Judges must be mindful of the effect settlement discus-
friends or family. The integrity of judicial decision making is sions can have, not only on their objectivity and impartiality,
undermined if it is based in whole or in part on inappropriate but also on the appearance of their objectivity and impartiality.
outside influences. Despite a judge’s best efforts, there may be instances when
information obtained during settlement discussions could influ-
Rule 2.5. Competence, Diligence, and Coop- ence a judge’s decision making during trial, and, in such
eration instances, the judge should consider whether disqualification
may be appropriate. See Rule 2.11 (a) (1).
(a) A judge shall perform judicial and adminis-
trative duties competently and diligently. Rule 2.7. Responsibility To Decide
(b) A judge shall cooperate with other judges A judge shall hear and decide matters assigned
and court officials in the administration of court to the judge, except when disqualification is
business. required by Rule 2.11 or other law.
(Effective Jan. 1, 2011.) (Effective Jan. 1, 2011.)
COMMENT: (1) Competence in the performance of judicial COMMENT: Judges must be available to decide the matters
duties requires the legal knowledge, skill, thoroughness, and that come before the court. Although there are times when
preparation reasonably necessary to perform a judge’s disqualification is necessary to protect the rights of litigants
responsibilities of judicial office. and preserve public confidence in the independence, integrity,
(2) A judge should seek the necessary docket time, court and impartiality of the judiciary, judges must be available to
staff, expertise, and resources to discharge all adjudicative decide matters that come before the courts. Unwarranted dis-
and administrative responsibilities.
qualification may bring public disfavor to the court and to the
(3) Prompt disposition of the court’s business requires a
judge personally. The dignity of the court, the judge’s respect
judge to devote adequate time to judicial duties, to be punctual
for fulfillment of judicial duties and a proper concern for the
in attending court and expeditious in determining matters
burdens that may be imposed on the judge’s colleagues
under submission, and to take reasonable measures to ensure
require that a judge not use disqualification to avoid cases
that court officials, litigants, and their lawyers cooperate with
that present difficult, controversial, or unpopular issues.
the judge to that end.
(4) In disposing of matters promptly and efficiently, a judge Rule 2.8. Decorum, Demeanor, and Commu-
must demonstrate due regard for the rights of parties to be
heard and to have issues resolved without unnecessary cost
nication with Jurors
or delay. A judge should monitor and supervise cases in ways (a) A judge shall require order and decorum in
that reduce or eliminate dilatory practices, avoidable delays, proceedings before the court.
and unnecessary costs. (b) A judge shall be patient, dignified, and cour-
Rule 2.6. Ensuring the Right To Be Heard teous to litigants, jurors, witnesses, lawyers, court
(a) A judge shall accord to every person who staff, court officials, and others with whom the
has a legal interest in a proceeding, or that per- judge deals in an official capacity and shall require
son’s lawyer, the right to be heard according to similar conduct of lawyers, court staff, court offi-
law. cials, and others subject to the judge’s direction
(b) A judge may encourage parties to a pro- and control.
ceeding and their lawyers to settle matters in dis- (c) Although a judge may thank jurors for their
pute but shall not act in a manner that coerces willingness to serve, a judge shall not commend
any party into settlement. or criticize jurors with respect to their verdict in a
(Effective Jan. 1, 2011.) case other than in an instruction, order or opinion
COMMENT: (1) The right to be heard is an essential compo- in a proceeding, if appropriate.
nent of a fair and impartial system of justice. Substantive rights (Effective Jan. 1, 2011.)
of litigants can be protected only if procedures protecting the COMMENT: (1) The duty to hear all proceedings with
right to be heard are observed. patience and courtesy is not inconsistent with the duty imposed
(2) The judge plays an important role in overseeing the in Rule 2.5 to dispose promptly of the business of the court.
settlement of disputes but should be careful that efforts to Judges can be efficient and businesslike while being patient
further settlements do not undermine any party’s right to be and deliberate.
heard according to law. The judge should keep in mind the (2) Commending or criticizing jurors for their verdict may
effect that the judge’s participation in settlement discussions imply a judicial expectation in future cases and may impair a
may have, not only on the judge’s own views of the case, but juror’s ability to be fair and impartial in a subsequent case.
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(3) A judge who is not otherwise prohibited by law from (d) A judge shall make reasonable efforts,
doing so may meet with jurors who choose to remain after including providing appropriate supervision, to
trial but shall be careful to avoid discussion of the merits of
the case.
ensure that this Rule is not violated by court staff,
(4) This rule does not purport to prevent a judge from court officials, and others subject to the judge’s
returning a jury for further deliberations if its verdict is insuffi- direction and control.
cient in amount, inaccurate, inconsistent with the court’s (Effective Jan. 1, 2011.)
instructions or otherwise improper in form or substance. COMMENT: (1) To the extent reasonably possible, all par-
ties or their lawyers shall be included in communications with
Rule 2.9. Ex Parte Communications a judge.
(a) A judge shall not initiate, permit, or consider (2) Whenever the presence of a party or notice to a party
is required by this Rule, it is the party’s lawyer, or if the party
ex parte communications or consider other com- is unrepresented, the party, who is to be present or to whom
munications made to the judge outside the pres- notice is to be given.
ence of the parties or their lawyers, concerning a (3) The proscription against communications concerning a
pending or impending matter, except as follows: proceeding includes communications with lawyers, law teach-
(1) When circumstances require it, ex parte ers, and other persons who are not participants in the proceed-
ing, except to the limited extent permitted by this Rule.
communication for scheduling, administrative, or (4) A judge may initiate, permit, or consider ex parte commu-
emergency purposes, which does not address nications expressly authorized by law.
substantive matters, is permitted, provided: (5) A judge may consult with other judges on pending mat-
(A) the judge reasonably believes that no party ters but must avoid ex parte discussions of a case with judges
will gain a procedural, substantive, or tactical who are disqualified from hearing the matter and with judges
who have appellate jurisdiction over the matter.
advantage as a result of the ex parte communica- (6) The prohibition against a judge investigating the facts
tion; and in a matter extends to information available in all mediums,
(B) the judge makes provision promptly to notify including electronic. Nothing in this Rule is intended to relieve
all other parties of the substance of the ex parte a judge of the independent duty to investigate allegations of
communication and gives the parties an opportu- juror misconduct. See State v. Santiago, 245 Conn. 301, 715
nity to respond. A.2d 1 (1998).
(7) A judge may consult ethics advisory committees, outside
(2) A judge may obtain the written advice of a counsel, or legal experts concerning the judge’s compliance
disinterested expert on the law applicable to a with this Code. Such consultations are not subject to the
proceeding before the judge, if the judge gives restrictions of subsection (a) (2).
advance notice to the parties of the person to be Rule 2.10. Judicial Statements on Pending
consulted and the subject matter of the advice to and Impending Cases
be solicited, and affords the parties a reasonable
opportunity to object and to respond to the notice (a) A judge shall not make any public statement
that might reasonably be expected to affect the
and to the written advice received.
outcome or to impair the fairness of a matter pend-
(3) A judge may consult with court staff and
ing or impending in any court or make any non-
court officials whose functions are to aid the judge
public statement that might substantially interfere
in carrying out the judge’s adjudicative responsi- with a fair trial or hearing.
bilities, or with other judges, provided the judge (b) A judge shall not, in connection with cases,
makes reasonable efforts to avoid receiving fac- controversies, or issues that are likely to come
tual information that is not part of the record and before the court, make pledges, promises, or com-
does not abrogate the responsibility personally to mitments that are inconsistent with the impartial
decide the matter. performance of the adjudicative duties of judi-
(4) A judge may, with the consent of the parties, cial office.
confer separately with the parties and their law- (c) A judge may consult with other judges or
yers in an effort to settle matters pending before court staff, court officials, and others subject to
the judge. the judge’s direction and control whose function
(5) A judge may initiate, permit, or consider any is to aid the judge in carrying out the judge’s adju-
ex parte communication when expressly author- dicative responsibilities. However, a judge shall
ized by law to do so. require court staff, court officials, and others sub-
(b) If a judge inadvertently receives an unautho- ject to the judge’s direction and control to refrain
rized ex parte communication bearing on the sub- from making statements that the judge would be
stance of a matter, the judge shall make provision prohibited from making by subsections (a) and (b).
promptly to notify the parties of the substance of (d) Notwithstanding the restrictions in subsec-
the communication and provide the parties with tion (a), a judge may make public statements in
an opportunity to respond. the course of official duties, may explain court
(c) A judge serving as a fact finder shall not procedures, and may comment on any proceed-
investigate facts in a matter independently and ing in which the judge is a litigant in a personal
shall consider only the evidence presented and capacity.
any facts that may properly be judicially noticed. (Effective Jan. 1, 2011.)
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COMMENT: (1) This Rule’s restrictions on judicial speech about the personal economic interests of the
are essential to the maintenance of the independence, integ- judge’s spouse or domestic partner and minor
rity, and impartiality of the judiciary.
(2) This Rule does not prohibit a judge from commenting
children residing in the judge’s household.
on proceedings in which the judge is a litigant in a personal (c) A judge subject to disqualification under this
capacity. In cases in which the judge is a litigant in an official Rule, other than for bias or prejudice under sub-
capacity, such as a writ of mandamus, the judge must not section (a) (1), may ask the parties and their law-
comment publicly. yers to consider, outside the presence of the judge
Rule 2.11. Disqualification and court personnel, whether to waive disqualifi-
cation, provided that the judge shall disclose on
(a) A judge shall disqualify himself or herself in the record the basis of such disqualification. If,
any proceeding in which the judge’s impartiality following the disclosure, the parties and lawyers
might reasonably be questioned including, but not agree, either in writing or on the record before
limited to, the following circumstances: another judge, that the judge should not be dis-
(1) The judge has a personal bias or prejudice qualified, the judge may participate in the pro-
concerning a party or a party’s lawyer, or personal ceeding.
knowledge of facts that are in dispute in the pro- (d) Notwithstanding the foregoing, a judge may
ceeding. contribute to a client security fund maintained
(2) The judge knows that the judge, the judge’s under the auspices of the court, and such contri-
spouse or domestic partner, or a person within bution will not require that the judge disqualify
the third degree of relationship to either of them, himself or herself from service on such a client
or the spouse or domestic partner of such a per- security fund committee or from participation in a
son is: lawyer disciplinary proceeding or in any matter
(A) a party to the proceeding, or an officer, direc- concerning restitution or subrogation relating to
tor, general partner, managing member, or trustee such a client security fund.
of a party; (e) A judge is not automatically disqualified from
(B) acting as a lawyer in the proceeding; sitting on a proceeding merely because a lawyer
(C) a person who has more than a de minimis or party to the proceeding has filed a lawsuit
interest that could be substantially affected by the against the judge or filed a complaint against the
proceeding; or judge with the Judicial Review Council or an
(D) likely to be a material witness in the pro- administrative agency. When the judge becomes
ceeding. aware pursuant to Practice Book Section 1-22 (b)
(3) The judge knows that he or she, individually or 4-8 or otherwise that such a lawsuit or complaint
or as a fiduciary, or the judge’s spouse, domestic has been filed against him or her, the judge shall,
partner, parent, or child, or any other member of on the record, disclose that fact to the lawyers
the judge’s family residing in the judge’s house- and parties to the proceeding before such judge,
hold, has an economic interest in the subject mat- and the judge shall thereafter proceed in accord-
ter in controversy or in a party to the proceeding. ance with Practice Book Section 1-22 (b).
(4) The judge has made a public statement, (f) The fact that the judge was represented or
other than in a court proceeding, judicial decision, defended by the attorney general in a lawsuit that
or opinion that commits or appears to commit the arises out of the judge’s judicial duties shall not be
judge to reach a particular result or rule in a partic- the sole basis for recusal by the judge in lawsuits
ular way in the proceeding or controversy. where the attorney general appears.
(5) The judge: (Effective Jan. 1, 2011.) (Amended June 15, 2018, to take
(A) served as a lawyer in the matter in contro- effect Jan. 1, 2019.)
versy or was associated with a lawyer who partici- COMMENT: (1) Under this Rule, a judge is disqualified
pated substantially as a lawyer in the matter whenever the judge’s impartiality might reasonably be ques-
during such association; tioned, regardless of whether any of the specific provisions of
(B) served in governmental employment and in subsections (a) (1) through (5) apply. In many jurisdictions,
the term ‘‘recusal’’ is used interchangeably with the term ‘‘dis-
such capacity participated personally and sub- qualification.’’
stantially as a lawyer or public official concerning (2) A judge’s obligation not to hear or decide matters in
the proceeding or has publicly expressed in such which disqualification is required applies regardless of whether
capacity an opinion concerning the merits of the a motion to disqualify is filed.
particular matter in controversy; or (3) The rule of necessity may override the rule of disqualifi-
(C) was a material witness concerning the cation. For example, a judge might be required to participate
in judicial review of a judicial salary statute. In matters that
matter. require immediate action, the judge must disclose on the
(b) A judge shall keep informed about the record the basis for possible disqualification and make reason-
judge’s personal and fiduciary economic interests able efforts to transfer the matter to another judge as soon
and make a reasonable effort to keep informed as practicable.
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Rule 2.11 CODE OF JUDICIAL CONDUCT
(4) The fact that a lawyer in a proceeding is affiliated with (b) A judge shall not approve compensation of
a law firm with which a relative of the judge is affiliated does not appointees beyond the fair value of services
itself disqualify the judge. If, however, the judge’s impartiality rendered.
might reasonably be questioned under subsection (a) or the
(Effective Jan. 1, 2011.)
relative is known by the judge to have an interest in the law
COMMENT: (1) Appointees of a judge include, but are
firm that could be substantially affected by the proceeding not limited to, assigned counsel, officials such as referees,
under subsection (a) (2) (C), the judge’s disqualification is commissioners, special masters, receivers, and guardians,
required. and personnel such as clerks, secretaries, and judicial mar-
(5) The Rule does not prevent a judge from relying on shals. Consent by the parties to an appointment or an award
personal knowledge of historical or procedural facts acquired of compensation does not relieve the judge of the obligation
as a result of presiding over the proceeding itself. prescribed by subsection (a).
(6) Subsection (d) is intended to make clear that the restric- (2) Unless otherwise defined by law, nepotism is the
tions imposed by Dacey v. Connecticut Bar Assn., 184 Conn. appointment or hiring of any relative within the third degree
21, 441 A.2d 49 (1981), or any implications therefrom should of relationship of either the judge or the judge’s spouse or
not be considered to apply to judges contributing to a client domestic partner, or the spouse or domestic partner of
security fund under the auspices of the court. such relative.
AMENDMENT NOTE—2011: Comment (7) to Rule 2.11
was adopted by the judges of the Appellate Court on July 15, Rule 2.14. Disability and Impairment
2010, and the justices of the Supreme Court on July 1, 2010. It A judge having a reasonable belief that the per-
was not, however, adopted by the judges of the Superior Court. formance of a lawyer or another judge is impaired
(7) A justice of the Supreme Court or a judge of the Appellate by drugs or alcohol or by a mental, emotional, or
Court is not disqualified from sitting on a proceeding merely
because he or she previously practiced law with the law firm
physical condition, shall take appropriate action,
or attorney who filed an amicus brief in the matter, or the which may include notifying appropriate judicial
justice’s or judge’s spouse, domestic partner, parent, or child, authorities or a confidential referral to a lawyer or
or any other member of the justice’s or judge’s family residing judicial assistance program.
in his or her household is practicing or has practiced law with (Effective Jan. 1, 2011.)
such law firm or attorney. COMMENT: (1) ‘‘Appropriate action’’ means action
intended and reasonably likely to help the judge or lawyer in
Rule 2.12. Supervisory Duties question address the problem. Depending on the circum-
stances, appropriate action may include, but is not limited to,
(a) A judge shall take reasonable measures to speaking directly to the impaired person, notifying an individual
ensure that court staff, court officials, and others with supervisory responsibility over the impaired person, or
subject to the judge’s direction and control act in making a referral to an assistance program.
a manner consistent with the judge’s obligations (2) Taking or initiating corrective action by way of notifying
under this Code. judicial administrators or referral to an assistance program
may satisfy a judge’s responsibility under this Rule. Assistance
(b) A judge with supervisory authority for the programs have many approaches for offering help to impaired
performance of other judges shall take reasonable judges and lawyers, such as intervention, counseling, or refer-
measures to ensure that those judges properly ral to appropriate health care professionals. Depending on the
discharge their judicial responsibilities, including gravity of the conduct that has come to the judge’s attention,
however, the judge may be required to take other action, such
the prompt disposition of matters before them. as reporting the impaired judge or lawyer to the appropriate
(Effective Jan. 1, 2011.) authority, agency, or body. See Rule 2.15.
COMMENT: (1) A judge is responsible for his or her own (3) A client security fund has been established to promote
conduct and for the conduct of others, such as staff, when public confidence in the judicial system and the integrity of the
those persons are acting at the judge’s direction or control. A legal profession by, among other things, a lawyers assistance
judge may not direct court personnel to engage in conduct on program providing crisis intervention and referral assistance
the judge’s behalf or as the judge’s representative when such to attorneys admitted to the practice of law in this state who
conduct would violate the Code if undertaken by the judge. suffer from alcohol or other substance abuse problems or
(2) Public confidence in the judicial system depends on gambling problems or who have behavioral health problems.
timely justice. To promote the efficient administration of justice, See Practice Book Section 2-68.
a judge with supervisory authority must take the steps needed
to ensure that judges under his or her supervision administer Rule 2.15. Responding to Judicial and Law-
their workloads promptly. yer Misconduct
(a) A judge having knowledge that another
Rule 2.13. Administrative Appointments
judge has committed a violation of this Code that
(a) In making or facilitating administrative raises a substantial question regarding the judge’s
appointments, a judge: honesty, trustworthiness, or fitness as a judge in
(1) shall act impartially and on the basis of other respects shall take appropriate action includ-
merit; and ing informing the appropriate authority.
(2) shall avoid nepotism, favoritism, and unnec- (b) A judge having knowledge that a lawyer has
essary appointments. committed a violation of the Rules of Professional
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Conduct that raises a substantial question regarding COMMENT: Cooperation with investigations and proceedings
the lawyer’s honesty, trustworthiness, or fitness as of judicial and lawyer discipline agencies, as required in subsec-
tion (a), instills confidence in judges’ commitment to the integrity
a lawyer in other respects shall take appropriate of the judicial system and the protection of the public.
action including informing the appropriate authority.
(c) A judge who receives information indicating Canon 3. A Judge Shall Conduct the Judge’s
a substantial likelihood that another judge has com- Personal and Extrajudicial Activities To Min-
mitted a violation of this Code shall take appro- imize the Risk of Conflict with the Obliga-
tions of Judicial Office.
priate action.
(d) A judge who receives information indicating Rule 3.1. Extrajudicial Activities in General
a substantial likelihood that a lawyer has committed A judge may engage in extrajudicial activities,
a violation of the Rules of Professional Conduct except as prohibited by law. However, when
shall take appropriate action. engaging in extrajudicial activities, a judge shall
(e) A judge is not required to disclose information not:
gained by the judge while serving as a member of a (1) participate in activities that will interfere with
committee that renders assistance to ill or impaired the proper performance of the judge’s judicial
judges or lawyers or while serving as a member of duties;
a bar association professional ethics committee or (2) participate in activities that will lead to fre-
the Judicial Branch Committee on Judicial Ethics. quent disqualification of the judge;
(Effective Jan. 1, 2011.)
(3) participate in activities that would appear to
COMMENT: (1) Taking appropriate action under the circum-
a reasonable person to undermine the judge’s
stances to address known misconduct is a judge’s obligation. independence, integrity, or impartiality;
Except as otherwise provided in subsection (e), subsections (4) engage in conduct that would appear to a
(a) and (b) impose an obligation on the judge to report to the reasonable person to be coercive; or
appropriate disciplinary authority the known misconduct of (5) make use of court premises, staff, statio-
another judge or a lawyer that raises a substantial question nery, equipment, or other resources, except for
regarding the honesty, trustworthiness, or fitness of that judge incidental use or for activities that concern the
or lawyer. Ignoring or denying known misconduct among one’s law, the legal system, or the administration of jus-
judicial colleagues or members of the legal profession under- tice, or unless such additional use is permitted
mines a judge’s responsibility to participate in efforts to ensure by law.
public respect for the justice system. This Rule limits the reporting (Effective Jan. 1, 2011.)
obligation to those offenses that an independent judiciary must COMMENT: (1) To the extent that time permits, and judicial
vigorously endeavor to prevent. independence and impartiality are not compromised, judges
(2) A judge who does not have actual knowledge that another are encouraged to engage in appropriate extrajudicial activi-
judge or a lawyer may have committed misconduct, but receives ties. Judges are uniquely qualified to engage in extrajudicial
information indicating a substantial likelihood of such miscon- activities that concern the law, the legal system, and the admin-
duct, is required to take appropriate action under subsections istration of justice, such as by speaking, writing, teaching, or
(c) and (d), except as otherwise provided in subsection (e). participating in scholarly research projects. In addition, judges
Appropriate action may include, but is not limited to, communicat- are permitted and encouraged to engage in educational, reli-
gious, charitable, fraternal or civic extrajudicial activities not
ing directly with the judge who may have violated this Code,
conducted for profit, even when the activities do not involve
communicating with a supervising judge, or reporting the sus- the law. See Rule 3.7.
pected violation to the appropriate authority or other agency (2) Participation in both law related and other extrajudicial
or body. activities helps integrate judges into their communities and
(3) Similarly, actions to be taken in response to information furthers public understanding of and respect for courts and
indicating that a lawyer has committed a violation of the Rules the judicial system.
of Professional Conduct may include, but are not limited to, (3) Discriminatory actions and expressions of bias or preju-
communicating directly with the lawyer who may have committed dice by a judge, even outside the judge’s official or judicial
the violation or reporting the suspected violation to the appro- actions, are likely to appear to a reasonable person to call
priate authority or other agency or body. into question the judge’s integrity and impartiality. Examples
include jokes or other remarks that demean individuals based
Rule 2.16. Cooperation with Disciplinary on their race, sex, gender, religion, national origin, ethnicity,
disability, age, sexual orientation, or socioeconomic status.
Authorities For the same reason, a judge’s extrajudicial activities must
(a) A judge shall cooperate and be candid and not be conducted in connection or affiliation with an organiza-
tion that practices unlawful discrimination. See Rule 3.6.
honest with judicial and lawyer disciplinary (4) While engaged in permitted extrajudicial activities,
agencies. judges must not coerce others or take action that would rea-
(b) A judge shall not retaliate, directly or indirectly, sonably be perceived as coercive. For example, depending
against a person known or suspected to have on the circumstances, a judge’s solicitation of contributions or
memberships for an organization, even as permitted by Rule
assisted or cooperated with an investigation of a 3.7 (a), might create the risk that the person solicited would
judge or a lawyer. feel obligated to respond favorably or would do so to curry
(Effective Jan. 1, 2011.) favor with the judge.
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Rule 3.2. Appearances before Governmen- in such instances, however, a judge should assess the appro-
tal Bodies and Consultation with Govern- priateness of accepting an appointment, paying particular
attention to the subject matter of the appointment and the
ment Officials availability and allocation of judicial resources, including the
A judge shall not appear voluntarily at a public judge’s time commitments, and giving due regard to the
hearing before, or otherwise consult with, an exec- requirements of the independence and impartiality of the
utive or a legislative body or official, except: judiciary.
(2) A judge may represent his or her country, state, or
(1) in connection with matters concerning the locality on ceremonial occasions or in connection with histori-
law, the legal system, or the administration of cal, educational, or cultural activities. Such representation
justice; does not constitute acceptance of a government position.
(2) in connection with matters about which the (3) This rule is intended to prohibit a judge from participation
judge acquired knowledge or expertise in the in governmental committees, boards, commissions or other
course of the judge’s judicial duties; or governmental positions that make or implement public policy
unless they concern the law, the legal system or the adminis-
(3) when the judge is acting in a matter involving tration of justice.
the judge’s legal or economic interests or when
the judge is acting in a fiduciary capacity. Rule 3.5. Use of Confidential Information
(Effective Jan. 1, 2011.) A judge shall not intentionally disclose or use
COMMENT: (1) Judges possess special expertise in mat- confidential information acquired in a judicial
ters of law, the legal system, and the administration of justice capacity for any purpose unrelated to the judge’s
and may properly share that expertise with governmental bod-
ies and executive or legislative branch officials.
judicial duties unless the judge is acting on infor-
(2) In appearing before governmental bodies or consulting mation necessary to protect the health or safety
with government officials, judges must be mindful that they of the judge, a member of the judge’s family, court
remain subject to other provisions of this Code, such as Rule personnel, a judicial officer or any other person if
1.3, prohibiting judges from using the prestige of office to consistent with other provisions of this Code.
advance their own or others’ interests; Rule 2.10, governing (Effective Jan. 1, 2011.)
public comment on pending and impending matters; and Rule COMMENT: In the course of performing judicial duties, a
3.1 (3), prohibiting judges from engaging in extrajudicial activi- judge may acquire information of commercial or other value
ties that would appear to a reasonable person to undermine that is unavailable to the public. The judge must not reveal or
the judge’s independence, integrity, or impartiality. use such information for personal gain or for any purpose
(3) In general, it would be an unnecessary and unfair burden unrelated to his or her judicial duties.
to prohibit judges from appearing before governmental bodies
or consulting with government officials on matters that are Rule 3.6. Affiliation with Discriminatory
likely to affect them as private citizens, such as zoning propos- Organizations
als affecting their real property. In engaging in such activities, (a) A judge shall not hold membership in any
however, a judge should state affirmatively that the judge is organization that practices unlawful discrimination
not acting in his or her official capacity and must otherwise
exercise caution to avoid using the prestige of judicial office. on the basis of race, sex, gender, religion, national
origin, ethnicity, physical or mental disability, or
Rule 3.3. Testifying as a Character Witness sexual orientation. When a judge learns that an
A judge shall not testify as a character witness organization to which the judge belongs engages
in a judicial, administrative, or other adjudicatory in unlawful discrimination, the judge must resign
proceeding or otherwise vouch for the character immediately from the organization.
of a person in a legal proceeding, except when (b) A judge shall not use the benefits or facilities
duly summoned. of an organization if the judge knows or should
(Effective Jan. 1, 2011.) know that the organization practices unlawful dis-
COMMENT: A judge who, without being duly summoned, crimination on one or more of the bases identified
testifies as a character witness abuses the prestige of judicial in subsection (a). A judge’s attendance at an event
office to advance the interests of another. See Rule 1.3. Except
in unusual circumstances where the demands of justice
in a facility of an organization that the judge is not
require, a judge should discourage a party from requiring the permitted to join is not a violation of this Rule
judge to testify as a character witness. when the judge’s attendance is an isolated event
that could not reasonably be perceived as an
Rule 3.4. Appointments to Governmental endorsement of the organization’s practices.
Positions (Effective Jan. 1, 2011.)
A judge shall not accept appointment to a Rule 3.7. Participation in Educational, Reli-
governmental committee, board, commission, or gious, Charitable, Fraternal, or Civic Organi-
other governmental position, unless it is one that zations and Activities
concerns the law, the legal system, or the adminis- (a) Subject to the requirements of Rule 3.1, a
tration of justice. judge may participate in activities sponsored by
(Effective Jan. 1, 2011.)
COMMENT: (1) Rule 3.4 implicitly acknowledges the value organizations or governmental entities concerned
of judges accepting appointments to entities that concern the with the law, the legal system, or the administra-
law, the legal system, or the administration of justice. Even tion of justice, and those sponsored by or on
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CODE OF JUDICIAL CONDUCT Rule 3.9
behalf of educational, religious, charitable, frater- Such activities are not solicitation and do not present an ele-
nal, or civic organizations not conducted for profit ment of coercion or abuse the prestige of judicial office.
(4) Identification of a judge’s position in educational, reli-
including, but not limited to, the following activities: gious, charitable, fraternal, or civic organizations on letterhead
(1) assisting such an organization or entity in used for fund-raising or membership solicitation does not vio-
planning related to fund-raising and participating late this Rule. The letterhead may list the judge’s title or judicial
in the management and investment of the organi- office if comparable designations are used for other persons.
zation’s or entity’s funds; (5) In addition to appointing lawyers to serve as counsel
(2) soliciting contributions for such an organiza- for indigent parties in individual cases, a judge may promote
tion or entity, but only from members of the judge’s broader access to justice by encouraging lawyers to participate
family, or from judges over whom the judge does in pro bono publico legal services if, in doing so, the judge
does not employ coercion or abuse the prestige of judicial
not exercise supervisory or appellate authority; office. Such encouragement may take many forms, including
(3) soliciting membership for such an organiza- providing lists of available programs, training lawyers to do
tion or entity, even though the membership dues pro bono publico legal work, and participating in events recog-
or fees generated may be used to support the nizing lawyers who have done pro bono publico work.
objectives of the organization or entity but only if
the organization or entity is concerned with the Rule 3.8. Appointments to Fiduciary Posi-
law, the legal system, or the administration of tions
justice; (a) A judge shall not accept appointment to
(4) appearing or speaking at, receiving an serve in a fiduciary position, such as executor,
award or other recognition at, being featured on administrator, trustee, guardian, attorney in fact,
the program of, and permitting his or her title to or other personal representative, except for the
be used in connection with an event of such an estate, trust, or person of a member of the judge’s
organization or entity, but if the event serves a family, and then only if such service will not inter-
fund-raising purpose, the judge may participate fere with the proper performance of judicial duties.
only if the event concerns the law, the legal sys- (b) A judge shall not serve in a fiduciary position
tem, or the administration of justice; if the judge as fiduciary will likely be engaged
(5) making recommendations to such a public in proceedings that would ordinarily come before
or private fund-granting organization or entity in the judge or if the estate, trust, or ward becomes
connection with its programs and activities but involved in adversary proceedings in the court on
only if the organization or entity is concerned with which the judge serves or one under its appel-
the law, the legal system, or the administration of late jurisdiction.
justice; and (c) A judge acting in a fiduciary capacity shall
(6) serving as an officer, director, trustee, or be subject to the same restrictions on engaging in
nonlegal advisor of such an organization or entity, financial activities that apply to a judge personally.
unless it is likely that the organization or entity: (d) If a person who is serving in a fiduciary
(A) will be engaged in proceedings that would position becomes a judge, he or she must comply
ordinarily come before the judge; or with this Rule as soon as reasonably practicable
(B) will frequently be engaged in adversary pro- but in no event later than one year after becoming
ceedings in the court of which the judge is a mem- a judge.
ber or in any court subject to the appellate (Effective Jan. 1, 2011.)
jurisdiction of the court of which the judge is a COMMENT: A judge should recognize that other restric-
member. tions imposed by this Code may conflict with a judge’s obliga-
(b) A judge may encourage lawyers to provide tions as a fiduciary; in such circumstances, a judge should
pro bono publico legal services. resign as fiduciary. For example, serving as a fiduciary might
(Effective Jan. 1, 2011.) require frequent disqualification of a judge under Rule 2.11
COMMENT: (1) The activities permitted by subsection (a) because a judge is deemed to have an economic interest in
generally include those sponsored by or undertaken on behalf shares of stock held by a trust if the amount of stock held is
of public or private not-for-profit educational institutions and more than de minimis.
other not-for-profit organizations, including law related, chari-
table, and other organizations. Rule 3.9. Service as Arbitrator or Mediator
(2) Even for law related organizations, a judge should con- A judge shall not act as an arbitrator or a media-
sider whether the membership and purposes of the organiza- tor or perform other judicial functions apart from
tion, or the nature of the judge’s participation in or association
with the organization, would conflict with the judge’s obligation the judge’s official duties unless expressly author-
to refrain from activities that reflect adversely on a judge’s ized by law.
independence, integrity, and impartiality. (Effective Jan. 1, 2011.)
(3) Mere attendance at an event, whether or not the event COMMENT: This Rule does not prohibit a judge from partici-
serves a fund-raising purpose, does not constitute a violation pating in arbitration, mediation, or settlement conferences per-
of subsection (a) (4). It is also generally permissible for a judge formed as part of official judicial duties. Rendering dispute
to serve as an usher or a food server or preparer, or to perform resolution services apart from those duties, whether or not for
similar functions, at fund-raising events sponsored by educa- economic gain, is prohibited unless it is expressly authorized
tional, religious, charitable, fraternal, or civic organizations. by law.
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Rule 3.10. Practice of Law such acceptance would appear to a reasonable
Except as provided herein, a judge shall not person to undermine the judge’s independence,
practice law. A judge may act as a self-repre- integrity, or impartiality.
sented party and may, without compensation, give (Effective Jan. 1, 2011.)
COMMENT: (1) A judge is permitted to accept honoraria,
legal advice to and draft or review documents for stipends, fees, wages, salaries, royalties, or other compensa-
a member of the judge’s family but is prohibited tion for speaking, teaching, writing, and other extrajudicial
from serving as the family member’s lawyer in activities, provided the compensation is reasonable and com-
any forum. mensurate with the task performed. The judge should be mind-
(Effective Jan. 1, 2011.) ful, however, that judicial duties must take precedence over
COMMENT: A judge may act as a self-represented party other activities. See Rule 2.1.
in all legal matters, including matters involving litigation and (2) Compensation derived from extrajudicial activities may
matters involving appearances before or other dealings with be subject to public reporting. See Rule 3.15.
governmental bodies. A judge must not use the prestige of
office to advance the judge’s personal or family interests. See Rule 3.13. Acceptance and Reporting of
Rule 1.3. Gifts, Loans, Bequests, Benefits, or Other
Things of Value
Rule 3.11. Financial, Business, or Remuner-
ative Activities (a) A judge shall not accept any gifts, loans,
bequests, benefits, or other things of value, if
(a) A judge may hold and manage investments acceptance is prohibited by law or would appear
of the judge and members of the judge’s family. to a reasonable person to undermine the judge’s
(b) A judge shall not serve as an officer, director, independence, integrity, or impartiality.
manager, general partner or advisor of any busi- (b) Unless otherwise prohibited by law, or by
ness entity except for: subsection (a), a judge may accept the following
(1) a business closely held by the judge or mem- without publicly reporting such acceptance:
bers of the judge’s family; or (1) items with little intrinsic value, such as
(2) a business entity primarily engaged in plaques, certificates, trophies, and greeting cards;
investment of the financial resources of the judge (2) gifts, loans, bequests, benefits, or other things
or members of the judge’s family. of value from friends, relatives, or other persons,
(c) A judge shall not engage in financial activi- including lawyers, whose appearance or interest
ties permitted under subsections (a) and (b) if in a proceeding pending or impending before the
they will: judge would in any event require disqualification
(1) interfere with the proper performance of judi- of the judge under Rule 2.11;
cial duties; (3) ordinary social hospitality;
(2) lead to frequent disqualification of the judge; (4) commercial or financial opportunities and
(3) involve the judge in frequent transactions or benefits, including special pricing and discounts,
continuing business relationships with lawyers or and loans from lending institutions in their regular
other persons likely to come before the court on course of business, if the same opportunities and
which the judge serves; or benefits or loans are made available on the same
(4) result in violation of other provisions of terms to similarly situated persons who are not
this Code. judges;
(Effective Jan. 1, 2011.)
COMMENT: (1) Judges are generally permitted to engage (5) rewards and prizes given to competitors or
in financial activities, including managing real estate and other participants in random drawings, contests, or
investments for themselves or for members of their families. other events that are open to persons who are
Participation in these activities, like participation in other extra- not judges;
judicial activities, is subject to the requirements of this Code. (6) scholarships, fellowships, and similar bene-
For example, it would be improper for a judge to spend so fits or awards, if they are available to similarly
much time on business activities that it interferes with the
performance of judicial duties. See Rule 2.1. Similarly, it would
situated persons who are not judges, based on
be improper for a judge to use his or her official title or to the same terms and criteria;
appear in judicial robes in business advertising, or to conduct (7) books, magazines, journals, audiovisual
his or her business or financial affairs in such a way that materials, and other resource materials supplied
disqualification is frequently required. See Rules 1.3 and 2.11. by publishers on a complimentary basis for official
(2) As soon as practicable without serious financial detri- use; or
ment, the judge must divest himself or herself of investments (8) gifts, awards, or benefits associated with the
and other financial interests that might require frequent dis-
qualification or otherwise violate this Rule. business, profession, or other separate activity
of a spouse, a domestic partner, or other family
Rule 3.12. Compensation for Extrajudicial member of a judge residing in the judge’s house-
Activities hold but that incidentally benefit the judge.
A judge may accept reasonable compensation (c) Unless otherwise prohibited by law or by
for extrajudicial activities permitted by law unless subsection (a), a judge may accept the following
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CODE OF JUDICIAL CONDUCT Rule 3.14
items and must report such acceptance to the Rule 3.14. Reimbursement of Expenses and
extent required by Rule 3.15: Waivers of Fees or Charges
(1) gifts incident to a public testimonial; (a) Unless otherwise prohibited by Rules 3.1
(2) invitations to the judge and the judge’s and 3.13 (a) or other law, a judge may accept
spouse, domestic partner, or guest to attend with- reimbursement of necessary and reasonable
out charge: expenses for travel, food, lodging, or other inci-
(A) an event associated with a bar related func- dental expenses, or a waiver or partial waiver
tion or other activity relating to the law, the legal of fees or charges for registration, tuition, and
system, or the administration of justice; or similar items, from sources other than the judge’s
(B) an event associated with any of the judge’s employing entity, if the expenses or charges are
educational, religious, charitable, fraternal or civic associated with the judge’s participation in extra-
activities permitted by this Code, if the same invi- judicial activities permitted by this Code.
tation is offered to nonjudges who are engaged (b) Reimbursement of expenses for necessary
in similar ways in the activity as is the judge. travel, food, lodging, or other incidental expenses
(Effective Jan. 1, 2011.) shall be limited to the actual costs reasonably
COMMENT: (1) Whenever a judge accepts a gift or other
thing of value without paying fair market value, there is a risk incurred by the judge or a reasonable allowance
that the benefit might be viewed as intended to influence the therefor and, when appropriate to the occasion,
judge’s decision in a case. Rule 3.13 imposes restrictions on by the judge’s spouse, domestic partner, or guest.
the acceptance of such benefits, according to the magnitude (c) A judge who accepts reimbursement of
of the risk. Subsection (b) identifies circumstances in which expenses or waivers or partial waivers of fees
the risk that the acceptance would appear to undermine the
judge’s independence, integrity, or impartiality is low and
or charges on behalf of the judge or the judge’s
explicitly provides that such items need not be publicly spouse, domestic partner, or guest shall publicly
reported. As the value of the benefit or the likelihood that the report such acceptance as required by Rule 3.15.
source of the benefit will appear before the judge increases, (Effective Jan. 1, 2011.)
the judge is either prohibited under subsection (a) from COMMENT: (1) Educational, civic, religious, fraternal, and
accepting the gift, or required under subsection (c) to publicly charitable organizations often sponsor meetings, seminars,
report it. symposia, dinners, awards ceremonies, and similar events.
(2) Gift giving between friends and relatives is a common Judges are encouraged to attend educational programs, as
occurrence and ordinarily does not create an appearance of both teachers and participants, in law related and academic
impropriety or cause reasonable persons to believe that the disciplines, in furtherance of their duty to remain competent
judge’s independence, integrity, or impartiality has been com- in the law. Participation in a variety of other extrajudicial activity
promised. In addition, when the appearance of friends or rela- is also permitted and encouraged by this Code.
tives in a case would require the judge’s disqualification under (2) Not infrequently, sponsoring organizations invite certain
Rule 2.11, there would be no opportunity for a gift to influence judges to attend seminars or other events on a fee-waived or
the judge’s decision making. Subsection (b) (2) places no partial-fee-waived basis and sometimes include reimburse-
restrictions on the ability of a judge to accept gifts or other ment for necessary travel, food, lodging, or other incidental
things of value from friends or relatives under these circum- expenses. A judge’s decision whether to accept reimburse-
stances and does not require public reporting. ment of expenses or a waiver or partial waiver of fees or
(3) Businesses and financial institutions frequently make charges in connection with these or other extrajudicial activities
available special pricing, discounts, and other benefits, either must be based on an assessment of all the circumstances.
in connection with a temporary promotion or for preferred Per diem allowances shall be reasonably related to the actual
customers, based on longevity of the relationship, volume of costs incurred. The judge must undertake a reasonable inquiry
business transacted, and other factors. A judge may freely to obtain the information necessary to make an informed judg-
accept such benefits if they are available to the general public ment about whether acceptance would be consistent with the
or if the judge qualifies for the special price or discount requirements of this Code.
according to the same criteria as are applied to persons who (3) A judge must assure himself or herself that acceptance
are not judges. As an example, loans provided at generally of reimbursement or fee waivers would not appear to a reason-
prevailing interest rates are not gifts, but a judge could not able person to undermine the judge’s independence, integrity,
accept a loan from a financial institution at below-market inter- or impartiality. The factors that a judge should consider when
est rates unless the same rate was being made available to deciding whether to accept reimbursement or a fee waiver for
the general public for a certain period of time or only to borrow- attendance at a particular activity include:
ers with specified qualifications that the judge also possesses. (a) whether the sponsor is an accredited educational institu-
(4) Rule 3.13 applies only to acceptance of gifts or other tion or bar association rather than a trade association or a
things of value by a judge. Nonetheless, if a gift or other benefit for-profit entity;
is given to the judge’s spouse, domestic partner, or member (b) whether the funding comes largely from numerous con-
of the judge’s family residing in the judge’s household, it may tributors rather than from a single entity and is earmarked for
be viewed as an attempt to evade Rule 3.13 and influence programs with specific content;
the judge indirectly. Where the gift or benefit is being made (c) whether the content is related or unrelated to the subject
primarily to such other persons, and the judge is merely an matter of litigation pending or impending before the judge or
incidental beneficiary, this concern is reduced. A judge should, to matters that are likely to come before the judge;
however, remind family and household members of the restric- (d) whether the activity is primarily educational rather than
tions imposed on judges and urge them to take these restric- recreational and whether the costs of the event are reasonable
tions into account when making decisions about accepting and comparable to those associated with similar events spon-
such gifts or benefits. sored by the judiciary, bar associations, or similar groups;
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Rule 3.14 CODE OF JUDICIAL CONDUCT
(e) whether information concerning the activity and its fund- (3) publicly endorse or oppose a candidate for
ing sources is available upon inquiry; any public office;
(f) whether the sponsor or source of funding is generally
associated with particular parties or interests currently
(4) solicit funds for, pay an assessment to, or
appearing or likely to appear in the judge’s court, thus possibly make a contribution to a political organization or
requiring disqualification of the judge under Rule 2.11; a candidate for public office;
(g) whether differing viewpoints are presented; and (5) attend or purchase tickets for dinners or
(h) whether a broad range of judicial and nonjudicial partici- other events sponsored by a political organization
pants are invited, whether a large number of participants are or a candidate for public office;
invited, and whether the program is designed specifically for
judges. (6) seek, accept, or use endorsements from a
political organization;
Rule 3.15. Reporting Requirements (7) knowingly, or with reckless disregard for the
(a) A judge shall publicly report the amount or truth, make any false or misleading statement
value of: in connection with the appointment or reappoint-
(1) compensation received for extrajudicial ment process;
activities as permitted by Rule 3.12; (8) make any statement that would reasonably
(2) gifts and other things of value as permitted be expected to affect the outcome or impair the
by Rule 3.13 (c), unless the value of such items, fairness of a matter pending or impending in any
alone or in the aggregate with other items received court; or
from the same source in the same calendar year, (9) in connection with cases, controversies, or
does not exceed $250; and issues that are likely to come before the court,
(3) reimbursement of expenses and waiver of make pledges, promises, or commitments that are
fees or charges permitted by Rule 3.14 (a), unless inconsistent with the impartial performance of the
the amount of reimbursement or waiver, alone or adjudicative duties of judicial office.
in the aggregate with other reimbursements or (b) A judge shall take reasonable measures to
waivers received from the same source in the ensure that other persons do not undertake, on
same calendar year, does not exceed $250. behalf of the judge, any activities prohibited under
(b) When public reporting is required by sub- subsection (a).
section (a), a judge shall report the date, place, (c) A judge should not engage in any other
and nature of the activity for which the judge political activity except on behalf of measures to
received any compensation; the description of any improve the law, the legal system, or the adminis-
gift, loan, bequest, benefit, or other thing of value tration of justice.
accepted; and the source of reimbursement of (Effective Jan. 1, 2011.)
expenses or waiver or partial waiver of fees or COMMENT:
charges. General Considerations
(c) The public report required by subsection (a) (1) Even when subject to reappointment or when seeking
shall be made at least annually, except that for elevation to a higher office, a judge plays a role different from
reimbursement of expenses and waiver or partial that of a legislator or executive branch official. Rather than
waiver of fees or charges, the report shall be made making decisions based on the expressed views or prefer-
within thirty days following the conclusion of the ences of the public, a judge makes decisions based on the
event or program. law and the facts of every case. Therefore, in furtherance of
this interest, judges must, to the greatest extent possible, be
(d) Reports made in compliance with this Rule free and appear to be free from political influence and political
shall be filed as public documents in the Office pressure. This Canon imposes narrowly tailored restrictions
of the Chief Court Administrator or other office on the political activities of all judges and sitting judges seeking
designated by law. reappointment or appointment to a higher judicial office.
(Effective Jan. 1, 2011.)
Participation in Political Activities
Canon 4. A Judge Shall Not Engage in Politi- (2) Public confidence in the independence and impartiality
cal or Campaign Activity that Is Inconsistent of the judiciary is eroded if judges are perceived to be subject
with the Independence, Integrity, or Impar- to political influence. Although judges may register to vote as
tiality of the Judiciary. members of a political party, they are prohibited by subsection
(a) (1) from assuming leadership roles in political organi-
Rule 4.1. Political Activities of Judges in zations.
General (3) Subsections (a) (2) and (a) (3) prohibit judges from
(a) Except as permitted by law, or by Rules 4.2 making speeches on behalf of political organizations or publicly
and 4.3, a judge shall not: endorsing or opposing candidates for public office, respec-
tively, to prevent them from abusing the prestige of judicial
(1) act as a leader in, or hold an office in, a office to advance the interests of others. See Rule 1.3.
political organization; (4) Although members of the families of judges are free to
(2) make speeches on behalf of a political orga- engage in their own political activity, including running for
nization; public office, there is no ‘‘family exception’’ to the prohibition
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CODE OF JUDICIAL CONDUCT Rule 4.3
in subsection (a) (3) against a judge publicly endorsing candi- (13) A judge may make promises related to judicial organi-
dates for public office. A judge must not become involved in, zation, administration, and court management, such as a
or publicly associated with, a family member’s political activity promise to dispose of a backlog of cases, start court sessions
or campaign for public office. To avoid public misunder- on time, or avoid favoritism in appointments and hiring. A judge
standing, judges should take, and should urge members of may also pledge to take action outside the courtroom, such
their families to take, reasonable steps to avoid any implication as working toward an improved jury selection system or advo-
that they endorse any family member’s candidacy or other cating for more funds to improve the physical plant and ameni-
political activity. ties of the courthouse.
(5) Judges retain the right to participate in the political pro- (14) Judges may receive questionnaires or requests for
cess as voters in both primary and general elections. interviews from the media and from issue advocacy or other
community organizations that seek to learn their views on
Statements and Comments Made By a Sitting Judge disputed or controversial legal or political issues. Subsection
When Seeking Reappointment for (a) (13) does not specifically address judicial responses to
Judicial Office or Elevation to a such inquiries. Depending on the wording and format of such
Higher Judicial Office questionnaires, judges’ responses might be viewed as
(6) Judges must be scrupulously fair and accurate in all pledges, promises, or commitments to perform the adjudica-
statements made by them. Subsection (a) (7) obligates judges tive duties of office other than in an impartial way. To avoid
to refrain from making statements that are false or misleading violating subsection (a) (13), therefore, judges who respond
or that omit facts necessary to make the communication con- to media and other inquiries should also give assurances that
sidered as a whole not materially misleading. they will keep an open mind and will carry out their adjudicative
(7) Judges are sometimes the subject of false, misleading, duties faithfully and impartially. Judges who do not respond
or unfair allegations made by third parties or the media. For may state their reasons for not responding, such as the danger
example, false or misleading statements might be made that answering might be perceived by a reasonable person
regarding the identity, present position, experience, qualifica- as undermining a judge’s independence or impartiality or that
tions, or judicial rulings of a judge. In other situations, false it might lead to frequent disqualification. See Rule 2.11.
or misleading allegations may be made that bear on a judge’s
integrity or fitness for judicial office. As long as the judge does Rule 4.2. Activities of Judges as Candidates
not violate subsection (a) (7), (a) (8), or (a) (9), the judge may for Reappointment or Elevation to Higher
make a factually accurate public response. See Rule 2.10. Judicial Office
(8) Subject to subsection (a) (8), a judge is permitted to
respond directly to false, misleading, or unfair allegations
A judge who is a candidate for reappointment
made against him or her, although it is preferable for someone or elevation to higher judicial office may:
else to respond if the allegations relate to a pending case. (a) communicate with the appointing or confirm-
(9) Subsection (a) (8) prohibits judges from making com- ing authority, including any selection, screening,
ments that might impair the fairness of pending or impending or nominating commission or similar agency; and
judicial proceedings. This provision does not restrict rulings, (b) seek endorsements for the appointment
statements, or instructions by a judge that may appropriately
affect the outcome of a matter. from any person or organization other than a par-
tisan political organization, provided that such
Pledges, Promises, or Commitments Inconsistent with endorsement or the request therefor would not
Impartial Performance of the Adjudicative appear to a reasonable person to undermine the
Duties of Judicial Office
judge’s independence, integrity or impartiality.
(10) The role of a judge is different from that of a legislator (Effective Jan. 1, 2011.)
or executive branch official. Sitting judges seeking reap- COMMENT: (1) When seeking support or when communi-
pointment or elevation must conduct themselves differently cating directly with an appointing or confirming authority, a
from persons seeking other offices. Narrowly drafted restric- judge must not make any pledges, promises, or commitments
tions on the activities of judges provided in Canon 4 allow that are inconsistent with the impartial performance of the
judges to provide the appointing authority with sufficient infor- adjudicative duties of the office. See Rule 4.1 (a) (9).
mation to permit it to make an informed decision. (2) It is never acceptable to seek an endorsement of an
(11) Subsection (a) (9) makes applicable to judges the advocacy group or a group whose interests have or are likely
prohibition that applies to judges in Rule 2.10 (b), relating to to come before the judge.
pledges, promises, or commitments that are inconsistent with
the impartial performance of the adjudicative duties of judi- Rule 4.3. Activities of Judges Who Become
cial office. Candidates for Public Office
(12) The making of a pledge, promise, or commitment is
not dependent on, or limited to, the use of any specific words
(a) Upon becoming a candidate for an elective
or phrases; instead, the totality of the statement must be exam- public office either in a party primary or a general
ined to determine if a reasonable person would believe that election, a judge shall resign from judicial office,
the judge has specifically undertaken to reach a particular unless permitted by law to continue to hold judicial
result. Pledges, promises, or commitments must be contrasted office. A judge may continue to hold judicial office
with statements or announcements of personal views on legal, while being a candidate for election to or serving
political, or other issues, which are not prohibited. When mak-
ing such statements, a judge should acknowledge the over- as a delegate in a state constitutional convention.
arching judicial obligation to apply and uphold the law, without (b) Upon becoming a candidate for an appoint-
regard to his or her personal views. ive public office, a judge is not required to resign
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Rule 4.3 CODE OF JUDICIAL CONDUCT
from judicial office, provided that the judge com- make in the course of campaigning for elective public office
plies with the other provisions of this Code. together dictate that a judge who wishes to run for such an
office must resign upon becoming a candidate.
(Effective Jan. 1, 2011.)
(2) The ‘‘resign to run’’ rule set forth in subsection (a)
COMMENT: (1) In campaigns for elective public office, can- ensures that a judge cannot use the judicial office to promote
didates may make pledges, promises, or commitments related his or her candidacy and prevents postcampaign retaliation
to positions they would take and ways they would act if elected from the judge in the event the judge is defeated in the election.
to office. Although appropriate in public campaigns, this man- When a judge is seeking appointive public office, however,
ner of campaigning is inconsistent with the role of a judge, the dangers are not sufficient to warrant imposing the ‘‘resign
who must remain fair and impartial to all who come before to run’’ rule. However, the judge should be careful to avoid
him or her. The potential for misuse of the judicial office and presiding over matters affecting the entity to which the judge
the political promises that the judge would be compelled to is seeking public office.
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CHAPTER AND SECTION HEADINGS OF THE RULES
CHAPTER AND SECTION HEADINGS OF THE RULES
SUPERIOR COURT—GENERAL PROVISIONS
CHAPTER 1 2-3. Bar Examining Committee
2-4. —Regulations by Bar Examining Committee
SCOPE OF RULES 2-4A. —Records of Bar Examining Committee
Sec. 2-5. —Examination of Candidates for Admission
1-1. Scope of Rules; Definitions 2-5A. —Good Moral Character and Fitness To Prac-
1-2. Assignments To Take Precedence tice Law
1-3. Divisions of Superior Court 2-6. —Personnel of Bar Examining Committee
1-4. Family Division 2-7. Number of Times an Applicant May Sit for the
1-5. Civil Division Examination
1-6. Criminal Division 2-8. Qualifications for Admission
1-7. Housing Division (Only in Judicial Districts Speci- 2-9. Certification of Applicants Recommended for
fied by Statute) Admission; Conditions of Admission
1-8. Rules To Be Liberally Interpreted 2-10. Admission by Superior Court; Admission in
1-9. Publication of Rules; Effective Date Absentia
1-9A. —Judiciary Committee; Placement of Rules Infor- 2-11. Monitoring Compliance with Conditions of Admis-
mation on Judicial Branch Website sion; Removal or Modification of Conditions
1-9B. —Emergency Powers of Rules Committee 2-11A. Appeal from Decision of Bar Examining Commit-
E1-9C. —Adjustment or Suspension of Time or Location tee concerning Conditions of Admission
Requirement 2-12. County Committees on Recommendations for
1-10. Possession of Electronic Devices in Court Admission
Facilities 2-13. Attorneys of Other Jurisdictions; Qualifications
1-10A. Definition of ‘‘Media’’ and Requirements for Admission
1-10B. Media Coverage of Court Proceedings; In General 2-13A. Military Spouse Temporary Licensing
1-11. Media Coverage of Criminal Proceedings 2-14. —Action by Bar; Temporary License [Repealed]
[Repealed] 2-15. —Permanent License [Repealed]
1-11A. Media Coverage of Arraignments 2-15A. —Authorized House Counsel
1-11B. Media Coverage of Civil Proceedings 2-16. —Attorney Appearing Pro Hac Vice
1-11C. Media Coverage of Criminal Proceedings 2-17. Foreign Legal Consultants; Licensing Require-
1-11D. Pilot Program To Increase Public Access to Child ments
Protection Proceedings [Repealed]
2-18. —Filings To Become Foreign Legal Consultant
1-12. Court Opening
2-19. —Scope of Practice of Foreign Legal Consultants
1-13. Recess and Adjournment
2-20. —Disciplinary Provisions regarding Foreign
1-13A. Contempt
Legal Consultants
1-14. —Criminal Contempt
2-21. —Affiliation of Foreign Legal Consultant with the
1-15. —Who May Be Punished [Repealed]
Bar of the State of Connecticut
1-16. —Summary Criminal Contempt
2-22. Disposition of Fees for Admission to the Bar
1-17. —Deferral of Proceedings
1-18. —Nonsummary Contempt Proceedings 2-23. Roll of Attorneys
1-19. —Judicial Authority Disqualification in Nonsum- 2-24. Notice by Attorney of Admission in Other Juris-
mary Contempt Proceedings dictions
1-20. —Where No Right to Jury Trial in Nonsummary 2-25. Notice by Attorney of Disciplinary Action in
Proceeding Other Jurisdictions
1-21. —Nonsummary Judgment 2-26. Notice by Attorney of Change in Address
1-21A. —Civil Contempt 2-27. Clients’ Funds; Attorney Registration
1-22. Disqualification of Judicial Authority 2-27A. Minimum Continuing Legal Education
1-23. Motion for Disqualification of Judicial Authority 2-27B. Enforcement of Attorney Registration and Mini-
1-24. Record of Off-Site Judicial Proceedings mum Continuing Legal Education; Administra-
1-25. Actions Subject to Sanctions tive Suspension
2-28. Overdraft Notification
2-28A. Attorney Advertising; Mandatory Filing
CHAPTER 2 2-28B. —Advisory Opinions
ATTORNEYS 2-29. Grievance Panels
2-30. Grievance Counsel for Panels and Investigators
Sec. 2-31. Powers and Duties of Grievance Counsel
2-1. County Court Designations concerning Bar 2-32. Filing Complaints against Attorneys; Action;
Admission Process Time Limitation
2-2. Admission 2-33. Statewide Grievance Committee
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CHAPTER AND SECTION HEADINGS OF THE RULES
2-34. Statewide Bar Counsel 2-70. —Client Security Fund Fee
2-34A. Disciplinary Counsel 2-71. —Eligible Claims
2-35. Action by Statewide Grievance Committee or 2-72. —Client Security Fund Committee
Reviewing Committee 2-73. —Powers and Duties of Client Security Fund Com-
2-36. Action by Statewide Grievance Committee on mittee
Request for Review 2-74. —Regulations of Client Security Fund Committee
2-37. Sanctions and Conditions Which May Be Imposed 2-75. —Processing Claims
by Committees 2-76. —Confidentiality
2-38. Appeal from Decision of Statewide Grievance 2-77. —Review of Status of Fund
Committee or Reviewing Committee Imposing 2-78. —Attorney’s Fee for Prosecuting Claim
Sanctions or Conditions 2-79. —Enforcement of Payment of Fee
2-39. Reciprocal Discipline 2-80. —Restitution by Attorney
2-40. Discipline of Attorneys Found Guilty of Serious 2-81. —Restitution and Subrogation
Crimes in Connecticut 2-82. Admission of Misconduct; Discipline by Consent
2-41. Discipline of Attorneys Found Guilty of Serious
2-83. Effective Dates
Crimes in Another Jurisdiction
2-42. Conduct Constituting Threat of Harm to Clients
2-43. Notice by Attorney of Alleged Misuse of Clients’ CHAPTER 3
Funds and Garnishments of Lawyers’ Trust
Accounts APPEARANCES
2-44. Power of Superior Court To Discipline Attorneys Sec.
and To Restrain Unauthorized Practice 3-1. Appearance for Plaintiff on Writ or Complaint in
2-44A. Definition of the Practice of Law Civil and Family Cases
2-45. —Cause Occurring in Presence of Court 3-2. Time To File Appearance
2-46. Suspension of Attorneys Who Violate Support 3-3. Form and Signing of Appearance
Orders 3-4. Filing Appearance
2-47. Presentments and Unauthorized Practice of 3-5. Service of Appearances on Other Parties
Law Petitions 3-6. Appearances for Bail, Detention Hearing or Alter-
2-47A. Disbarment of Attorney for Misappropriation of native Arraignment Proceedings Only
Funds
3-7. Consequence of Filing Appearance
2-47B. Restrictions on the Activities of Deactivated
3-8. Appearance for Represented Party
Attorneys
3-9. Withdrawal of Appearance; Duration of Appear-
2-48. Designee To Prosecute Presentments
ance
2-49. Restitution
2-50. Records of Statewide Grievance Committee, 3-10. Motion To Withdraw Appearance
Reviewing Committee and Grievance Panel 3-11. Appearance for Several Parties
2-51. Costs and Expenses 3-12. Change in Name, Composition or Membership of
2-52. Resignation and Waiver of Attorney Facing Disci- a Firm or Professional Corporation
plinary Investigation 3-13. When Creditor May Appear and Defend
2-53. Reinstatement after Suspension, Disbarment or 3-14. Legal Interns
Resignation 3-15. —Supervision of Legal Interns
2-54. Publication of Notice of Reprimand, Suspension, 3-16. —Requirements and Limitations
Disbarment, Resignation, Placement on Inac- 3-17. —Activities of Legal Intern
tive Status or Reinstatement 3-18. —Certification of Intern
2-55. Retirement of Attorney—Right of Revocation 3-19. —Legal Internship Committee [Repealed]
2-55A. Retirement of Attorney—Permanent 3-20. —Unauthorized Practice
2-56. Inactive Status of Attorney 3-21. —Out-of-State Interns
2-57. —Prior Judicial Determination of Incompetency or E3-22. Certified Law School Graduates
Involuntary Commitment
2-58. —No Prior Determination of Incompetency or CHAPTER 4
Involuntary Commitment
2-59. —Disability Claimed during Course of Disciplin- PLEADINGS
ary Proceeding
2-60. —Reinstatement upon Termination of Disability Sec.
2-61. —Burden of Proof in Inactive Status Proceedings 4-1. Form of Pleading
2-62. —Waiver of Doctor-Patient Privilege upon Appli- 4-2. Signing of Pleading
cation for Reinstatement 4-3. Filing and Endorsing Pleadings
2-63. Definition of Respondent 4-4. Electronic Filing
2-64. Appointment of Attorney To Protect Clients’ and 4-5. Notice Required for Ex Parte Temporary Injunc-
Attorney’s Interests tions
2-65. Good Standing of Attorney 4-6. Page Limitations for Briefs, Memoranda of Law and
2-66. Practice by Court Officials Reply Memoranda
2-67. Payment of Attorneys by Bank and Trust Com- 4-7. Personal Identifying Information To Be Omitted or
panies Redacted from Court Records in Civil and Fam-
2-68. Client Security Fund Established ily Matters
2-68A. —Crisis Intervention and Referral Assistance 4-8. Notice of Complaint or Action Filed against Judi-
2-69. —Definition of Dishonest Conduct cial Authority
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CHAPTER AND SECTION HEADINGS OF THE RULES
CHAPTER 5 CHAPTER 7
TRIALS CLERKS; FILES AND RECORDS
Sec. Sec.
5-1. Trial Briefs 7-1. Dockets; Clerk’s Records
5-2. Raising Questions of Law Which May Be the Sub- 7-2. General Duties of Clerk
ject of an Appeal 7-3. Financial Accounts
5-3. Administering Oath 7-4. Daybook
5-4. Examination of Witnesses 7-4A. Identification of Cases
5-5. Objections to Evidence; Interlocutory Questions; 7-4B. Motion To File Record under Seal
Exceptions Not Required 7-4C. Lodging a Record
5-6. Reception of Evidence Objected to 7-5. Notice To Attorneys and Self-Represented Parties
5-7. Marking Exhibits 7-6. Filing of Papers
5-8. Interlocutory Matters 7-7. Custody of Files
5-9. Citation of Opinion Not Officially Published 7-8. Lost File or Pleading
[Repealed] 7-9. Completing Records
5-10. Sanctions for Counsel’s Failure To Appear 7-10. Retention and Destruction of Files and Records;
5-11. Testimony of Party or Child in Family Relations Mat- Withdrawals, Dismissals, Satisfactions of Judg-
ter When Protective Order, Restraining Order, ment
Standing Criminal Protective Order or Standing 7-11. —Judgments on the Merits—Stripping and Reten-
Criminal Restraining Order Issued on Behalf of tion
Party or Child 7-12. —Actions Affecting the Title to Land
5-12. Objection to the Use of a Peremptory Challenge 7-13. —Criminal/Motor Vehicle Files and Records
7-14. —Reports from Adult Probation and Family
Division
CHAPTER 6 7-15. —Retention Ordered by Chief Court Administrator;
JUDGMENTS Transfer to State Library
7-16. —Motion To Prevent Destruction of File
Sec. 7-17. Clerks’ Offices
6-1. Statement of Decision; When Required 7-18. Hospital, Psychiatric and Medical Records
6-2. Judgment Files; Captions and Contents 7-19. Issuing Subpoenas for Witnesses on Behalf of Self-
6-3. —Preparation; When; By Whom; Filing Represented Litigants
6-4. —Signing of Judgment File 7-20. Records of Short Calendar Matters
6-5. —Notation of Satisfaction 7-21. Removing Exhibits and Other Papers
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS
CHAPTER 8 CHAPTER 9
COMMENCEMENT OF ACTION PARTIES
Sec. Sec.
8-1. Process 9-1. Continuance for Absent or Nonresident Defendant
9-2. Defense by Garnishee; Continuance
8-2. Waiver of Court Fees and Costs
9-3. Joinder of Parties and Actions; Interested Persons
8-3. Bond for Prosecution [Repealed] as Plaintiffs
8-3A. Bond for Prosecution or Recognizance 9-4. —Joinder of Plaintiffs in One Action
8-4. Certification of Financial Responsibility 9-5. —Consolidation of Actions
[Repealed] 9-6. —Interested Persons as Defendants
8-5. Remedy for Failure To Give Bond [Repealed] 9-7. Class Actions; Prerequisites to Class Actions
8-6. Bond Ordered by Judicial Authority [Repealed] 9-8. —Class Actions Maintainable
8-7. Request To Furnish Bond [Repealed] 9-9. —Procedure for Class Certification and Manage-
ment of Class
8-8. Member of Community Defending To Give Bond
9-10. —Orders To Ensure Adequate Representation
[Repealed]
9-11. Executor, Administrator or Trustee of Express
8-9. Bond by Nonresident in Realty Action [Repealed] Trust
8-10. Surety Company Bond Acceptable 9-12. Personal Representatives of Cocontractor
8-11. Action on Probate Bond; Endorsement of Writ 9-13. Persons Liable on Same Instrument
[Repealed] 9-14. Defendants Alternately Liable
8-12. Renewal of Bond 9-15. Assignee of Part Interest
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CHAPTER AND SECTION HEADINGS OF THE RULES
9-16. Assignment Pending Suit 10-45. —Stricken Pleading Part of Another Cause or
9-17. Unsatisfied Judgment against One Defendant Defense
9-18. Addition or Substitution of Parties; Additional Par- 10-46. The Answer; General and Special Denial
ties Summoned in by Court 10-47. —Evasive Denials
9-19. —Nonjoinder and Misjoinder of Parties 10-48. —Express Admissions and Denials To Be Direct
9-20. —Substituted Plaintiff and Specific
9-21. —Counterclaim; Third Parties 10-49. —Suit by Corporation; Admission by General
9-22. —Motion To Cite in New Parties Denial
9-23. Suit by Real Party in Interest 10-50. —Denials; Special Defenses
9-24. Change of Name by Minor Child 10-51. —Several Special Defenses
9-25. Action on Bond to Municipal Officer 10-52. —Admissions and Denials in Special Defense
10-53. —Pleading Contributory Negligence
CHAPTER 10 10-54. —Pleading of Counterclaim and Setoff
10-55. —Withdrawal of Action after Counterclaim
PLEADINGS 10-56. Subsequent Pleadings; Plaintiff’s Response to
Answer
Sec. 10-57. —Matter in Avoidance of Answer
10-1. Fact Pleading 10-58. —Pleadings Subsequent to Reply
10-2. Pleading Legal Effect 10-59. Amendments; Amendment as of Right by Plaintiff
10-3. Allegations Based on Statutory Grounds; Foreign 10-60. —Amendment by Consent, Order of Judicial
Law Authority, or Failure To Object
10-4. Implied Duty 10-61. —Pleading after Amendment
10-5. Untrue Allegations or Denials 10-62. —Variance; Amendment
10-6. Pleadings Allowed and Their Order 10-63. —Amendment; Legal or Equitable Relief
10-7. Waiving Right To Plead 10-64. —Amendment Calling for Legal Relief; Jury Trial
10-8. Time To Plead 10-65. —Amending Contract to Tort and Vice Versa
10-9. Common Counts 10-66. —Amendment of Amount in Demand
10-10. Supplemental Pleadings; Counterclaims 10-67. —Amendment of Claim against Insolvent Estate
10-11. Impleading of Third Party by Defendant in Civil 10-68. Pleading Special Matters; Pleading Notice
Action 10-69. —Foreclosure Complaint; Pleading Encum-
10-12. Service of the Pleading and Other Papers; Respon- brances
sibility of Counsel or Self-Represented Party: 10-70. —Foreclosure of Municipal Liens
Documents and Persons To Be Served 10-71. —Action on Probate Bond
10-13. —Method of Service 10-72. —Action by Assignee of Chose in Action
10-14. —Proof of Service 10-73. —Pleading Charters
10-15. —Numerous Defendants 10-74. —Wrongful Sale; Wrongful Conversion
10-16. —Several Parties Represented by One Attorney 10-75. —Goods Sold; Variance
10-17. —Service by Indifferent Person 10-76. —Probate Appeals; Reasons of Appeal
10-18. Penalty for Failing To Plead 10-77. —Appeals from Commissioners
10-19. Implied Admissions 10-78. —Pleading Collateral Source Payments
10-20. Contents of Complaint 10-79. —Pleading Issues of Policy Limitations
10-21. Joinder of Causes of Action
10-22. —Transactions Connected with Same Subject CHAPTER 11
10-23. —Joinder of Torts
10-24. —Legal and Equitable Relief MOTIONS, REQUESTS, ORDERS OF NOTICE
10-25. Alternative Relief AND SHORT CALENDAR
10-26. Separate Counts
10-27. Claim for Equitable Relief Sec.
10-28. Interest and Costs Need Not Be Claimed 11-1. Form of Motion and Request
10-29. Exhibits as Part of Pleading 11-2. Definition of ‘‘Motion’’ and ‘‘Request’’
10-30. Motion To Dismiss; Grounds 11-3. Motion for Misjoinder of Parties
10-31. —Opposition; Date for Hearing Motion To Dismiss 11-4. Applications for Orders of Notice
10-32. —Waiver Based on Certain Grounds 11-5. Subsequent Orders of Notice; Continuance
10-33. —Waiver and Subject Matter Jurisdiction 11-6. Notice by Publication
10-34. —Further Pleading by Defendant 11-7. Attestation; Publication; Proof of Compliance
10-35. Request To Revise 11-8. Orders of Notice Directed outside of the United
10-36. —Reasons in Request To Revise States of America
10-37. —Granting of and Objection to Request To Revise 11-9. Disclosure of Previous Applications
10-38. —Waiver of Pleading Revisions 11-10. Requirement That Memorandum of Law Be Filed
10-39. Motion To Strike; Grounds with Certain Motions
10-40. —Opposition; Date for Hearing Motion To Strike 11-11. Motions Which Delay the Commencement of the
10-41. —Reasons in Motion To Strike [Repealed] Appeal Period or Cause the Appeal Period To
10-42. —Memorandum of Law—Motion and Objection Start Again
[Repealed] 11-12. Motion To Reargue
10-43. —When Memorandum of Decision Required on 11-13. Short Calendar; Need for List; Case Assigned for
Motion To Strike Trial; Reclaims
10-44. —Substitute Pleading; Judgment 11-14. —Short Calendar; Frequency; Time; Lists
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CHAPTER AND SECTION HEADINGS OF THE RULES
11-15. —Short Calendar; Assignments Automatic 13-27. —Notice of Deposition; General Requirements;
11-16. —Continuances when Counsel’s Presence or Oral Special Notice; Nonstenographic Recording;
Argument Required Production of Documents and Things; Deposi-
11-17. —Transfers on Short Calendar tion of Organization
11-18. —Oral Argument of Motions in Civil Matters 13-28. —Persons before Whom Deposition Taken; Sub-
11-19. —Time Limit for Deciding Short Calendar Matters poenas
11-20. Closure of Courtroom in Civil Cases 13-29. —Place of Deposition
11-20A. Sealing Files or Limiting Disclosure of Documents 13-30. —Deposition Procedure
in Civil Cases 13-31. —Use of Depositions in Court Proceedings
11-20B. —Documents Containing Personal Identifying 13-32. Stipulations regarding Discovery and Deposition
Information Procedure
11-21. Motions for Attorney’s Fees 13-33. Claim of Privilege or Protection after Production
CHAPTER 12 CHAPTER 14
TRANSFER OF ACTIONS DOCKETS, TRIAL LISTS, PRETRIALS AND
ASSIGNMENT LISTS
Sec.
Sec.
12-1. Procedure for Transfer
14-1. Claim for Statutory Exemption or Stay by Reason
12-2. Transfer of Action Filed in Wrong Location of Cor-
of Bankruptcy
rect Court
14-2. Claim for Exemption from Docket Management
12-3. Transmission of Files and Papers Program by Reason of Bankruptcy
14-3. Dismissal for Lack of Diligence
CHAPTER 13 14-4. Maintenance of Case Records
DISCOVERY AND DEPOSITIONS 14-5. Definition of Administrative Appeals
14-6. Administrative Appeals Are Civil Actions
Sec. 14-7. Administrative Appeals; Exceptions
13-1. Definitions 14-7A. —Administrative Appeals Brought Pursuant to
13-2. Scope of Discovery; In General General Statutes § 4-183 et seq.; Appearances;
13-3. —Materials Prepared in Anticipation of Litigation; Records, Briefs and Scheduling
Statements of Parties; Privilege Log 14-7B. Administrative Appeals from Municipal Land Use,
13-4. —Experts Historic and Resource Protection Agencies;
13-5. —Protective Order Records, Briefs and Scheduling; Withdrawal or
13-6. Interrogatories; In General Settlement
13-7. —Answers to Interrogatories 14-8. Certifying That Pleadings Are Closed
13-8. —Objections to Interrogatories 14-9. Privileged Cases in Assignment for Trial
13-9. Requests for Production, Inspection and Examina- 14-10. Claims for Jury
tion; In General 14-11. Pretrial; Assignment for Pretrial
13-10. —Responses to Requests for Production; 14-12. —When Case Not Disposed of at Pretrial
Objections 14-13. —Pretrial Procedure
13-11. —Physical or Mental Examination 14-14. —Orders at Pretrial
13-11A. —Motion for Authorization To Obtain Protected 14-15. Assignments for Trial in General
Health Information 14-16. Methods of Assigning Cases for Trial
13-12. Disclosure of Amount and Provisions of Insurance 14-17. Immediate Trial
Liability Policy 14-18. Cases Reached for Trial
13-12A. Disclosure of Medicare Enrollment, Eligibility and 14-19. Cases Marked Settled
Payments Received 14-20. Order of Trial
14-21. Clerk To Communicate with Counsel in Cases
13-13. Disclosure of Assets in Cases in Which Prejudg-
Assigned for Week Certain
ment Remedy Sought
14-22. Assignment for Trial on Motion of Garnishee
13-14. Order for Compliance; Failure To Answer or Com-
14-23. Motions To Continue or Postpone Case Assigned
ply with Order
for Trial
13-15. Continuing Duty To Disclose
14-24. Motion To Postpone; Absent Witness; Missing
13-16. Orders by Judge Evidence
13-17. Disclosure before Court or Committee 14-25. Availability of Counsel for Trial
13-18. Disclosures in Equity
13-19. Disclosure of Defense CHAPTER 15
13-20. Discovery Sought by Judgment Creditor
13-21. Discovery outside the United States of America TRIALS IN GENERAL; ARGUMENT BY
13-22. Admission of Facts and Execution of Writings; COUNSEL
Requests for Admission Sec.
13-23. —Answers and Objections to Requests for 15-1. Order of Trial
Admission 15-2. Separate Trials
13-24. —Effect of Admission 15-3. Motion in Limine
13-25. —Expenses on Failure To Admit 15-4. Medical Evidence
13-26. Depositions; In General 15-5. Order of Parties Proceeding at Trial
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CHAPTER AND SECTION HEADINGS OF THE RULES
15-6. Opening Argument 17-4A. Motions for New Trial
15-7. Time Limit on Argument 17-5. Record of Proceeding; Facts Supporting
15-8. Dismissal in Court Cases for Failure To Make Out Judgment To Appear on Record
a Prima Facie Case 17-6. Form of Finding
17-7. Special Finding; Request
CHAPTER 16 17-8. —Functions of Special Finding
17-9. —Form and Contents of Special Finding
JURY TRIALS 17-10. Modifying Judgment after Appeal
Sec. 17-11. Offer of Compromise by Defendant; How Made
16-1. Jurors Who Are Deaf or Hard of Hearing 17-12. —Acceptance of Defendant’s Offer
16-2. Challenge to Array 17-13. —Defendant’s Offer Not Accepted
16-3. Preliminary Proceedings in Jury Selection 17-14. Offer of Compromise by Plaintiff; How Made
16-4. Disqualification of Jurors and Selection of Panel 17-14A. —Alleged Negligence of Health Care Provider
16-5. Peremptory Challenges 17-15. —Acceptance of Plaintiff’s Offer
16-6. Voir Dire Examination 17-16. —Plaintiff’s Offer Not Accepted
16-7. Juror Questions and Note Taking 17-17. —Offer of Compromise and Acceptance Included
16-8. Oath and Admonitions to Trial Jurors in Record
16-9. Questions of Law and Fact 17-18. —Judgment where Plaintiff Recovers an Amount
16-10. Order by Judicial Authority for Jury Trial of Factual Equal to or Greater than Offer
Issues in Equitable Actions 17-19. Procedure where Party Fails To Comply with Order
16-11. Cases Presenting Both Legal and Equitable Issues of Judicial Authority or To Appear for Trial
16-12. View by Jury of Place or Thing Involved in Case 17-20. Motion for Default and Nonsuit for Failure To
16-13. Judgment of the Court Appear
16-14. Communications between Parties and Jurors 17-21. Defaults under Servicemembers Civil Relief Act
16-15. Materials To Be Submitted to Jury 17-22. Notice of Judgments of Nonsuit and Default for Fail-
16-16. Jury Deliberations ure To Enter an Appearance
16-17. Jury Returned for Reconsideration 17-23. Contract Actions To Pay a Definite Sum where
16-18. Interrogatories to the Jury There Is a Default for Failure To Appear; Limi-
16-19. Reading of Statement of Amount in Demand or tations
Statement of Claim; Arguing Amount Recov- 17-24. —Promise To Pay Liquidated Sum
erable 17-25. —Motion for Default and Judgment; Affidavit of
16-20. Requests To Charge and Exceptions; Necessity for Debt; Military Affidavit; Bill of Costs; Debt
16-21. —Requests To Charge on Specific Claims Instrument
16-22. —Filing Requests 17-26. —Order for Weekly Payments
16-23. —Form and Contents of Requests To Charge 17-27. —Entry of Judgment
16-24. —Charge Conference 17-28. —Enforcement of Judgment
16-25. Modification of Instructions for Correction or Clarifi- 17-29. —Default Motion Not on Short Calendar
cation 17-30. Summary Process; Default and Judgment for Fail-
16-26. Other Instructions after Additional Instructions ure To Appear or Plead
16-27. Jury Request for Review of Testimony 17-31. Procedure where Party Is in Default
16-28. Jury Request for Additional Instructions 17-32. Where Defendant Is in Default for Failure To Plead
16-29. Deadlocked Jury 17-33. When Judgment May Be Rendered after a Default
16-30. Verdict; Return of Verdict 17-33A. Motions for Judgment of Foreclosure
16-31. —Acceptance of Verdict 17-34. Hearings in Damages; Notice of Defenses
16-32. —Poll of Jury after Verdict 17-35. —Requirements of Notice; Time
16-33. —Discharge of Jury 17-36. —Notice by Clerk
16-34. —Impeachment of Verdict 17-37. —Notice of Defense To Be Specific
16-35. Motions after Verdict: Motions in Arrest of Judg- 17-38. —Amending Notice of Defense
ment, To Set Aside Verdict, for Additur or 17-39. —No Reply Allowed
Remittitur, for New Trial, or for Collateral 17-40. —Evidence To Reduce Damages
Source Reduction 17-41. Relief Permissible on Default
16-36. Motions To Reduce Verdict [Repealed] (Trans- 17-42. Opening Defaults where Judgment Has Not Been
ferred to Section 17-2A.) Rendered
16-37. Reservation of Decision on Motion for Directed 17-43. Opening Judgment upon Default or Nonsuit
Verdict 17-44. Summary Judgments; Scope of Remedy
16-38. Memorandum on Setting Verdict Aside 17-45. —Proceedings upon Motion for Summary Judg-
ment
CHAPTER 17 17-46. —Form of Affidavits
17-47. —When Appropriate Documents Are Unavailable
JUDGMENTS 17-48. —Affidavits Made in Bad Faith
17-49. —Judgment
Sec. 17-50. —Triable Issue as to Damages Only
17-1. Judgments in General 17-51. —Judgment for Part of Claim
17-2. Judgment on Verdict and Otherwise 17-52. Executions
17-2A. Motions To Reduce Verdict 17-53. Summary Process Executions
17-3. Remittitur where Judgment Too Large 17-54. Declaratory Judgment; Scope
17-4. Setting Aside or Opening Judgments 17-55. —Conditions for Declaratory Judgment
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CHAPTER AND SECTION HEADINGS OF THE RULES
17-56. —Procedure for Declaratory Judgment 20-4. Trial before Judge; Lodging File and Papers
17-57. —Costs in Declaratory Judgment 20-5. Lodging Papers in Cause Affecting Land
17-58. —Declaratory Judgment Appealable 20-6. Clerk Designated by Judge To Take Papers
17-59. —Order of Priorities in Declaratory Judgment
CHAPTER 21
CHAPTER 18
RECEIVERS
FEES AND COSTS
Sec.
Sec. 21-1. Appointment of Temporary Receiver in Chambers
18-1. Vouchers for Court Expenses 21-2. Permanent Receiver
18-2. Costs on Appeal from Commissioners 21-3. Appointments by Court
18-3. Costs on Creditor’s Appeal 21-4. Receiver To Give Bond
18-4. Eminent Domain; Clerk’s Fees 21-5. Inventory
18-5. Taxation of Costs; Appeal 21-6. Insolvent Estates To Be Liquidated
18-6. Costs on Writ of Error 21-7. Presentation and Allowance of Claims; Presen-
18-7. Costs on Interlocutory Proceedings tation
18-8. Jury Fee where More than One Trial 21-8. —Allowance; Hearing
18-9. Nonresident Witnesses; Fees 21-9. —Extensions of Time
18-10. Witness Fees in Several Suits 21-10. —Hearing before Action on Allowance
18-11. Witness Not Called; Fees 21-11. Continuance of Business
18-12. Costs where Several Issues 21-12. Reports where Business Continued
18-13. Several Defendants; Costs 21-13. Semiannual Summary of Orders
18-14. Fees and Costs where Plaintiffs Join or Actions 21-14. Semiannual Accounts
Are Consolidated 21-15. Orders in Chambers
18-15. Costs where Both Legal and Equitable Issues 21-16. Duty of Clerks
18-16. Costs on Complaint and Counterclaim 21-17. Removal of Receivers
18-17. Costs on Counterclaim 21-18. Ancillary Receivers
18-18. Costs for Exhibits 21-19. Receiver of Rents; Applicability of Previous
18-19. Proceedings before Judge; No Costs Sections
21-20. —Appointment
CHAPTER 19 21-21. —Bond
21-22. —Discharge
REFERENCES 21-23. —Orders
21-24. —Reports
Sec.
19-1. Application of Chapter CHAPTER 22
19-2. Reference to Committee
19-2A. Reference to Attorney Trial Referee UNEMPLOYMENT COMPENSATION
19-3. Reference to Judge Trial Referee
19-3A. Reference to Special Assignment Probate Judge Sec.
19-4. Attorney Trial Referees and Special Assignment 22-1. Appeal
Probate Judges; Time To File Report 22-2. Assignment for Hearing
19-5. Appointment of Committee or Referee 22-3. Finding
19-6. Effect of Reference 22-4. Correction of Finding; Motion To Correct Finding
19-7. Pleadings 22-5. —Evidence To Be Filed by Appellee
19-8. Report 22-6. —Motion To Correct by Appellee
19-9. Request for Finding 22-7. —Duty of Board on Motion To Correct
19-10. Alternative Report 22-8. —Claiming Error on Board’s Decision on Motion
19-11. Amending Report To Correct
19-12. Motion To Correct [Repealed] 22-9. Function of the Court
19-13. Exceptions to Report or Finding [Repealed]
19-14. Objections to Acceptance of Report CHAPTER 23
19-15. Time To File Objections
19-16. Judgment on the Report MISCELLANEOUS REMEDIES AND
19-17. Function of the Court PROCEDURES
19-18. Extensions of Time
19-19. Reference to Accountant Sec.
23-1. Arbitration; Confirming, Correcting or Vacating
CHAPTER 20 Award
23-2. Expedited Process Cases [Repealed]
HEARINGS IN CHAMBERS 23-3. —Placement on the Expedited Process Track
[Repealed]
Sec. 23-4. —Pleadings Allowed in Expedited Process Track
20-1. Procedure in Contested Matters Cases [Repealed]
20-2. Certifying Proceedings to Court 23-5. —Motions Allowed [Repealed]
20-3. Transfer of Hearings before Judges 23-6. —Discovery Allowed [Repealed]
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CHAPTER AND SECTION HEADINGS OF THE RULES
23-7. —Discovery Procedure for Expedited Process 23-56. —Finding of Facts
Cases [Repealed] 23-57. —Objections to Acceptance of Finding of Facts
23-8. —Certification That Pleadings Are Closed 23-58. —Action by Judicial Authority
[Repealed] 23-59. —Failure To Appear at Hearing
23-9. —Case Management Conference for Expedited 23-60. Arbitration; Approval of Arbitrators
Process Track Cases [Repealed] 23-61. —Referral of Cases to Arbitrators
23-10. —Transfer to Regular Docket [Repealed] 23-62. —Selection of Arbitrators; Disqualification
23-11. —Offers of Judgment [Repealed] 23-63. —Hearing in Arbitration
23-12. —Trial of Cases on Expedited Process Track 23-64. —Decision of Arbitrator
[Repealed] 23-65. —Failure To Appear at Hearing before Arbitrator
23-13. Granting of Complex Litigation Status and 23-66. —Claim for Trial De Novo in Arbitration; Judgment
Assignment 23-67. Alternative Dispute Resolution
23-14. —Powers of Judge Assigned in Complex Litiga- 23-68. Where Presence of Person May Be by Means of an
tion Cases Interactive Audiovisual Device
23-15. —Request for Complex Litigation Status
23-16. Foreclosure of Mortgages CHAPTER 24
23-17. —Listing of Law Days
23-18. —Proof of Debt in Foreclosures SMALL CLAIMS
23-19. —Motion for Deficiency Judgment Sec.
23-20. Review of Civil Contempt 24-1. In General
23-21. Habeas Corpus 24-2. Allowable Actions
23-22. —The Petition 24-3. Institution of Actions; Electronic Filing
23-23. —Return of Noncomplying Petition 24-4. Where Claims Shall Be Filed
23-24. —Preliminary Consideration of Judicial Authority 24-5. Venue
23-25. —Waiver of Filing Fees and Costs of Service 24-6. Definition of ‘‘Plaintiff’’ and ‘‘Representative’’
23-26. —Appointment of Counsel 24-7. What Constitutes File
23-27. —Venue for Habeas Corpus 24-8. Institution of Small Claims Actions; Beginning of
23-28. —Transfer of Habeas Corpus Action
23-29. —Dismissal 24-9. —Preparation of Writ
23-30. —The Return 24-10. —Service of Small Claims Writ and Notice of Suit
23-31. —Reply to the Return 24-11. —Further Service of Claim [Repealed]
23-32. —Amendments 24-12. —Answer Date
23-33. —Request for a More Specific Statement 24-13. —Alternative Method of Commencing Action
23-34. —Summary Procedures for Habeas Corpus [Repealed]
Petitions 24-14. —Notice of Time and Place of Hearing
23-35. —Schedule for Filing Pleadings 24-15. —Scheduling of Hearings; Continuances
23-36. —The Expanded Record 24-16. Answers; Requests for Time To Pay
23-37. —Summary Judgment in Habeas Corpus 24-17. —Prohibition of Certain Filings
23-38. —Discovery in Habeas Corpus 24-18. —Plaintiff To Inquire as to Answer Filed [Repealed]
23-39. —Depositions in Habeas Corpus 24-19. —Claim of Setoff or Counterclaim
23-40. —Court Appearance in Habeas Corpus 24-20. —Amendment of Claim or Answer, Setoff or Coun-
23-41. —Motion for Leave To Withdraw Appearance of terclaim; Motion To Dismiss
Appointed Counsel 24-20A. —Request for Documents; Depositions
24-21. Transfer to Regular Docket
23-42. —Judicial Action on Motion for Permission To With-
24-22. Hearings in Small Claims Actions; Subpoenas
draw Appearance
24-23. —Procedure
23-43. Interpleader; Pleadings
24-24. Judgments in Small Claims; When Presence of the
23-44. —Procedure in Interpleader Plaintiff or Representative Is Not Required for
23-45. Mandamus; Parties Plaintiff; Complaint Entry of Judgment
23-46. —Mandamus Complaint [Repealed] 24-25. —Failure of the Defendant To Answer
23-47. —Mandamus in a Pending Action 24-26. —Failure of a Party To Appear before the Court
23-48. —Temporary Order of Mandamus when Required
23-49. —Pleadings in Mandamus 24-27. —Dismissal for Failure To Obtain Judgment
23-50. Writs of Error 24-28. —Finality of Judgments and Decisions
23-51. Petition To Open Parking or Citation Assessment 24-29. —Decision in Small Claims; Time Limit
23-52. Fact-Finding; Approval of Fact Finders 24-30. —Satisfying Judgment
23-53. —Referral of Cases to Fact Finders 24-31. —Opening Judgment; Costs
23-54. —Selection of Fact Finders; Disqualification 24-32. Execution in Small Claims Actions
23-55. —Hearing in Fact-Finding 24-33. Costs in Small Claims
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CHAPTER AND SECTION HEADINGS OF THE RULES
SUPERIOR COURT—PROCEDURE IN FAMILY MATTERS
CHAPTER 25 25-32B. Discovery—Special Master
25-33. Judicial Appointment of Expert Witnesses
GENERAL PROVISIONS 25-34. Procedure for Short Calendar
Sec. 25-35. Disclosure of Conference Recommendation
25-1. Definitions Applicable to Proceedings on Family 25-36. Motion for Decree Finally Dissolving Marriage or
Matters Civil Union after Decree of Legal Separation
25-2. Complaints for Dissolution of Marriage or Civil 25-37. —Notice and Hearing
Union, Legal Separation, or Annulment 25-38. Judgment Files
25-2A. Premarital and Postnuptial Agreements 25-39. Miscellaneous Rules
25-3. Action for Custody of Minor Child 25-40. Habeas Corpus in Family Matters; the Petition
25-4. Action for Visitation of Minor Child 25-41. —Preliminary Consideration
25-5. Automatic Orders upon Service of Complaint or 25-42. —Dismissal
Application 25-43. —The Return
25-5A. Automatic Orders upon Service of Petition for 25-44. —Reply to the Return
Child Support 25-45. —Schedule for Filing Pleadings
25-5B. Automatic Orders upon Filing of Joint Petition— 25-46. —Summary Judgment as to Writ of Habeas Corpus
Nonadversarial Divorce 25-47. —Discovery
25-6. Parties and Appearances 25-48. Dockets, Pretrials and Assignment for Disposition
25-6A. Appearance by Self-Represented Party in Addition 25-49. Definitions
to Appearance of Attorney 25-50. Case Management
25-7. Pleadings in General; Amendments to Complaint 25-51. When Motion for Default for Failure To Appear
or Application Does Not Apply
25-8. —Amendment; New Ground for Dissolution of 25-52. Failure To Appear for Scheduled Disposition
Marriage or Civil Union 25-53. Reference of Family Matters
25-9. —Answer, Cross Complaint, Claims for Relief by 25-54. Order of Trial; Argument by Counsel
Defendant 25-55. Medical Evidence
25-10. —Answer to Cross Complaint 25-56. Production of Documents at Hearing or Trial
25-11. —Order of Pleadings 25-57. Affidavit concerning Children
25-12. Motion To Dismiss 25-58. Reports of Dissolution of Marriage or Civil Union
25-13. —Grounds on Motion To Dismiss and Annulment
25-14. —Waiver and Subject Matter Jurisdiction 25-59. Closure of Courtroom in Family Matters
25-15. —Further Pleading by Defendant 25-59A. Sealing Files or Limiting Disclosure of Documents
25-16. Motion To Strike; In General in Family Matters
25-17. —Date for Hearing 25-59B. —Documents Containing Personal Identifying
25-18. —Reasons Information
25-19. —Memorandum of Law 25-60. Evaluations, Studies, Family Services Mediation
Reports and Family Services Conflict Resolu-
25-20. —When Memorandum of Decision Required
tion Reports
25-21. —Substitute Pleading; Judgment
25-60A. Court-Ordered Private Evaluations
25-22. —Stricken Pleading Part of Another Cause or
25-61. Family Division
Defense 25-61A. Standing Committee on Guardians Ad Litem and
25-23. Motions, Requests, Orders of Notice and Short Attorneys for the Minor Child in Family Matters
Calendar 25-62. Appointment of Guardian Ad Litem
25-24. Motions 25-62A. Appointment of Attorney for a Minor Child
25-25. Motion for Exclusive Possession 25-63. Right to Counsel in Family Civil Contempt Pro-
25-26. Modification of Custody, Alimony or Support ceedings
25-27. Motion for Contempt 25-64. —Waiver
25-28. Order of Notice 25-65. Family Support Magistrates; Procedure [Repealed]
25-29. Notice of Orders for Support or Alimony 25-66. Appeal from Decision of Family Support Magis-
25-30. Statements To Be Filed trate [Repealed]
25-31. Discovery and Depositions 25-67. Support Enforcement Services [Repealed]
25-32. Mandatory Disclosure and Production 25-68. Right to Counsel in State Initiated Paternity Actions
25-32A. Discovery Noncompliance 25-69. Social Services; Additional Duties
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CHAPTER AND SECTION HEADINGS OF THE RULES
SUPERIOR COURT—PROCEDURE IN FAMILY SUPPORT
MAGISTRATE MATTERS
CHAPTER 25a 25a-14. —Continuances when Counsel’s Presence or Oral
Argument Required
FAMILY SUPPORT MAGISTRATE MATTERS 25a-15. Statements To Be Filed
Sec. 25a-16. Opening Argument
25a-1. Family Support Magistrate Matters; Procedure 25a-17. Motion To Open Judgment of Paternity by
25a-1A. Notice of Title IV-D Child Support Enforcement Acknowledgment
Services 25a-18. Modification of Alimony or Support
25a-2. Prompt Filing of Appearance 25a-19. Standard Disclosure and Production
25a-3. Withdrawal of Appearance; Duration of Appear- 25a-20. Medical Evidence
ance 25a-21. Experts
25a-4. Telephonic Hearings 25a-22. Interrogatories; In General
25a-23. Answers to Interrogatories
25a-5. Signing of Pleading
25a-24. Requests for Production, Inspection and Examina-
25a-6. Contents of Petition
tion; In General
25a-7. Automatic Orders upon Service of Petition 25a-25. Order for Compliance; Failure To Answer or Com-
25a-8. Order of Notice ply with Order
25a-9. Motions 25a-26. Continuing Duty To Disclose
25a-10. —Motion To Cite in New Parties 25a-27. Depositions; In General
25a-11. Answer to Cross Petition 25a-28. —Place of Deposition
25a-12. Order of Pleadings 25a-29. Appeal from Decision of Family Support Magistrate
25a-13. Reclaims 25a-30. Support Enforcement Services
SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERS
CHAPTER 26 27-9. Family with Service Needs Referrals [Repealed]
GENERAL PROVISIONS CHAPTER 28
Sec. DELINQUENCY AND FAMILY WITH SERVICE
26-1. Definitions Applicable to Proceedings on Juvenile NEEDS NONJUDICIAL SUPERVISION
Matters
26-2. Persons in Attendance at Hearings [Repealed as of Jan. 1, 2003.]
26-3. Case Initiation; Electronic Filing
Sec.
28-1. Nonjudicial Supervision [Repealed] (Transferred to
CHAPTER 27 Section 27-8A.)
RECEPTION AND PROCESSING OF CHAPTER 29
DELINQUENCY COMPLAINTS OR PETITIONS
RECEPTION AND PROCESSING OF
Sec. DELINQUENCY PETITIONS AND
27-1. Complaints; In General [Repealed]
27-1A. Referrals for Nonjudicial Handling of Delinquency
DELINQUENCY INFORMATIONS
Complaints Sec.
27-2. —Insufficient Allegations in Complaints 29-1. Contents of Delinquency Petitions or Informations
[Repealed] 29-1A. Processing of Delinquency Petitions and Infor-
27-3. —Sufficient Allegations in Complaints [Repealed] mations
27-4. Additional Offenses and Misconduct 29-1B. Processing of Family with Service Needs Peti-
27-4A. Ineligibility for Nonjudicial Handling or Diversion of tions [Repealed]
Delinquency Complaint 29-2. Service of Petitions
27-5. Initial Interview for Delinquency Nonjudicial Han-
dling Eligibility CHAPTER 30
27-6. Denial of Responsibility
27-7. —Written Statement of Responsibility DETENTION
27-8. —Scheduling of Judicial Plea/Dispositional Hear- Sec.
ing [Repealed] 30-1. Notice and Statement by Person Bringing Child to
27-8A. Nonjudicial Supervision—Delinquency Detention [Repealed]
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CHAPTER AND SECTION HEADINGS OF THE RULES
30-1A. Admission to a Juvenile Residential Center CHAPTER 31a
30-2. Release [Repealed]
30-2A. Nondelinquent Juvenile Runaway from Another State DELINQUENCY MOTIONS AND
and Detention APPLICATIONS
30-3. Advisement of Rights
30-4. Notice to Parents by Juvenile Residential Center Per- Sec.
sonnel 31a-1. Motions and Amendments
30-5. Detention Time Limitations 31a-1A. Continuances and Advancements
30-6. Basis for Detention 31a-2. Motion for Bill of Particulars
30-7. Place of Detention Hearings 31a-3. Motion To Dismiss
30-8. Initial Order for Detention; Waiver of Hearing 31a-4. Motion To Suppress
30-9. Information Allowed at Detention Hearing 31a-5. Motion for Judgment of Acquittal
30-10. Orders of a Judicial Authority after Initial Detention 31a-6. Motion for Transfer of Venue
Hearing 31a-7. Motion in Limine
30-11. Detention after Dispositional Hearing 31a-8. Motion for Sequestration
30-12. Where Presence of a Detained Child May Be by 31a-9. Severance of Offenses
Means of an Interactive Audiovisual Device 31a-10. Trial Together on Petitions or Informations
31a-11. Motion for New Trial
31a-12. Motion To Transfer to Adult Criminal Docket
CHAPTER 30a 31a-13. Take into Custody Order
31a-13A. Temporary Custody Order—Family with Service
DELINQUENCY HEARINGS Needs Petition [Repealed]
Sec. 31a-14. Physical and Mental Examinations
30a-1. Initial Plea Hearing 31a-15. Mentally Ill Children
30a-1A. Family with Service Needs Preadjudication 31a-16. Discovery
Continuance [Repealed] 31a-17. Disclosure of Defenses in Delinquency Pro-
30a-2. Pretrial Conference ceedings
30a-3. —Standard of Proof; Burden of Going Forward 31a-18. Modification of Probation and Supervision
30a-4. Plea Canvass 31a-19. Motion for Extension of Delinquency Commitment;
Motion for Review of Permanency Plan
30a-5. Dispositional Hearing
[Repealed]
30a-6. —Statement on Behalf of Victim
31a-19A. Motion for Extension or Revocation of Family with
30a-6A. —Persons in Attendance at Hearings [Repealed]
Service Needs Commitment; Motion for Review
(Transferred to Section 26-2.)
of Permanency Plan [Repealed]
30a-7. Recording of Hearings
31a-20. Petition for Violation of Family with Service Needs
30a-8. Records Post-Adjudicatory Orders [Repealed]
30a-9. Appeals in Delinquency Proceedings 31a-21. Petition for Child from a Family with Service Needs
at Imminent Risk [Repealed]
CHAPTER 31
CHAPTER 32
DELINQUENCY AND FAMILY WITH SERVICE
NEEDS HEARING NEGLECTED, UNCARED FOR AND
DEPENDENT CHILDREN AND TERMINATION
[Repealed as of Jan. 1, 2003.]
OF PARENTAL RIGHTS
Sec.
31-1. Adjudicatory Hearing; Actions by Judicial Authority [Repealed as of Jan. 1, 2003.]
[Repealed]
Sec.
31-2. —Continuance for Pretrial Conference [Repealed]
32-1. Initiation of Judicial Proceeding; Contents of Peti-
31-3. —Burden of Going Forward [Repealed] tions and Summary of Facts [Repealed]
31-4. —Physical Presence of Child [Repealed] 32-2. —Summons Accompanying Petitions [Repealed]
31-5. Dispositional Hearing; Factors To Be Considered by 32-3. —Venue [Repealed]
Judicial Authority [Repealed] 32-4. —Identity or Location of Parent Unknown
31-6. —When Held; Evidence and Predispositional Study [Repealed]
[Repealed] 32-5. —Address of Person Entitled to Personal Service
31-7. —Availability of Predispositional Study to Counsel and Unknown [Repealed]
Parties [Repealed] 32-6. Order of Temporary Custody; Application and
31-8. —Dispositional Plan Offered by Child or Parent Sworn Statement [Repealed]
[Repealed] 32-7. —Statement in Temporary Custody Order of
31-9. —Statement on Behalf of Victim [Repealed] Respondent’s Rights and of Subsequent Hear-
31-10. Modification of Probation and Supervision [Repealed] ing [Repealed]
31-11. Take into Custody [Repealed] 32-8. —Authority of Temporary Custodian [Repealed]
31-12. Physical and Mental Examinations [Repealed] 32-9. —Emergency, Life-Threatening Medical Situa-
31-13. Mentally Ill Children [Repealed] tions—Procedures [Repealed]
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CHAPTER AND SECTION HEADINGS OF THE RULES
CHAPTER 32a 33a-6. Order of Temporary Custody; Ex Parte Orders and
Orders To Appear
RIGHTS OF PARTIES 33a-7. Preliminary Order of Temporary Custody or First
NEGLECTED, ABUSED AND UNCARED FOR Hearing; Actions by Judicial Authority
CHILDREN AND TERMINATION OF 33a-8. Emergency, Life-Threatening Medical Situa-
tions—Procedures
PARENTAL RIGHTS
Sec. CHAPTER 34
32a-1. Right to Counsel and To Remain Silent
32a-2. Hearing Procedure; Subpoenas RIGHTS OF PARTIES
32a-3. Standards of Proof
32a-4. Child or Youth Witness [Repealed as of Jan. 1, 2003.]
32a-5. Consultation with Child or Youth
32a-6. Interpreter Sec.
32a-7. Records 34-1. Right to Counsel and To Remain Silent [Repealed]
32a-8. Use of Confidential Alcohol or Drug Abuse Treat- 34-2. Hearing Procedure; Subpoenas [Repealed]
ment Records as Evidence 34-3. Standards of Proof [Repealed]
32a-9. Competency of Parent 34-4. Child Witness [Repealed]
CHAPTER 33 CHAPTER 34a
HEARINGS CONCERNING NEGLECTED, PLEADINGS, MOTIONS AND DISCOVERY
UNCARED FOR AND DEPENDENT CHILDREN NEGLECTED, ABUSED AND UNCARED FOR
AND TERMINATION OF PARENTAL RIGHTS CHILDREN AND TERMINATION OF
[Repealed as of Jan. 1, 2003.] PARENTAL RIGHTS
Sec.
Sec.
33-1. Adjudicatory Hearing; Actions by Judicial Author- 34a-1. Motions, Requests and Amendments
ity [Repealed] 34a-2. Short Calendar—Frequency
33-2. —Continuance for Case Status Conference 34a-3. Short Calendar—Assignments Automatic
[Repealed] 34a-4. Short Calendar—Continuances When Counsel’s
33-3. —Evidence [Repealed] Presence or Oral Argument Required
33-4. —Burden of Proceeding [Repealed] 34a-5. Continuances and Advancements
33-5. Dispositional Hearing; Evidence and Social Study 34a-6. Pleadings Allowed and Their Order
[Repealed] 34a-7. Waiving Right To Plead
33-6. —Availability of Social Study to Counsel and Par- 34a-8. Time To Plead
ties [Repealed] 34a-9. Motion To Dismiss
33-7. —Dispositional Plan Offered by Respondents 34a-10. Grounds of Motion To Dismiss
[Repealed] 34a-11. Waiver Based on Certain Grounds
33-8. Protective Supervision—Conditions and Modifica- 34a-12. Waiver and Subject Matter Jurisdiction
tion [Repealed] 34a-13. Further Pleading by Respondent or Child
33-9. Extension Petitions [Repealed] 34a-14. Response to Summary of Facts
33-10. Revocation of Commitments [Repealed] 34a-15. Motion To Strike
33-11. Modifications [Repealed] 34a-16. Reasons in Motion To Strike
33-12. Coterminous Petitions [Repealed] 34a-17. Memorandum of Law—Motion and Objection
33-13. Transfer from Probate Court of Petitions for
34a-18. When Memorandum of Decision Required on
Removal of Parent as Guardian [Repealed]
Motion To Strike
34a-19. Substitute Pleading; Judgment
CHAPTER 33a 34a-20. Discovery
34a-21. Court-Ordered Evaluations
PETITIONS FOR NEGLECT, UNCARED FOR, 34a-22. Motion for Contempt
DEPENDENCY AND TERMINATION OF 34a-23. Motion for Emergency Relief
PARENTAL RIGHTS: INITIATION OF
PROCEEDINGS, ORDERS OF TEMPORARY CHAPTER 35
CUSTODY AND PRELIMINARY HEARINGS
GENERAL PROVISIONS
Sec.
33a-1. Initiation of Judicial Proceeding; Contents of Peti- [Repealed as of Jan. 1, 2003.]
tions and Summary of Facts
33a-2. Service of Summons, Petitions and Ex Parte Sec.
Orders 35-1. Petitions, Motions and Amendments [Repealed]
33a-3. Venue 35-2. Continuances and Advancements [Repealed]
33a-4. Identity or Location of Respondent Unknown 35-3. Discovery [Repealed]
33a-5. Address of Person Entitled to Personal Service 35-4. Appeal [Repealed]
Unknown 35-5. Recording of Testimony; Records [Repealed]
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CHAPTER AND SECTION HEADINGS OF THE RULES
CHAPTER 35a 35a-11. Dispositional Plan Offered by Respondents
35a-12. Protective Supervision—Conditions, Modification
HEARINGS CONCERNING NEGLECTED, and Termination
ABUSED AND UNCARED FOR CHILDREN AND 35a-12A. Motions for Transfer of Guardianship
35a-13. Findings as to Continuation in the Home, Efforts To
TERMINATION OF PARENTAL RIGHTS Prevent Removal
Sec. 35a-14. Motions for Review of Permanency Plan
35a-1. Adjudication upon Acceptance of Admission or 35a-14A. Revocation of Commitment
Plea of Nolo Contendere 35a-15. Reunification Efforts—Aggravating Factors
35a-1A. Record of the Case 35a-16. Modifications
35a-1B. Exclusion of Unnecessary Persons from 35a-17. Motions To Review Plan for Child Whose Parents’
Courtroom Rights Have Been Terminated [Repealed]
35a-18. Opening Default
35a-2. Case Status Conference or Judicial Pretrial 35a-19. Transfer from Probate Court of Petitions for
35a-3. Coterminous Petitions Removal of Parent as Guardian or Termination
35a-4. Motions To Intervene of Parental Rights
35a-5. Notice and Right To Be Heard 35a-20. Motions for Reinstatement of Parent as Guardian
35a-6. Post-Disposition Role of Former Guardian 35a-20A. Motions for Reinstatement of Former Legal Guard-
35a-6A. Consolidation ian as Guardian or Modification of Guardianship
35a-7. Evidence Post-Disposition
35a-7A. Adverse Inference 35a-21. Appeals in Child Protection Matters
35a-8. Burden of Proceeding 35a-22. Where Presence of Person May Be by Means of an
35a-9. Dispositional Hearing; Evidence and Social Study Interactive Audiovisual Device
35a-10. Availability of Social Study to Counsel and Parties 35a-23. Child’s Hearsay Statement; Residual Exception
SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS
CHAPTER 36 CHAPTER 37
PROCEDURE PRIOR TO APPEARANCE ARRAIGNMENT
Sec.
Sec.
37-1. Arraignment; Timing, Alternative Proceedings
36-1. Arrest by Warrant; issuance 37-2. —Information and Materials To Be Provided to the
36-2. —Affidavit in Support of Application, Filing, Dis- Defendant Prior to Arraignment
closure 37-3. —Advisement of Constitutional Rights
36-3. —Contents of Warrant 37-4. —Collective Statement Advising of Constitutional
36-4. —Direction by Judicial Authority for Use of Rights
Summons 37-5. —Reference to Public Defender; Investigation of
Indigency
36-5. —Execution and Return of Warrant
37-6. —Appointment of Public Defender
36-6. —Cancellation of Warrant 37-7. Pleas; In General
36-7. Summons; Form of Summons and Complaint 37-8. —Plea of Guilty or Nolo Contendere
36-8. —Issuance of Summons by Prosecuting Authority 37-9. —Plea of Not Guilty
in Lieu of Arrest Warrant 37-10. —Taking of Plea when Information in Two Parts
36-9. —Service of Summons 37-11. —Notice to Defendant when Information in Two
Parts
36-10. —Failure To Respond to Summons
37-12. Defendant in Custody; Determination of Probable
36-11. Information and Complaint; Use Cause
36-12. —Issuance of Information
36-13. —Form of Information CHAPTER 38
36-14. —Former Conviction in Information
36-15. —Filing and Availability of Information PRETRIAL RELEASE
36-16. Amendments; Minor Defects Sec.
36-17. —Substantive Amendment before Trial 38-1. Release from Custody; Superior Court Arrest War-
36-18. —Substantive Amendment after Commencement rant where Appearance before Clerk Required
of Trial 38-2. Release Following Any Other Arrest; Release by
36-19. —Request by Defendant for Essential Facts Law Enforcement Officer or Probation Officer
Serving Warrant
36-20. —Continuance Necessitated by Amendment 38-3. —Release by Bail Commissioner or Intake,
36-21. Joinder of Offenses in Information Assessment and Referral Specialist
36-22. Joinder of Defendants 38-4. —Release by Judicial Authority
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CHAPTER AND SECTION HEADINGS OF THE RULES
38-5. —Release by Correctional Officials CHAPTER 40
38-6. Appearance after Release
38-7. Cash Bail DISCOVERY AND DEPOSITIONS
38-8. Ten Percent Cash Bail
38-9. Real Estate Bond Sec.
40-1. Discovery in General; Regulating Discovery
38-10. Factors To Be Considered by the Judicial Authority
40-2. —Good Faith Efforts and Subpoenas
in Release Decision [Repealed]
40-3. —Continuing Obligation To Disclose
38-11. Request for Judicial Determination of Release
40-4. —Limitations on Requests or Motions
38-12. Attorneys Not Allowed To Give Bonds 40-5. —Failure To Comply with Disclosure
38-13. Bail Modification; In General 40-6. —Discovery Performance
38-14. —Motion of Parties for Bail Modification 40-7. —Procedures for Disclosure
38-15. —Application of Bail Commissioner 40-8. —Objection to Disclosure
38-16. —Application of Surety 40-9. —Presence during Tests and Experiments
38-17. —Hearing on Motion or Application for Modification 40-10. —Custody of Materials
of Bail 40-11. Disclosure by the Prosecuting Authority
38-18. —Review of Detention Prior to Arraignment, Trial 40-12. Discretionary Disclosure Directed to Prosecuting
or Sentencing Authority
38-19. Violation of Conditions of Bail; Order To Appear 40-13. Names of Witnesses; Prior Record of Witnesses;
38-20. —Sanctions for Violation of Conditions of Release Statements of Witnesses
38-21. —Forfeiture of Bail and Rearrest Warrant 40-13A. Law Enforcement Reports, Affidavits and
38-22. Rebate of Forfeited Bonds Statements
38-23. Discharge of Surety’s Obligation 40-14. Information Not Subject to Disclosure by Prosecut-
ing Authority
40-15. Disclosure of Statements; Definition of Statement
CHAPTER 39 40-16. Request for Recess by Defendant upon Receipt
of Statement
DISPOSITION WITHOUT TRIAL 40-17. Defense of Mental Disease or Defect or Extreme
Emotional Disturbance; Notice by Defendant
Sec. 40-18. —Notice by Defendant of Intention To Use Expert
39-1. Procedure for Plea Discussions; In General Testimony regarding Mental State; Filing
39-2. —Discussions with Defendant Reports of Exam
39-3. —Role of Defense Counsel 40-19. —Prosecutorial Motion for Psychiatric Exami-
39-4. —Subject Matter of Discussion nation
39-5. Plea Agreements; Upon Plea of Guilty or Nolo Con- 40-20. —Failure of Expert To Submit Report
tendere 40-21. Defense of Alibi; Notice by Defendant
39-6. —Alternate Agreements 40-22. —Notice by Prosecuting Authority concerning
39-7. —Notice of Plea Agreement Alibi Defense
39-8. —Sentencing after Acceptance of Plea Agreement 40-23. —Continuing Duty of Parties To Disclose regarding
39-9. —Continuance for Sentencing Alibi Defense
39-10. —Rejection of Plea Agreement 40-24. —Exceptions
40-25. —Inadmissibility of Withdrawn Alibi
39-11. Disposition Conference; Assignment of Jury Cases
40-26. Disclosure by the Defendant; Information and
39-12. —Effect of Previous Plea Discussions on Disposi- Materials Discoverable by the Prosecuting
tion Conference Authority as of Right
39-13. —Attendance at Disposition Conference 40-27. Discretionary Disclosure Directed to Defendant
39-14. —Nature of Disposition Conference; In General 40-28. Derivative Evidence
39-15. —Inability To Reach Agreement 40-29. Protective Orders Requested by Defendant
39-16. —Notice of Agreement to Judicial Authority 40-30. Admissibility at Time of Trial
39-17. —Effect of Disposition Conference 40-31. Information Not Subject to Disclosure by Defendant
39-18. Plea of Guilty or Nolo Contendere; Entering 40-32. Obtaining Nontestimonial Evidence from
39-19. —Acceptance of Plea; Advice to Defendant Defendant
39-20. —Ensuring That the Plea Is Voluntary 40-33. —Emergency Procedure regarding Nontestimo-
39-21. —Factual Basis for Plea nial Evidence
39-22. Pleading to Other Offenses after Guilty Finding 40-34. —Scope of Order for Nontestimonial Evidence
39-23. Previous Offender; Plea to Second Part 40-35. —Contents of Order
39-24. Record of Proceedings regarding Guilty Pleas 40-36. —Service of Order
40-37. —Implementation of Order
39-25. Inadmissibility of Rejected Guilty Pleas
40-38. —Obtaining Nontestimonial Evidence from
39-26. Withdrawal of Plea; When Allowed
Defendant upon Motion of Defendant
39-27. —Grounds for Allowing Plea Withdrawal 40-39. —Comparing Nontestimonial Evidence
39-28. —Effect of Plea Withdrawal 40-40. Protective Orders; Relief
39-29. Nolle Prosequi 40-41. —Grounds for Protective Order
39-30. —Objection by Defendant to Nolle Prosequi 40-42. —In Camera Proceedings
39-31. —Effect of Nolle Prosequi 40-43. —Excision as Protective Order
39-32. —Dismissal 40-44. Depositions; Grounds
39-33. Miscellaneous Dispositions 40-45. —Failure To Appear for Deposition
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CHAPTER AND SECTION HEADINGS OF THE RULES
40-46. —Use of Deposition 42-11. —Preliminary Proceedings in Jury Selection
40-47. —Notice and Person Taking Deposition 42-12. —Voir Dire Examination
40-48. —Protective Order Prior to Deposition 42-13. —Peremptory Challenges
40-49. —Manner of Taking Deposition 42-14. —Oath and Admonitions to Trial Jurors
40-50. —Scope of Examination at Deposition 42-15. Motion in Limine
40-51. —Objections at Depositions 42-16. Requests To Charge and Exceptions; Necessity for
40-52. —Protective Order during Deposition 42-17. —Filing Requests
40-53. —Return of Deposition 42-18. —Form and Contents of Requests To Charge
40-54. —Right of Defendant To Be Present and Repre- 42-19. —Charge Conference
sented at Deposition 42-20. Submission for Verdict; Role of Judicial Authority
40-55. —Waiver of Presence and Failure To Appear at in Trial
Deposition 42-21. Jury Deliberations
40-56. —Definition of Unavailable 42-22. Sequestration of Jury
40-57. —Taking and Use in Court of Deposition by 42-23. Materials To Be Submitted to Jury
Agreement 42-24. Modification of Instructions for Correction or Clarifi-
40-58. —Expenses of Deposition and Copies cation
42-25. —Other Instructions after Additional Instructions
CHAPTER 41 42-26. Jury Requests for Review of Testimony
42-27. Jury Requests for Additional Instructions
PRETRIAL MOTIONS 42-28. Deadlocked Jury
42-29. Verdict; Return of Verdict
Sec. 42-30. —Acceptance of Verdict
41-1. Pretrial Motion Practice; Exclusive Procedures 42-31. —Poll of Jury after Verdict
41-2. —Matters To Be Raised by Motion 42-32. —Discharge of Jury
41-3. —Pretrial Motions and Requests 42-33. —Impeachment of Verdict
41-4. —Failure To Raise Defense, Objection or Request 42-34. Trial without Jury
41-5. —Time for Making Pretrial Motions or Requests 42-35. Order of Parties Proceeding at Trial
41-6. —Form and Manner of Making Pretrial Motions 42-36. Sequestration of Witnesses
41-7. —Hearing and Ruling on Pretrial Motions 42-37. Time Limits in Argument
41-8. Motion To Dismiss 42-38. Order of Proceeding of Defendants
41-9. —Restriction on Motion To Dismiss 42-39. Judicial Appointment of Expert Witnesses
41-10. —Defects Not Requiring Dismissal 42-40. Motions for Judgment of Acquittal; In General
41-11. —Remedies for Minor Defects Not Requiring Dis- 42-41. —At Close of Prosecution’s Case
missal 42-42. —At Close of Evidence
41-12. Motion To Suppress 42-43. Motion for Mistrial; For Prejudice to Defendant
41-13. —Return and Suppression of Seized Property 42-44. —For Prejudice to State
41-14. —Suppression of Intercepted Communications 42-45. Jury’s Inability To Reach Verdict
41-15. —Time for Filing Motion To Suppress 42-46. Control of Judicial Proceedings; Restraint of Dis-
41-16. —Effect on Seized Property of Granting Motion ruptive Defendant
41-17. —Particular Judicial Authority May Not Hear 42-47. —Removal of Disruptive Defendant
Motion 42-48. —Cautioning Parties and Witnesses
41-18. Severance of Offenses 42-49. Closure of Courtroom in Criminal Cases
41-19. Trial Together of Informations 42-49A. Sealing or Limiting Disclosure of Documents in
41-20. Bill of Particulars; Time for Filing Criminal Cases
41-21. —Content of Bill 42-50. Motion for Judgment of Acquittal; After Mistrial
41-22. —Furnishing of Bill 42-51. —Upon Verdict of Guilty
41-23. Transfer of Prosecution; Grounds 42-52. —Time for Filing Motion for Judgment of Acquittal
41-24. —Time for Motion To Transfer 42-53. Motion for New Trial; In General
41-25. —Proceedings on Transfer 42-54. —Time for Filing Motion for New Trial
42-55. —Time for Filing Motion for New Trial Based on
CHAPTER 42 Newly Discovered Evidence
42-56. Motion in Arrest of Judgment
TRIAL PROCEDURE
CHAPTER 43
Sec.
42-1. Jury Trials; Right to Jury Trial and Waiver SENTENCING, JUDGMENT, AND APPEAL
42-2. —Two Part Information
42-3. —Size of Jury Sec.
42-4. —Challenge to Array 43-1. Posttrial Release Following Appeal by Prosecut-
42-5. —Disqualification of Jurors and Selection of Panel ing Authority
42-6. —View by Jury of Place or Thing Involved in Case 43-2. Posttrial Release Following Conviction
42-7. —Communications between Judicial Authority 43-3. Presentence Investigation and Report; Waiver;
and Jury Alternative Incarceration and Plan
42-8. —Communications between Parties and Jurors 43-4. —Scope of Investigation or Assessment
42-9. —Juror Questions and Note Taking 43-5. —Participation of Defense Counsel in Report Prep-
42-10. Selection of Jury; Jurors Who Are Deaf or Hard of aration
Hearing 43-6. —Period of Continuance To Complete Report
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CHAPTER AND SECTION HEADINGS OF THE RULES
43-7. —Persons Receiving Report CHAPTER 44
43-8. —Prohibition against Making Copies
43-9. —Use and Disclosure of Reports GENERAL PROVISIONS
43-10. Sentencing Hearing; Procedures To Be Followed Sec.
43-11. —Role at Sentencing of Prosecuting Authority 44-1. Right to Counsel; Appointment in Specific Instances
43-12. —Role of Prosecuting Authority at Sentencing 44-2. —Appointment in Other Instances
when There Was a Plea Agreement 44-3. —Waiver of Right to Counsel
44-4. —Standby Counsel for Defendant Self-Repre-
43-13. —Familiarization with Report by Defense Counsel sented
43-14. —Correction of Report Indicated by Defense 44-5. —Role of Standby Counsel
Counsel 44-6. —Standby Counsel for Disruptive Defendant
43-15. —Undisclosed Plea Agreement 44-7. Presence of Defendant; Attire of Incarcerated
43-16. —Submission of Supplementary Documents by Defendant or Witness
Defense Counsel 44-8. —When Presence of Defendant Is and Is Not
43-17. Payment of Fines; Inquiry concerning Ability Required at Trial and Sentencing
43-18. —Incarceration for Failure To Pay 44-9. —Obtaining Presence of Unexcused Defendant at
43-19. —Payment and Satisfaction Trial or Sentencing
44-10. —Where Presence of Defendant Not Required
43-20. —Mittimus
44-10A. —Where Presence of Defendant May Be by Means
43-21. Reduction of Definite Sentence of an Interactive Audiovisual Device
43-22. Correction of Illegal Sentence 44-11. Docketing and Scheduling in General of Criminal
43-23. Sentence Review; Appearance of Counsel Cases
43-24. —Time for Filing Application for Sentence Review 44-12. —Control of Scheduling
43-25. —Preparation of Documents by Clerk 44-13. —Scheduling for Proceedings before Trial; Contin-
43-26. —Additional Material for Sentence Review uances
43-27. —Hearing on Sentence Review Application 44-14. —Assignments for Plea in Judicial District Court
43-28. —Scope of Review Location
44-15. —Scheduling at Entry of Plea
43-29. Revocation of Probation 44-16. —Scheduling from Trial List
43-29A. Notice of Motions To Modify or Enlarge Conditions 44-17. —Motion To Advance
of Probation or Conditional Discharge or Termi- 44-18. —Continuances
nate Conditions of Probation or Conditional Dis- 44-19. Reference to Judge Trial Referee
charge 44-20. Appointment of Guardian Ad Litem
43-30. Notification of Right To Appeal 44-21. Infractions and Violations; When Treated as an
43-31. Stay of Imprisonment upon Appeal Offense
43-32. Stay of Probation upon Appeal 44-22. —Form of Summons and Complaint for Infractions
43-33. Appointment of Initial Counsel for Appeal by Indi- and Violations
gent Defendant 44-23. —When Custody Not Required
44-24. —When Custody Required
43-34. Attorney’s Finding That Appeal Is Wholly Frivolous;
44-25. —Plea of Nolo Contendere to Infraction or Violation
Request by Initial Counsel To Withdraw
44-26. —Pleas of Not Guilty to Infraction or Violation
43-35. —Submission of Memorandum of Law 44-27. —Hearing of Infractions, Violations to Which Not
43-36. —Finding That Appeal Is Frivolous Guilty Plea Filed
43-37. —Finding That Appeal Is Not Frivolous 44-28. —Location of Infractions Bureau and Role of Clerks
43-38. —Disqualification of Presiding Judge 44-29. —Powers of Centralized Infractions Bureau
43-39. Speedy Trial; Time Limitations 44-30. —Hearing by Magistrates of Infractions and Certain
43-40. —Excluded Time Periods in Determining Speedy Motor Vehicle Violations
Trial 44-31. Motion To Quash Subpoena Pursuant to Inquiry
43-40A. —Included Time Period in Determining Speedy into Commission of Crime
Trial; Failure To Comply with Disclosure by Pros- 44-32. Fees and Expenses; Return of Subpoenas
44-33. —Indigent Witnesses
ecuting Authority
44-34. —Fees for Witnesses
43-41. —Motion for Speedy Trial; Dismissal 44-35. —Officer’s Fees on Extradition; Habeas Corpus
43-42. —Definition of Commencement of Trial 44-36. —Fee on Motion To Open Certain Judgments
43-43. —Waiver of Speedy Trial Provisions 44-37. Definition of Terms
98
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CHAPTER AND SECTION HEADINGS OF THE RULES
RULES OF APPELLATE PROCEDURE
CHAPTER 60 CHAPTER 62
GENERAL PROVISIONS RELATING TO CHIEF JUDGE, APPELLATE CLERK AND
APPELLATE RULES AND DOCKET: GENERAL ADMINISTRATIVE
APPELLATE REVIEW MATTERS
Sec. Sec.
60-1. Rules To Be Liberally Interpreted 62-1. Chief Judge
60-2. Supervision of Procedure 62-2. Clerk
62-3. Entry of Cases
60-3. Suspension of the Rules
62-4. Case To Remain on Docket of Trial Court
60-4. Definitions 62-5. Changes in Parties
60-5. Review by the Court; Plain Error; Preservation of 62-6. Signature on Documents
Claims 62-7. Matters of Form; Filings; Delivery and Certification
60-6. Appellate Jurists Sitting as Superior Court Judges to Counsel of Record
60-7. Electronic Filing; Payment of Fees 62-8. Names of Counsel; Appearance
60-8. Exemption from or Inapplicability of Electronic Fil- 62-8A. Attorneys of Other Jurisdictions Participating Pro
ing; Payment of Fees Hac Vice on Appeal
62-9. Withdrawal of Appearance
60-9. Security for Costs
62-9A. Hybrid Representation; Removal or Substitution of
Counsel in Criminal and Habeas Corpus Appeals
CHAPTER 61 62-10. Files To Be Available to Parties
62-11. Files and Records Not To Be Removed
REMEDY BY APPEAL
Sec. CHAPTER 63
61-1. Right of Appeal FILING THE APPEAL; WITHDRAWALS
61-2. Appeal of Judgment on Entire Complaint, Counter-
claim or Cross Complaint Sec.
61-3. Appeal of Judgment on Part of Complaint, Counter- 63-1. Time To Appeal
claim or Cross Complaint That Disposes of All 63-2. Expiration of Time Limitations; Counting Days;
Claims in that Pleading Brought by or against Hours of Operation
One or More Parties 63-3. Filing of Appeal
61-4. Appeal of Judgment That Disposes of At Least One 63-3A. Appeals in E-Filed Cases [Repealed]
Cause of Action While Not Disposing of Either 63-4. Additional Papers To Be Filed by Appellant and
(1) An Entire Complaint, Counterclaim or Cross Appellee Subsequent to the Filing of the Appeal
Complaint, or (2) All the Causes of Action in a 63-5. Fees [Repealed]
Pleading Brought by or against a Party 63-6. Waiver of Fees, Costs and Security—Civil Cases
61-5. Deferring Appeal until Judgment Rendered That 63-7. WaiverofFees,Costsand Security—CriminalCases
Disposes of Case for All Purposes and as to All 63-8. Ordering and Filing of Paper Transcripts
63-8A. Electronic Copies of Transcripts
Parties
63-9. Filing Withdrawals of Appeals or Writs of Error
61-6. Appeal of Judgment or Ruling in Criminal Case 63-10. Preargument Conferences
61-7. Joint and Consolidated Appeals
61-8. Cross Appeals
CHAPTER 64
61-9. Decisions Subsequent to Filing of Appeal; Amended
Appeals PROCEDURE CONCERNING MEMORANDUM
61-10. Responsibility of Appellant To Provide Adequate OF DECISION
Record for Review
61-11. Stay of Execution in Noncriminal Cases Sec.
61-12. Discretionary Stays 64-1. Statement of Decision by Trial Court; When
Required; How Stated; Contents
61-13. Stay of Execution in Criminal Case
64-2. Exceptions to Section 64-1
61-14. Review of Order concerning Stay; When Stay May Be
Requested from Court Having Appellate Juris-
diction CHAPTER 65
61-15. Stay of Execution in Death Penalty Case TRANSFER OF MATTERS
61-16. Notice of Bankruptcy Filing, Order of Bankruptcy
Court Granting Relief from Automatic Stay and Sec.
Disposition of Bankruptcy Case 65-1. Transfer of Matter by Supreme Court
99
Copyrighted by the Secretary of the State of the State of Connecticut
CHAPTER AND SECTION HEADINGS OF THE RULES
65-1A. Transfer of Matter on Recommendation of Appel- 67-8. The Party Appendix (Applicable to appeals filed on
late Court or after October 1, 2021.)
65-2. Party Motion to Transfer Appeal, Writ of Error or 67-8A. The Appendix in Administrative Appeals; Excep-
Reservation tions (Transferred from Section 68-10.) (Applica-
65-3. Transfer of Petition for Review of Bail Order from ble to appeals filed before October 1, 2021.)
Appellate Court to Supreme Court 67-9. Citation of Unreported Decisions [Repealed only as
65-4. Transfer of Matter Brought to Wrong Court to appeals filed on or after July 1, 2013.]
65-5. Proceedings after Transfer 67-10. Citation of Supplemental Authorities after Brief Is
Filed
67-11. Table of Authorities; Citation of Cases
CHAPTER 66 67-12. Stay of Briefing Obligations upon Filing of Certain
MOTIONS AND OTHER PROCEDURES Motions after Appeal Is Filed
67-13. Briefs in Family and Juvenile Matters and Other
Sec. Matters involving Minor Children
66-1. Extension of Time
66-2. Motions, Petitions and Applications; Supporting CHAPTER 68
Memoranda
66-2A. Supreme Court Briefs on Compact Disc; Hyperlink- CASE FILE AND CLERK APPENDIX
ing [Repealed]
66-3. Motion Procedures and Filing Sec.
66-4. Hearings on Motions 68-1. Responsibilities of Clerk of the Trial Court regarding
66-5. Motion for Rectification; Motion for Articulation Copying Case File and Additions to Case File
66-6. Motion for Review; In General Made after Appeal Is Filed; Exhibits and Lodged
66-7. Motion for Review of Motion for Rectification of Records (Applicable to appeals filed before
Appeal or Articulation October 1, 2021.)
66-8. Motion To Dismiss 68-1. Responsibilities of Clerk of the Trial Court regarding
Copying Case File and Additions to Case File
Made after Appeal Is Filed; Exhibits and Lodged
CHAPTER 67 Records (Applicable to appeals filed on or after
October 1, 2021.)
BRIEFS 68-2. Record Preparation [Repealed only as to appeals
filed on or after July 1, 2013.]
Sec.
68-2A. Assembly of the Clerk Appendix (Applicable to
67-1. Brief and Appendix (Applicable to appeals filed
appeals filed on or after October 1, 2021.)
before October 1, 2021.)
68-3. Record Contents [Repealed only as to appeals filed
67-1. Brief and Appendix (Applicable to appeals filed on
on or after July 1, 2013.]
or after October 1, 2021.)
68-3A. Clerk Appendix Contents (Applicable to appeals
67-2. Format of Briefs and Appendices; Copies; Electronic filed on or after October 1, 2021.)
Briefing Requirement (Applicable to appeals filed 68-4. Record Format [Repealed only as to appeals filed
before October 1, 2021.) on or after July 1, 2013.]
67-2. Format of Paper Briefs and Appendices for Filers 68-4A. Clerk Appendix Format (Applicable to appeals filed
Excluded or Exempt from Electronic Filing Pur- on or after October 1, 2021.)
suant to Section 60-8; Copies (Applicable to 68-5. Record where More than One Appeal [Repealed
appeals filed on or after October 1, 2021.) only as to appeals filed on or after July 1, 2013.]
67-2A. Format of Electronic Briefs and Party Appendices; 68-5A. Clerk Appendix when More than One Appeal (Appli-
Copies (Applicable to appeals filed on or after cable to appeals filed on or after October 1, 2021.)
October 1, 2021.) 68-6. Record where Several Cases Present Same Ques-
67-3. Page Limitations; Time for Filing Briefs and Appen- tion [Repealed only as to appeals filed on or after
dices (Applicable to appeals filed before October July 1, 2013.]
1, 2021.) 68-6A. Clerk Appendix when Several Cases Present Same
67-3. Page Limitations; Time for Filing Paper Briefs and Question (Applicable to appeals filed on or after
Appendices (Applicable to appeals filed on or October 1, 2021.)
after October 1, 2021.) 68-7. Record Filing [Repealed only as to appeals filed on
67-3A. Word Limitations; Time for Filing Electronic Briefs or after July 1, 2013.]
and Party Appendices (Applicable to appeals 68-8. Supplements [Repealed only as to appeals filed on
filed on or after October 1, 2021.) or after July 1, 2013.]
67-4. The Appellant’s Brief; Contents and Organization 68-8A. Supplements (Applicable to appeals filed on or after
67-5. The Appellee’s Brief; Contents and Organization October 1, 2021.)
67-5A. The Reply Brief (Applicable to appeals filed on or 68-9. Evidence Not To Be Included in Record [Repealed
after October 1, 2021.) only as to appeals filed on or after July 1, 2013.]
67-6. Statutory (§ 53a-46b) Review of Death Sentences 68-10. Record in Administrative Appeals; Exceptions
67-7. The Amicus Curiae Brief (Applicable to appeals [Repealed only as to appeals filed on or after
filed before October 1, 2021.) July 1, 2013.] (Transferred as of July 1, 2013,
67-7A. The Amicus Curiae Electronic Brief (Applicable to to Section 67-8A.)
appeals filed on or after October 1, 2021.) 68-10A. Clerk Appendix in Administrative Appeals; Excep-
67-8. The Appendix; Contents and Organization (Appli- tions (Applicable to appeals filed on or after Octo-
cable to appeals filed before October 1, 2021.) ber 1, 2021.)
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CHAPTER AND SECTION HEADINGS OF THE RULES
68-11. Decision To Be Part of Record [Repealed only as CHAPTER 73
to appeals filed on or after July 1, 2013.]
68-11A. Decision To Be Part of Clerk Appendix (Applicable RESERVATIONS
to appeals filed on or after October 1, 2021.)
Sec.
73-1. Reservation of Questions from the Superior Court
CHAPTER 69 to the Supreme Court or Appellate Court; Con-
tents of Reservation Request
ASSIGNMENT OF CASES FOR ARGUMENT
73-2. Consideration of Reservation Request by Supe-
Sec. rior Court
69-1. Docket 73-3. Procedure upon Acceptance of Reservation
69-2. Cases Ready for Assignment 73-4. Briefs, Appendices and Argument
69-3. Time for Assignments; Order of Assignment
CHAPTER 74
CHAPTER 70
DECISIONS OF JUDICIAL REVIEW COUNCIL
ARGUMENTS AND MEDIA COVERAGE OF Sec.
COURT PROCEEDINGS 74-1. Appeals by Respondent Judge from Decision of
Sec. Judicial Review Council
70-1. Oral Argument; Videoconferencing of Oral Argu- 74-2. Papers To Be Filed [Repealed]
ment in Certain Cases 74-2A. Referral to Supreme Court by Judicial Review
70-2. Submission without Oral Argument on Request of Council Following Recommendation of Suspen-
Parties sion or Removal (Transferred from Section 74-7)
70-3. Order of Oral Argument; Nonappearance at Oral 74-3. Costs and Security Not Required [Repealed]
Argument 74-3A. Initiation of Action by Supreme Court (Transferred
70-4. Time Allowed for Oral Argument; Who May Argue from Section 74-8)
70-5. Points To Be Argued 74-4. Decision of Council; Remand by Supreme Court
70-6. Reconsideration when Court Evenly Divided 74-5. Parties
70-7. Appellate Court Consideration En Banc and Rear- 74-6. Applicability of Rules
gument En Banc 74-7. Action on Recommendation when No Appeal (Trans-
70-8. Special Sessions ferred to Section 74-2A)
70-9. Coverage of Court Proceedings by Cameras and 74-8. Initiation of Action by Supreme Court (Transferred
Electronic Media to Section 74-3A)
70-10. Cameras and Electronic Media; Coverage of
Supreme and Appellate Court Proceedings CHAPTER 75
by News Media [Repealed]
APPEALS FROM COUNCIL ON PROBATE
CHAPTER 71 JUDICIAL CONDUCT
APPELLATE JUDGMENTS AND OPINIONS Sec.
75-1. Appeals by Respondent Judge from Decision of
Sec. Council on Probate Judicial Conduct
71-1. Appellate Judgment Files 75-2. Papers To Be Filed [Repealed]
71-2. Costs Included in Judgments 75-3. Costs and Security Not Required [Repealed]
71-3. Motion To Reconsider Costs 75-4. Decision of Council; Remand by Supreme Court
71-4. Opinions; Rescripts; Official Release Date 75-5. Parties
71-5. Motions for Reconsideration; Motions for Recon- 75-6. Applicability of Rules
sideration En Banc
71-6. Stay of Proceedings CHAPTER 76
71-7. Stays of Execution Pending Decision by United
States Supreme Court APPEALS IN WORKERS’ COMPENSATION
CASES
CHAPTER 72
Sec.
WRITS OF ERROR 76-1. Applicability of Rules
76-2. Filing Appeal
Sec. 76-3. Preparation of Case File; Exhibits
72-1. Writs of Error; In General 76-4. Fees and Costs
72-2. Form 76-5. ReservationofQuestion from Compensation Review
72-3. Applicable Procedure Board
72-3A. Stays 76-5A. Procedure upon Acceptance of Reservation
72-4. Applicability of Rules 76-6. Definitions
101
Copyrighted by the Secretary of the State of the State of Connecticut
CHAPTER AND SECTION HEADINGS OF THE RULES
CHAPTER 77 CHAPTER 79a
PROCEDURES CONCERNING COURT APPEALS IN CHILD PROTECTION MATTERS
CLOSURE AND SEALING ORDERS OR
Sec.
ORDERS LIMITING THE DISCLOSURE OF 79a-1. Child Protection Appeals Defined
FILES, AFFIDAVITS, DOCUMENTS OR 79a-2. Time To Appeal
OTHER MATERIAL 79a-3. Filing of the Appeal
79a-4. Waiver of Fees, Costs and Security
Sec.
79a-5. Ordering Transcripts
77-1. Petition for Review Seeking Expedited Review of
an Order concerning Court Closure, or an Order 79a-6. Format and Time for Filing Briefs and Appendices
That Seals or Limits the Disclosure of Files, Affi- 79a-7. Motions for Extension of Time
davits, Documents or Other Material 79a-8. Docketing Child Protection Appeals for
77-2. Sealing Orders; Treatment of Lodged Records Assignment
77-3. Sealing Documents or Limiting Disclosure of Docu- 79a-9. Oral Argument
ments on Appeal 79a-10. Submission without Oral Argument on Request of
77-4. Motion To Seal; Lodging of Documents with Appel- Parties
late Clerk 79a-11. Official Release Date
79a-12. Inspection of Records
79a-13. Hearings; Confidentiality
CHAPTER 78 79a-14. Motions Filed with the Appellate Clerk
79a-15. Applicability of Rules
REVIEW OF GRAND JURY RECORD OR
FINDING ORDER
CHAPTER 80
Sec.
78-1. Review of an Order concerning Disclosure of APPEALS IN HABEAS CORPUS
Grand Jury Record or Finding PROCEEDINGS FOLLOWING CONVICTION
Sec.
CHAPTER 78a 80-1. Certification To Appeal; Procedure on Appeal
REVIEW OF ORDERS CONCERNING CHAPTER 81
RELEASE ON BAIL
APPEALS TO APPELLATE COURT BY
Sec.
CERTIFICATION FOR REVIEW IN
78a-1. Petition for Review of Order concerning Release
on Bail ACCORDANCE WITH GENERAL STATUTES
CHAPTERS 124 AND 440
CHAPTER 78b Sec.
81-1. Petition; Where To File; Time To File; Service; Fee
REVIEW OF ORDERS DENYING APPLICATION 81-2. Form of Petition
FOR WAIVER OF FEES TO COMMENCE A CIVIL 81-3. Statement in Opposition to Petition
ACTION OR A WRIT OF HABEAS CORPUS 81-3A. Grant or Denial of Certification
81-4. Proceedings after Certification by Appellate Court
Sec. 81-5. Extensions of Time
78b-1. Petition for Review of Order Denying Application 81-6. Filing of Regulations
for Wavier of Fees to Commence a Civil Action
or a Writ of Habeas Corpus
CHAPTER 82
CERTIFIED QUESTIONS TO OR FROM
CHAPTER 79 COURTS OF OTHER JURISDICTIONS
APPEALS IN JUVENILE MATTERS Sec.
[Repealed as of Feb. 1, 2012.] 82-1. Certification of Questions from Other Courts
82-2. Method of Initiating [Repealed]
Sec. 82-3. Contents of Certification Request
79-1. Time To Take; Form; Filing; Costs [Repealed] 82-4. Preparation of Certification Request
79-2. Clerk’s Duties [Repealed] 82-5. Receipt; Costs of Certification
79-3. Inspection of Records [Repealed] 82-6. Briefs, Appendices, Assignment and Argument
79-4. Hearings; Confidentiality [Repealed] 82-7. Opinion
79-5. Briefs [Repealed] 82-8. Certification of Questions to Other Courts
102
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CHAPTER AND SECTION HEADINGS OF THE RULES
CHAPTER 83 CHAPTER 86
CERTIFICATION PURSUANT TO GENERAL RULE CHANGES; EFFECTIVE DATE;
STATUTES § 52-265a IN CASES OF APPLICABILITY
SUBSTANTIAL PUBLIC INTEREST Sec.
86-1. Publication of Rules; Effective Date
Sec. 86-2. Rule Changes; Applicability to Pending Appeals
83-1. Application; In General
83-2. Application Granted APPENDIX OF FORMS
83-3. Application Denied
83-4. Unavailability of Chief Justice Form
101 Heading of Pleadings, Motions and Requests
201 Plaintiff’s Interrogatories
CHAPTER 84 202 Defendant’s Interrogatories
203 Plaintiff’s Interrogatories—Premises Liability Cases
APPEALS TO SUPREME COURT BY 204 Plaintiff’s Requests for Production
CERTIFICATION FOR REVIEW 205 Defendant’s Requests for Production
206 Plaintiff’s Requests for Production—Premises Liabil-
Sec. ity
84-1. Certification by Supreme Court 207 Interrogatories—Actions To Establish, Enforce or
84-2. Basis for Certification Modify Child Support Orders
84-3. Stay of Execution 208 Defendant’sSupplementalInterrogatories—Workers’
Compensation Benefits—No Intervening Plaintiff
84-4. Petition; Time To File; Where To File; Service; Fee
209 Defendant’s Supplemental Requests for Pro-
84-5. Form of Petition duction—Workers’ Compensation Benefits—No
84-6. Statement in Opposition to Petition Intervening Plaintiff
84-6A. Petitions, Responses and Statements in Opposi- 210 Defendant’s Interrogatories—Workers’ Compen-
tion in Family and Child Protection Matters and sation Benefits—Intervening Plaintiff
Other Matters Involving Minor Children 211 Defendant’s Requests for Production—Workers’
84-7. Extensions of Time Compensation Benefits—Intervening Plaintiff
84-8. Grant or Denial of Certification 212 Defendant’s Interrogatories—Loss of Consortium
84-9. Proceedings after Certification 213 Plaintiff’s Interrogatories—Uninsured/
84-10. Record [Repealed only as to appeals filed on or Underinsured Motorist Cases
after July 1, 2013.] 214 Defendant’s Interrogatories—Uninsured/
Underinsured Motorist Cases
84-10A. Record
215 Plaintiff’s Requests for Production—Uninsured/
84-11. Papers To Be Filed by Appellant and Appellee in Underinsured Motorist Cases
an Appeal After Certification 216 Defendant’s Requests for Production—
84-12. Applicability of Rules Uninsured/Underinsured Motorist Cases
217 Interrogatories—Civil Actions Alleging Personal
CHAPTER 84a Injury—Medicare Enrollment, Eligibility and Pay-
ments
MATTERS WITHIN SUPREME COURT’S 218 Defendant’s Interrogatories—Medical Negligence
219 Defendant’s Requests for Production—Medical
ORIGINAL JURISDICTION IN WHICH FACTS Negligence
MAY BE FOUND 220 Plaintiff’s Interrogatories—Medical Negligence—
Health Care Provider
Sec. 221 Plaintiff’s Interrogatories—Medical Negligence—
84a-1. Application of Rules Hospital and/or Medical Group
84a-2. Procedure for Filing Original Jurisdiction Action; 222 Plaintiff’s Requests for Production—Medical Negli-
Pleadings and Motions gence—Health Care Provider
84a-3. Discovery 223 Plaintiff’s Requests for Production—Medical Negli-
84a-4. Reference of Issues of Fact gence—Hospital and/or Medical Group
84a-5. Evidence
OFFICIAL JUDICIAL BRANCH FORMS
84a-6. Other Officers
APPENDIX: SUPERIOR COURT STANDING
CHAPTER 85 ORDERS
SANCTIONS APPENDIX OF SECTION 1-9B CHANGES
Sec.
85-1. Lack of Diligence in Prosecuting or Defending
Appeal
85-2. Other Actions Subject to Sanctions
85-3. Procedure on Sanctions
103
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Sec. 1-1 SUPERIOR COURT—GENERAL PROVISIONS
SUPERIOR COURT—GENERAL PROVISIONS
CHAPTER 1
SCOPE OF RULES
Sec. Sec.
1-1. Scope of Rules; Definitions 1-11C. Media Coverage of Criminal Proceedings
1-2. Assignments To Take Precedence 1-11D. Pilot Program To Increase Public Access to Child
1-3. Divisions of Superior Court Protection Proceedings [Repealed]
1-4. Family Division 1-12. Court Opening
1-5. Civil Division 1-13. Recess and Adjournment
1-6. Criminal Division 1-13A. Contempt
1-7. Housing Division (Only in Judicial Districts Speci- 1-14. —Criminal Contempt
fied by Statute) 1-15. —Who May Be Punished [Repealed]
1-8. Rules To Be Liberally Interpreted 1-16. —Summary Criminal Contempt
1-9. Publication of Rules; Effective Date 1-17. —Deferral of Proceedings
1-9A. —Judiciary Committee; Placement of Rules Infor- 1-18. —Nonsummary Contempt Proceedings
mation on Judicial Branch Website 1-19. —Judicial Authority Disqualification in Nonsum-
1-9B. —Emergency Powers of Rules Committee mary Contempt Proceedings
E1-9C. —Adjustment or Suspension of Time or Location 1-20. —Where No Right to Jury Trial in Nonsummary
Requirement Proceeding
1-10. Possession of Electronic Devices in Court Facilities 1-21. —Nonsummary Judgment
1-10A. Definition of ‘‘Media’’ 1-21A. —Civil Contempt
1-10B. Media Coverage of Court Proceedings; In General 1-22. Disqualification of Judicial Authority
1-11. Media Coverage of Criminal Proceedings [Repealed] 1-23. Motion for Disqualification of Judicial Authority
1-11A. Media Coverage of Arraignments 1-24. Record of Off-Site Judicial Proceedings
1-11B. Media Coverage of Civil Proceedings 1-25. Actions Subject to Sanctions
For previous Histories and Commentaries see the editions of the Practice Book
corresponding to the years of the previous amendments.
Sec. 1-1. Scope of Rules; Definitions the procedures and technical standards estab-
(Amended June 20, 2011, to take effect Jan. 1, 2012.) lished by the Office of the Chief Court Administra-
(a) The rules for the Superior Court govern the tor pursuant to Section 4-4.
practice and procedure in the Superior Court in (3) Except as otherwise provided, the words
all civil and family actions whether cognizable as ‘‘paper’’ and ‘‘document’’ as used in the rules for
cases at law, in equity or otherwise, in all criminal the Superior Court shall include an electronic sub-
proceedings and in all proceedings on juvenile mission that complies with the procedures and
matters. These rules also relate to the admission, technical standards established by the Office of
qualifications, practice and removal of attorneys. the Chief Court Administrator pursuant to Section
(b) Except as otherwise provided, the sections 4-4 and a paper or document converted to a digital
in Chapters 1 through 7 shall apply to civil, family, format by the Judicial Branch.
criminal and juvenile matters in the Superior (P.B. 1978-1997, Sec. 1.) (Amended June 26, 2000, to take
Court. effect Jan. 1, 2001; amended June 20, 2011, to take effect
(c) (1) The term ‘‘judicial authority,’’ as used in Jan. 1, 2012.)
the rules for the Superior Court, means the Supe- TECHNICAL CHANGE: In subsection (b), ‘‘Chapters’’ was
rior Court, any judge thereof, each judge trial ref- capitalized for consistency purposes.
eree when the Superior Court has referred a case
to such trial referee pursuant to General Statutes Sec. 1-2. Assignments To Take Precedence
§ 52-434, and for purposes of the small claims Assignments for oral argument in the Supreme
rules only, any magistrate appointed by the chief Court and Appellate Court shall take precedence
court administrator pursuant to General Statutes over all other Judicial Branch assignments.
§ 51-193l. (P.B. 1998.)
(2) Except as otherwise provided, the words
‘‘write,’’ ‘‘written’’ and ‘‘writing’’ as used in the rules Sec. 1-3. Divisions of Superior Court
for the Superior Court shall mean typed or printed The Superior Court shall be divided into four
either on paper or, when electronically submitted divisions: family, civil, criminal and housing.
or issued, in a digital format that complies with (P.B. 1978-1997, Sec. 2.)
104
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SUPERIOR COURT—GENERAL PROVISIONS Sec. 1-9A
Sec. 1-4. Family Division Sec. 1-9. Publication of Rules; Effective
The family division of the Superior Court shall Date
consist of the following parts: (a) Each rule hereinafter adopted shall be prom-
(1) J—Juvenile matters including neglect, depend- ulgated by being published once in the Connecti-
ency, delinquency, families with service needs cut Law Journal. Such rule shall become effective
and termination of parental rights. at such date as the judges of the Superior Court
(2) S—Support and paternity actions. shall prescribe, but not less than sixty days after
(3) D—All other family relations matters, includ- its promulgation. The judges may waive the sixty
ing dissolution of marriage or civil union cases. day provision if they deem that circumstances
(P.B. 1978-1997, Sec. 3.) (Amended June 26, 2006, to take require that a rule or a change in an existing rule
effect Jan. 1, 2007.) be adopted expeditiously.
(b) Prior to such adoption the proposed revi-
Sec. 1-5. Civil Division sions to the rules or a summary thereof shall be
The civil division of the Superior Court shall published in the Connecticut Law Journal with a
consist of the following parts: notice stating the time when, the place where and
(1) H—Summary process cases and all other the manner in which interested persons may pre-
landlord and tenant matters returnable to the geo- sent their views thereon.
graphical areas. (c) Upon recommendation by the Rules Com-
(2) S—Small claims actions. mittee, the judges of the Superior Court may, by
(3) A—Administrative appeals. vote at a meeting or by mail vote as set forth in
(4) J—Jury matters. subsection (d), waive the provisions of subsection
(5) C—Court matters. (b) if they deem that circumstances require that
(P.B. 1978-1997, Sec. 4.) a rule or a change in an existing rule be adopted
expeditiously, provided that the adoption of any
Sec. 1-6. Criminal Division rules or changes in existing rules in connection
The criminal division of the Superior Court shall with such waiver shall be on an interim basis until
consist of the following parts: a public hearing has been held and the judges
(1) A—Capital felonies, class A felonies, and have thereafter acted on such revisions and such
unclassified felonies punishable by sentences of action has become effective. With respect to such
more than twenty years. rules adopted on an interim basis, the judges shall
(2) B—Class B felonies and unclassified felon- prescribe the effective date thereof following pub-
ies punishable by sentences of more than ten lication in the Connecticut Law Journal.
years but not more than twenty years. (d) For a mail vote under subsection (c) to be
(3) C—Class C felonies and unclassified felon- effective, a written notice setting forth the pro-
ies punishable by sentences of more than five posed rule or change in an existing rule, together
years but not more than ten years. with a statement as to the effective date thereof,
(4) D—Class D felonies and all other crimes, shall be mailed or electronically transmitted to all
violations, motor vehicle violations, and infrac- the judges of the Superior Court. In the event that
tions. no objection from any judge is received, by mail
(P.B. 1978-1997, Sec. 5.) or electronically, by the counsel to the Rules Com-
mittee within the time specified in such notice,
Sec. 1-7. Housing Division (Only in Judicial such rule or change shall become effective on the
Districts Specified by Statute) date specified in the notice until further action is
The housing division of the Superior Court shall taken at the next meeting of the judges.
consist of the following part: (P.B. 1978-1997, Sec. 7.) (Amended June 14, 2013, to take
(1) H—Housing matters as defined by General effect Jan. 1, 2014.)
Statutes § 47a-68.
(P.B. 1978-1997, Sec. 5A.)
Sec. 1-9A. —Judiciary Committee; Place-
ment of Rules Information on Judicial
Sec. 1-8. Rules To Be Liberally Interpreted Branch Website
The design of these rules being to facilitate busi- (a) Each year the Rules Committee shall make
ness and advance justice, they will be interpreted itself available to meet with the members of the
liberally in any case where it shall be manifest Judiciary Committee of the General Assembly
that a strict adherence to them will work surprise (the Judiciary Committee) as soon as practicable
or injustice. after the first Rules Committee meeting in Sep-
(P.B. 1978-1997, Sec. 6.) tember to advise the Judiciary Committee as to
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Sec. 1-9A SUPERIOR COURT—GENERAL PROVISIONS
the Rules Committee’s anticipated agenda for the (c) At such meeting the Rules Committee shall
upcoming year. have the power to adopt on an interim basis any
(b) As soon as practicable after the convening new rules and to amend or suspend in whole
of each regular legislative session, the chair of or in part on an interim basis any existing rules
the Rules Committee shall invite the Senate and concerning practice and procedure in the Superior
House chairs and the ranking members of the Court that the committee deems necessary in light
Judiciary Committee, and such other members of of the circumstances of the declared emergency.
that Committee as the chairs may designate, to Any new rules and any amendments to and sus-
attend a meeting with the Rules Committee to pensions of existing rules adopted pursuant to
confer and consult with respect to the rules of this section should be published in the Connecti-
practice, pleadings, forms and procedure for the cut Law Journal and on the Judicial Branch web-
Superior Court and with respect to legislation site, but failure to so publish shall not impair the
affecting the courts pending before or to be intro- validity of such rules as long as a good faith effort
duced in the General Assembly. has been made to so publish.
(c) The chair of the Rules Committee shall for- (d) Any such new rules and amendments to and
ward to the Judiciary Committee for review and suspensions of existing rules adopted pursuant
comment all proposed revisions to the Practice to this section shall remain in effect for the duration
Book which the Rules Committee has decided to of the declared emergency or until such time, as
submit to public hearing at least thirty-five days soon as practicable, as a meeting of the Superior
in advance of the public hearing thereon. If the Court judges can be convened, in person or elec-
chair of the Rules Committee shall receive any com- tronically, to consider and vote on the changes.
ments from the Judiciary Committee with respect (Adopted June 21, 2010, to take effect Jan. 1, 2011.)
to such proposed revisions, he or she shall for-
ward such comments to the members of the Rules Sec. E1-9C. —Adjustment or Suspension of
Committee for their consideration in connection Time or Location Requirement
with the public hearing. See Appendix of Section 1-9B Changes.
(d) The agendas and minutes of Rules Commit- (Adopted June 26, 2020, to take effect retroactively March
tee meetings, any proposed revisions to the Prac- 24, 2020, on an interim basis, but until no later than the duration
of the declared emergencies.)
tice Book which the Rules Committee has decided
to submit to public hearing, any comments by the Sec. 1-10. Possession of Electronic Devices
Judiciary Committee with respect to such pro- in Court Facilities
posed revisions, and any proposed revisions that
(Amended June 29, 2007, to take effect Jan. 1, 2008.)
are adopted by the Superior Court judges shall
be placed on the Judicial Branch website. (a) Personal computers may be used for note-
(Adopted June 30, 2008, to take effect Jan. 1, 2009; taking in a courtroom. If the judicial authority finds
amended June 12, 2015, to take effect Jan. 1, 2016.) that the use of computers is disruptive of the court
proceeding, it may limit such use. No other elec-
Sec. 1-9B. —Emergency Powers of Rules tronic devices shall be used in a courtroom unless
Committee authorized by a judicial authority or permitted by
(a) In the event that the governor declares a these rules.
public health emergency pursuant to General Stat- (b) The possession and use of electronic devices
utes § 19a-131a or a civil preparedness emer- in court facilities are subject to policies promulgated
gency pursuant to General Statutes § 28-9 or by the chief court administrator.
both, the chief justice, or if the chief justice is (P.B. 1978-1997, Sec. 7B.) (Amended June 20, 2005,
incapacitated or unavailable, the chairperson of to take effect Oct. 1, 2005; June 26, 2006, subsection (b)
extended for a one year period commencing Oct. 1, 2006;
the Rules Committee may call a meeting of the amended June 29, 2007, to take effect Jan. 1, 2008; June 29,
Superior Court Rules Committee. 2007, subsection (b) extended for a one year period com-
(b) No quorum shall be required at this meeting mencing Oct. 1, 2007; amended June 30, 2008, to take effect
as long as a good faith effort has been made to Aug. 1, 2008.)
contact all members of the Rules Committee to
advise them of the meeting. The meeting may Sec. 1-10A. Definition of ‘‘Media’’
be held in person or by electronic means. Public For purposes of these rules, ‘‘media’’ means
notice should be given of the Rules Committee any person or entity that is regularly engaged in
meeting, but failure to give such notice shall not the gathering and dissemination of news and that
impair the validity of actions taken at the meeting is approved by the Office of the Chief Court Admin-
as long as a good faith effort has been made to istrator.
provide such notice. (Adopted June 29, 2007, to take effect Jan. 1, 2008.)
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Sec. 1-10B. Media Coverage of Court Pro- Sec. 1-11A. Media Coverage of Arraign-
ceedings; In General ments
(a) The broadcasting, televising, recording or (a) The broadcasting, televising, recording, or
photographing by the media of court proceedings taking photographs by media in the courtroom
and trials in the Superior Court should be allowed during arraignments may be authorized by the
subject to the limitations set out in this section judicial authority presiding over such arraign-
and in Sections 1-11A through 1-11C, inclusive. ments in the manner set forth in this section, as
(b) No broadcasting, televising, recording or implemented by the judicial authority.
photographing of any of the following proceedings (b) Any media representative desiring to broad-
shall be permitted: cast, televise, record or photograph an arraign-
(1) Family relations matters as defined in Gen- ment shall send an e-mail request for electronic
eral Statutes § 46b-1; coverage to a person designated by the chief court
administrator to receive such requests. Said des-
(2) Juvenile matters as defined in General Stat- ignee shall promptly transmit any such request to
utes § 46b-121; the administrative judge, presiding judge of crimi-
(3) Except as provided in subsection (q) of Sec- nal matters, arraignment judge, clerk and the
tion 1-11C, proceedings involving sexual assault; supervising marshal. The administrative judge
(4) Proceedings involving trade secrets; shall ensure that notice is provided to the state’s
(5) In jury trials, all proceedings held in the attorney and the attorney for the defendant or,
absence of the jury unless the trial court deter- where the defendant is unrepresented, to the
mines that such coverage does not create a risk defendant. Electronic coverage shall not be per-
to any party’s rights or other fair trial risks under mitted until the state’s attorney and the attorney
the circumstances; for the defendant, or the defendant if he or she
(6) Proceedings which must be closed to the has no attorney, have had an opportunity to object
public to comply with the provisions of state law; to the request on the record and the judicial
(7) Any proceeding that is not held in open court authority has ruled on the objection. If a request
on the record. for coverage is denied or is granted over the
(c) No broadcasting, televising, recording or objection of any party, the judicial authority shall
photographic equipment permitted under these articulate orally or in writing the reasons for its
decision on the request and such decision shall
rules shall be operated during a recess in the trial.
be final.
(d) No broadcasting, televising, recording or (c) Broadcasting, televising, recording or photo-
photographing of conferences involving counsel graphing of the following are prohibited:
and the trial judge at the bench or involving coun- (1) any criminal defendant who has not been
sel and their clients shall be permitted. made subject to an order for electronic coverage
(e) There shall be no broadcasting, televising, and, to the extent practicable, any person other
recording or photographing of the process of jury than court personnel or other participants in the
selection nor of any juror. arraignment for which electronic coverage is per-
(Adopted June 29, 2007, to take effect Jan. 1, 2008; mitted;
amended June 20, 2011, to take effect Jan. 1, 2012; amended
June 26, 2020, to take effect Jan. 1, 2021.) (2) conferences involving the attorneys and the
COMMENTARY—2014: The Judicial Branch may provide, judicial authority at the bench or communications
at its discretion, within a court facility, a contemporaneous between the defendant and his or her attorney or
closed-circuit video transmission of any court proceeding for other legal representative;
the benefit of media or other spectators, and such a transmis- (3) close ups of documents of counsel, the clerk
sion shall not be considered broadcasting or televising by the or the judicial authority;
media under this rule. (4) the defendant while exiting or entering the
COMMENTARY—2021: The changes to this section and
lockup;
to Section 1-11C permit the judicial authority to allow media
coverage of a homicide case involving sexual assault, provided (5) to the extent practicable, any restraints on
that the victim’s family affirmatively consents to such coverage. the defendant;
If any member of the victim’s family objects to such coverage (6) to the extent practicable, any judicial mar-
or if the victim’s family cannot be identified or located, the shals or Department of Correction employees
judicial authority should not allow such coverage. escorting the defendant while he or she is in the
courtroom; and
Sec. 1-11. Media Coverage of Criminal Pro- (7) proceedings in cases transferred from juve-
ceedings nile court prior to a determination by the adult
[Repealed as of Jan. 1, 2012.] court that the matter was properly transferred.
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Sec. 1-11A SUPERIOR COURT—GENERAL PROVISIONS
(d) Only one (1) still camera, one (1) television proceedings and trials in courtrooms of the Supe-
camera and one (1) audio recording device, which rior Court except as hereinafter precluded or lim-
do not produce a distracting sound or light, shall ited. As used in this rule, the word ‘‘trial’’ in jury
be employed to cover the arraignment, unless cases shall mean proceedings taking place after
otherwise ordered by the judicial authority. the jury has been sworn and in nonjury proceed-
(e) The operator of any camera, television or ings commencing with the swearing in of the
audio recording equipment shall not employ any first witness.
artificial lighting device to supplement the existing (c) Any party, attorney, witness or other inter-
light in the courtroom. ested person may object in advance of electronic
(f) All personnel and equipment shall be situ- coverage of a civil proceeding or trial if there exists
ated in an unobtrusive manner within the court- a substantial reason to believe that such coverage
room. The ___location of any such equipment and will undermine the legal rights of a party or will
personnel shall be determined by the judicial significantly compromise the safety of a witness
authority. The ___location of the camera, to the extent or other interested person or impact significant
possible, shall provide access to optimum cover- privacy concerns. To the extent practicable, notice
age. Once the judicial authority designates the that an objection to the electronic coverage has
position for a camera, the operator of the camera been filed, and the date, time and ___location of the
must remain in that position and not move about hearing on such objection shall be posted on the
until the arraignment is completed. Judicial Branch website. Any person, including
(g) Videographers, photographers and equip- the media, whose rights are at issue in considering
ment operators must conduct themselves in the whether to allow electronic coverage of the pro-
courtroom quietly and discreetly, with due regard ceeding or trial, may participate in the hearing
for the dignity of the courtroom. to determine whether to limit or preclude such
(h) If there are multiple requests to broadcast,
coverage. When such objection is filed by any
televise, record or photograph the same arraign-
party, attorney, witness or other interested per-
ment, the media representatives making such
requests must make pooling arrangements son, the burden of proving that electronic cover-
among themselves, unless otherwise determined age of the civil proceeding or trial should be limited
by the judicial authority. The judicial authority shall or precluded shall be on the person who filed
not mediate any disputes among the media the objection.
regarding pooling arrangements. (d) The judicial authority, in deciding whether
(i) On camera reporting and interviews shall to limit or preclude electronic coverage of a civil
only be conducted outside of the courthouse. proceeding or trial, shall consider all rights at issue
(Adopted June 29, 2007, to take effect Jan. 1, 2008; and shall limit or preclude such coverage only if
amended June 20, 2011, to take effect Jan. 1, 2012; amended there exists a compelling reason to do so, there
June 10, 2022, to take effect Jan. 1, 2023.) are no reasonable alternatives to such limitation
HISTORY—2023: In the first sentence of subsection (b), or preclusion, and such limitation or preclusion is
‘‘to receive such requests’’ was added after ‘‘administrator.’’
In addition, what is now the last sentence of subsection (h) no broader than necessary to protect the compel-
was added. ling interest at issue.
COMMENTARY—2023: The change to subsection (b) clari- (e) If the judicial authority has a substantial rea-
fies that the person to whom the media e-mails a request for son to believe that the electronic coverage of a
electronic coverage is the person designated by the chief court
administrator to receive the request.
civil proceeding or trial will undermine the legal
The change to subsection (h) makes it clear that the judicial rights of a party or will significantly compromise
authority shall not mediate any disputes among the media the safety or significant privacy concerns of a
regarding pooling arrangements. There is similar language in party, witness or other interested person, and no
subsection (m) of Section 1-11B and subsection (o) of Section party, attorney, witness or other interested person
1-11C. This new language provides consistency among all of
the rules concerning camera coverage of proceedings.
has objected to such coverage, the judicial author-
ity shall schedule a hearing to consider limiting or
Sec. 1-11B. Media Coverage of Civil Pro- precluding such coverage. To the extent practica-
ceedings ble, notice that the judicial authority is considering
(a) The broadcasting, televising, recording or limiting or precluding electronic coverage of a civil
photographing of civil proceedings and trials in the proceeding or trial, and the date, time and ___location
Superior Court by news media should be allowed, of the hearing thereon shall be given to the parties
subject to the limitations set forth herein and in and others whose interests may be directly
Section 1-10B. affected by a decision so that they may participate
(b) A judicial authority shall permit broadcast- in the hearing and shall be posted on the Judicial
ing, televising, recording or photographing of civil Branch website.
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(f) Objection raised during the course of a civil (n) Unless good cause is shown, any media or
proceeding or trial to the photographing, videotap- pool representative seeking to broadcast, tele-
ing or audio recording of specific aspects of the vise, record or photograph a civil proceeding or
proceeding or trial, or specific individuals or exhib- trial shall, at least three days prior to the com-
its will be heard and decided by the judicial author- mencement of the proceeding or trial, send an
ity, based on the same standards as set out in e-mail request for media coverage to a person
subsection (d) of this section used to determine designated by the chief court administrator to
whether to limit or preclude coverage based on receive such requests. The designee shall inform
objections raised before the start of a civil pro- the administrative judge, presiding judge of civil
ceeding or trial. matters, judicial authority who will hear the pro-
(g) The trial judge in his or her discretion, upon ceeding or who will preside over the trial, clerk,
the judge’s own motion or at the request of a and the supervising marshal of the request, and
participant, may prohibit the broadcasting, televis- the judicial authority shall allow such coverage
ing, recording or photographing of any participant except as otherwise provided in this section.
at the trial. The judge shall give great weight to (o) To evaluate and resolve prospective prob-
requests where the protection of the identity of a lems where broadcasting, televising, recording or
person is desirable in the interests of justice, such photographing of a civil proceeding or trial will
as for the victims of crime, police informants, take place, and to ensure compliance with these
undercover agents, relocated witnesses, juve- rules during the proceeding or trial, the judicial
niles and individuals in comparable situations. authority who will hear the proceeding or preside
‘‘Participant’’ for the purpose of this section shall over the trial may require the attendance of attor-
mean any party, lawyer or witness. neys and media personnel at a pretrial confer-
ence. At such conference, the judicial authority
(h) The judicial authority shall articulate the rea-
shall set forth the conditions of coverage in
sons for its decision on whether or not to limit or accordance herewith.
preclude electronic coverage of a civil proceeding (Adopted June 29, 2007, to take effect Jan. 1, 2008;
or trial and such decision shall be final. amended June 10, 2022, to take effect Jan. 1, 2023.)
(i) No broadcasting, televising, recording and HISTORY—2023: Prior to 2023, subsection (m) read: ‘‘The
photographic equipment shall be placed in or judicial authority in its discretion may require pooling arrange-
ments by the media. Pool representatives should ordinarily
removed from the courtroom while the court is in be used for video, still cameras and radio, with each pool
session. Television film magazines or still camera representative to be decided by the relevant media group.
film or lenses shall not be changed within the Participating members of the broadcasting, televising,
courtroom except during a recess or other appro- recording and photographic media shall make their respective
priate time in the trial. pooling arrangements, including the establishment of neces-
sary procedures and selection of pool representatives, without
(j) Only still camera, television and audio equip- calling upon the judicial authority to mediate any dispute as
ment which does not produce distracting sound to the appropriate media representative or equipment for a
or light shall be employed to cover the trial. The particular trial. If any such medium shall not agree on equip-
operator of such equipment shall not employ any ment, procedures and personnel, the judicial authority shall
artificial lighting device to supplement the existing not permit that medium to have coverage at the trial.’’
light in the courtroom without the approval of the In addition, prior to 2023, subsection (n) read: ‘‘Unless good
cause is shown, any media or pool representative seeking to
trial judge and other appropriate authority. broadcast, televise, record or photograph a civil proceeding
(k) Except as provided by these rules, broad- or trial shall, at least three days prior to the commencement
casting, televising, recording and photographing of the proceeding or trial, submit a written notice of media
in areas immediately adjacent to the courtroom coverage to the administrative judge of the judicial district
during sessions of court or recesses between ses- where the proceeding is to be heard or the case is to be tried.
A notice of media coverage submitted on behalf of a pool
sions shall be prohibited. shall contain the name of each news organization seeking to
(l) The conduct of all attorneys with respect to participate in that pool. The administrative judge shall inform
trial publicity shall be governed by Rule 3.6 of the the judicial authority who will hear the proceeding or who will
Rules of Professional Conduct. preside over the trial of the notice, and the judicial authority
shall allow such coverage except as otherwise provided in
(m) If there are multiple requests to broadcast, this section. Any news organization seeking permission to
televise, record or photograph the same civil pro- participate in a pool whose name was not submitted with the
ceeding or trial, the media representatives making original notice of media coverage may, at any time, submit a
such requests must make pooling arrangements separate written notice to the administrative judge and shall
among themselves, unless otherwise determined be allowed to participate in the pool arrangement.’’
COMMENTARY—2023: The change to subsection (m) sim-
by the judicial authority. The judicial authority shall plifies the rule requiring the media to make pooling arrange-
not mediate any disputes among the media ments among themselves and reiterates that the judicial
regarding pooling arrangements. authority shall not mediate any disputes.
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Sec. 1-11B SUPERIOR COURT—GENERAL PROVISIONS
The changes to subsection (n) make the following changes coverage will undermine the legal rights of a party
to the camera rules impacting civil proceedings: (1) clarifies or will significantly compromise the safety of a
that the media must e-mail their requests only to a person
designated by the chief court administrator to receive such
witness or other person or impact significant pri-
requests rather than the respective administrative judge; (2) vacy concerns. In the event that the media request
removes the requirement that the pool media organization camera coverage and, to the extent practicable,
provide a list of all news organizations seeking to participate notice that an objection to the electronic coverage
in the pool; (3) clarifies that the person designated by the has been filed, the date, time and ___location of the
chief court administrator will inform the following people of the
request: administrative judge, presiding judge of civil matters,
hearing on such objection shall be posted on the
judicial authority who will hear the proceeding or who will Judicial Branch website. Any person, including
preside over the trial, clerk and the supervising marshal; and the media, whose rights are at issue in considering
(4) removes the requirement for news organizations whose whether to allow electronic coverage of the pro-
names were not originally included in the pool arrangement ceeding or trial, may participate in the hearing
to submit a request to the administrative judge to be included to determine whether to limit or preclude such
in the pool. The requirement for the pool media organization
to provide a list of all news organizations seeking to participate coverage. When such objection is filed by any
in the pool is obsolete. Current practice is that the news organi- party, attorney, witness or other interested per-
zations work out all of the pooling logistics among themselves. son, the burden of proving that electronic cover-
age of the criminal proceeding or trial should be
Sec. 1-11C. Media Coverage of Criminal Pro- limited or precluded shall be on the person who
ceedings filed the objection.
(Amended June 20, 2011, to take effect Jan. 1, 2012.) (f) The judicial authority, in deciding whether to
(a) Except as authorized by Section 1-11A limit or preclude electronic coverage of a criminal
regarding media coverage of arraignments, the proceeding or trial, shall consider all rights at issue
broadcasting, televising, recording or photo- and shall limit or preclude such coverage only if
graphing by media of criminal proceedings and there exists a compelling reason to do so, there
trials in the Superior Court shall be allowed except are no reasonable alternatives to such limitation
as hereinafter precluded or limited and subject to or preclusion, and such limitation or preclusion is
the limitations set forth in Section 1-10B. no broader than necessary to protect the compel-
(b) Except as provided in subsection (q) of this ling interest at issue.
section, no broadcasting, televising, recording or
photographing of trials or proceedings involving (g) If the judicial authority has a substantial rea-
sexual offense charges shall be permitted. son to believe that the electronic coverage of a
(c) As used in this rule, the word ‘‘trial’’ in jury criminal proceeding or trial will undermine the
cases shall mean proceedings taking place after legal rights of a party or will significantly compro-
the jury has been sworn and in nonjury proceed- mise the safety or privacy concerns of a party,
ings commencing with the swearing in of the first witness or other interested person, and no party,
witness. ‘‘Criminal proceeding’’ shall mean any attorney, witness or other interested person has
hearing or testimony, or any portion thereof, in objected to such coverage, the judicial authority
open court and on the record except an arraign- shall schedule a hearing to consider limiting or
ment subject to Section 1-11A. precluding such coverage. To the extent practica-
(d) Unless good cause is shown, any media or ble, notice that the judicial authority is considering
pool representative seeking to broadcast, tele- limiting or precluding electronic coverage of a
vise, record or photograph a criminal proceeding criminal proceeding or trial, and the date, time
or trial shall, at least three days prior to the com- and ___location of the hearing thereon shall be given
mencement of the proceeding or trial, send an to the parties and others whose interests may be
e-mail request for media coverage to a person directly affected by a decision so that they may
designated by the chief court administrator to participate in the hearing and shall be posted on
receive such requests. The designee shall inform the Judicial Branch website.
the administrative judge, presiding judge of crimi- (h) Objection raised during the course of a crimi-
nal matters, judicial authority who will hear the nal proceeding or trial to the photographing, video-
proceeding or who will preside over the trial, clerk, taping or audio recording of specific aspects of
and the supervising marshal of the request, and the proceeding or trial, or specific individuals or
the judicial authority shall allow such coverage exhibits will be heard and decided by the judicial
except as otherwise provided. authority, based on the same standards as set out
(e) Any party, attorney, witness or other inter- in subsection (f) of this section used to determine
ested person may object in advance of electronic whether to limit or preclude coverage based on
coverage of a criminal proceeding or trial if there objections raised before the start of a criminal
exists a substantial reason to believe that such proceeding or trial.
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SUPERIOR COURT—GENERAL PROVISIONS Sec. 1-11C
(i) The judge presiding over the proceeding or (n) The conduct of all attorneys with respect to
trial in his or her discretion, upon the judge’s own trial publicity shall be governed by Rule 3.6 of the
motion or at the request of a participant, may Rules of Professional Conduct.
prohibit the broadcasting, televising, recording or (o) If there are multiple requests to broadcast,
photographing of any participant at the trial. The televise, record or photograph the same criminal
judge shall give great weight to requests where proceeding or trial, the media representatives
the protection of the identity of a person is desir- making such requests must make pooling arrange-
able in the interests of justice, such as for the ments among themselves, unless otherwise
victims of crime, police informants, undercover determined by the judicial authority. The judicial
agents, relocated witnesses, juveniles and indi- authority shall not mediate any disputes among
viduals in comparable situations. ‘‘Participant’’ for the media regarding pooling arrangements.
the purpose of this section shall mean any party, (p) To evaluate and resolve prospective prob-
lawyer or witness. lems where broadcasting, televising, recording or
(j) The judicial authority shall articulate the rea- photographing by media of a criminal proceeding
sons for its decision on whether or not to limit or or trial will take place, and to ensure compliance
preclude electronic coverage of a criminal pro- with these rules during the proceeding or trial, the
ceeding or trial, and such decision shall be final. judicial authority who will hear the proceeding or
(k) (1) Only one television camera operator, preside over the trial may require the attendance
of attorneys and media personnel at a pretrial con-
utilizing one portable mounted television camera,
ference.
shall be permitted in the courtroom. The television
(q) In a homicide case involving sexual assault,
camera and operator shall be positioned in such
the broadcasting, televising, recording or photo-
___location in the courtroom as shall be designated
graphing by the media of the trial may be permitted
by the trial judge. Microphones, related wiring and by the judicial authority, provided that the victim’s
equipment essential for the broadcasting, televis- family affirmatively consents to such coverage,
ing or recording shall be unobtrusive and shall be that no member of the victim’s family objects to
located in places designated in advance by the such coverage, and that the victim’s family have
trial judge. While the trial is in progress, the televi- been notified. As used in this section, ‘‘victim’s
sion camera operator shall operate the television family’’ shall mean a person’s spouse, parent,
camera in this designated ___location only. grandparent, stepparent, aunt, uncle, niece,
(2) Only one still camera photographer shall nephew, child, including a natural born child, step-
be permitted in the courtroom. The still camera child and adopted child, grandchild, brother, sis-
photographer shall be positioned in such ___location ter, half brother or half sister or parent of a
in the courtroom as shall be designated by the person’s spouse.
trial judge. While the trial is in progress, the still (Adopted June 29, 2007, to take effect Jan. 1, 2008;
camera photographer shall photograph court pro- amended June 20, 2011, to take effect Jan. 1, 2012; amended
ceedings from this designated ___location only. June 26, 2020, to take effect Jan. 1, 2021; amended June 10,
2022, to take effect Jan. 1, 2023.)
(3) Only one audio recorder shall be permitted HISTORY—2023: Prior to 2023, subsection (d) read:
in the courtroom for purposes of recording the ‘‘Unless good cause is shown, any media or pool representa-
proceeding or trial. Microphones, related wiring tive seeking to broadcast, televise, record or photograph a
and equipment essential for the recording shall criminal proceeding or trial shall, at least three days prior to
be unobtrusive and shall be located in places des- the commencement of the proceeding or trial, submit a written
notice of media coverage to the administrative judge of the
ignated in advance by the trial judge. judicial district where the proceeding is to be heard or the
(l) Only still camera, television and audio equip- case is to be tried. A notice of media coverage submitted
ment which does not produce distracting sound on behalf of a pool shall contain the name of each news
or light shall be employed to cover the proceeding organization seeking to participate in that pool. The administra-
or trial. The operator of such equipment shall not tive judge shall inform the judicial authority who will hear the
proceeding or who will preside over the trial of the notice,
employ any artificial lighting device to supplement and the judicial authority shall allow such coverage except as
the existing light in the courtroom without the otherwise provided.’’
approval of the judge presiding over the proceed- Prior to 2023, subsection (o) read: ‘‘The judicial authority in
ing or trial and other appropriate authority. its discretion may require pooling arrangements by the media.
(m) Except as provided by these rules, broad- Pool representatives should ordinarily be used for video, still
cameras and radio, with each pool representative to be
casting, televising, recording and photographing
decided by the relevant media group. Participating members
in areas immediately adjacent to the courtroom of the broadcasting, televising, recording and photographic
during sessions of court or recesses between ses- media shall make their respective pooling arrangements,
sions shall be prohibited. including the establishment of necessary procedures and
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Sec. 1-11C SUPERIOR COURT—GENERAL PROVISIONS
selection of pool representatives, without calling upon the judi- (b) Contempt may be either criminal or civil.
cial authority to mediate any dispute as to the appropriate When criminal, it may be summary or nonsum-
media representative or equipment for a particular trial. If any mary criminal contempt.
such medium shall not agree on equipment, procedures and (Adopted June 28, 1999, to take effect Jan. 1, 2000.)
personnel, the judicial authority shall not permit that medium
to have coverage at the proceeding or trial.’’ Sec. 1-14. —Criminal Contempt
COMMENTARY—2021: The changes to this section and Conduct that is directed against the dignity and
to Section 1-10B permit the judicial authority to allow media authority of the court shall be criminal contempt,
coverage of a homicide case involving sexual assault, provided and may be adjudicated summarily or nonsum-
that the victim’s family affirmatively consents to such coverage, marily. The sanction for a criminal contempt is
that no member of the victim’s family objects to such coverage
and that the victim’s family has been notified. If any member
punitive to vindicate the authority of the court.
(P.B. 1978-1997, Sec. 985.) (Amended June 28, 1999, to
of the victim’s family objects to such coverage or if the victim’s take effect Jan. 1, 2000.)
family cannot be identified or located, the judicial authority
should not allow such coverage. As used in this section, ‘‘vic- Sec. 1-15. —Who May Be Punished
tim’s family’’ has the same meaning as ‘‘relative’’ in General [Repealed as of Jan. 1, 2000.]
Statutes § 54-201 (4).
COMMENTARY—2023: The changes to subsection (d) Sec. 1-16. —Summary Criminal Contempt
make the following changes to the camera rules impacting (Amended June 28, 1999, to take effect Jan. 1, 2000.)
criminal proceedings: (1) clarifies that the media must e-mail Misbehavior or misconduct in the court’s pres-
their requests only to a person designated by the chief court ence causing an obstruction to the orderly admin-
administrator to receive such requests rather than the respec- istration of justice shall be summary criminal
tive administrative judge; (2) removes the requirement that the contempt, and may be summarily adjudicated and
pool media organization provide a list of all news organizations punished by fine or imprisonment, or both. Prior
seeking to participate in the pool; and (3) clarifies that the
person designated by the chief court administrator will inform
to any finding of guilt, the judicial authority shall
the following people of the request: administrative judge, pre- inform the defendant of the charges against him
siding judge of criminal matters, judicial authority who will hear or her and inquire as to whether the defendant
the proceeding or who will preside over the trial, clerk and has any cause to show why he or she should not
the supervising marshal. The requirement for the pool media be adjudged guilty of summary criminal contempt
organization to provide a list of all news organizations seeking by presenting evidence of acquitting or mitigating
to participate in the pool is obsolete. Current practice is that circumstances. Upon an adjudication, the judicial
the news organizations work out all of the pooling logistics authority shall immediately impose sentence of
among themselves. not more than $100, or six months imprisonment,
The change to subsection (o) simplifies the rule requiring
the media to make pooling arrangements among themselves
or both for each contumacious act. Execution of
and reiterates that the judicial authority shall not mediate any sentence during the pendency of a trial or
any disputes. hearing may be deferred to the close of proceed-
ings.
Sec. 1-11D. Pilot Program To Increase Pub- (P.B. 1978-1997, Sec. 988.) (Amended June 28, 1999, to
lic Access to Child Protection Proceedings take effect Jan. 1, 2000.)
[Repealed as of Jan. 1, 2013.] Sec. 1-17. —Deferral of Proceedings
Sec. 1-12. Court Opening The judicial authority should defer criminal con-
The sessions of the Superior Court will be tempt proceedings when: (1) the misconduct does
opened at 10:00 a.m., unless otherwise ordered. not rise to an obstruction to the orderly administra-
(P.B. 1978-1997, Sec. 299.) tion of justice; (2) the judicial authority has become
personally embroiled; (3) the misconduct did not
Sec. 1-13. Recess and Adjournment occur in the presence of the court; and (4) the
The court is ‘‘not in session’’ or ‘‘not actually in judicial authority does not instantly impose sum-
session,’’ as those phrases are used in the stat- mary criminal contempt upon the commission of
utes and rules, at all times (1) after adjournment the contumacious act.
and before opening and (2) during recess. The (P.B. 1978-1997, Sec. 989.) (Amended June 28, 1999, to
take effect Jan. 1, 2000.)
court is in recess or in adjournment provided it
has not been adjourned without date. The order Sec. 1-18. —Nonsummary Contempt Pro-
for a recess or an adjournment other than without ceedings
date may be revoked and the court reconvened A criminal contempt deferred under Section 1-
by direction of the presiding judge at any time. 17 shall be prosecuted by means of an informa-
(P.B. 1978-1997, Sec. 300.) tion. The judicial authority may, either upon its
own order or upon the request of the prosecuting
Sec. 1-13A. Contempt authority, issue a summons or an arrest warrant
(a) Any person or court officer misbehaving or for the accused. The case shall proceed as any
disobeying any order of a judicial authority in the other criminal prosecution under these rules and
course of any judicial proceeding may be adjudi- the General Statutes. The sentence shall be pro-
cated in contempt and appropriately punished. nounced in open court and shall not exceed six
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SUPERIOR COURT—GENERAL PROVISIONS Sec. 1-24
months imprisonment or a fine of $500, or both, 2.11 of the Code of Judicial Conduct or because
for each contumacious act. the judicial authority previously tried the same
(P.B. 1978-1997, Sec. 991.) (Amended June 28, 1999, to matter and a new trial was granted therein or
take effect Jan. 1, 2000.) because the judgment was reversed on appeal.
Sec. 1-19. —Judicial Authority Disqualifica- A judicial authority may not preside at the hearing
tion in Nonsummary Contempt Proceedings of any motion attacking the validity or sufficiency
(Amended June 28, 1999, to take effect Jan. 1, 2000.) of any warrant the judicial authority issued nor
The trial and all related proceedings upon which may the judicial authority sit in appellate review
nonsummary contempt proceedings are based of a judgment or order originally rendered by
shall be heard by a judicial authority other than such authority.
the trial judge or the judicial authority who had (b) A judicial authority is not automatically dis-
either issued the order which was later disobeyed qualified from sitting on a proceeding merely
or deferred criminal contempt proceedings under because an attorney or party to the proceeding
Section 1-17. has filed a lawsuit against the judicial authority or
(P.B. 1978-1997, Sec. 992.) (Amended June 28, 1999, to filed a complaint against the judicial authority with
take effect Jan. 1, 2000.)
the Judicial Review Council or an administrative
Sec. 1-20. —Where No Right to Jury Trial in agency. When such an attorney or party appears
Nonsummary Proceeding before the judicial authority, he or she shall so
(Amended June 28, 1999, to take effect Jan. 1, 2000.) advise the judicial authority and other attorneys
In a nonsummary contempt proceeding, if the and parties to the proceeding on the record, and,
judicial authority declares in advance of trial that thereafter, the judicial authority shall either dis-
the total effective sentence, if the defendant is qualify himself or herself from sitting on the pro-
found guilty, shall not exceed thirty days imprison- ceeding, conduct a hearing on the disqualification
ment, or a fine of $99, no right to jury trial shall issue before deciding whether to disqualify him-
affix. If the total effective sentence may exceed self or herself or refer the disqualification issue
thirty days or a fine in excess of $99, the defendant to another judicial authority for a hearing and
shall be accorded the right to a jury trial. decision.
(P.B. 1978-1997, Sec. 993.) (Amended June 28, 1999, to (P.B. 1978-1997, Sec. 996.) (Amended June 25, 2001, to
take effect Jan. 1, 2000.) take effect Jan. 1, 2002; amended June 15, 2018, to take
effect Jan. 1, 2019.)
Sec. 1-21. —Nonsummary Judgment
(Amended June 28, 1999, to take effect Jan. 1, 2000.) Sec. 1-23. Motion for Disqualification of
In a nonsummary contempt proceeding, the Judicial Authority
judgment file of contempt shall be prepared within A motion to disqualify a judicial authority shall
a reasonable time by the clerk and shall be signed
be in writing and shall be accompanied by an
by the judicial authority and entered on the record.
(P.B. 1978-1997, Sec. 994.) (Amended June 28, 1999, to affidavit setting forth the facts relied upon to show
take effect Jan. 1, 2000.) the grounds for disqualification and a certificate
of the counsel of record that the motion is made
Sec. 1-21A. —Civil Contempt in good faith. The motion shall be filed no less
The violation of any court order qualifies for than ten days before the time the case is called
criminal contempt sanctions. Where, however, the for trial or hearing, unless good cause is shown
dispute is between private litigants and the pur- for failure to file within such time.
pose for judicial intervention is remedial, then the (P.B. 1978-1997, Sec. 997.)
contempt is civil, and any sanctions imposed by
the judicial authority shall be coercive and nonpu- Sec. 1-24. Record of Off-Site Judicial Pro-
nitive, including fines, to ensure compliance and ceedings*
compensate the complainant for losses. Where Absent exceptional circumstances or except as
the violation of a court order renders the order otherwise provided by court rule, where a tran-
unenforceable, the judicial authority should con- script or recording is made of an off-site judicial
sider referral for nonsummary criminal contempt proceeding, such record shall be available to the
proceedings. public. The judicial authority will also state on the
(Adopted June 28, 1999, to take effect Jan. 1, 2000.) record in open court, by the next court day, a
Sec. 1-22. Disqualification of Judicial summary of what occurred at such proceeding.
Authority (Adopted June 29, 2007, to take effect Jan. 1, 2008.)
*APPENDIX NOTE: The Rules Committee of the Superior
(a) A judicial authority shall, upon motion of Court enacted, and the judges of the Superior Court subse-
either party or upon its own motion, be disqualified quently adopted, certain changes to the provisions of this
from acting in a matter if such judicial authority is rule in response to the public health and civil preparedness
disqualified from acting therein pursuant to Rule emergencies declared on March 10, 2020, and renewed on
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Sec. 1-25 SUPERIOR COURT—GENERAL PROVISIONS
September 1, 2020, and January 26, 2021. The public health (2) Wilful or repeated failure to comply with rules
emergency was renewed on June 28, 2022, and is scheduled or orders of the court, including Section 4-7 on
to expire on December 28, 2022, or when the federal public
health emergency ends. See Appendix of Section 1-9B
personal identifying information;
Changes. (3) After prior direction from the court, the filing
of any materials or documents that: (A) are not
Sec. 1-25. Actions Subject to Sanctions relevant and material to the matter before the
(a) No party or attorney shall bring or defend an court or (B) contain personal, medical or financial
action, or assert or oppose a claim or contention, information that is not relevant or material to the
unless there is a basis in law and fact for doing matter before the court.
so that is not frivolous. Good faith arguments for (c) The judicial authority may impose sanctions
an extension, modification or reversal of existing including, but not limited to, fines pursuant to
law shall not be deemed frivolous. General Statutes § 51-84; orders requiring the
(b) Except as otherwise provided in these rules, offending party to pay costs and expenses, includ-
the judicial authority, solely on its own motion and ing attorney’s fees; and orders restricting the filing
after a hearing, may impose sanctions for actions of papers with the court.
that include, but are not limited to, the following: (d) Offenders subject to such sanctions may
(1) Filing of pleadings, motions, objections, include counsel, self-represented parties, and
requests or other documents that violate subsec- parties represented by counsel.
tion (a) above; (Adopted June 13, 2014, to take effect Jan. 1, 2015.)
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SUPERIOR COURT—GENERAL PROVISIONS
CHAPTER 2
ATTORNEYS
Sec. Sec.
2-1. County Court Designations concerning Bar Admis- 2-36. Action by Statewide Grievance Committee on
sion Process Request for Review
2-2. Admission 2-37. Sanctions and Conditions Which May Be Imposed
2-3. Bar Examining Committee by Committees
2-4. —Regulations by Bar Examining Committee 2-38. Appeal from Decision of Statewide Grievance
2-4A. —Records of Bar Examining Committee Committee or Reviewing Committee Imposing
2-5. —Examination of Candidates for Admission Sanctions or Conditions
2-5A. —Good Moral Character and Fitness To Practice 2-39. Reciprocal Discipline
Law 2-40. Discipline of Attorneys Found Guilty of Serious
2-6. —Personnel of Bar Examining Committee Crimes in Connecticut
2-7. Number of Times an Applicant May Sit for the 2-41. Discipline of Attorneys Found Guilty of Serious
Examination Crimes in Another Jurisdiction
2-8. Qualifications for Admission 2-42. Conduct Constituting Threat of Harm to Clients
2-9. Certification of Applicants Recommended for 2-43. Notice by Attorney of Alleged Misuse of Clients’
Admission; Conditions of Admission Funds and Garnishments of Lawyers’ Trust
2-10. Admission by Superior Court; Admission in Accounts
Absentia 2-44. Power of Superior Court To Discipline Attorneys
2-11. Monitoring Compliance with Conditions of Admis- and To Restrain Unauthorized Practice
sion; Removal or Modification of Conditions 2-44A. Definition of the Practice of Law
2-11A. Appeal from Decision of Bar Examining Committee 2-45. —Cause Occurring in Presence of Court
concerning Conditions of Admission 2-46. Suspension of Attorneys Who Violate Support
2-12. County Committees on Recommendations for Orders
Admission 2-47. Presentments and Unauthorized Practice of Law
2-13. Attorneys of Other Jurisdictions; Qualifications and Petitions
Requirements for Admission 2-47A. Disbarment of Attorney for Misappropriation of Funds
2-13A. Military Spouse Temporary Licensing 2-47B. Restrictions on the Activities of Deactivated Attorneys
2-14. —Action by Bar; Temporary License [Repealed] 2-48. Designee To Prosecute Presentments
2-15. —Permanent License [Repealed] 2-49. Restitution
2-15A. —Authorized House Counsel 2-50. Records of Statewide Grievance Committee, Review-
2-16. —Attorney Appearing Pro Hac Vice ing Committee and Grievance Panel
2-51. Costs and Expenses
2-17. Foreign Legal Consultants; Licensing Requirements
2-52. Resignation and Waiver of Attorney Facing Disci-
2-18. —Filings To Become Foreign Legal Consultant
plinary Investigation
2-19. —Scope of Practice of Foreign Legal Consultants
2-53. Reinstatement after Suspension, Disbarment or
2-20. —Disciplinary Provisions regarding Foreign Legal
Resignation
Consultants
2-54. Publication of Notice of Reprimand, Suspension,
2-21. —Affiliation of Foreign Legal Consultant with the Disbarment, Resignation, Placement on Inactive
Bar of the State of Connecticut Status or Reinstatement
2-22. Disposition of Fees for Admission to the Bar 2-55. Retirement of Attorney—Right of Revocation
2-23. Roll of Attorneys 2-55A. Retirement of Attorney—Permanent
2-24. Notice by Attorney of Admission in Other Juris- 2-56. Inactive Status of Attorney
dictions 2-57. —Prior Judicial Determination of Incompetency or
2-25. Notice by Attorney of Disciplinary Action in Other Involuntary Commitment
Jurisdictions 2-58. —No Prior Determination of Incompetency or Invol-
2-26. Notice by Attorney of Change in Address untary Commitment
2-27. Clients’ Funds; Attorney Registration 2-59. —Disability Claimed during Course of Disciplin-
2-27A. Minimum Continuing Legal Education ary Proceeding
2-27B. Enforcement of Attorney Registration and Minimum 2-60. —Reinstatement upon Termination of Disability
Continuing Legal Education; Administrative Sus- 2-61. —Burden of Proof in Inactive Status Proceedings
pension 2-62. —Waiver of Doctor-Patient Privilege upon Applica-
2-28. Overdraft Notification tion for Reinstatement
2-28A. Attorney Advertising; Mandatory Filing 2-63. Definition of Respondent
2-28B. —Advisory Opinions 2-64. Appointment of Attorney To Protect Clients’ and
2-29. Grievance Panels Attorney’s Interests
2-30. Grievance Counsel for Panels and Investigators 2-65. Good Standing of Attorney
2-31. Powers and Duties of Grievance Counsel 2-66. Practice by Court Officials
2-32. Filing Complaints against Attorneys; Action; Time 2-67. Payment of Attorneys by Bank and Trust Com-
Limitation panies
2-33. Statewide Grievance Committee 2-68. Client Security Fund Established
2-34. Statewide Bar Counsel 2-68A. —Crisis Intervention and Referral Assistance
2-34A. Disciplinary Counsel 2-69. —Definition of Dishonest Conduct
2-35. Action by Statewide Grievance Committee or 2-70. —Client Security Fund Fee
Reviewing Committee 2-71. —Eligible Claims
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Sec. 2-1 SUPERIOR COURT—GENERAL PROVISIONS
2-72. —Client Security Fund Committee 2-78. —Attorney’s Fee for Prosecuting Claim
2-73. —Powers and Duties of Client Security Fund Com- 2-79. —Enforcement of Payment of Fee
mittee 2-80. —Restitution by Attorney
2-74. —Regulations of Client Security Fund Committee
2-75. —Processing Claims 2-81. —Restitution and Subrogation
2-76. —Confidentiality 2-82. Admission of Misconduct; Discipline by Consent
2-77. —Review of Status of Fund 2-83. Effective Dates
For previous Histories and Commentaries see the editions of the Practice Book
corresponding to the years of the previous amendments.
Sec. 2-1. County Court Designations con- those of eight members shall expire annually. The
cerning Bar Admission Process appointment of any member may be revoked or
(a) For the purposes of this chapter, each Supe- suspended by the judges or by the executive com-
rior Court ___location designated below shall be the mittee of the Superior Court. In connection with
Superior Court for the county in which it is situated: such revocation or suspension, the judges or the
the Superior Court for the judicial district of Fair- executive committee shall appoint a qualified indi-
field at Bridgeport shall be the Superior Court for vidual to fill the vacancy for the balance of the
Fairfield county; the Superior Court for the judicial term or for any other appropriate period. All other
district of New Haven at New Haven shall be the vacancies shall be filled by the judges for unex-
Superior Court for New Haven county; the Supe- pired terms only, provided that the chief justice
rior Court for the judicial district of Litchfield at may fill such vacancies until the next annual meet-
Litchfield shall be the Superior Court for Litchfield ing of the judges, and in the event of the foreseen
county; the Superior Court for the judicial district absence or the illness or the disqualification of a
of Hartford at Hartford shall be the Superior Court member of the bar examining committee the chief
for Hartford county; the Superior Court for the justice may make a pro tempore appointment to
judicial district of Middlesex at Middletown shall the bar examining committee to serve during such
be the Superior Court for Middlesex county; the absence, illness or disqualification. At any meet-
Superior Court for the judicial district of Tolland ing of the bar examining committee the members
at Rockville shall be the Superior Court for Tolland present shall constitute a quorum.
county; the Superior Court for the judicial district (P.B. 1978-1997, Sec. 11.) (Amended June 26, 2020, to
of New London at Norwich shall be the Superior take effect Jan. 1, 2021.)
Court for New London county; and the Superior Sec. 2-4. —Regulations by Bar Examining
Court for the judicial district of Windham at Put- Committee
nam shall be the Superior Court for Windham
(Amended June 26, 2020, to take effect Jan. 1, 2021.)
county.
The bar examining committee shall have the
(b) The chief clerk for each judicial district court
___location mentioned above shall be the clerk for power and authority to implement these rules by
the corresponding Superior Court county ___location. regulations relevant thereto and not inconsistent
(P.B. 1978-1997, Sec. 8.) (Amended June 29, 1998, to take therewith. Such regulations may be adopted at
effect Sept. 1, 1998.) any regular meeting of the committee or at any
special meeting called for that purpose. They shall
Sec. 2-2. Admission be effective ninety days after publication in one
No person shall be admitted as an attorney issue of the Connecticut Law Journal and shall at
except as herein provided. all times be subject to amendment or revision by
(P.B. 1978-1997, Sec. 9.) the committee or by the judges of the Superior
Sec. 2-3. Bar Examining Committee Court. A copy shall be provided to the chief justice.
(P.B. 1978-1997, Sec. 12.) (Amended June 20, 2011, to
(Amended June 26, 2020, to take effect Jan. 1, 2021.) take effect Jan. 1, 2012; amended June 26, 2020, to take
There shall be a bar examining committee effect Jan. 1, 2021.)
appointed by the judges of the Superior Court con-
sisting of twenty-four members, of whom at least Sec. 2-4A. —Records of Bar Examining Com-
one shall be a judge of said court, and the rest mittee
attorneys residing in this state. The term of office (Amended June 26, 2020, to take effect Jan. 1, 2021.)
of each member shall be three years from the first (a) All records of the bar examining committee,
day of September succeeding appointment, and including transcripts, if any, of hearings conducted
the terms shall continue to be arranged so that by the bar examining committee or the several
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SUPERIOR COURT—GENERAL PROVISIONS Sec. 2-8
standing committees on recommendations for judicial and regulatory authorities, with or without
admission to the bar shall not be public. the use of aids or devices; and
(b) Unless otherwise ordered by the court, all (3) The capability to perform legal tasks in a
records that are not public shall be available only timely manner.
to the bar examining committee and its counsel, (Adopted June 21, 2010, to take effect Jan. 1, 2011;
the statewide grievance committee and its coun- amended June 20, 2011, to take effect Sept. 1, 2011.)
sel, disciplinary counsel, the client security fund
committee and its counsel, a judge of the Superior Sec. 2-6. —Personnel of Bar Examining
Court or, with the consent of the applicant, to any Committee
other person. (Amended June 26, 2020, to take effect Jan. 1, 2021.)
(Adopted June 26, 2006, to take effect Jan. 1, 2007; Such personnel within the legal services divi-
amended June 26, 2020, to take effect Jan. 1, 2021; amended sion of the Office of the Chief Court Administrator
June 10, 2022, to take effect Jan. 1, 2023.) as may be assigned from time to time by the chief
HISTORY—2023: In subsection (b), ‘‘the statewide griev-
ance committee and its counsel,’’ was added before ‘‘disciplin-
court administrator shall assist the bar examining
ary counsel.’’ committee in carrying out its duties.
COMMENTARY—2023: The changes to this section are (P.B. 1978-1997, Sec. 14.) (Amended June 26, 2020, to
made for clarity. take effect Jan. 1, 2021.)
Sec. 2-5. —Examination of Candidates for Sec. 2-7. Number of Times an Applicant May
Admission Sit for the Examination
The bar examining committee shall further have There is no restriction on the number of times
the duty, power and authority to provide for the an applicant may sit for the examination.
examination of candidates for admission to the (P.B. 1978-1997, Sec. 15A.)
bar; to determine whether such candidates are
qualified as to prelaw education, legal education, Sec. 2-8. Qualifications for Admission
good moral character and fitness to practice law; To entitle an applicant to admission to the bar,
and to recommend for admission to the bar quali- except under Section 2-13 or 2-13A of these rules,
fied candidates. the applicant must satisfy the bar examining com-
(P.B. 1978-1997, Sec. 13.) (Amended June 21, 2010, to
take effect Jan. 1, 2011; amended June 26, 2020, to take mittee that:
effect Jan. 1, 2021; amended June 10, 2022, to take effect (1) The applicant is a citizen of the United States
Jan. 1, 2023.) or an alien lawfully residing in the United States,
HISTORY—2023: ‘‘To the court’’ was deleted after ‘‘rec- which shall include an individual authorized to
ommend.’’ work lawfully in the United States.
COMMENTARY—2023: The change to this section facili-
tates the option of admission to the bar in absentia. (2) The applicant is not less than eighteen years
of age.
Sec. 2-5A. —Good Moral Character and Fit- (3) The applicant is a person of good moral
ness To Practice Law character, is fit to practice law, and has either
(Amended June 20, 2011, to take effect Sept. 1, 2011.) passed an examination in professional responsi-
(a) Good moral character shall be construed to bility, which has been approved or required by the
include, but not be limited to, the following: committee, or has completed a course in profes-
(1) The qualities of honesty, fairness, candor sional responsibility in accordance with the regula-
and trustworthiness; tions of the committee. Any inquiries or procedures
(2) Observance of fiduciary responsibility;
used by the bar examining committee that relate
(3) Respect for and obedience to the law; and
(4) Respect for the legal rights of others and to the health diagnosis, treatment, or drug or alco-
the judicial process, as evidenced by conduct hol dependence of an applicant must be narrowly
other than merely initiating or pursuing litigation. tailored and necessary to a determination of the
(b) Fitness to practice law shall be construed applicant’s current fitness to practice law, in accor-
to include the following: dance with the Americans with Disabilities Act
(1) The cognitive capacity to undertake funda- and amendment twenty-one of the Connecticut
mental lawyering skills such as problem solving, constitution, and conducted in a manner consis-
legal analysis and reasoning, legal research, fac- tent with privacy rights afforded under the federal
tual investigation, organization and management and state constitutions or other applicable law.
of legal work, making appropriate reasoned legal (4) The applicant has met the educational
judgments, and recognizing and solving ethical requirements as may be set, from time to time,
dilemmas; by the bar examining committee.
(2) The ability to communicate legal judgments (5) The applicant has filed with the administra-
and legal information to clients, other attorneys, tive director of the bar examining committee an
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Sec. 2-8 SUPERIOR COURT—GENERAL PROVISIONS
application to take the examination and for admis- determine that it will only recommend an applicant
sion to the bar, all in accordance with these rules for admission to the bar conditional upon the appli-
and the regulations of the committee, and has cant’s compliance with conditions prescribed by
paid such application fee as the committee shall the committee relevant to the health diagnosis,
from time to time determine. treatment, or drug or alcohol dependence or fit-
(6) The applicant has passed an examination ness of the applicant. Such determination shall
in law in accordance with the regulations of the be made after a hearing on the record is con-
bar examining committee. ducted by the committee or a panel thereof con-
(7) The applicant has complied with all of the sisting of at least three members appointed by
pertinent rules and regulations of the bar examin- the chair, unless such hearing is waived by the
ing committee. applicant. Such conditions shall be tailored to
(8) As an alternative to satisfying the bar exam- detect recurrence of the conduct or behavior
ining committee that the applicant has met the which could render an applicant unfit to practice
committee’s educational requirements, the appli- law or pose a risk to clients or the public and
cant who meets all the remaining requirements to encourage continued treatment, abstinence, or
of this section may, upon payment of such investi- other support. The conditional admission period
gation fee as the committee shall from time to shall not exceed five years, unless the condition-
time determine, substitute proof satisfactory to the ally admitted attorney fails to comply with the con-
committee that: (A) the applicant has been admit- ditions of admission, and the committee or the
ted to practice before the highest court of original court determines, in accordance with the proce-
jurisdiction in one or more states, the District of dures set forth in Section 2-11, that a further
Columbia or the Commonwealth of Puerto Rico period of conditional admission is necessary. The
or in one or more district courts of the United committee shall notify the applicant by mail of
States for ten or more years and at the time of its decision and that the applicant must sign an
filing the application is a member in good standing agreement with the committee under oath
of such a bar; (B) the applicant has actually prac- affirming acceptance of such conditions and that
ticed law in such a jurisdiction for not less than five the applicant will comply with them. Upon receipt
years during the seven year period immediately of this agreement from the applicant, duly exe-
preceding the filing date of the application; and cuted, the committee shall recommend the appli-
(C) the applicant intends, upon a continuing basis, cant for admission to the bar as provided herein.
actively to practice law in Connecticut and to The committee shall forward a copy of the
devote the major portion of the applicant’s working agreement to the statewide bar counsel, who shall
time to the practice of law in Connecticut. be considered a party for purposes of defending
(P.B. 1978-1997, Sec. 16.) (Amended June 29, 2007, to an appeal under Section 2-11A.
take effect Jan. 1, 2008; amended June 21, 2010, to take (P.B. 1978-1997, Sec. 17.) (Amended June 30, 2008, to
effect Jan. 1, 2011; amended June 15, 2018, to take effect take effect Jan. 1, 2009; amended June 21, 2010, to take
July 3, 2018; amended June 26, 2020, to take effect Jan. 1, effect Jan. 1, 2011; amended June 26, 2020, to take effect
2021; amended June 11, 2021, to take effect January 1, 2022; Jan. 1, 2021; amended June 10, 2022, to take effect Jan.
amended June 10, 2022, to take effect Jan. 1, 2023.) 1, 2023.)
HISTORY—2023: In the first sentence, ‘‘or 2-13A’’ was HISTORY—2023: Prior to 2023, subsection (a) read: ‘‘The
added after ‘‘Section 2-13.’’ bar examining committee shall certify to the clerk of the Supe-
COMMENTARY—2023: The change to this section recog- rior Court for the Judicial District where the applicant has his
nizes that one should refer to Section 2-13A for the qualifica- or her correspondence address the name of any such applicant
tions for temporary licensing as a military spouse instead of recommended by it for admission to the bar and shall notify
Section 2-8. the applicant of its decision.’’
COMMENTARY—2023: The changes to this section facili-
Sec. 2-9. Certification of Applicants Recom- tate the option of admission to the bar in absentia.
mended for Admission; Conditions of
Admission Sec. 2-10. Admission by Superior Court;
(Amended June 30, 2008, to take effect Jan. 1, 2009.) Admission in Absentia
(a) The bar examining committee shall certify (Amended June 10, 2022, to take effect Jan. 1, 2023.)
the names of applicants recommended by it for (a) Each applicant who shall be recommended
admission to the bar and shall notify the applicants for admission to the bar, except under subsection
of its decision. (c), shall present himself or herself to the Superior
(b) The bar examining committee may, in light of Court, or to either the Supreme Court or the Appel-
the health diagnosis, treatment, or drug or alcohol late Court sitting as the Superior Court, at such
dependence of an applicant that has caused con- place and at such time as shall be prescribed by
duct or behavior that would otherwise have ren- the bar examining committee, or shall be pre-
dered the applicant currently unfit to practice law, scribed by the Supreme Court or the Appellate
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Court, and such court may then, upon motion, by the applicant and the statewide bar counsel.
admit such person as an attorney. The administra- If, upon such application, the bar examining com-
tive director shall give notice to each clerk of the mittee modifies such conditions, the attorney shall
names of the newly admitted attorneys. At the sign an agreement with the bar examining com-
time such applicant is admitted as an attorney, mittee under oath affirming acceptance of the
the applicant shall be sworn as a Commissioner modified conditions and that he or she will comply
of the Superior Court. with them, and the statewide bar counsel shall
(b) The administrative judge of said judicial dis- monitor the attorney’s compliance with them. The
trict or a designee or the chief justice of the statewide bar counsel shall be considered a party
Supreme Court or a designee or the chief judge for purposes of defending an appeal under Sec-
of the Appellate Court or a designee may deliver tion 2-11A. All information relating to conditional
an address to the applicants so admitted respect- admission of an applicant or attorney shall remain
ing their duties and responsibilities as attorneys. confidential unless otherwise ordered by the court,
(c) The bar examining committee may, upon except that a copy of the signed agreement and
election by a candidate, recommend the candi- information related to compliance with the con-
date for admission in absentia. Upon the adminis- ditions may be made available upon request to
tration of the oaths taken as Commissioner of the disciplinary counsel or, with the consent of the
Superior Court and for admission to the bar by applicant or attorney, to any other agency or per-
an official duly qualified to administer oaths, the son.
candidate who has taken the oaths shall be admit- (b) Upon the failure of the attorney to comply
ted to the Connecticut bar in absentia. The candi- with the conditions of admission or the monitoring
date shall complete the oaths and submit the requirements adopted by the Statewide Grievance
original affidavits to the bar examining committee Committee, the statewide bar counsel shall apply
within 180 days from the date of certification. to the court in the judicial district of Hartford for
(P.B. 1978-1997, Sec. 18.) (Amended June 26, 2020, to an appropriate order. The court, after hearing upon
take effect Jan. 1, 2021; amended June 10, 2022, to take such application, may take such action as it deems
effect Jan. 1, 2023.)
HISTORY—2023: Prior to 2023, this section was titled,
appropriate. Thereafter, upon application of the
‘‘Admission by Superior Court.’’ attorney or of the statewide bar counsel and upon
In the first sentence of subsection (a), ‘‘, except under sub- good cause shown, the court may set aside or
section (c),’’ was added after ‘‘to the bar.’’ In addition, what modify the order rendered pursuant hereto.
is now subsection (c) was added. (P.B. 1978-1997, Sec. 18A.) (Amended June 29, 1998, to
COMMENTARY—2023: The changes to this section facili- take effect Sept. 1, 1998; amended June 30, 2008, to take
tate the option of admission to the bar in absentia. effect Jan. 1, 2009; amended June 26, 2006, to take effect
Jan. 1, 2021.)
Sec. 2-11. Monitoring Compliance with Con-
ditions of Admission; Removal or Modifica- Sec. 2-11A. Appeal from Decision of Bar
tion of Conditions Examining Committee concerning Condi-
(Amended June 30, 2008, to take effect Jan. 1, 2009.) tions of Admission*
(a) If an applicant is admitted to the bar after (a) A decision by the bar examining committee
signing an agreement with the bar examining prescribing conditions for admission to the bar
committee under oath affirming acceptance of the under Section 2-9 (b) or on an application to
conditions prescribed by the bar examining com- remove or modify conditions of admission under
mittee pursuant to Section 2-9 (b) and that he Section 2-11 (a) may be appealed to the Superior
or she will comply with them, the statewide bar Court by the bar applicant or attorney who is the
counsel shall monitor the attorney’s compliance subject of the decision. Within thirty days from the
with those conditions pursuant to regulations issuance of the decision of the committee, the
adopted by the Statewide Grievance Committee appellant shall: (1) file the appeal with the clerk
governing such monitoring. The attorney so admit- of the Superior Court for the judicial district of
ted or the statewide bar counsel may make appli- Hartford and (2) mail a copy of the appeal by
cation to the bar examining committee to remove certified mail, return receipt requested or with
or modify the conditions previously agreed to by electronic delivery confirmation, to the Office of
such attorney as circumstances warrant. The bar the Statewide Bar Counsel and to the Office of
examining committee, or a panel thereof consist- the Director of the Bar Examining Committee as
ing of at least three members appointed by its agent for the committee. The statewide bar coun-
chair, shall conduct a hearing on the application, sel shall be considered a party for purposes of
which shall be on the record, and shall also receive defending an appeal under this section.
and consider a report from the statewide bar coun- (b) The filing of an appeal shall not, of itself, stay
sel on the matter. Such hearing may be waived enforcement of the bar examining committee’s
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Sec. 2-11A SUPERIOR COURT—GENERAL PROVISIONS
decision. An application for a stay may be made the bar examining committee, except that the
to the committee, to the court or to both. Filing of court may, in its discretion, award to the appel-
an application with the committee shall not pre- lant reasonable fees and expenses if the court
clude action by the court. A stay, if granted, shall determines that the action of the committee was
be on appropriate terms. undertaken without any substantial justification.
(c) Within thirty days after the service of the ‘‘Reasonable fees and expenses’’ means any
appeal, or within such further time as may be expenses not in excess of $7500 that the court
allowed by the court, the director of the bar exam- finds were reasonably incurred in opposing the
ining committee shall transmit to the reviewing committee’s action, including court costs, expenses
court a certified copy of the entire record of the incurred in administrative proceedings, attorney’s
proceeding appealed from, which shall include a fees, witness fees of all necessary witnesses, and
transcript of any testimony heard by the commit- such other expenses as were reasonably incurred.
tee and the decision of the committee. By stipula- (h) All information relating to the conditional
tion of all parties to such appeal proceedings, the admission of an applicant or attorney who is sub-
record may be shortened. The court may require ject to the decision, including information submit-
or permit subsequent corrections or additions to ted in connection with the appeal under this
the record. section, shall be confidential unless otherwise
(d) The appellant shall file a brief within thirty ordered by the court, except that information sub-
days after the filing of the record by the bar exam- mitted in connection with an appeal and the court’s
ining committee. The appellee shall file its brief decision on the appeal may be made available
within thirty days of the filing of the appellant’s upon request to disciplinary counsel or, with the
brief. Unless permission is given by the court for consent of the applicant or attorney who is subject
good cause shown, briefs shall not exceed thirty- to the decision, to any other person.
five pages. (Adopted June 30, 2008, to take effect Jan. 1, 2009;
(e) The appeal shall be conducted by the court amended June 14, 2013, to take effect Jan. 1, 2014; amended
June 26, 2020, to take effect Jan. 1, 2021.)
without a jury and shall be confined to the record. *APPENDIX NOTE: The Rules Committee of the Superior
If alleged irregularities in procedure before the bar Court enacted, and the judges of the Superior Court subse-
examining committee are not shown in the record, quently adopted, certain changes to the provisions of this
proof limited thereto may be taken in the court. rule in response to the public health and civil preparedness
The court, upon request, shall hear oral argument. emergencies declared on March 10, 2020, and renewed on
(f) Upon appeal, the court shall not substitute September 1, 2020, and January 26, 2021. The public health
emergency was renewed on June 28, 2022, and is scheduled
its judgment for that of the bar examining commit- to expire on December 28, 2022, or when the federal public
tee as to the weight of the evidence on questions health emergency ends. See Appendix of Section 1-9B
of fact. The court shall affirm the decision of the Changes.
committee unless the court finds that substantial
rights of the appellant have been prejudiced Sec. 2-12. County Committees on Recom-
because the committee’s findings, inferences, mendations for Admission
conclusions, or decisions are: (1) in violation of There shall be in each county a standing com-
constitutional provisions, rules of practice or statu- mittee on recommendations for admission, con-
tory provisions; (2) in excess of the authority of the sisting of not less than three nor more than seven
committee; (3) made upon unlawful procedure; members of the bar of that county, who shall
(4) affected by other error of law; (5) clearly erro- be appointed by the judges of the Superior Court
neous in view of the reliable, probative, and sub- to hold office for three years from the date of
stantial evidence on the whole record; or (6) their appointment and until their successors are
arbitrary or capricious or characterized by abuse appointed. The appointment of any member may
of discretion or clearly unwarranted exercise of be revoked or suspended by the judges or by
discretion. If the court finds such prejudice, it shall the executive committee of the Superior Court.
sustain the appeal and, if appropriate, rescind the In connection with such revocation or suspen-
action of the committee or take such other action sion, the judges or the executive committee shall
as may be necessary. For purposes of further appoint a qualified individual to fill the vacancy
appeal, the action taken by the Superior Court for the balance of the term or for any other appro-
hereunder is a final judgment. priate period. Appointments to fill vacancies which
(g) In all appeals taken under this section, costs have arisen by reasons other than revocation or
may be taxed in favor of the statewide bar counsel suspension may be made by the chief justice until
in the same manner, and to the same extent, that the next annual meeting of the judges of the
costs are allowed in judgments rendered by the Superior Court, and, in the event of the foreseen
Superior Court. No costs shall be taxed against absence or the illness or the disqualification of a
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SUPERIOR COURT—GENERAL PROVISIONS Sec. 2-13
member of the committee, the chief justice may the payment of such fee as the committee shall
make a pro tempore appointment to the commit- from time to time determine, upon compliance
tee to serve during such absence, illness or dis- with the following requirements. Such application,
qualification. duly verified, shall be filed with the administrative
(P.B. 1978-1997, Sec. 19.) (Amended June 26, 2006, to director of the committee and shall set forth the
take effect Jan. 1, 2007; amended June 21, 2010, to take applicant’s qualifications as hereinbefore pro-
effect Jan. 1, 2011; amended June 26, 2020, to take effect
Jan. 1, 2021.)
vided. The following affidavits shall be filed by the
person completing the affidavit:
Sec. 2-13. Attorneys of Other Jurisdictions; (A) affidavits from two attorneys who personally
Qualifications and Requirements for Admis- know the applicant certifying to his or her good
sion moral character and fitness to practice law and
(a) Any member of the bar of another state supporting, to the satisfaction of the committee,
or territory of the United States or the District of his or her practice of law as defined under subdivi-
Columbia, who, after satisfying the bar examining sion (2) of this subsection;
committee that his or her educational qualifica- (B) affidavits from two members of the bar of
tions are such as would entitle him or her to take Connecticut of at least five years’ standing, certi-
the examination in Connecticut, and that (i) at fying that the applicant is of good moral character
least one jurisdiction in which he or she is a mem- and is fit to practice law; and
ber of the bar is reciprocal to Connecticut in that (C) an affidavit from the applicant, certifying
it would admit a member of the bar of Connecticut whether such applicant has a grievance pending
to its bar without examination under provisions against him or her, has ever been reprimanded,
similar to those set out in this section or (ii) he or suspended, placed on inactive status, disbarred,
she is a full-time faculty member or full-time clini- or has ever resigned from the practice of law, and,
cal fellow at an accredited Connecticut law school if so, setting forth the circumstances concerning
and admitted in a reciprocal or nonreciprocal juris- such action. Such an affidavit is not required if it
diction, shall satisfy the committee that he or she: has been furnished as part of the application form
(1) is of good moral character, is fit to practice prescribed by the committee.
law, and has either passed an examination in pro- (b) For the purpose of this rule, the ‘‘practice
fessional responsibility or has completed a course of law’’ shall include the following activities, if per-
in professional responsibility in accordance with formed after the date of the applicant’s admission
the regulations of the committee; to the jurisdiction in which the activities were per-
(2) has been duly licensed to practice law before formed, or if performed in a jurisdiction that per-
the highest court of a reciprocal state or territory mits such activity by a lawyer not admitted to
of the United States or in the District of Columbia practice:
if reciprocal to Connecticut, or that he or she is a (1) representation of one or more clients in the
full-time faculty member or full-time clinical fellow practice of law;
at an accredited Connecticut law school and (2) service as a lawyer with a state, federal, or
admitted in a reciprocal or nonreciprocal jurisdic- territorial agency, including military services;
tion and (A) has lawfully engaged in the practice (3) teaching law at an accredited law school,
of law as the applicant’s principal means of liveli- including supervision of law students within a clini-
hood for at least five of the ten years immediately cal program;
preceding the date of the application and is in (4) service as a judge in a state, federal, or
good standing, or (B) if the applicant has taken territorial court of record;
the bar examinations of Connecticut and failed to (5) service as a judicial law clerk;
pass them, the applicant has lawfully engaged in (6) service as authorized house counsel;
the practice of law as his or her principal means (7) service as authorized house counsel in Con-
of livelihood for at least five of the ten years imme- necticut before July 1, 2008, or while certified pur-
diately preceding the date of the application and suant to Section 2-15A; or
is in good standing, provided that such five years (8) any combination of the above.
of practice shall have occurred subsequent to the (P.B. 1978-1997, Sec. 21.) (Amended June 28, 1999, to
applicant’s last failed Connecticut examination; take effect Jan. 1, 2000; amended June 22, 2009, to take
and effect Jan. 1, 2010; amended June 21, 2010, to take effect
(3) is a citizen of the United States or an alien Jan. 1, 2011; amended June 20, 2011, to take effect Jan. 1,
2012; amended June 15, 2012, to take effect Sept. 1, 2012;
lawfully residing in the United States, which shall amended June 13, 2014, to take effect Jan. 1, 2015; amended
include an individual authorized to work lawfully in June 15, 2018, to take effect July 3, 2018; amended June 26,
the United States, may be admitted as an attorney 2020, to take effect Jan. 1, 2021; amended June 10, 2022,
without examination upon written application and to take effect Jan. 1, 2023.)
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Sec. 2-13 SUPERIOR COURT—GENERAL PROVISIONS
HISTORY—2023: In the first sentence of subsection (a) be filed with the administrative director of the com-
(3), ‘‘by the court’’ was deleted after ‘‘admitted.’’ mittee and shall set forth the applicant’s qualifica-
COMMENTARY—2023: The changes to this section facili-
tate the option of admission to the bar in absentia.
tions as hereinbefore provided. In addition, the
applicant shall file with the committee the following:
Sec. 2-13A. Military Spouse Temporary (1) a copy of the applicant’s military spouse
Licensing dependent identification and documentation evi-
(a) Qualifications. An applicant who meets all dencing a spousal relationship with the service
of the following requirements listed in subdivisions member;
(1) through (11) of this subsection may be tempo- (2) a copy of the service member’s military
rarily licensed and admitted to the practice of law orders to a military installation in Connecticut or
in Connecticut, upon approval of the bar examin- a letter from the service member’s command veri-
ing committee. The applicant: fying that the requirement in subsection (a) (8) of
(1) is the spouse of an active duty service mem- this section is met;
ber of the United States Army, Navy, Air Force, (3) certificate(s) of good standing from the high-
Marine Corps or Coast Guard and that service est court of each state, the District of Columbia
member is or will be stationed in Connecticut due or United States territory to which the applicant
to military orders; has been admitted, or proof that the applicant has
(2) is licensed to practice law before the highest resigned, or become inactive or had a license
court in at least one state or territory of the United administratively suspended or revoked while in
States or in the District of Columbia; good standing;
(3) is currently an active member in good stand- (4) an affidavit from the applicant, certifying
ing in every jurisdiction to which the applicant has whether such applicant has a grievance pending
been admitted to practice, or has resigned or against him or her, has ever been reprimanded,
become inactive or had a license administratively suspended, placed on inactive status, disbarred,
suspended or revoked while in good standing from or has ever resigned from the practice of law, and,
every jurisdiction without any pending disciplin- if so, setting forth the circumstances concerning
ary actions; such action; and
(4) is not currently subject to lawyer discipline (5) affidavits from two attorneys who personally
or the subject of a pending disciplinary matter in know the applicant certifying to his or her good
any other jurisdiction; moral character and fitness to practice law.
(5) meets the educational qualifications required (c) Duration and Renewal.
to take the examination in Connecticut;
(6) possesses the good moral character and (1) A temporary license to practice law issued
fitness to practice law required of all applicants under this rule will be valid for three years provided
for admission in Connecticut; that the temporarily licensed attorney remains a
(7) has passed an examination in professional spouse of the service member and resides in Con-
responsibility or has completed a course in profes- necticut due to military orders or continues to
sional responsibility in accordance with the regu- reside in Connecticut due to the service member’s
lation of the bar examining committee; immediately subsequent assignment specifying
(8) is or will be physically residing in Connecticut that dependents are not authorized to accompany
due to the service member’s military orders; the service member. The temporary license may
(9) has not failed the Connecticut bar examina- be renewed for one additional two year period.
tion within the past five years; (2) A renewal application must be submitted
(10) has not had an application for admission with the appropriate fee as established by the bar
to the Connecticut bar or the bar of any state, examining committee and all other documentation
the District of Columbia or United States territory required by the bar examining committee, includ-
denied on character and fitness grounds; and ing a copy of the service member’s military orders.
(11) has not failed to achieve the Connecticut Such renewal application shall be filed not less
scaled score on the uniform bar examination than thirty days before the expiration of the original
administered within any jurisdiction within the past three year period.
five years. (3) A temporarily licensed attorney who wishes
(b) Application Requirements. Any applicant to become a permanent member of the bar of
seeking a temporary license to practice law in Connecticut may apply for admission by examina-
Connecticut under this section shall file a written tion or for admission without examination for the
application and payment of such fee as the bar standard application fee minus the application fee
examining committee shall from time to time paid to the committee for the application for tem-
determine. Such application, duly verified, shall porary license, not including any fees for renewal.
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(d) Termination. (A) file in each matter pending before any court,
(1) Termination of Temporary License. A tem- tribunal, agency or commission a notice that the
porary license shall terminate, and a temporarily attorney will no longer be involved in the case; and
licensed attorney shall cease the practice of law (B) provide written notice to all clients receiving
in Connecticut pursuant to that admission, unless representation from the attorney that the attorney
otherwise authorized by these rules, thirty days will no longer represent them.
after any of the following events: (e) Responsibilities and Obligations.
(A) the service member’s separation or retire- An attorney temporarily licensed under this sec-
ment from military service; tion shall be subject to all responsibilities and obli-
(B) the service member’s permanent relocation gations of active members of the Connecticut bar,
to another jurisdiction, unless the service mem- and shall be subject to the jurisdiction of the courts
ber’s immediately subsequent assignment speci- and agencies of Connecticut, and shall be subject
fies that the dependents are not authorized to to the laws and rules of Connecticut governing the
accompany the service member, in which case conduct and discipline of attorneys to the same
the attorney may continue to practice law in Con- extent as an active member of the Connecticut
necticut as provided in this rule until the service bar. The attorney shall maintain participation in a
member departs Connecticut for a permanent mentoring program provided by a state or local
change of station where the presence of depen- bar association in the state of Connecticut.
dents is authorized; (Adopted June 23, 2017, to take effect Jan. 1, 2018;
(C) the attorney’s permanent relocation outside amended June 26, 2020, to take effect Jan. 1, 2021; amended
June 11, 2021, to take effect Jan. 1, 2022.)
of the state of Connecticut for reasons other than
the service member’s relocation; Sec. 2-14. —Action by Bar; Temporary
(D) upon the termination of the attorney’s spou- License
sal relationship to the service member; [Repealed as of Jan. 1, 2012.]
(E) the attorney’s failure to meet the annual
licensing requirements for an active member of Sec. 2-15. —Permanent License
the bar of Connecticut; [Repealed as of Jan. 1, 2012.]
(F) the attorney’s request;
(G) the attorney’s admission to practice law in Sec. 2-15A. —Authorized House Counsel
Connecticut by examination or without exami- (a) Purpose
nation; The purpose of this section is to clarify the sta-
(H) the attorney’s denial of admission to the tus of house counsel as authorized house coun-
practice of law in Connecticut; or sel, as defined herein, and to confirm that such
(I) the death of the service member. counsel are subject to regulation by the judges
Notice of one of the events set forth in subsec- of the Superior Court. Notwithstanding any other
tion (d) (1) must be filed with the bar examining section of this chapter relating to admission to the
committee by the temporarily licensed attorney bar, this section shall authorize attorneys licensed
within thirty days of such event. Notice of the event to practice in jurisdictions other than Connecticut
set forth in subsection (d) (1) (I) must be filed to be permitted to undertake these activities, as
with the committee by the temporarily licensed defined herein, in Connecticut without the require-
attorney within thirty days of the event, and the ment of taking the bar examination so long as
attorney shall cease the practice of law within one they are exclusively employed by an organization.
year of the event. Failure to provide such notice (b) Definitions
by the temporarily licensed attorney shall be a (1) Authorized House Counsel. An ‘‘author-
basis for discipline pursuant to the Rules of Pro- ized house counsel’’ is any person who:
fessional Conduct for attorneys. (A) is a member in good standing of the entity
(2) Notice of Termination of Temporary License. governing the practice of law of each state (other
Upon receipt of the notice required by subsection than Connecticut) or territory of the United States,
(d) (1), the bar examining committee shall forward or the District of Columbia or any foreign jurisdic-
a request to the statewide bar counsel that the tion in which the member is licensed;
license under this chapter be revoked. Notice of (B) has been certified on recommendation of
the revocation shall be mailed by the statewide the bar examining committee in accordance with
bar counsel to the temporarily licensed attorney. this section;
(3) Notices Required. At least sixty days before (C) agrees to abide by the rules regulating
termination of the temporary admission, or as members of the Connecticut bar and submit to the
soon as possible under the circumstances, the jurisdiction of the Statewide Grievance Committee
attorney shall: and the Superior Court; and
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Sec. 2-15A SUPERIOR COURT—GENERAL PROVISIONS
(D) is, at the date of application for registration servant, or agent in any matter or transaction or
under this rule, employed in the state of Connecti- the giving of advice therefor unless otherwise per-
cut by an organization or relocating to the state mitted or authorized by law, code, or rule or as
of Connecticut in furtherance of such employment may be permitted by subsection (c) (1). Author-
within three months prior to starting work in the ized house counsel shall not be permitted to pre-
state of Connecticut or three months after the pare legal instruments or documents on behalf of
applicant begins work in the state of Connecticut anyone other than the organization employing the
of such application under this section and receives authorized house counsel.
or shall receive compensation for activities per- (4) Limitation on Opinions to Third Parties.
formed for that business organization. An authorized house counsel shall not express or
(2) Organization. An ‘‘organization’’ for the pur- render a legal judgment or opinion to be relied
pose of this rule is a corporation, partnership, upon by any third person or party other than legal
association, or employer sponsored benefit plan opinions rendered in connection with commercial,
or other legal entity (taken together with its respec- financial or other business transactions to which
tive parents, subsidiaries, and affiliates) that is the authorized house counsel’s employer organi-
not itself engaged in the practice of law or the zation is a party and in which the legal opinions
rendering of legal services outside such organiza- have been requested from the authorized house
tion, whether for a fee or otherwise, and does not counsel by another party to the transaction. Noth-
charge or collect a fee for the representation or ing in this subsection (c) (4) shall permit author-
advice other than to entities comprising such orga- ized house counsel to render legal opinions or
nization for the activities of the authorized advice in consumer transactions to customers of
house counsel. the organization employing the authorized
(c) Activities house counsel.
(1) Authorized Activities. An authorized (5) Pro Bono Legal Services. Notwithstanding
house counsel, as an employee of an organiza- anything to the contrary in this section, an author-
tion, may provide legal services in the state of
ized house counsel may participate in the provi-
Connecticut to the organization for which a regis-
sion of any and all legal services pro bono publico
tration pursuant to subsection (d) is effective, pro-
in Connecticut offered under the supervision of
vided, however, that such activities shall be
limited to: an organized legal aid society or state/local bar
(A) the giving of legal advice to the directors, association project, or of a member of the Con-
officers, employees, trustees, and agents of the necticut bar who is also working on the pro
organization with respect to its business and bono representation.
affairs; (d) Registration
(B) negotiating and documenting all matters for (1) Filing with the Bar Examining Committee.
the organization; and The bar examining committee shall investigate
(C) representation of the organization in its whether the applicant is at least eighteen years
dealings with any administrative agency, tribunal of age and is of good moral character, consistent
or commission having jurisdiction; provided, how- with the requirement of Section 2-8 (3) regarding
ever, authorized house counsel shall not be per- applicants for admission to the bar. In addition,
mitted to make appearances as counsel before the applicant shall file with the committee, and the
any state or municipal administrative tribunal, committee shall consider, the following:
agency, or commission, and shall not be permitted (A) a certificate from each entity governing the
to make appearances in any court of this state, practice of law of a state or territory of the United
unless the attorney is specially admitted to appear States, or the District of Columbia or any foreign
in a case before such tribunal, agency, commis- jurisdiction in which the applicant is licensed to
sion or court. practice law certifying that the applicant is a mem-
(2) Disclosure. Authorized house counsel shall ber in good standing;
not represent themselves to be members of the (B) a sworn statement by the applicant:
Connecticut bar or commissioners of the Superior (i) that the applicant has read and is familiar with
Court licensed to practice law in this state. Such the Connecticut Rules of Professional Conduct
counsel may represent themselves as Connecti- for attorneys and Chapter 2 (Attorneys) of the
cut authorized house counsel. Superior Court Rules, General Provisions, and
(3) Limitation on Representation. In no event will abide by the provisions thereof;
shall the activities permitted hereunder include (ii) that the applicant submits to the jurisdiction
the individual or personal representation of any of the Statewide Grievance Committee and the
shareholder, owner, partner, officer, employee, Superior Court for disciplinary purposes, and
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SUPERIOR COURT—GENERAL PROVISIONS Sec. 2-15A
authorizes notification to or from the entity govern- (e) Termination or Withdrawal of Regis-
ing the practice of law of each state or territory of tration
the United States, or the District of Columbia in (1) Cessation of Authorization To Perform
which the applicant is licensed to practice law of Services. Authorization to perform services under
any disciplinary action taken against the applicant; this rule shall cease upon the earliest of the follow-
(iii) listing any jurisdiction in which the applicant ing events:
is now or ever has been licensed to practice (A) the termination or resignation of employ-
law; and ment with the organization for which registration
(iv) disclosing any disciplinary sanction or pend- has been filed, provided, however, that if the
ing proceeding pertaining or relating to his or her authorized house counsel shall commence
license to practice law including, but not limited to, employment with another organization within
reprimand, censure, suspension or disbarment, thirty days of the termination or resignation, autho-
or whether the applicant has been placed on inac- rization to perform services under this rule shall
tive status; continue upon the filing with the bar examining
(C) a certificate from an organization certifying committee of a certificate as set forth in subsection
that it is qualified as set forth in subsection (b) (2); (d) (1) (C);
that it is aware that the applicant is not licensed (B) the withdrawal of registration by the author-
to practice law in Connecticut; and that the appli- ized house counsel;
cant is employed or about to be employed in Con- (C) the relocation of an authorized house coun-
necticut by the organization as set forth in sel outside of Connecticut for a period greater
subsection (b) (1) (D); than 180 consecutive days; or
(D) an appropriate application pursuant to the (D) the failure of authorized house counsel to
regulations of the bar examining committee; comply with any applicable provision of this rule.
(E) remittance of a filing fee to the bar examining Notice of one of the events set forth in subsec-
committee as prescribed and set by that commit- tions (e) (1) (A) through (C) or a new certificate
tee; and as provided in subsection (e) (1) (A) must be filed
(F) an affidavit from each of two members of the with the bar examining committee by the author-
Connecticut bar, who have each been licensed to ized house counsel within thirty days after such
practice law in Connecticut for at least five years, action. Failure to provide such notice by the
certifying that the applicant is of good moral char- authorized house counsel shall be a basis for dis-
acter and that the applicant is employed or will cipline pursuant to the Rules of Professional Con-
be employed by an organization as defined above duct for attorneys.
in subsection (b) (2). (2) Notice of Withdrawal of Authorization.
(2) Certification. Upon recommendation of the Upon receipt of the notice required by subsection
bar examining committee, the applicant shall be (e) (1), the bar examining committee shall forward
certified as authorized house counsel in absentia. a request to the statewide bar counsel that the
Upon the administration of the oath taken as authorization under this chapter be revoked.
authorized house counsel by an official duly quali- Notice of the revocation shall be mailed by the
fied to administer oaths, the applicant who has statewide bar counsel to the authorized house
taken the oath shall be certified as authorized counsel and the organization employing the
house counsel in absentia. The applicant shall authorized house counsel.
complete the oath and submit the original affidavit (3) Reapplication. Nothing herein shall prevent
to the bar examining committee within 180 days an individual previously authorized as house
from the date of certification. The committee shall counsel to reapply for authorization as set forth
cause notice of such certification to be published in subsection (d).
in the Connecticut Law Journal. (f) Discipline
(3) Annual Client Security Fund Fee. Individu- (1) Termination of Authorization by Court.
als certified pursuant to this section shall comply In addition to any appropriate proceedings and
with the requirements of Sections 2-68 and 2-70 discipline that may be imposed by the Statewide
of this chapter, including payment of the annual Grievance Committee, the Superior Court may,
fee and shall pay any other fees imposed on attor- at any time, with cause, terminate an authorized
neys by court rule. house counsel’s registration, temporarily or per-
(4) Annual Registration. Individuals certified manently.
pursuant to this section shall register annually with (2) Notification to Other States. The statewide
the Statewide Grievance Committee in accord- bar counsel shall be authorized to notify each
ance with Sections 2-26 and 2-27 (d) of this entity governing the practice of law in the state or
chapter. territory of the United States, or the District of
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Sec. 2-15A SUPERIOR COURT—GENERAL PROVISIONS
Columbia, in which the authorized house counsel whether such applicant has a grievance pending
is licensed to practice law, of any disciplinary against him or her in any other jurisdiction, has
action against the authorized house counsel. ever been reprimanded, suspended, placed on
(g) Transition inactive status, disbarred, or otherwise disci-
(1) Preapplication Employment in Connecti- plined, or has ever resigned from the practice
cut. The performance of an applicant’s duties as of law and, if so, setting forth the circumstances
an employee of an organization in Connecticut concerning such action, (C) certifying that the
prior to the effective date of this rule shall not applicant has paid the client security fund fee due
be grounds for the denial of registration of such for the calendar year in which the application has
applicant if application for registration is made been made, (D) designating the chief clerk of the
within six months of the effective date of this rule. Superior Court for the judicial district in which the
(2) Immunity from Enforcement Action. An attorney will be appearing as his or her agent
authorized house counsel who has been duly reg- upon whom process and service of notice may be
istered under this rule shall not be subject to served, (E) agreeing to register with the Statewide
enforcement action for the unlicensed practice of Grievance Committee in accordance with the pro-
law for acting as counsel to an organization prior visions of this chapter while appearing in the mat-
to the effective date of this rule. ter in this state and for two years after the
(Adopted June 29, 2007, to take effect Jan. 1, 2008; completion of the matter in which the attorney
amended June 30, 2008, to take effect Jan. 1, 2009; amended appeared, and to notify the Statewide Grievance
June 22, 2009, to take effect Jan. 1, 2010; amended June 15,
2012, to take effect Jan. 1, 2013; amended June 26, 2020,
Committee of the expiration of the two year period,
to take effect Jan. 1, 2021; amended June 10, 2022, to take (F) identifying the number of times the attorney
effect Jan. 1, 2023.) has appeared pro hac vice in the Superior Court
HISTORY—2023: Prior to 2023, subsection (d) (2) read: or in any other proceedings of this state since the
‘‘Certification. Upon recommendation of the bar examining attorney first appeared pro hac vice in this state,
committee, the court may certify the applicant as authorized listing each such case or proceeding by name
house counsel and shall cause notice of such certification to
be published in the Connecticut Law Journal.’’
and docket number, as applicable, and (G) provid-
COMMENTARY—2023: The changes to this section facili- ing any previously assigned juris number, (2) the
tate the option of admission to the bar in absentia. filing fee shall be paid with the court for the appli-
cation submitted pursuant to General Statutes
Sec. 2-16. —Attorney Appearing Pro Hac § 52-259 (i) unless Section 62-8A (a) applies and
Vice (3) unless excused by the judicial authority, a
An attorney who is in good standing at the bar member of the bar of this state must be present
of another state, the District of Columbia, or the at all proceedings, including depositions in a pro-
Commonwealth of Puerto Rico, may, upon special ceeding, and must sign all pleadings, briefs and
and infrequent occasion and for good cause other papers filed with the court, local or state
shown upon written application on one of the fol- administrative agency, commission, board or tri-
lowing forms prescribed by the chief court admin- bunal, and assume full responsibility for them and
istrator, form JD-CL-141, Application for Permission for the conduct of the cause or proceeding and of
for Attorney to Appear Pro Hac Vice in a Court the attorney to whom such privilege is accorded.
Case, or, form JD-CL-142, Application for Permis- Where feasible, the application shall be made to
sion for Attorney to Appear Pro Hac Vice before the judge before whom such case is likely to be
a Municipal or State Agency, Commission, Board tried. If not feasible, or if no case is pending before
or Tribunal, presented by a member of the bar of the Superior Court, the application shall be made
this state, be permitted in the discretion of the to the administrative judge in the judicial district
court to participate to such extent as the court where the matter is to be tried or the proceeding
may prescribe in the presentation of a cause or is to be conducted. Good cause for according
appeal in any state court or a proceeding before such privilege shall be limited to facts or circum-
any municipal or state agency, commission, board stances affecting the personal or financial welfare
or tribunal (hereinafter referred to as ‘‘proceed- of the client and not the attorney. Such facts may
ing’’) in this state; provided, however, that (1) such include a showing that by reason of a longstanding
application shall be accompanied by the affidavit attorney-client relationship predating the cause of
of the applicant, on form JD-CL-143, Affidavit of action or subject matter of the litigation at bar, or
Attorney Seeking Permission to Appear Pro Hac proceeding, the attorney has acquired a special-
Vice, (A) providing the full legal name of the appli- ized skill or knowledge with respect to the client’s
cant with contact information, including firm name, affairs important to the trial of the cause or presen-
business mailing address, telephone number and tation of the proceeding, or that the litigant is
e-mail address, as applicable, (B) certifying unable to secure the services of Connecticut
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SUPERIOR COURT—GENERAL PROVISIONS Sec. 2-17
counsel. Upon the granting of an application to conduct of the cause or proceeding and of the attorney to
appear pro hac vice, the clerk of the court in which whom such privilege is accorded. Any such application shall
the application is granted shall immediately notify be made on a form prescribed by the chief court administrator.
Where feasible, the application shall be made to the judge
the Superior Court Operations designee of such before whom such case is likely to be tried. If not feasible, or
action. Any person granted permission to appear if no case is pending before the Superior Court, the application
in a cause, appeal or proceeding pursuant to this shall be made to the administrative judge in the judicial district
section shall comply with the requirements of Sec- where the matter is to be tried or the proceeding is to be
tions 2-68 and 2-70 and General Statutes § 51- conducted. Good cause for according such privilege shall be
81b and shall pay such fee and tax when due as limited to facts or circumstances affecting the personal or
prescribed by those sections for each year such financial welfare of the client and not the attorney. Such facts
may include a showing that by reason of a longstanding attor-
person appears in the matter. If the clerk for the
ney-client relationship predating the cause of action or subject
judicial district or appellate court in which the mat- matter of the litigation at bar, or proceeding, the attorney has
ter is pending is notified that such person has acquired a specialized skill or knowledge with respect to the
failed to pay the fee as required by Sections 2- client’s affairs important to the trial of the cause or presentation
68 and 2-70, the court shall determine after a of the proceeding, or that the litigant is unable to secure the
hearing the appropriate sanction, which may services of Connecticut counsel. Upon the granting of an appli-
include termination of the privilege of appearing cation to appear pro hac vice, the clerk of the court in which the
in the cause, appeal or proceeding. application is granted shall immediately notify the Statewide
(P.B. 1978-1997, Sec. 24.) (Amended June 24, 2002, to Grievance Committee of such action. Any person granted per-
take effect July 1, 2003; May 14, 2003, effective date changed mission to appear in a cause, appeal or proceeding pursuant
to Oct. 1, 2003; Sept. 30, 2003, effective date changed to Jan. to this section shall comply with the requirements of Sections
1, 2004; amended June 29, 2007, to take effect Jan. 1, 2008; 2-68 and 2-70 and shall pay such fee when due as prescribed
amended June 20, 2011, to take effect Jan. 1, 2012; amended by those sections for each year such person appears in the
June 24, 2016, to take effect Jan. 1, 2017; amended June 10, matter. If the clerk for the judicial district or appellate court in
2022, to take effect Jan. 1, 2023.) which the matter is pending is notified that such person has
HISTORY—2023: Prior to 2023, this section read: ‘‘An attor- failed to pay the fee as required by this section, the court shall
ney who is in good standing at the bar of another state, the determine after a hearing the appropriate sanction, which may
District of Columbia, or the Commonwealth of Puerto Rico, include termination of the privilege of appearing in the cause,
may, upon special and infrequent occasion and for good cause appeal or proceeding.’’
shown upon written application presented by a member of the COMMENTARY—2023: The changes to this section are
bar of this state, be permitted in the discretion of the court to intended to conform to the provisions of Section 62-8A.
participate to such extent as the court may prescribe in the
presentation of a cause or appeal in any state court or a Sec. 2-17. Foreign Legal Consultants;
proceeding before any municipal or state agency, commission,
board or tribunal (hereinafter referred to as ‘‘proceeding’’) in
Licensing Requirements
this state; provided, however, that (1) such application shall Upon recommendation of the bar examining
be accompanied by the affidavit of the applicant (A) certifying committee, an applicant may be licensed to prac-
whether such applicant has a grievance pending against him tice as a foreign legal consultant, without exami-
or her in any other jurisdiction, has ever been reprimanded,
suspended, placed on inactive status, disbarred, or otherwise nation, who:
disciplined, or has ever resigned from the practice of law and, (1) has been admitted to practice (or has
if so, setting forth the circumstances concerning such action, obtained the equivalent of admission) in a foreign
(B) certifying that the applicant has paid the client security country, and has engaged in the practice of law
fund fee due for the calendar year in which the application
has been made, (C) designating the chief clerk of the Superior
in that country, and has been in good standing
Court for the judicial district in which the attorney will be as an attorney or counselor at law (or the equiva-
appearing as his or her agent upon whom process and service lent of either) in that country, for a period of not
of notice may be served, (D) agreeing to register with the less than five of the seven years immediately pre-
Statewide Grievance Committee in accordance with the provi- ceding the date of application;
sions of this chapter while appearing in the matter in this state
and for two years after the completion of the matter in which (2) possesses the good moral character and
the attorney appeared, and to notify the Statewide Grievance fitness to practice law requisite for a member of
Committee of the expiration of the two year period, (E) identi- the bar of this court; and
fying the number of times the attorney has appeared pro hac (3) is at least twenty-six years of age.
vice in the Superior Court or in any other proceedings of this
(P.B. 1978-1997, Sec. 24B.) (Amended June 21, 2010, to
state since the attorney first appeared pro hac vice in this
take effect Jan. 1, 2011; amended June 10, 2022, to take
state, listing each such case or proceeding by name and
docket number, as applicable, and (F) providing any previously effect Jan. 1, 2023.)
assigned juris number, and (2) unless excused by the judicial HISTORY—2023: In the first paragraph, ‘‘the court may
authority, a member of the bar of this state must be present license’’ was deleted after ‘‘committee,’’ and was replaced with
at all proceedings, including depositions in a proceeding, and ‘‘an applicant may be licensed’’ and ‘‘an applicant’’ was deleted
must sign all pleadings, briefs and other papers filed with the after ‘‘examination.’’
court, local or state administrative agency, commission, board COMMENTARY—2023: The changes to this section facili-
or tribunal, and assume full responsibility for them and for the tate the option of admission to the bar in absentia.
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Sec. 2-18 SUPERIOR COURT—GENERAL PROVISIONS
Sec. 2-18. —Filings To Become Foreign country in which such person is admitted to prac-
Legal Consultant tice law. Such person shall not:
(a) An applicant for a license to practice as a (1) in any way hold himself or herself out as a
foreign legal consultant shall file with the adminis- member of the bar of the state of Connecticut; or
trative director of the bar examining committee: (2) use in this state any title other than ‘‘foreign
(1) a typewritten application in the form pre- legal consultant,’’ but in conjunction therewith may
scribed by the committee; indicate the foreign country in which he or she is
(2) a certified check, cashier’s check, or money licensed to practice law.
(P.B. 1978-1997, Sec. 24D.)
order in the amount of $500 made payable to the
bar examining committee; Sec. 2-20. —Disciplinary Provisions regard-
(3) a certificate from the authority in the foreign ing Foreign Legal Consultants
country having final jurisdiction over professional (a) Every person licensed to practice as a for-
discipline, certifying to the applicant’s admission eign legal consultant under these rules:
to practice (or the equivalent of such admission) (1) shall be subject to the Connecticut Rules
and the date thereof and to the applicant’s good of Professional Conduct and to the rules of prac-
standing as an attorney or counselor at law (or tice regulating the conduct of attorneys in this
the equivalent of either), together with a duly state to the extent applicable to the legal services
authenticated English translation of such certifi- authorized under these rules, and shall be subject
cate if it is not in English; and to reprimand, suspension, or revocation of license
(4) two letters of recommendation, one from a to practice as a foreign legal consultant by the
member in good standing of the Connecticut bar court;
and another from either a member in good stand- (2) shall execute and file with the clerk, in such
ing of the bar of the country in which the applicant form and manner as the court may prescribe:
is licensed as an attorney, or from a judge of one (A) a written commitment to observe the Con-
of the courts of original jurisdiction of said country, necticut Rules of Professional Conduct and other
together with a duly authenticated English transla- rules regulating the conduct of attorneys as
tion of each letter if it is not in English. referred to in subsection (a) (1) of this section,
(b) Upon a showing that strict compliance with (B) an undertaking or appropriate evidence of
the provisions of Section 2-17 (1) and subdivisions professional liability insurance, in such amount
(3) or (4) of subsection (a) of this section is impos- as the court may prescribe, to assure the foreign
sible or very difficult for reasons beyond the control legal consultant’s proper professional conduct
of the applicant, or upon a showing of exceptional and responsibility,
professional qualifications to practice as a foreign (C) a duly acknowledged instrument in writing
legal consultant, the court may, in its discretion, setting forth the foreign legal consultant’s address
waive or vary the application of such provisions in the state of Connecticut or United States, and
and permit the applicant to make such other show- designating the clerk of the Superior Court for the
ing as may be satisfactory to the court. judicial district of Hartford as his or her agent upon
(c) The bar examining committee shall inves- whom process may be served. Such service shall
tigate the qualifications, moral character, and fit- have the same effect as if made personally upon
ness of any applicant for a license to practice as the foreign legal consultant, in any action or pro-
a foreign legal consultant and may in any case ceeding thereafter brought against the foreign
require the applicant to submit any additional legal consultant and arising out of or based upon
proof or information as the committee may deem any legal services rendered or offered to be ren-
appropriate. The committee may also require the dered by the foreign legal consultant within or to
applicant to submit a report from the National Con- residents of the state of Connecticut, and
ference of Bar Examiners, and to pay the pre- (3) a written commitment to notify the clerk of
scribed fee therefor, with respect to the applicant’s the foreign legal consultant’s resignation from
character and fitness. practice in the foreign country of his or her admis-
(P.B. 1978-1997, Sec. 24C.) (Amended June 21, 2010, to
take effect Jan. 1, 2011; amended June 26, 2020, to take sion or in any other state or jurisdiction in which
effect Jan. 1, 2021.) said person has been admitted to practice law, or
of any censure, reprimand, suspension, revoca-
Sec. 2-19. —Scope of Practice of Foreign tion or other disciplinary action relating to his or
Legal Consultants her right to practice in such country, state or juris-
A person licensed to practice as a foreign legal diction.
consultant under these rules is limited to advising (b) Service of process on the clerk pursuant to
Connecticut clients only on the law of the foreign the designation filed as aforesaid shall be made
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SUPERIOR COURT—GENERAL PROVISIONS Sec. 2-23
by personally delivering to and leaving with the reasonable expenses incurred by the bar examin-
clerk, or with a deputy or assistant authorized by ing committee, the standing committees on rec-
the clerk to receive service, at the clerk’s office, ommendations for admission in the several
duplicate copies of such process together with a counties and the staff assigned by the chief court
fee of $20. Service of process shall be complete administrator pursuant to Section 2-6, and to the
when the clerk has been so served. The clerk salaries and benefits of such staff. Such reason-
shall promptly send one of the copies to the for- able expenses shall not include charges for tele-
eign legal consultant to whom the process is phone and office space utilized by such staff in
directed, by certified mail, return receipt requested the performance of their duties. Expenses shall
or with electronic delivery confirmation, addressed not be paid except upon authorization of the chair
to the foreign legal consultant at the address given of the bar examining committee, or the chair’s
to the court by the foreign legal consultant as designee. The bar examining committee and the
aforesaid. county standing committees shall follow such
(c) In imposing any sanction authorized by sub- established Judicial Branch guidelines, directives
section (a) (1), the court may act sua sponte or on and policies with regard to fiscal, personnel and
the recommendation of the Statewide Grievance purchasing matters as deemed by the chief court
Committee. To the extent feasible, the court shall administrator to be applicable to them. Surplus
proceed in a manner consistent with the rules of moneys may, with the approval of the committee,
practice governing discipline of the bar of the state be turned over from time to time to the executive
of Connecticut. secretary of the Judicial Branch for deposit as
(P.B. 1978-1997, Sec. 24E.) (Amended June 29, 1998, to court revenue in the general fund of the state
take effect Sept. 1, 1998; amended June 14, 2013, to take of Connecticut.
effect Jan. 1, 2014.) (b) The bar examining committee, when neces-
sary, shall contract with individuals to serve as
Sec. 2-21. —Affiliation of Foreign Legal
proctors and with attorneys to serve as bar exam-
Consultant with the Bar of the State of Con-
ination graders and with law school faculty and
necticut
other qualified persons to provide bar examination
(a) A foreign legal consultant licensed under essay questions and shall establish an appro-
these rules shall not be a member of the Con- priate fee schedule for such services.
necticut bar, provided, however, that a foreign (P.B. 1978-1997, Sec. 25.)
legal consultant shall be considered an affiliate
of the bar subject to the same conditions and Sec. 2-23. Roll of Attorneys
requirements as are applicable to an active or (a) The statewide bar counsel shall forward to
inactive member of the bar under the court’s rules the clerk for Hartford county for certification a roll
governing the bar of the state of Connecticut, inso- of the attorneys of the state and the said clerk
far as such conditions and requirements may be shall keep said roll. The clerk for any other county
consistent with the provisions of these rules. in which an attorney is admitted shall forthwith
(b) A foreign legal consultant licensed under certify such action, with the date and the residence
these rules shall, upon being so licensed, take of the attorney, to the clerk for Hartford county,
the following oath before this court, unless granted the statewide bar counsel and the administrative
permission to take the oath in absentia: director of the bar examining committee.
‘‘I, , do solemnly swear (or affirm) (b) The clerk for any county in which an attorney
that as a foreign legal consultant with respect to is suspended, disbarred, resigned, placed in an
the laws of , licensed by this court, I inactive status, reinstated, or otherwise formally
will conduct myself uprightly and according to the and publicly disciplined by the court shall forthwith
laws of the State of Connecticut and the rules of certify such action with the date, the residence of
the court.’’ the attorney and a certified copy of the court order
(P.B. 1978-1997, Sec. 24F.) to the statewide bar counsel and to the clerk for
Hartford county, and shall notify them of the death
Sec. 2-22. Disposition of Fees for Admis- of any attorney in his or her county of which such
sion to the Bar clerk knows.
(a) All fees paid under the preceding sections (c) The clerk for Hartford county shall forthwith
of these rules shall be transmitted to the treasurer notify the clerks of the Superior Court and the
of the bar examining committee. Such fees, clerk of the United States District Court for the
together with any interest earned thereon, shall District of Connecticut, at New Haven, of all sus-
be applied to the payment of the necessary and pensions, disbarments, resignations, placements
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Sec. 2-23 SUPERIOR COURT—GENERAL PROVISIONS
in inactive status, retirements, revocations of (c) Such books of account and statements of
retirements, or reinstatements. reconciliation, and any other records required to
(P.B. 1978-1997, Sec. 26.) be maintained pursuant to Rule 1.15 of the Rules
Sec. 2-24. Notice by Attorney of Admission of Professional Conduct, shall be made available
in Other Jurisdictions upon request of the Statewide Grievance Commit-
tee or its counsel, or the disciplinary counsel for
An attorney who is admitted to practice at the review, examination or audit upon receipt of notice
bar of another state, the District of Columbia, or by the Statewide Grievance Committee of an
the Commonwealth of Puerto Rico, or of any overdraft notice as provided by Section 2-28 (f).
United States court, shall send to the Connecticut Upon the filing of a grievance complaint or a find-
statewide bar counsel written notice of all such ing of probable cause, such records shall be made
jurisdictions in which he or she is admitted to prac- available upon request of the Statewide Griev-
tice within thirty days of admission to practice in ance Committee, its counsel or the disciplinary
such jurisdiction. counsel for review or audit.
(P.B. 1978-1997, Sec. 26A.)
(d) Each attorney shall register with the State-
Sec. 2-25. Notice by Attorney of Disciplinary wide Grievance Committee, on a form devised by
Action in Other Jurisdictions the committee, the address of the attorney’s office
An attorney shall send to the statewide bar or offices maintained for the practice of law, the
counsel written notice of all disciplinary actions attorney’s office e-mail address and business tele-
imposed by the courts of another state, the District phone number, the name and address of every
of Columbia, or the Commonwealth of Puerto financial institution with which the attorney main-
Rico, or of any United States court, within thirty tains any account in which the funds of more than
days of the order directing the disciplinary action. one client are kept and the identification number
(P.B. 1978-1997, Sec. 26B.) of any such account. Such registrations will be
made on an annual basis and at such time as the
Sec. 2-26. Notice by Attorney of Change in attorney changes his or her address or addresses
Address or ___location or identification number of any such
An attorney shall send prompt written notice of trust account in which the funds of more than
a change in mailing and street address to the one client are kept. The registration forms filed
Statewide Grievance Committee on a registration pursuant to this subsection and pursuant to Sec-
form approved by the statewide bar counsel and tion 2-26 shall not be public; however, all informa-
to the clerks of the courts where the attorney has tionobtainedbytheStatewideGrievanceCommittee
entered an appearance. from these forms shall be public, except the follow-
(P.B. 1978-1997, Sec. 27.) ing: trust account identification numbers; the attor-
Sec. 2-27. Clients’ Funds; Attorney Regis- ney’s home address, unless no office address is
tration registered and then only if the home address is
(Amended June 29, 2007, to take effect Jan. 1, 2008; part of the public record of a grievance complaint
amended June 11, 2021, to take effect Jan. 1, 2022.) as defined in Section 2-50 or the attorney uses
(a) Consistent with the requirement of Rule 1.15 the attorney’s personal juris number to appear in
of the Rules of Professional Conduct, each attor- a matter in this state; the attorney’s office e-mail
ney or law firm shall maintain, separate from the address; and the attorney’s birth date. Unless
attorney’s or the firm’s personal funds, one or otherwise ordered by the court, all nonpublic infor-
more accounts accurately reflecting the status of mation obtained from these forms shall be avail-
funds handled by the attorney or firm as fiduciary able only to the Statewide Grievance Committee
or attorney, and shall not use such funds for any and its counsel, the reviewing committees, the
unauthorized purpose. grievance panels and their counsel, the bar exam-
(b) Each attorney or law firm maintaining one ining committee, the standing committee on rec-
or more trust accounts as defined in Rule 1.15 of ommendations for admission to the bar, disciplinary
the Rules of Professional Conduct and Section 2- counsel, the client security fund committee and
28 (b) shall keep records of the maintenance and its counsel, a judge of the Superior Court, a judge
disposition of all funds of clients or of third persons of the United States District Court for the District
held by the attorney or firm in a fiduciary capacity of Connecticut, any grievance committee or other
from the time of receipt to the time of final distribu- disciplinary authority of the United States District
tion. Each attorney or law firm shall retain the Court for the District of Connecticut or, with the
records required by Rule 1.15 of the Rules of consent of the attorney, to any other person.
Professional Conduct for a period of seven years Excluding trust account identification numbers,
after termination of the representation. nonpublic information obtained from these forms
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SUPERIOR COURT—GENERAL PROVISIONS Sec. 2-27A
shall be available to the Department of Revenue pseudonyms or with appropriate redactions,
Services in connection with the collection of the unless otherwise ordered by the court.
occupational tax on attorneys pursuant to General (f) Violation of subsection (a), (b) or (c) of this
Statutes § 51-81b. In addition, the trust account section shall constitute misconduct. An attorney
identification numbers on the registration forms who fails to register in accordance with subsection
filed pursuant to Section 2-26 and this section (d) shall be administratively suspended from the
shall be available to the organization designated practice of law in this state pursuant to Section
by the judges of the Superior Court to administer 2-27B.
the IOLTA program pursuant to Rule 1.15 of the (P.B. 1978-1997, Sec. 27A.) (Amended June 25, 2001, to
Rules of Professional Conduct. The registration take effect Jan. 1, 2002; amended June 24, 2002, to take
requirements of this subsection shall not apply effect July 1, 2003; May 14, 2003, effective date changed to
to judges of the Supreme, Appellate or Superior Oct. 1, 2003; Sept. 30, 2003, effective date changed to Jan.
1, 2004; amended June 26, 2006, to take effect Jan. 1, 2007,
Courts, judge trial referees, family support magis- and with respect to subsection (e), July 1, 2007; amended
trates, federal judges, federal magistrate judges, June 29, 2007, to take effect Jan. 1, 2008; amended June 30,
federal administrative law judges or federal bank- 2008, to take effect Jan. 1, 2009; amended June 20, 2011,
ruptcy judges. to take effect Jan. 1, 2012; amended June 15, 2018, to take
(e) The Statewide Grievance Committee or its effect Jan. 1, 2019; amended June 11, 2021, to take effect
counsel may conduct random inspections and Jan. 1, 2022; amended June 10, 2022, to take effect Oct.
audits of accounts maintained pursuant to Rule 1, 2022.)
HISTORY—October, 2022: In subsection (d), what is now
1.15 of the Rules of Professional Conduct to the fifth sentence was added.
determine whether such accounts are in compli- COMMENTARY—October, 2022: The change to this sec-
ance with the rule and this section. If any random tion authorizes the Department of Revenue Services to receive
inspection or audit performed under this subsec- nonpublic information, excluding trust account identification
tion discloses an apparent violation of this section numbers, obtained from the attorney registration process in
or the Rules of Professional Conduct, the matter connection with the collection of the occupational tax on attor-
may be referred to a grievance panel for further neys pursuant to General Statutes § 51-81b.
TECHNICAL CHANGE: In the title, ‘‘Lawyer’’ was deleted
investigation or to the disciplinary counsel for pre- and replaced with ‘‘Attorney.’’
sentment to the Superior Court. Any attorney
whose accounts are selected for inspection or Sec. 2-27A. Minimum Continuing Legal Edu-
audit under this section shall fully cooperate with cation*
the inspection or audit, which cooperation shall
(a) On an annual basis, each attorney admitted
not be construed to be a violation of Rule 1.6 (a) of
in Connecticut shall certify, on the registration
the Rules of Professional Conduct. Any records,
form required by Section 2-27 (d), that the attorney
documents or information obtained or produced
pursuant to a random inspection or audit shall has completed in the last calendar year no less
remain confidential unless and until a present- than twelve credit hours of appropriate continuing
ment is initiated by the disciplinary counsel alleg- legal education, at least two hours of which shall
ing a violation of Rule 1.15 of the Rules of be in ethics/professionalism. The ethics and pro-
Professional Conduct or of this section, or proba- fessionalism components may be integrated with
ble cause is found by the grievance panel, the other courses. This rule shall apply to all attorneys
Statewide Grievance Committee or a reviewing except the following:
committee. Contemporaneously with the com- (1) Judges and senior judges of the Supreme,
mencement of a presentment or the filing of a Appellate or Superior Courts, judge trial referees,
grievance complaint, notice shall be given in writ- family support magistrates, family support magis-
ing by the Statewide Grievance Committee to any trate referees, administrative law judges, elected
client or third person whose identity may be pub- constitutional officers, federal judges, federal
licly disclosed through the disclosure of records magistrate judges, federal administrative law
obtained or produced in accordance with this sub- judges or federal bankruptcy judges;
section. Thereafter, public disclosure of such (2) Attorneys who are disbarred, resigned pur-
records shall be subject to the client or third per- suant to Section 2-52, on inactive status pursuant
son having thirty days from the issuance of the to Section 2-56 et seq., or retired pursuant to
notice to seek a court order restricting publication Section 2-55 or 2-55A;
of any such records disclosing confidential infor- (3) Attorneys who are serving on active duty in
mation. During the thirty day period, or the pen- the armed forces of the United States for more
dency of any such motion, any document filed than six months in such year;
with the court or as part of a grievance record (4) Attorneys for the calendar year in which they
shall refer to such clients or third persons by are admitted;
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Sec. 2-27A SUPERIOR COURT—GENERAL PROVISIONS
(5) Attorneys who earn less than $1000 in com- be credited with meeting the minimum continuing
pensation for the provision of legal services in legal education requirements set forth herein.
such year; (6) By serving as a part-time or adjunct faculty
(6) Attorneys who, for good cause shown, have member at a law school accredited by the Ameri-
been granted temporary or permanent exempt can Bar Association or approved by the state bar
status by the Statewide Grievance Committee. examining committee, in which case, such attor-
(b) Attorneys may satisfy the required hours of ney will be credited with meeting the minimum
continuing legal education: continuing legal education requirements set forth
(1) By attending legal education courses pro- herein at the rate of one hour for each hour of
vided by any local, state or special interest bar classroom instruction and one hour for each two
association in this state or regional or national bar hours of preparation.
associations recognized in this state or another (7) By serving as a judge or coach for a moot
state or territory of the United States or the District court or mock trial course or competition that is
of Columbia (hereinafter referred to as ‘‘bar asso- part of the curriculum at or sanctioned by a law
ciation’’); any private or government legal school accredited by the American Bar Associa-
employer; any court of this or any other state or tion or approved by the state bar examining com-
territory of the United States or the District of mittee.
Columbia; any organization whose program or (c) Credit computation:
course has been reviewed and approved by any (1) Credit for any of the above activities shall
bar association or organization that has been be based on the actual instruction time, which
established in any state or territory of the United may include lecture, panel discussion, and ques-
States or the District of Columbia to certify and tion and answer periods. Credit for the activity
approve continuing legal education courses; and listed in subsection (b) (7) shall be based upon
any other nonprofit or for-profit legal education
the actual judging or coaching time, up to four
providers, including law schools and other appro-
hours for each activity per year. Self-study credit
priate continuing legal education providers, and
including courses remotely presented by video shall be based on the reading time or running time
conference, webcasts, webinars, or the like by of the selected materials or program.
said providers. (2) Credit for attorneys preparing for and pre-
(2) By self-study of appropriate programs or senting legal seminars, courses or programs shall
courses directly related to substantive or proce- be based on one hour of credit for each two hours
dural law or related topics, including professional of preparation. A maximum of six hours of credit
responsibility, legal ethics, or law office manage- may be credited for preparation of a single pro-
ment and prepared by those continuing legal edu- gram. Credit for presentation shall be on an hour
cation providers in subsection (b) (1). Said self- for hour basis. Credit may not be earned more
study may include viewing and listening to all man- than once for the same course given during a
ner of communication, including, but not limited calendar year.
to, video or audio recordings or taking online legal (3) Credit for the writing and publication of arti-
courses. The selection of self-study courses or cles shall be based on the actual time required for
programs shall be consistent with the objective of both researching and drafting. Each article may
this rule, which is to maintain and enhance the be counted only one time for credit.
skill level, knowledge, ethics and competence of (4) Continuing legal education courses ordered
the attorney and shall comply with the minimum pursuant to Section 2-37 (a) (5) or any court order
quality standards set forth in subsection (c) (6). of discipline shall not count as credit toward an
(3) By publishing articles in legal publications attorney’s obligation under this section.
that have as their primary goal the enhancement (5) Attorneys may carry forward no more than
of competence in the legal profession, including, two credit hours in excess of the current annual
without limitation, substantive and procedural law, continuing legal education requirement to be
ethics, law practice management and profes- applied to the following year’s continuing legal
sionalism. education requirement.
(4) By teaching legal seminars and courses, (6) To be eligible for continuing legal education
including the participation on panel discussions credit, the course or activity must: (A) have signifi-
as a speaker or moderator. cant intellectual or practical content designed to
(5) By serving as a full-time faculty member increase or maintain the attorney’s professional
at a law school accredited by the American Bar competence and skills as an attorney; (B) consti-
Association or approved by the state bar examin- tute an organized program of learning dealing with
ing committee, in which case, such attorney will matters directly related to legal subjects and the
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SUPERIOR COURT—GENERAL PROVISIONS Sec. 2-27B
legal profession; and (C) be conducted by an indi- those who obtain an exempt status for good cause shown.
vidual or group qualified by practical or aca- The subsection also provides an exemption for attorneys who
are disbarred, resigned, on inactive status due to disability,
demic experience. or are retired. The exemption for attorneys who earn less than
(d) Attorneys shall retain records to prove com- $1000 in compensation in a particular year is not intended to
pliance with this rule for a period of seven years. apply to attorneys who claim that they were not paid as a
Such records shall be made available to the State- result of billed fees to a client. All compensation received for
wide Grievance Committee or its counsel, the min- the provision of legal services, whether the result of billed fees
imum continuing legal education commission, or or otherwise, must be counted. There is no exemption for
the disciplinary counsel upon request. attorneys who are suspended or on administrative suspension.
Subsection (d) requires an attorney to maintain adequate
(e) Nothing in this section shall be construed records of compliance. For continuing legal education courses,
to allow the Statewide Grievance Committee or its a certificate of attendance shall be sufficient proof of compli-
counsel, the minimum continuing legal education ance. For self-study, a contemporaneous log identifying and
commission, or the disciplinary counsel to conduct describing the course listened to or watched and listing the
random audits solely to determine whether an date and time the course was taken, as well as a copy of the
attorney is in compliance with this section. syllabus or outline of the course materials, if available, and,
when appropriate, a certificate from the course provider, shall
(f) An attorney who fails to comply with the mini- be sufficient proof of compliance. For any other form of continu-
mum continuing legal education requirement shall ing legal education, a file including a log of the time spent and
be administratively suspended from the practice drafts of the prepared material shall provide sufficient proof
of law in this state pursuant to Section 2-27B. of compliance.
(g) A Minimum Continuing Legal Education TECHNICAL CHANGE: The changes to this section are
Commission (‘‘commission’’) shall be established consistent with the adoption of Public Acts 2021, No. 21-
18, § 1, codified at General Statutes (Supp. 2022) § 31-275d,
by the Judicial Branch and shall be composed which replaced the term ‘‘workers’ compensation commis-
of four Superior Court judges and four attorneys sioner’’ with ‘‘administrative law judge.’’
admitted to practice in this state, all of whom shall *APPENDIX NOTE: The Rules Committee of the Superior
be appointed by the chief justice of the Supreme Court enacted, and the judges of the Superior Court subse-
Court or his or her designee and who shall serve quently adopted, certain changes to the provisions of this
without compensation. The charge of the commis- rule in response to the public health and civil preparedness
sion will be to provide advice regarding the appli- emergencies declared on March 10, 2020, and renewed on
September 1, 2020, and January 26, 2021. The public health
cation and interpretation of this rule and to assist emergency was renewed on June 28, 2022, and is scheduled
with its implementation including, but not limited to expire on December 28, 2022, or when the federal public
to, the development of a list of frequently asked health emergency ends. See Appendix of Section 1-9B
questions and other documents to assist the Changes.
members of the bar to meet the requirements of
this rule. Sec. 2-27B. Enforcement of Attorney Regis-
(Adopted June 24, 2016, to take effect Jan. 1, 2017; tration and Minimum Continuing Legal Edu-
amended June 15, 2018, to take effect Jan. 1, 2019; amended cation; Administrative Suspension
June 13, 2019, to take effect Oct. 1, 2019; amended June 26,
2020, to take effect Jan. 1, 2021; amended June 11, 2021,
(a) The Statewide Grievance Committee shall
to take effect Jan. 1, 2022.) send a notice to each attorney who has not regis-
COMMENTARY—2017: It is the intention of this rule to tered pursuant to Section 2-27 (d), or who has not
provide attorneys with relevant and useful continuing legal completed minimum continuing legal education
education covering the broadest spectrum of substantive, pro- pursuant to Section 2-27A, that the attorney’s
cedural, ethical and professional subject matter at the lowest license to practice law in this state will be referred
cost reasonably feasible and with the least amount of supervi-
sion, structure and reporting requirements, which will aid in to the Superior Court for an administrative sus-
the development, enhancement and maintenance of the legal pension of the attorney’s license to practice law
knowledge and skills of practicing attorneys and will facilitate in this state unless by December 31 of the year
the delivery of competent legal services to the public. in which the notice is sent such attorney provides
The rule also permits an attorney to design his or her own proof to the Statewide Grievance Committee that
course of study. The law is constantly evolving and attorneys, for the noncomplying year the attorney has regis-
like all other professionals, are expected to keep abreast of
changes in the profession and the law if they are to provide tered or completed minimum continuing legal edu-
competent representation. cation, or is exempt from minimum continuing
Subsection (a) provides that Connecticut attorneys must legal education. The Statewide Grievance Com-
complete twelve credit hours of continuing legal education per mittee shall submit to the clerk of the Superior
calendar year. Subsection (a) also lists those Connecticut Court for the Hartford Judicial District a list of
attorneys, who are exempt from compliance, including, among
others: judges, senior judges, attorneys serving in the military,
attorneys who did not provide proof of compliance
new attorneys during the year in which they are admitted to with attorney registration or minimum continuing
practice, attorneys who earn less than $1000 in compensation legal education, or exemption from minimum con-
for the provision of legal services in the subject year, and tinuing legal education. Upon order of the court,
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Sec. 2-27B SUPERIOR COURT—GENERAL PROVISIONS
the attorneys so listed and referred to the clerk but not yet deemed by the financial institution to
shall be deemed administratively suspended from have been collected.
the practice of law in this state until such time (b) Attorneys shall deposit all funds held in any
as compliance has occurred and proof of same fiduciary capacity in accounts clearly identified
provided to the Statewide Grievance Committee, as ‘‘trust,’’ ‘‘client funds’’ or ‘‘escrow’’ accounts,
which suspension shall be effective upon publica- referred to herein as ‘‘trust accounts,’’ and shall
tion of the list in the Connecticut Law Journal. take all steps necessary to inform the depository
An administrative suspension of an attorney for institution of the purpose and identity of such
failure to comply with attorney registration or mini- accounts. Funds held in trust include funds held
mum continuing legal education shall not be con- in any fiduciary capacity in connection with a rep-
sidered discipline, but an attorney who is placed resentation in Connecticut, whether as trustee,
on administrative suspension for such failure shall agent, guardian, executor or otherwise. Where
be ineligible to practice law as an attorney admit- an attorney fiduciary has the right to draw by a
ted to practice in this state, and shall not be con- properly payable instrument on such trust account
sidered in good standing pursuant to Section 2- in which the funds of more than one client are
65 of these rules until such time as proof of compli- kept, such account shall be maintained only in
ance is provided to the Statewide Grievance Com- financial institutions approved by the Statewide
mittee. Grievance Committee. No such trust account in
(b) An attorney aggrieved by an order placing which the funds of more than one client are kept
the attorney on administrative suspension for fail- shall be maintained in any financial institution in
ing to comply with Section 2-27 (d) or 2-27A may Connecticut which does not file the agreement
make an application to the Superior Court to have required by this section. Violation of this subsec-
the order vacated, by filing the application with tion shall constitute misconduct.
the Superior Court for the Hartford Judicial District (c) Attorneys regularly maintaining funds in a
within thirty days of the date that the order is fiduciary capacity shall register any account in
published, and mailing a copy of the same by which the funds of more than one client are kept
with the Statewide Grievance Committee in
certified mail, return receipt requested, to the
accordance with Section 2-27 (d).
Statewide Grievance Committee. The application
(d) A financial institution shall be approved as
shall set forth the reasons why the application
a depository for attorney trust accounts only if it
should be granted. The court shall schedule a
files with the Statewide Grievance Committee
hearing on the application, which shall be limited
an agreement, in a form provided by the commit-
to whether good cause exists to vacate the sus-
tee, to report to the committee the fact that an
pension order.
instrument has been presented against an attor-
(c) The notice required by this section shall be ney trust account containing insufficient funds,
sent by regular mail to the last address registered irrespective of whether or not the instrument is
by the attorney pursuant to Section 2-26 and Sec- honored. No report shall be required if funds in
tion 2-27 (d) and to any e-mail address on record an amount sufficient to cover the deficiency in the
with the Judicial Branch. trust account are deposited within one business
(Adopted June 11, 2021, to take effect Jan. 1, 2022.)
day of the presentation of the instrument. No
Sec. 2-28. Overdraft Notification report shall be required in the case of an instru-
ment presented and paid against uncollected
(a) The terms used in this section are defined funds.
as follows: (e) Any such agreement shall not be cancelled
(1) ‘‘Financial institution’’ includes banks, sav- by a financial institution except upon thirty days
ings and loan associations, credit unions, savings written notice to the Statewide Grievance Commit-
banks and any other business or person which tee. The Statewide Grievance Committee shall
accepts for deposit funds held in trust by attor- establish rules governing approval and termina-
neys. tion of approved status for financial institutions,
(2) ‘‘Properly payable’’ refers to an instrument and shall publish annually a list of approved insti-
which, if presented in the normal course of busi- tutions. Any such agreement shall apply to all
sess, is in a form requiring payment under law. branches of the financial institution in Connecticut
(3) ‘‘Insufficient funds’’ refers to the status of and shall not be cancelled except upon thirty days
an account that does not contain sufficient funds notice in writing to the Statewide Grievance Com-
available to pay a properly payable instrument. mittee.
(4) ‘‘Uncollected funds’’ refers to funds depos- (f) The financial institution shall report to the
ited in an account and available to be drawn upon Statewide Grievance Committee within seven
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SUPERIOR COURT—GENERAL PROVISIONS Sec. 2-28A
business days from the date of such presentation, ance Committee either prior to or concurrently
any instrument presented against insufficient with the attorney’s first dissemination of the adver-
funds on any trust funds account unless funds in tisement or written or recorded communication,
an amount sufficient to cover the deficiency in the except as otherwise provided in subsection (b)
account are deposited within one business day herein. The materials shall be filed in a format
of the presentation of the instrument. The report prescribed by the Statewide Grievance Commit-
shall be accompanied by a copy of the instrument. tee, which may require them to be filed electroni-
(g) The Statewide Grievance Committee may cally. Any such submission in a foreign language
delegate to the statewide bar counsel the authority must include an accurate English language trans-
to investigate overdraft notifications and deter- lation.
mine that no misconduct has occurred or that no The filing shall consist of the following:
further action is warranted. Any determination that (1) A copy of the advertisement or communi-
misconduct may have occurred and a grievance cation in the form or forms in which it is to be
complaint should be initiated, unless such com- disseminated (e.g., videotapes, DVDs, audio-
plaint is premised upon the failure of an attorney tapes, compact discs, print media, photographs
to file an explanation of an overdraft, shall be of outdoor advertising);
made by the Statewide Grievance Committee. (2) A transcript, if the advertisement or commu-
(h) Upon receipt of notification of an overdraft, nication is in video or audio format;
the Statewide Grievance Committee, its counsel (3) A list of ___domain names used by the attorney
or disciplinary counsel may request that the attor- primarily to offer legal services, which shall be
ney produce such books of account and state- updated quarterly;
ments of reconciliation, and any other records
(4) A sample envelope in which the written com-
required to be maintained pursuant to Section 2-
27 (b) for review, examination or audit. Failure of munication will be enclosed, if the communication
the attorney to respond to inquiries of the State- is to be mailed;
wide Grievance Committee, its counsel, or disci- (5) A statement listing all media in which the
plinary counsel, or to produce the requested books advertisement or communication will appear, the
of account and statements of reconciliation or anticipated frequency of use of the advertisement
other records shall be grounds for disciplinary or communication in each medium in which it will
counsel to file an application for an interim sus- appear, and the anticipated time period during
pension in accordance with the provisions of Sec- which the advertisement or communication will
tion 2-42. be used.
(i) Every attorney practicing or admitted to prac- (b) The filing requirements of subsection (a) do
tice in Connecticut shall, as a condition thereof, not extend to any of the following materials:
be conclusively presumed to have authorized (1) An advertisement in the public media that
the reporting and production requirements of this contains only, in whole or in part, the following
section. Where an attorney qualifies as execu- information, provided the information is not false
tor of a will or as trustee or successor fiduciary, or misleading:
the attorney fiduciary shall have a reasonable (A) The name of the lawyer or law firm, a list-
time after qualification to bring preexisting trust ing of lawyers associated with the firm, office
accounts into compliance with the provisions of addresses and telephone numbers, office and
this section. telephone service hours, fax numbers, website
(P.B. 1978-1997, Sec. 27A.1.) (Amended June 24, 2002, and e-mail addresses and ___domain names, and a
to take effect July 1, 2003; May 14, 2003, effective date designation such as ‘‘attorney’’ or ‘‘law firm’’;
changed to Oct. 1, 2003; Sept. 30, 2003, effective date
changed to Jan. 1, 2004; amended June 26, 2006, to take
(B) Date of admission to the Connecticut bar
effect Jan. 1, 2007.) and any other bars and a listing of federal courts
and jurisdictions where the lawyer is licensed to
Sec. 2-28A. Attorney Advertising; Manda- practice;
tory Filing (C) Technical and professional licenses granted
(a) Any attorney who advertises services to the by the state or other recognized licensing author-
public through any media, electronic or otherwise, ities;
or through written or recorded communication pur- (D) Foreign language ability;
suant to Rule 7.2 of the Rules of Professional (E) Fields of law in which the lawyer practices
Conduct shall file a copy of each such advertise- or is designated, subject to the requirements of
ment or communication with the Statewide Griev- Rule 7.1, or is certified pursuant to Rule 7.4A;
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Sec. 2-28A SUPERIOR COURT—GENERAL PROVISIONS
(F) Prepaid or group legal service plans in which responsible for the advertisement or communica-
the lawyer participates; tion of the noncompliance and shall attempt to
(G) Acceptance of credit cards; resolve the matter with such attorney. If the mat-
(H) Fee for initial consultation and fee sched- ter is not resolved to the satisfaction of the state-
ule; and wide bar counsel, he or she shall forward the
advertisement or communication and a statement
(I) A listing of the name and geographic ___location describing the attempt to resolve the matter to
of a lawyer or law firm as a sponsor of a public the Statewide Grievance Committee for review.
service announcement or charitable, civic or com- If, after reviewing the advertisement or communi-
munity program or event. cation, the Statewide Grievance Committee deter-
(2) An advertisement in a telephone directory; mines that it violates the Rules of Professional
(3) A listing or entry in a regularly published Conduct, it shall forward a copy of its file to the
law list; disciplinary counsel and direct the disciplinary
(4) An announcement card stating new or counsel to file a presentment against the attorney
changed associations, new offices, or similar in the Superior Court.
changes relating to an attorney or firm, or a tomb- (e) The procedure set forth in subsection (d)
stone professional card; shall apply only to advertisements and communi-
cations that are reviewed as part of the random
(5) A communication sent only to: review process. If an advertisement or communi-
(A) Existing or former clients; cation comes to the attention of the statewide bar
(B) Other attorneys or professionals; business counsel other than through that process, it shall
organizations including trade groups; not-for- be handled pursuant to the grievance procedure
profit organizations; governmental bodies and/or that is set forth in Section 2-29 et seq.
(C) Members of a not-for-profit organization that (f) The materials required to be filed by this
meets the following conditions: the primary pur- section shall be retained by the Statewide Griev-
poses of the organization do not include the ren- ance Committee for a period of one year from the
dition of legal services; the recommending, fur- date of their filing, unless, at the expiration of
the one year period, there is pending before the
nishing, paying for or educating persons regarding Statewide Grievance Committee, a reviewing
legal services is incidental and reasonably related committee, or the court a proceeding concerning
to the primary purposes of the organization; the such materials, in which case the materials that
organization does not derive a financial benefit are the subject of the proceeding shall be retained
from the rendition of legal services by an attorney; until the expiration of the proceeding or for such
and the person for whom the legal services are other period as may be prescribed by the State-
rendered, and not the organization, is recognized wide Grievance Committee.
as the client of the attorney who is recommended, (g) Except for records filed in court in connec-
furnished, or paid for by the organization. tion with a presentment brought pursuant to sub-
(6) Communication that is requested by a pro- section (d), records maintained by the statewide
spective client. bar counsel, the Statewide Grievance Committee
and/or the Disciplinary Counsel’s Office pursuant
(7) The contents of an attorney’s Internet web- to this section shall not be public. Nothing in this
site that appears under any of the ___domain names rule shall prohibit the use or consideration of such
submitted pursuant to subdivision (3) of subsec- records in any subsequent disciplinary or client
tion (a). security fund proceeding and such records shall
(c) If requested by the Statewide Grievance be available in such proceedings to a judge of the
Committee, an attorney shall promptly submit Superior Court or to the standing committee on
information to substantiate statements or repre- recommendations for admission to the bar, to dis-
sentations made or implied in any advertisement ciplinary counsel, to the statewide bar counsel or
in the public media and/or written or recorded assistant bar counsel, or, with the consent of the
communications. respondent, to any other person, unless otherwise
ordered by the court.
(d) The statewide bar counsel shall review (h) Violation of subsection (a) or (c) shall consti-
advertisements and communications filed pursu- tute misconduct.
ant to this section that have been selected for such (Adopted June 26, 2006, to take effect July 1, 2007;
review on a random basis. If after such review the amended June 21, 2010, to take effect Jan. 1, 2011; amended
statewide bar counsel determines that an adver- June 13, 2019, to take effect Jan. 1, 2020.)
tisement or communication does not comply with Sec. 2-28B. —Advisory Opinions*
the Rules of Professional Conduct, the statewide (a) An attorney who desires to secure an
bar counsel shall in writing advise the attorney advance advisory opinion concerning compliance
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SUPERIOR COURT—GENERAL PROVISIONS Sec. 2-29
with the Rules of Professional Conduct of a con- which the opinion was sought shall be deemed
templated advertisement or communication may to be in compliance with the Rules of Profes-
submit to the Statewide Grievance Committee, sional Conduct.
not less than 30 days prior to the date of first dis- (f) If, after receiving an advisory opinion finding
semination, the material specified in Section 2- that an advertisement or communication violates
28A (a) accompanied by a fee established by the the Rules of Professional Conduct, the attorney
chief court administrator. It shall not be necessary disseminates such advertisement or communica-
to submit a videotape or DVD if the videotape or tion, the Statewide Grievance Committee, upon
DVD has not then been prepared and the pro- receiving notice of such dissemination, shall for-
duction script submitted reflects in detail and ward a copy of its file concerning the matter to
accurately the actions, events, scenes, and back- the disciplinary counsel and direct the disciplinary
ground sounds that will be depicted or contained counsel to file a presentment against the attorney
on such videotapes or DVDs, when prepared, as in the Superior Court.
well as the narrative transcript of the verbal and (g) Except for advisory opinions, all records
printed portions of such advertisement. maintained by the Statewide Grievance Commit-
(b) An advisory opinion shall be issued, without tee pursuant to this section shall not be public.
a hearing, by the Statewide Grievance Committee Advisory opinions issued pursuant to this section
or by a reviewing committee assigned by the shall not be public for a period of 30 days from
Statewide Grievance Committee. Such reviewing the date of their issuance. During that 30 day
committee shall consist of at least three members period the advisory opinion shall be available only
of the Statewide Grievance Committee, at least to the attorney who requested it pursuant to sub-
one third of whom are not attorneys. section (a), to the Statewide Grievance Commit-
(c) An advisory opinion issued by the Statewide tee or its counsel, to reviewing committees, to
Grievance Committee or a reviewing committee grievance panels, to disciplinary counsel, to a
finding noncompliance with the Rules of Profes- judge of the Superior Court, and, with the consent
sional Conduct is not binding in a disciplinary pro- of the attorney who requested the opinion, to any
ceeding, but a finding of compliance is binding in other person. Nothing in this rule shall prohibit
favor of the submitting attorney in a disciplinary the use or consideration of such records in any
proceeding if the representations, statements, subsequent disciplinary or client security fund pro-
materials, facts and written assurances received ceeding and such records shall be available in
in connection therewith are not false or mis- such proceedings to a judge of the Superior Court
leading. The finding constitutes admissible evi- or to the standing committee on recommendations
dence if offered by a party. If a request for an for admission to the bar, to disciplinary counsel,
advisory opinion is made within 60 days of the to the statewide bar counsel or assistant bar coun-
effective date of this section, the Statewide Griev- sel, or, with the consent of the respondent, to
ance Committee or reviewing committee shall any other person, unless otherwise ordered by
issue its advisory opinion within 45 days of the the court.
filing of the request. Thereafter, the Statewide (Adopted June 26, 2006, to take effect July 1, 2007.)
Grievance Committee or reviewing committee *APPENDIX NOTE: The Rules Committee of the Superior
shall issue its advisory opinion within 30 days of Court enacted, and the judges of the Superior Court subse-
the filing of the request. For purposes of this sec- quently adopted, certain changes to the provisions of this
tion, an advisory opinion is issued on the date rule in response to the public health and civil preparedness
notice of the opinion is transmitted to the attorney emergencies declared on March 10, 2020, and renewed on
September 1, 2020, and January 26, 2021. The public health
who requested it pursuant to subsection (a) emergency was renewed on June 28, 2022, and is scheduled
herein. to expire on December 28, 2022, or when the federal public
(d) If requested by the Statewide Grievance health emergency ends. See Appendix of Section 1-9B
Committee or a reviewing committee, the attorney Changes.
seeking an advisory opinion shall promptly sub-
mit information to substantiate statements or rep- Sec. 2-29. Grievance Panels
resentations made or implied in such attorney’s (a) The judges of the Superior Court shall
advertisement. The time period set forth in sub- appoint one or more grievance panels in each judi-
section (c) herein shall be tolled from the date of cial district, each consisting of two members of
the committee’s request to the date the requested the bar who do not maintain an office for the prac-
information is filed with the committee. tice of law in such judicial district and one nonat-
(e) If an advisory opinion is not issued by the torney who resides in such judicial district, and
Statewide Grievance Committee or a review- shall designate as an alternate member a member
ing committee within the time prescribed in this of the bar who does not maintain an office for the
section, the advertisement or communication for practice of law in such judicial district. Terms shall
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Sec. 2-29 SUPERIOR COURT—GENERAL PROVISIONS
commence on July 1. Appointments shall be for to Oct. 1, 2003; Sept. 30, 2003, effective date changed to Jan.
terms of three years. No person may serve as a 1, 2004; amended June 26, 2020, to take effect Jan. 1, 2021.)
member and/or as an alternate member for more
Sec. 2-30. Grievance Counsel for Panels
than two consecutive three year terms, but may
be reappointed after a lapse of one year. The and Investigators
appointment of any member or alternate member (a) The judges of the Superior Court shall
may be revoked or suspended by the judges or by appoint, as set forth below, attorneys to serve
the executive committee of the Superior Court. In either on a part-time or full-time basis as grievance
connection with such revocation or suspension, the counsel for grievance panels, and shall appoint
judges or the executive committee shall appoint a one or more investigators either on a full-time or
qualified individual to fill the vacancy for the balance part-time basis. The investigators so appointed
of the term or for any other appropriate period. In shall serve the Statewide Grievance Committee,
the event that a vacancy arises on a panel before the reviewing committees and the grievance pan-
the end of a term by reasons other than revocation or els and shall be under the supervision of the state-
suspension, the executive committee of the Superior wide bar counsel. These appointments shall be
Court shall appoint an attorney or nonattorney, for a term of one year commencing July 1. In
depending on the position vacated, who meets the the event that a vacancy arises in any of these
appropriate condition set forth above to fill the positions before the end of a term, the executive
vacancy for the balance of the term. committee of the Superior Court shall appoint a
(b) Consideration for appointment to these posi- qualified individual to fill the vacancy for the bal-
tions shall be given to those candidates recom- ance of the term. Compensation for these posi-
mended to the appointing authority by the admin- tions shall be paid by the Judicial Branch. Such
istrative judges. appointees may be placed on the Judicial Branch
(c) In the event that more than one panel has payroll or be paid on a contractual basis.
been appointed to serve a particular judicial dis- (b) Consideration for appointment to the posi-
trict, the executive committee of the Superior tion of grievance counsel for a grievance panel
Court shall establish the jurisdiction of each shall be given to those candidates recommended
such panel. to the appointing authority by the resident judges
(d) An attorney who maintains an office for the in the judicial district or districts to which the
practice of law in the same judicial district as a appointment is to be made.
respondent may not participate as a member of (c) The executive committee of the Superior
a grievance panel concerning a complaint against Court shall determine the number of grievance
that respondent. counsel to serve one or more grievance panels.
(e) In addition to any other powers and duties (P.B. 1978-1997, Sec. 27D.)
set forth in this chapter, each panel shall:
(1) On its own motion or on complaint of any Sec. 2-31. Powers and Duties of Grievance
person, inquire into and investigate offenses Counsel
whether or not occurring in the actual presence Grievance counsel shall have the following
of the court involving the character, integrity, pro- powers and duties:
fessional standing and conduct of members of the (1) Upon referral of the complaint to the griev-
bar in this state. ance panel, to confer with and, if possible, meet
(2) Compel any person by subpoena to appear with the complainants and assist them in under-
before it to testify in relation to any matter deemed standing the grievance process set forth in these
by the panel to be relevant to any inquiry or investi- rules and to answer questions complainants may
gation it is conducting and to produce before it have concerning that process.
for examination any books or papers which, in its
(2) To investigate all complaints received by the
judgment, may be relevant to such inquiry or
investigation. grievance panel from the statewide bar counsel
(3) Utilize an official court reporter or court involving alleged misconduct of an attorney sub-
recording monitor employed by the Judicial Branch ject to the jurisdiction of the Superior Court.
to record any testimony taken before it. (3) To assist the grievance panels in carrying
(f) The grievance panel may, upon the vote of a out their duties under this chapter.
majority of its members, require that a disciplinary (4) When determined to be necessary by the
counsel pursue the matter before the grievance Statewide Grievance Committee, to assist review-
panel on the issue of probable cause. ing committees of the Statewide Grievance Com-
(P.B. 1978-1997, Sec. 27B.) (Amended June 24, 2002, to mittee in conducting hearings before said review-
take effect July 1, 2003; May 14, 2003, effective date changed ing committees.
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SUPERIOR COURT—GENERAL PROVISIONS Sec. 2-32
(5) If the grievance panel has dismissed the (C) the complaint does not contain sufficient
complaint, to assist the complainant in under- specific allegations on which to conduct an investi-
standing the reasons for the dismissal. gation;
(P.B. 1978-1997, Sec. 27E.) (Amended June 24, 2002, to (D) the complaint is duplicative of a previously
take effect July 1, 2003; May 14, 2003, effective date changed adjudicated complaint;
to Oct. 1, 2003; Sept. 30, 2003, effective date changed to Jan.
1, 2004.)
(E) the complaint alleges that the last act or
omission constituting the alleged misconduct
Sec. 2-32. Filing Complaints against Attor- occurred more than six years prior to the date on
neys; Action; Time Limitation* which the complaint was filed;
(a) Any person, including disciplinary counsel, (i) Notwithstanding the period of limitation set
or a grievance panel on its own motion, may file forth in this subparagraph, an allegation of mis-
a written complaint, executed under penalties of conduct that would constitute a violation of Rule
false statement, alleging attorney misconduct 1.15, 8.1 or 8.4 (2) through (6) of the Rules of
whether or not such alleged misconduct occurred Professional Conduct may still be considered as
in the actual presence of the court. Complaints long as a written complaint is filed within one year
against attorneys shall be filed with the statewide of the discovery of such alleged misconduct.
bar counsel. Within seven days of the receipt of (ii) Each period of limitation in this subpara-
a complaint, the statewide bar counsel shall graph is tolled during any period in which: (1) the
review the complaint and process it in accordance alleged misconduct remains undiscovered due to
with subdivision (1), (2) or (3) of this subsection active concealment; (2) the alleged misconduct
as follows: would constitute a violation of Rule 1.8 (c) and
(1) forward the complaint to a grievance panel the conditions precedent of the instrument have
in the judicial district in which the respondent not been satisfied; (3) the alleged misconduct is
maintains his or her principal office or residence, part of a continuing course of misconduct; or (4)
provided that, if the respondent does not maintain the aggrieved party is under the age of majority,
such an address in this state, the statewide bar insane, or otherwise unable to file a complaint
counsel shall forward the complaint to any griev- due to mental or physical incapacitation.
ance panel and notify the complainant and the (F) the complaint alleges misconduct occurring
respondent, by certified mail with return receipt in a Superior Court, Appellate Court or Supreme
or with electronic delivery confirmation, of the Court action and the court has been made aware
panel to which the complaint was sent. The notifi- of the allegations of misconduct and has rendered
cation to the respondent shall be accompanied a decision finding misconduct or finding that either
by a copy of the complaint. The respondent shall no misconduct has occurred or that the allegations
respond within thirty days of the date notification should not be referred to the Statewide Griev-
is mailed to the respondent unless for good cause ance Committee;
shown such time is extended by the grievance (G) the complaint alleges personal behavior
panel. The response shall be sent to the grievance outside the practice of law which does not consti-
panel to which the complaint has been referred. tute a violation of the Rules of Professional
The failure to file a timely response shall constitute Conduct;
misconduct unless the respondent establishes (H) the complaint alleges the nonpayment of
that the failure to respond timely was for good incurred indebtedness;
cause shown; (I) the complaint names only a law firm or other
(2) refer the complaint to the chair of the State- entity and not any individual attorney, unless dis-
wide Grievance Committee or an attorney desig- missal would result in gross injustice. If the com-
nee of the chair and to a nonattorney member of plaint names a law firm or other entity as well as
the committee, and the statewide bar counsel in an individual attorney or attorneys, the complaint
conjunction with the chair or attorney designee shall be dismissed only as against the law firm
and the nonattorney member shall, if deemed or entity;
appropriate, dismiss the complaint on one or more (J) the complaint alleges misconduct occurring
of the following grounds: in another jurisdiction in which the attorney is also
(A) the complaint only alleges a fee dispute and admitted and in which the attorney maintains an
not a clearly excessive or improper fee; office to practice law, and it would be more practi-
(B) the complaint does not allege facts which, cable for the matter to be determined in the other
if true, would constitute a violation of any provision jurisdiction. If a complaint is dismissed pursuant
of the applicable rules governing attorney con- to this subdivision, it shall be without prejudice
duct; and the matter shall be referred by the statewide
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Sec. 2-32 SUPERIOR COURT—GENERAL PROVISIONS
bar counsel to the jurisdiction in which the conduct counsel of any change of address or telephone
is alleged to have occurred. number during the pendency of the proceedings
(3) If a complaint alleges only a fee dispute on the complaint.
within the meaning of subsection (a) (2) (A) of this (e) If for good cause a grievance panel declines,
section, the statewide bar counsel in conjunction or is unable pursuant to Section 2-29 (d), to inves-
with the chairperson or attorney designee and the tigate a complaint, it shall forthwith return the com-
nonattorney member may stay further proceed- plaint to the statewide bar counsel to be referred
ings on the complaint on such terms and condi- by him or her immediately to another panel. Notifi-
tions as deemed appropriate, including referring cation of such referral shall be given by the state-
the parties to fee arbitration. The record and result wide bar counsel to the complainant and the
of any such fee arbitration shall be filed with the respondent by certified mail with return receipt or
statewide bar counsel and shall be dispositive of with electronic delivery confirmation.
the complaint. A party who refuses to utilize the (f) The grievance panel, with the assistance of
no cost fee arbitration service provided by the the grievance counsel assigned to it, shall investi-
Connecticut Bar Association shall pay the cost of gate each complaint to determine whether proba-
the arbitration. ble cause exists that the attorney is guilty of
(b) The statewide bar counsel, chair or attorney misconduct. The grievance panel may, upon the
designee and nonattorney member shall have vote of a majority of its members, require that a
fourteen days from the date the complaint was disciplinary counsel pursue the matter before the
filed to determine whether to dismiss the com- grievance panel on the issue of probable cause.
plaint. If after review by the statewide bar counsel, (g) Investigations and proceedings of the griev-
chair or attorney designee and nonattorney mem- ance panel shall be confidential unless the attor-
ber it is determined that the complaint should be ney under investigation requests that such
forwarded to a grievance panel for investigation investigation and proceedings be public.
in accordance with subsections (f) through (j) of (h) On the request of the respondent and for
this section, the complaint shall be so forwarded in good cause shown, or on its own motion, the griev-
accordance with subsection (a) (1) of this section ance panel may conduct a hearing on the com-
within seven days of the determination to forward plaint. The complainant and respondent shall be
the complaint. entitled to be present at any proceedings on the
(c) If the complaint is dismissed by the statewide complaint at which testimony is given and to have
bar counsel in conjunction with the chair or attor- counsel present, provided, however, that they
ney designee and nonattorney member, the com- shall not be entitled to examine or cross-examine
plainant and respondent shall be notified of the witnesses unless requested by the grievance
dismissal in writing. The respondent shall be pro- panel.
vided with a copy of the complaint with the notice (i) The panel shall, within 110 days from the
of dismissal. The notice of dismissal shall set forth date the complaint was referred to it, unless such
the reason or reasons for the dismissal. The com- time is extended pursuant to subsection (j), do
plainant shall have fourteen days from the date one of the following: (1) If the panel determines
notice of the dismissal is mailed to the complain- that probable cause exists that the respondent is
ant to file an appeal of the dismissal. The appeal guilty of misconduct, it shall file the following with
shall be in writing setting forth the basis of the the Statewide Grievance Committee and with the
appeal and shall be filed with the statewide bar disciplinary counsel: (A) its written determination
counsel who shall forward it to a reviewing com- that probable cause exists that the respondent is
mittee for decision on the appeal. The reviewing guilty of misconduct, (B) a copy of the complaint
committee shall review the appeal and render a and response, (C) a transcript of any testimony
decision thereon within sixty days of the filing of heard by the panel, (D) a copy of any investigatory
the appeal. The reviewing committee shall either file and copies of any documents, transcripts or
affirm the dismissal of the complaint or order the other written materials which were available to the
complaint forwarded to a grievance panel for panel. These materials shall constitute the panel’s
investigation in accordance with subsections (f) record in the case. (2) If the panel determines that
through (j) of this section. The decision of the no probable cause exists that the respondent is
reviewing committee shall be in writing and mailed guilty of misconduct, it shall dismiss the complaint
to the complainant. The decision of the reviewing unless there is an allegation in the complaint that
committee shall be final. the respondent committed a crime. Such dis-
(d) The statewide bar counsel shall keep a missal shall be final and there shall be no review
record of all complaints filed. The complainant of the matter by the Statewide Grievance Commit-
and the respondent shall notify the statewide bar tee, but the panel shall file with the Statewide
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SUPERIOR COURT—GENERAL PROVISIONS Sec. 2-33
Grievance Committee a copy of its decision dis- (b) All members shall serve for a term of three
missing the complaint and the materials set forth years commencing on July 1. Except as otherwise
in subsection (i) (1) (B), (C) and (D). In cases in provided herein, no person shall serve as a mem-
which there is an allegation in the complaint that ber for more than two consecutive three year
the respondent committed a crime, the panel shall terms, excluding any appointments for less than
file with the Statewide Grievance Committee and a full term; a member may be reappointed after
with disciplinary counsel its written determination a lapse of one year. If the term of a member
that no probable cause exists and the materials who is on a reviewing committee expires while a
set forth in subsection (i) (1) (B), (C) and (D). complaint is pending before that committee, the
These materials shall constitute the panel’s record judges or the executive committee may extend
in the case. the term of such member to such time as the
(j) The panel may file a motion for extension of reviewing committee has completed its action on
time not to exceed thirty days with the Statewide that complaint. In the event of such an extension
Grievance Committee which may grant the motion the total number of Statewide Grievance Commit-
only upon a finding of good cause. If the panel
tee members may exceed twenty-one. The
does not complete its action on a complaint within
the time provided in this section, the Statewide appointment of any member may be revoked or
Grievance Committee shall inquire into the delay suspended by the judges or by the executive com-
and shall order that the panel take action on the mittee of the Superior Court. In connection with
complaint forthwith, or order that the complaint be such revocation or suspension, the judges or the
forwarded to and heard by another panel or a executive committee shall appoint a qualified indi-
reviewing committee designated by the Statewide vidual to fill the vacancy for the remainder of the
Grievance Committee. term or for any other appropriate period. In the
(k) The panel shall notify the complainant, the event that a vacancy arises in this position before
respondent, and the Statewide Grievance Com- the end of a term by reasons other than revocation
mittee of its determination. The determination or suspension, the executive committee of the
shall be a matter of public record if the panel Superior Court shall fill the vacancy for the bal-
determines that probable cause exists that the ance of the term or for any other appropriate
respondent is guilty of misconduct. period. Unless otherwise provided in this chapter,
(P.B. 1978-1997, Sec. 27F.) (Amended June 29, 1998, to the committee must have at least a quorum pre-
take effect Jan. 1, 1999; amended June 28, 1999, to take sent to act, and a quorum shall be eleven. The
effect Jan. 1, 2000; amended June 24, 2002, to take effect committee shall act by a vote of a majority of those
July 1, 2003; May 14, 2003, effective date changed to Oct. 1,
2003; amended June 30, 2003, to take effect Oct. 1, 2003; present and voting, provided that a minimum of
Sept. 30, 2003, effective date of two latest amendments six votes for a particular action is necessary for
changed to Jan. 1, 2004; amended June 21, 2004, to take the committee to act. Members present but not
effect Jan. 1, 2005; amended June 20, 2005, to take effect voting due to disqualification, abstention, silence
Jan. 1, 2006; amended June 30, 2008, to take effect Jan. 1, or a refusal to vote, shall be counted for purposes
2009; amended June 15, 2012, to take effect Jan. 1, 2013;
amended June 14, 2013, to take effect Jan. 1, 2014.) of establishing a quorum, but not counted in calcu-
*APPENDIX NOTE: The Rules Committee of the Superior lating a majority of those present and voting.
Court enacted, and the judges of the Superior Court subse- (c) In addition to any other powers and duties
quently adopted, certain changes to the provisions of this set forth in this chapter, the Statewide Grievance
rule in response to the public health and civil preparedness Committee shall:
emergencies declared on March 10, 2020, and renewed on
September 1, 2020, and January 26, 2021. The public health (1) Institute complaints involving violations of
emergency was renewed on June 28, 2022, and is scheduled General Statutes § 51-88.
to expire on December 28, 2022, or when the federal public (2) Adopt rules to carry out its duties under this
health emergency ends. See Appendix of Section 1-9B chapter which are not inconsistent with these
Changes.
rules.
Sec. 2-33. Statewide Grievance Committee (3) Adopt rules for grievance panels to carry
(a) The judges of the Superior Court shall out their duties under this chapter which are not
appoint twenty-one persons to a committee to be inconsistent with these rules.
known as the ‘‘Statewide Grievance Committee.’’ (4) In its discretion, disclose that it or the state-
At least seven shall not be attorneys and the wide bar counsel has referred a complaint to a
remainder shall be members of the bar of this panel for investigation when such disclosure is
state. The judges shall designate one member deemed by the committee to be in the public
as chair and another as vice-chair to act in the interest.
absence or disability of the chair. (P.B. 1978-1997, Sec. 27G.)
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Sec. 2-34 SUPERIOR COURT—GENERAL PROVISIONS
Sec. 2-34. Statewide Bar Counsel year commencing July 1, except that initial
(a) The judges of the Superior Court shall appointments shall be from such date as the
appoint an attorney to act as statewide bar coun- judges determine through the following June 30.
sel, and such additional attorneys to act as assis- In the event that a vacancy arises in any of these
tant bar counsel as are necessary, for a term of positions before the end of a term, the executive
one year commencing July 1. In the event that a committee of the Superior Court may appoint a
vacancy arises in any such position before the qualified individual to fill the vacancy for the bal-
end of a term, the executive committee of the ance of the term. The chief disciplinary counsel
Superior Court shall appoint an attorney to fill the and disciplinary counsel shall be assigned to the
vacancy for the balance of the term. Compensa- Office of the Chief Court Administrator for admin-
tion for these positions shall be paid by the Judicial istrative purposes and shall not engage in the
Branch. Such individuals shall be in the legal ser- private practice of law. The term ‘‘disciplinary
vices division of the Office of the Chief Court counsel’’ as used in the rules for the Superior
Administrator and shall perform such other duties Court shall mean the chief disciplinary counsel or
as may be assigned to them in that capacity. any disciplinary counsel.
(b) In addition to any other powers and duties (b) In addition to any other powers and duties
set forth in this chapter, the statewide bar counsel set forth in this chapter, disciplinary counsel shall:
or an assistant bar counsel shall: (1) Investigate each complaint which has been
(1) Report to the national disciplinary data bank forwarded, after a determination that probable
such requested information as is officially reported cause exists that the respondent is guilty of mis-
to the statewide bar counsel concerning attorneys conduct, by a grievance panel to the Statewide
who have resigned pursuant to Section 2-52, or Grievance Committee for review pursuant to Sec-
whose unethical conduct has resulted in disciplin- tion 2-32 (i) and pursue such matter before the
ary action by the court or by the Statewide Griev- Statewide Grievance Committee or reviewing
ance Committee, or who have been placed on committee. When, after a determination of no
inactive status pursuant to Sections 2-56 through probable cause by a grievance panel, a complaint
2-62. is forwarded to the Statewide Grievance Commit-
(2) Receive and maintain information forwarded tee because it contains an allegation that the
to the statewide bar counsel by the national disci- respondent committed a crime, and the Statewide
plinary data bank. Grievance Committee or a reviewing committee
(3) Receive and maintain records forwarded to determines that a hearing shall be held concern-
the statewide bar counsel by the clerks of court ing the complaint pursuant to Section 2-35 (c),
pursuant to Sections 2-23 and 2-52 and by com- the disciplinary counsel shall present the matter
plainants pursuant to Section 2-32. to such committee.
(4) For a fee established by the chief court (2) Pursuant to Section 2-82, discuss and may
administrator, certify the status of individuals who negotiate a disposition of the complaint with the
are or were members of the bar of this state at respondent or, if represented by an attorney, the
the request of bar admission authorities of other respondent’s attorney, subject to the approval of
jurisdictions or at the request of a member of the the Statewide Grievance Committee or a
bar of this state with respect to such member’s reviewing committee or the court.
status. In certifying the status of an individual, no (3) Remove irrelevant information from the
information shall be provided to the requesting complaint file and thereafter permit discovery of
entity, other than public information, without a information in the file.
waiver from that individual. (4) Pursuant to Section 2-35, add additional
(5) Assist the Statewide Grievance Committee allegations of misconduct to the grievance panel’s
and the reviewing committees in carrying out their determination that probable cause exists that the
duties under this chapter. respondent is guilty of misconduct.
(P.B. 1978-1997, Sec. 27H.) (Amended June 24, 2002, to (5) Have the power to subpoena witnesses for
take effect July 1, 2003; May 14, 2003, effective date changed
to Oct. 1, 2003; Sept. 30, 2003, effective date changed to Jan.
any hearing before a grievance panel, a reviewing
1, 2004; amended June 22, 2009, to take effect Jan. 1, 2010.) committee or the Statewide Grievance Committee
convened pursuant to these rules.
Sec. 2-34A. Disciplinary Counsel (6) In his or her discretion, recommend disposi-
(a) There shall be a chief disciplinary counsel tions to the Statewide Grievance Committee or
and such disciplinary counsel and staff as are the reviewing committee after the hearing on a
necessary. The chief disciplinary counsel and the complaint is concluded.
disciplinary counsel shall be appointed by the (7) At the request of the Statewide Grievance
judges of the Superior Court for a term of one Committee or a reviewing committee, prepare and
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SUPERIOR COURT—GENERAL PROVISIONS Sec. 2-35
file complaints initiating presentment proceedings take evidence if it deems it appropriate and, if it
in the Superior Court, whether or not the alleged determines that probable cause does exist, shall
misconduct occurred in the actual presence of the take the following action: (1) if the Statewide
court, and prosecute same. Grievance Committee reviewed the grievance
(8) At the request of a grievance panel made panel’s determination, it shall hold a hearing con-
pursuant to Section 2-29, pursue the matter cerning the complaint or assign the matter to a
before the grievance panel on the issue of proba- reviewing committee to hold the hearing; or (2) if
ble cause. a reviewing committee reviewed the grievance
(9) Investigate and prosecute complaints panel’s determination, it shall hold a hearing con-
involving the violation by any person of General cerning the complaint or refer the matter to the
Statutes § 51-88. Statewide Grievance Committee which shall
(Adopted June 24, 2002, to take effect July 1, 2003; May assign it to another reviewing committee to hold
14, 2003, effective date changed to Oct. 1, 2003, and amended the hearing.
on an interim basis, pursuant to the provisions of Section 1- (d) Disciplinary counsel may add additional alle-
9 (c), to take effect Oct. 1, 2003, and amendment adopted gations of misconduct to the grievance panel’s
June 30, 2003, to take effect Oct. 1, 2003; Sept. 30, 2003,
effective date of adopted rule and amendment changed to determination that probable cause exists in the
Jan. 1, 2004; amended June 21, 2004, to take effect Jan. 1, following circumstances:
2005; amended June 15, 2012, to take effect Jan. 1, 2013.) (1) Prior to the hearing before the Statewide
Grievance Committee or the reviewing commit-
Sec. 2-35. Action by Statewide Grievance tee, disciplinary counsel may add additional alle-
Committee or Reviewing Committee* gations of misconduct arising from the record of
(a) Upon receipt of the record from a grievance the grievance complaint or its investigation of
panel, the Statewide Grievance Committee may the complaint.
assign the case to a reviewing committee which (2) Following commencement of the hearing
shall consist of at least three members of the before the Statewide Grievance Committee or the
Statewide Grievance Committee, at least one reviewing committee, disciplinary counsel may
third of whom are not attorneys. The Statewide only add additional allegations of misconduct for
Grievance Committee may, in its discretion, reas- good cause shown and with the consent of the
sign the case to a different reviewing committee. respondent and the Statewide Grievance Com-
The committee shall regularly rotate membership mittee or the reviewing committee. Additional alle-
on reviewing committees and assignments of gations of misconduct may not be added after the
complaints from the various grievance panels. An hearing has concluded.
attorney who maintains an office for the practice (e) If disciplinary counsel determines that addi-
of law in the same judicial district as the respon- tional allegations of misconduct exist, it shall issue
dent may not sit on the reviewing committee for a written notice to the respondent and the State-
that case. wide Grievance Committee, which shall include,
(b) The Statewide Grievance Committee and but not be limited to, the following: (1) a description
the reviewing committee shall have the power to of the factual allegation or allegations that were
issue a subpoena to compel any person to appear considered in rendering the determination; and
before it to testify in relation to any matter deemed (2) for each such factual allegation, an identifica-
by the Statewide Grievance Committee or the tion of the specific provision or provisions of the
reviewing committee to be relevant to the com- applicable rules governing attorney conduct con-
plaint and to produce before it for examination sidered in rendering the determination.
any books or papers which, in its judgment, may (f) The respondent shall be entitled to a period
be relevant to such complaint. Any such testimony of not less than thirty days before being required
shall be on the record. to appear at a hearing to defend against any addi-
(c) If the grievance panel determined that prob- tional charges of misconduct filed by the disciplin-
able cause exists that the respondent is guilty of ary counsel.
misconduct, the Statewide Grievance Committee (g) At least two of the same members of a
or the reviewing committee shall hold a hearing reviewing committee shall be present at all hear-
on the complaint. If the grievance panel deter- ings held by the reviewing committee. If a member
mined that probable cause does not exist, but filed of the reviewing committee is absent for the hear-
the matter with the Statewide Grievance Commit- ing, the member’s participation in the determina-
tee because the complaint alleges that a crime tion of the matter shall be waived unless the
has been committed, the Statewide Grievance disciplinary counsel or the respondent object at
Committee or the reviewing committee shall the commencement of the hearing. If an objection
review the determination of no probable cause, is raised, then the absent member of the reviewing
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Sec. 2-35 SUPERIOR COURT—GENERAL PROVISIONS
committee shall obtain and review the transcript was guilty of misconduct. The reviewing commit-
of each such hearing and shall participate in the tee may file a motion for extension of time not to
committee’s determination. All hearings following exceed thirty days with the Statewide Grievance
a determination of probable cause shall be public Committee which shall grant the motion only upon
and on the record. a showing of good cause. If the reviewing commit-
(h) The complainant and respondent shall be tee does not complete its action on a complaint
entitled to be present at all hearings and other within the time provided in this section, the State-
proceedings on the complaint at which testimony wide Grievance Committee shall, on motion of
is given and to have counsel present. At all hear- the complainant or the respondent or on its own
ings, the respondent shall have the right to be motion, inquire into the delay and determine the
heard in the respondent’s own defense and by appropriate course of action. Enforcement of the
witnesses and counsel. The disciplinary counsel final decision, including the publication of the
shall pursue the matter before the Statewide notice of a reprimand pursuant to Section 2-54,
Grievance Committee or reviewing committee. shall be stayed for thirty days from the date of the
The disciplinary counsel and the respondent shall issuance to the parties of the final decision. In
be entitled to examine or cross-examine wit- the event the respondent timely submits to the
nesses. At the conclusion of the evidentiary phase Statewide Grievance Committee a request for
of a hearing, the complainant, the disciplinary review of the final decision of the reviewing com-
counsel and the respondent shall have the oppor- mittee, such stay shall remain in full force and
tunity to make a statement, either individually or effect pursuant to Section 2-38 (b).
through counsel. The Statewide Grievance Com- (j) If the reviewing committee finds probable
mittee or reviewing committee may request oral cause to believe the respondent has violated the
argument. criminal law of this state, it shall report its findings
(i) Within ninety days of the date the grievance to the chief state’s attorney.
panel filed its determination with the Statewide (k) Within thirty days of the issuance to the
Grievance Committee pursuant to Section 2-32 parties of the final decision by the reviewing com-
(i), the reviewing committee shall render a final mittee, the respondent may submit to the State-
written decision dismissing the complaint, impos-
wide Grievance Committee a request for review
ing sanctions and conditions as authorized by
of the decision. No request for review may be
Section 2-37 or directing the disciplinary counsel
submitted following a decision approving a pro-
to file a presentment against the respondent in
posed disposition filed pursuant to Section 2-82
the Superior Court and file it with the Statewide
Grievance Committee. In a decision of the (b) or (g). Any request for review submitted under
reviewing committee directing the disciplinary this section must specify the basis for the request
counsel to file a presentment against the respon- including, but not limited to, a claim or claims that
dent, the reviewing committee may direct that the the reviewing committee’s findings, inferences,
presentment include additional findings of mis- conclusions or decision is or are: (1) in violation
conduct beyond those set forth in the probable of constitutional provisions, rules of practice or
cause finding and the additional allegations of statutory provisions; (2) in excess of the authority
misconduct if the findings are supported by the of the reviewing committee; (3) made upon unlaw-
record. Where there is a final decision dismissing ful procedure; (4) affected by other error of law; (5)
the complaint, the reviewing committee may give clearly erroneous in view of the reliable, probative,
notice in a written summary order to be followed and substantial evidence on the whole record;
by a full written decision. The reviewing commit- or (6) arbitrary or capricious or characterized by
tee’s record in the case shall consist of a copy of abuse of discretion or clearly unwarranted exer-
all evidence it received or considered, including cise of discretion and the specific basis for such
a transcript of any testimony heard by it, and its claim or claims. For grievance complaints filed on
decision. The record shall also be sent to the or after January 1, 2004, the respondent shall
Statewide Grievance Committee. The reviewing serve a copy of the request for review on disciplin-
committee shall forward a copy of the final deci- ary counsel in accordance with Sections 10-12
sion to the complainant, the disciplinary counsel, through 10-17. Within fourteen days of the
the respondent, and the grievance panel to which respondent’s submission of a request for review,
the complaint was forwarded. The decision shall disciplinary counsel may file a response. Disciplin-
be a matter of public record if there was a determi- ary counsel shall serve a copy of the response
nation by a grievance panel, a reviewing commit- on the respondent in accordance with Sections
tee or the Statewide Grievance Committee that 10-12 through 10-17. No reply to the response
there was probable cause that the respondent shall be allowed.
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SUPERIOR COURT—GENERAL PROVISIONS Sec. 2-37
(l) If, after its review of a complaint pursuant to rule in response to the public health and civil preparedness
this section that was forwarded to the Statewide emergencies declared on March 10, 2020, and renewed on
September 1, 2020, and January 26, 2021. The public health
Grievance Committee pursuant to Section 2-32 emergency was renewed on June 28, 2022, and is scheduled
(i) (2), a reviewing committee agrees with a griev- to expire on December 28, 2022, or when the federal public
ance panel’s determination that probable cause health emergency ends. See Appendix of Section 1-9B
does not exist that the attorney is guilty of miscon- Changes.
duct and there has been no finding of probable Sec. 2-36. Action by Statewide Grievance
cause by the Statewide Grievance Committee or Committee on Request for Review*
a reviewing committee, the reviewing committee
shall have the authority to dismiss the complaint Within sixty days of the expiration of the thirty
within the time period set forth in subsection (e) day period for the filing of a request for review
of this section without review by the Statewide under Section 2-35 (k), or, with regard to griev-
ance complaints filed on or after January 1, 2004,
Grievance Committee. The reviewing committee
within sixty days of the expiration of the fourteen
shall file its decision dismissing the complaint with
day period for the filing of a response by disciplin-
the Statewide Grievance Committee along with ary counsel to a request for review under that
the record of the matter and shall send a copy of section, the Statewide Grievance Committee shall
the decision to the complainant, the respondent, issue a written decision affirming the decision of
and the grievance panel to which the complaint the reviewing committee, dismissing the com-
was assigned. plaint, imposing sanctions and conditions as
(m) If the Statewide Grievance Committee does authorized by Section 2-37, directing the disciplin-
not assign a complaint to a reviewing committee, ary counsel to file a presentment against the
it shall have one hundred and twenty days from respondent in the Superior Court or referring the
the date the panel’s determination was filed with complaint to the same or a different reviewing
it to render a decision dismissing the complaint, committee for further investigation and a decision.
imposing sanctions and conditions as authorized Before issuing its decision, the Statewide Griev-
by Section 2-37 or directing the disciplinary coun- ance Committee may, in its discretion, request
sel to file a presentment against the respondent. oral argument. The Statewide Grievance Commit-
In a decision of the Statewide Grievance Commit- tee shall forward a copy of its decision to the
tee directing the disciplinary counsel to file a pre- complainant, the disciplinary counsel, the respon-
sentment against the respondent, the Statewide dent, the reviewing committee and the grievance
Grievance Committee may direct that the present- panel which investigated the complaint. The deci-
ment include additional findings of misconduct sion shall be a matter of public record. A decision
beyond those set forth in the probable cause find- of the Statewide Grievance Committee shall be
ing and the additional allegations of misconduct issued only if the respondent has timely filed a
if the findings are supported by the record. The request for review under Section 2-35 (k). A
decision shall be a matter of public record. The respondent may not appeal to the Superior Court
failure of a reviewing committee to complete its a decision of the Statewide Grievance Committee
action on a complaint within the period of time affirming the reviewing committee’s decision
provided in this section shall not be cause for directing the disciplinary counsel to file a present-
dismissal of the complaint. If the Statewide Griev- ment against the respondent.
ance Committee finds probable cause to believe (P.B. 1978-1997, Sec. 27M.) (Amended June 24, 2002, to
that the respondent has violated the criminal law take effect July 1, 2003; May 14, 2003, effective date changed
to Oct. 1, 2003; Sept. 30, 2003, effective date changed to Jan.
of this state, it shall report its findings to the chief 1, 2004; amended June 26, 2006, to take effect Jan. 1, 2007;
state’s attorney. amended June 11, 2021, to take effect Jan. 1, 2022.)
(P.B. 1978-1997, Sec. 27J.) (Amended June 28, 1999, to *APPENDIX NOTE: The Rules Committee of the Superior
take effect Jan. 1, 2000; amended June 24, 2002, to take Court enacted, and the judges of the Superior Court subse-
effect July 1, 2003; May 14, 2003, effective date changed to quently adopted, certain changes to the provisions of this
Oct. 1, 2003; Sept. 30, 2003, effective date changed to Jan. rule in response to the public health and civil preparedness
1, 2004; amended June 26, 2006, to take effect Jan. 1, 2007; emergencies declared on March 10, 2020, and renewed on
amended June 29, 2007, to take effect Jan. 1, 2008; amended September 1, 2020, and January 26, 2021. The public health
June 30, 2008, to take effect Jan. 1, 2009; amended June 15, emergency was renewed on June 28, 2022, and is scheduled
2012, to take effect Jan. 1, 2013; subsection (g) amended to expire on December 28, 2022, or when the federal public
June 11, 2021, to take effect July 13, 2021; amended June health emergency ends. See Appendix of Section 1-9B
11, 2021, to take effect Jan. 1, 2022.) Changes.
TECHNICAL CHANGE: In subsection (k) (1), ‘‘provisions’’
Sec. 2-37. Sanctions and Conditions Which
was inserted after ‘‘constitutional.’’
*APPENDIX NOTE: The Rules Committee of the Superior
May Be Imposed by Committees
Court enacted, and the judges of the Superior Court subse- (a) A reviewing committee or the Statewide
quently adopted, certain changes to the provisions of this Grievance Committee may impose one or more
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Sec. 2-37 SUPERIOR COURT—GENERAL PROVISIONS
of the following sanctions and conditions in to Section 2-36, of the decision of the Statewide
accordance with the provisions of Sections 2-35 Grievance Committee, the respondent shall: (1)
and 2-36: file the appeal with the clerk of the Superior Court
(1) reprimand; for the judicial district of Hartford and (2) mail a
(2) restitution; copy of the appeal by certified mail, return receipt
(3) assessment of costs; requested or with electronic delivery confirmation,
(4) an order that the respondent return a client’s to the Office of the Statewide Bar Counsel as
file to the client; agent for the Statewide Grievance Committee and
(5) a requirement that the respondent attend to the Office of the Chief Disciplinary Counsel.
continuing legal education courses, at his or her (b) Enforcement of a final decision imposing
own expense, regarding one or more areas of sanctions or conditions against the respondent
substantive law or law office management; pursuant to Section 2-35 (i) or Section 2-35 (m),
(6) an order to submit to fee arbitration; including the publication of the notice of a repri-
(7) in any grievance complaint where there has mand in accordance with Section 2-54, shall be
been a finding of a violation of Rule 1.15 of the stayed for thirty days from the issuance to the
Rules of Professional Conduct or Practice Book parties of such decision. If within that period the
Section 2-27, an order to submit to periodic audits respondent files with the Statewide Grievance
and supervision of the attorney’s trust accounts Committee a request for review of the reviewing
to ensure compliance with the provisions of Sec- committee’s decision, the stay shall remain in
tion 2-27 and the related Rules of Professional effect for thirty days from the issuance by the
Conduct. Any alleged misconduct discovered as Statewide Grievance Committee of its final deci-
the result of such audit shall be alleged in a sepa- sion pursuant to Section 2-36. If the respondent
rate grievance complaint filed pursuant to these timely commences an appeal pursuant to subsec-
rules; tion (a) of this section, such stay shall remain
(8) with the respondent’s consent, a require- in full force and effect until the conclusion of all
ment that the respondent undertake treatment, at proceedings, including all appeals, relating to the
his or her own expense, for medical, psychological
decision imposing sanctions or conditions against
or psychiatric conditions or for problems of alcohol
the respondent. If at the conclusion of all proceed-
or substance abuse.
ings, the decision imposing sanctions or condi-
(b) In connection with subsection (a) (6), a party
who refuses to utilize the no cost fee arbitration tions against the respondent is rescinded, the
service provided by the Connecticut Bar Associa- complaint shall be deemed dismissed as of the
tion shall pay the cost of the arbitration. date of the decision imposing sanctions or condi-
(c) Failure of the respondent to comply with any tions against the respondent. An application to
sanction or condition imposed by the Statewide terminate the stay may be made to the court and
Grievance Committee or a reviewing committee shall be granted if the court is of the opinion that
may be grounds for presentment before the Supe- the appeal is taken only for delay or that the due
rior Court. administration of justice requires that the stay
(P.B. 1978-1997, Sec. 27M.1.) (Amended June 28, 1999, be terminated.
to take effect Jan. 1, 2000; amended June 15, 2012, to take (c) Within thirty days after the service of the
effect Jan. 1, 2013.) appeal, or within such further time as may be
Sec. 2-38. Appeal from Decision of State- allowed by the court, the statewide bar counsel
wide Grievance Committee or Reviewing shall transmit to the reviewing court a certified
Committee Imposing Sanctions or Con- copy of the entire record of the proceeding
ditions* appealed from, which shall include the grievance
(Amended June 30, 2008, to take effect Jan. 1, 2009.) panel’s record in the case, as defined in Section
(a) A respondent may appeal to the Superior 2-32 (i), and a copy of the Statewide Grievance
Court a decision by the Statewide Grievance Committee’s record or the reviewing committee’s
Committee or a reviewing committee imposing record in the case, which shall include a transcript
sanctions or conditions against the respondent, of any testimony heard by it or by a reviewing
in accordance with Section 2-37 (a). A respondent committee which is required by rule to be on the
may not appeal a decision by a reviewing com- record, any decision by the reviewing committee
mittee imposing sanctions or conditions against in the case, any requests filed pursuant to Section
the respondent if the respondent has not timely 2-35 (k) of this section, and a copy of the State-
requested a review of the decision by the State- wide Grievance Committee’s decision on the
wide Grievance Committee under Section 2-35 request for review. By stipulation of all parties
(k). Within thirty days from the issuance, pursuant to such appeal proceedings, the record may be
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SUPERIOR COURT—GENERAL PROVISIONS Sec. 2-39
shortened. The court may require or permit subse- fees of all necessary witnesses, and such other
quent corrections or additions to the record. expenses as were reasonably incurred.
(d) The appeal shall be conducted by the court (P.B. 1978-1997, Sec. 27N.) (Amended June 29, 1998, to
without a jury and shall be confined to the record. take effect Sept. 1, 1999; amended June 28, 1999, to take
effect Jan. 1, 2000; amended June 24, 2002, to take effect
If alleged irregularities in procedure before the July 1, 2003; May 14, 2003, effective date changed to Oct. 1,
Statewide Grievance Committee or reviewing 2003; amended June 30, 2003, to take effect Oct. 1, 2003;
committee are not shown in the record, proof lim- Sept. 30, 2003, effective date of two prior amendments
ited thereto may be taken in the court. The court, changed to Jan. 1, 2004; amended June 29, 2007, to take
upon request, shall hear oral argument. effect Jan. 1, 2008; amended June 30, 2008, to take effect
Jan. 1, 2009; amended June 14, 2013, to take effect Jan. 1,
(e) The respondent shall file a brief within thirty 2014; amended June 13, 2014, to take effect Jan. 1, 2015.)
days after the filing of the record by the statewide *APPENDIX NOTE: The Rules Committee of the Superior
bar counsel. The disciplinary counsel shall file his Court enacted, and the judges of the Superior Court subse-
or her brief within thirty days of the filing of the quently adopted, certain changes to the provisions of this
respondent’s brief. Unless permission is given by rule in response to the public health and civil preparedness
the court for good cause shown, briefs shall not emergencies declared on March 10, 2020, and renewed on
exceed thirty-five pages. September 1, 2020, and January 26, 2021. The public health
emergency was renewed on June 28, 2022, and is scheduled
(f) Upon appeal, the court shall not substitute to expire on December 28, 2022, or when the federal public
its judgment for that of the Statewide Grievance health emergency ends. See Appendix of Section 1-9B
Committee or reviewing committee as to the Changes.
weight of the evidence on questions of fact. The
court shall affirm the decision of the committee Sec. 2-39. Reciprocal Discipline*
unless the court finds that substantial rights of the (a) Upon being informed that a lawyer admitted
respondent have been prejudiced because the to the Connecticut bar has resigned, been dis-
committee’s findings, inferences, conclusions, or barred, suspended or otherwise disciplined, or
decisions are: (1) in violation of constitutional pro- placed on inactive disability status in another juris-
visions, rules of practice or statutory provisions; diction, and that said discipline or inactive disabil-
(2) in excess of the authority of the committee; ity status has not been stayed, the disciplinary
(3) made upon unlawful procedure; (4) affected counsel shall obtain a certified copy of the order
by other error of law; (5) clearly erroneous in view and file it with the Superior Court for the judicial
of the reliable, probative, and substantial evidence district wherein the lawyer maintains an office for
on the whole record; or (6) arbitrary or capricious the practice of law in this state, except that, if the
or characterized by abuse of discretion or clearly lawyer has no such office, the disciplinary counsel
unwarranted exercise of discretion. If the court shall file the certified copy of the order from the
finds such prejudice, it shall sustain the appeal other jurisdiction with the Superior Court for the
and, if appropriate, rescind the action of the State- judicial district of Hartford. No entry fee shall be
wide Grievance Committee or take such other required for proceedings hereunder.
action as may be necessary. For purposes of fur- (b) Upon receipt of a certified copy of the order,
ther appeal, the action taken by the Superior Court the court shall forthwith cause to be served upon
hereunder is a final judgment. the lawyer a copy of the order from the other
(g) In all appeals taken under this section, costs jurisdiction and an order directing the lawyer to
may be taxed in favor of the Statewide Grievance file within thirty days of service, with proof of ser-
Committee in the same manner, and to the same vice upon the disciplinary counsel, an answer
extent, that costs are allowed in judgments ren- admitting or denying the action in the other juris-
dered by the Superior Court. No costs shall be diction and setting forth, if any, reasons why com-
taxed against the Statewide Grievance Commit- mensurate action in this state would be
tee, except that the court may, in its discretion, unwarranted. Such certified copy will constitute
award to the respondent reasonable fees and prima facie evidence that the order of the other
expenses if the court determines that the action jurisdiction entered and that the findings con-
of the committee was undertaken without any tained therein are true.
substantial justification. ‘‘Reasonable fees and (c) Upon the expiration of the thirty day period
expenses’’ means any expenses not in excess the court shall assign the matter for a hearing.
of $7500 which the court finds were reasonably After hearing, the court shall take commensurate
incurred in opposing the committee’s action, action unless it is found that the respondent has
including court costs, expenses incurred in admin- established by clear and convincing evidence
istrative proceedings, attorney’s fees, witness that:
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Sec. 2-39 SUPERIOR COURT—GENERAL PROVISIONS
(1) The procedure in the predicate matter was resulting from either a plea of guilty or nolo conten-
so lacking in notice or opportunity to be heard as dere, or from a verdict after trial, and regardless
to constitute a deprivation of due process; or of the pendency of any appeal.
(2) There was such infirmity of proof establish- (c) The clerk of the Superior Court in which an
ing the misconduct in the predicate matter as to attorney is found guilty of any crime shall transmit
give rise to the clear conviction that the court could a certified copy of the finding of guilt, docket sheet,
not, consistent with its duty, accept as final the or other proof of the finding of guilt to the disciplin-
conclusion on that subject; or ary counsel and to the Statewide Grievance Com-
(3) The discipline imposed would result in grave mittee.
injustice; or (d) Notwithstanding any obligation imposed
(4) The misconduct established in the predicate upon the clerk by subsection (c) of this section,
matter warrants substantially different discipline any attorney found guilty of any crime shall send
in this state; or written notice of the finding of guilt to the disciplin-
(5) The reason for the original transfer to inac- ary counsel and the Statewide Grievance Com-
tive disability status no longer exists. mittee, by certified mail, return receipt requested,
(d) Notwithstanding the above, a reciprocal dis- or with electronic delivery confirmation, within ten
days of the date of the finding of guilt. The written
cipline action need not be filed if the conduct giving
notice shall include the name and address of the
rise to discipline in another jurisdiction has already
court where the finding of guilt was made, the
been the subject of a formal review by the court date of the finding of guilt, and the specific section
or Statewide Grievance Committee. of the applicable criminal, penal, or statutory code
(P.B. 1978-1997, Sec. 28A.) (Amended June 29, 1998, to
take effect Sept. 1, 1998; amended August 24, 2001, to take upon which the finding of guilt was predicated. An
effect Jan. 1, 2002; amended June 24, 2002, to take effect attorney’s failure to send timely written notice of
July 1, 2003; May 14, 2003, effective date changed to Oct. 1, his or her finding of guilt required by this section
2003; Sept. 30, 2003, effective date changed to Jan. 1, 2004; shall constitute misconduct.
amended June 11, 2021, to take effect Jan. 1, 2022.) (e) Upon receipt of proof of the finding of guilt,
*APPENDIX NOTE: The Rules Committee of the Superior the disciplinary counsel shall determine whether
Court enacted, and the judges of the Superior Court subse- the crime for which the attorney was found guilty
quently adopted, certain changes to the provisions of this
rule in response to the public health and civil preparedness
is a serious crime, as defined herein. If so, disci-
emergencies declared on March 10, 2020, and renewed on plinary counsel shall, pursuant to Section 2-47,
September 1, 2020, and January 26, 2021. The public health file a presentment against the attorney predicated
emergency was renewed on June 28, 2022, and is scheduled upon the finding of guilt. A certified copy of the
to expire on December 28, 2022, or when the federal public finding of guilt shall be conclusive evidence of
health emergency ends. See Appendix of Section 1-9B the commission of that crime in any disciplinary
Changes. proceeding based upon the finding of guilt. No
Sec. 2-40. Discipline of Attorneys Found entry fee shall be required for proceedings
hereunder.
Guilty of Serious Crimes in Connecticut*
(f) A presentment filed pursuant to this section
(Amended June 13, 2014, to take effect Oct. 1, 2014.)
shall be heard, where practical, by the judge who
(a) The term ‘‘serious crime,’’ as used herein, presided at the proceeding in which the attorney
shall mean any felony, any larceny, any crime was found guilty. A hearing on the presentment
where the attorney was or will be sentenced to a complaint shall address the issue of the nature
term of incarceration, or any other crime that and extent of the final discipline to be imposed
reflects adversely on the lawyer’s honesty, trust- and shall be held within sixty days of the filing of
worthiness, or fitness as a lawyer in other the presentment.
respects, or any crime, a necessary element of (g) Immediately upon receipt of proof of the
which, as determined by the statutory or common- finding of guilt of an attorney of a serious crime,
law definition of the crime, involves interference as defined herein, the disciplinary counsel may
with the administration of justice, false swearing, also apply to the court for an order of interim
misrepresentation, fraud, deceit, bribery, extor- suspension. If the attorney was or will be sen-
tion, misappropriation, theft, wilful failure to file tenced to a term of incarceration, disciplinary
tax returns, violations involving criminal drug counsel shall seek a suspension during the term
offenses, or any attempt, conspiracy or solicitation of incarceration. The court may, in its discretion,
of another to commit a ‘‘serious crime.’’ enter an order immediately placing the attorney
(b) The terms ‘‘found guilty’’ and ‘‘finding of on interim suspension pending final disposition
guilt,’’ as used herein, refer to the disposition of of a presentment filed pursuant to this section.
any charge of a serious crime as herein defined Thereafter, for good cause shown, the court may,
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SUPERIOR COURT—GENERAL PROVISIONS Sec. 2-41
in the interests of justice, set aside or modify the where the attorney was or will be sentenced to a
interim suspension. term of incarceration, or any other crime that
(h) At the presentment hearing, the attorney reflects adversely on the lawyer’s honesty, trust-
shall have the right to counsel, to be heard in his worthiness, or fitness as a lawyer in other
or her own defense and to present evidence and respects, or any crime, a necessary element of
witnesses in his or her behalf. After the hearing, which, as determined by the statutory or common-
the court shall enter an order dismissing the pre- law definition of the crime, involves interference
sentment complaint, or imposing discipline upon with the administration of justice, false swearing,
such attorney in the form of suspension for a misrepresentation, fraud, deceit, bribery, extor-
period of time, disbarment or such other discipline tion, misappropriation, theft, wilful failure to file
as the court deems appropriate. If the finding of tax returns, violations involving criminal drug
guilt was based upon the lawyer’s misappropria- offenses, or any attempt, conspiracy or solicitation
tion of clients’ funds or other property held in trust, of another to commit a ‘‘serious crime.’’
the court shall enter an order disbarring the attor- (b) The terms ‘‘found guilty’’ and ‘‘finding of
ney for a minimum of twelve years pursuant to guilt,’’ as used herein, refer to the disposition of
Sections 2-47A and 2-53 (g). any charge of a serious crime as defined herein
(i) Whenever the court enters an order sus- resulting from either a plea of guilty or nolo conten-
pending or disbarring an attorney pursuant to a dere, or from a verdict after trial, and regardless
presentment filed under this section, the court of the pendency of any sentencing or appeal.
may appoint a trustee, pursuant to Section 2-64, (c) The term ‘‘another jurisdiction,’’ as used
to protect the interests of the attorney’s clients and herein, shall mean any state court, other than the
to secure the attorney’s clients’ funds accounts. Connecticut Superior Court, any federal court, any
(j) If an attorney disciplined solely under the District of Columbia court or any court from a
provisions of this section demonstrates to the commonwealth or possession of the United
court that the underlying finding of guilt was later States.
vacated or reversed, the court shall vacate any (d) Any attorney found guilty of any crime in
disciplinary order entered pursuant to the finding another jurisdiction shall send written notice of the
of guilt, and place the attorney on active status. finding of guilt to the disciplinary counsel and the
The vacating of such disciplinary order shall not Statewide Grievance Committee, by certified mail,
automatically terminate any other disciplinary pro-
return receipt requested, or with electronic deliv-
ceeding then pending against the attorney.
ery confirmation, within ten days of the date of
(k) Immunity from prosecution granted to an
attorney is not a bar to disciplinary proceedings, the finding of guilt. The written notice shall include
unless otherwise ordered by the court. The grant- the name and address of the court where the
ing of a pretrial diversion program to an attorney finding of guilt was made, the date of the finding
charged with a serious crime, as defined herein, of guilt, and the specific section of the applicable
is not a bar to disciplinary proceedings, unless criminal, penal, or statutory code upon which the
otherwise ordered by the court that granted the finding of guilt was predicated. An attorney’s fail-
program to the attorney. ure to send timely written notice of the finding of
(P.B. 1978-1997, Sec. 28B.) (Amended June 24, 2002, to guilt required by this section shall constitute mis-
take effect July 1, 2003; May 14, 2003, effective date changed conduct.
to Oct. 1, 2003; Sept. 30, 2003, effective date changed to Jan. (e) Upon receipt of the written notice of the find-
1, 2004; amended June 26, 2006, to take effect Jan. 1, 2007;
amended June 13, 2014, to take effect Oct. 1, 2014.)
ing of guilt in another jurisdiction, the disciplinary
*APPENDIX NOTE: The Rules Committee of the Superior counsel shall determine whether the crime for
Court enacted, and the judges of the Superior Court subse- which the attorney was found guilty is a ‘‘serious
quently adopted, certain changes to the provisions of this crime,’’ as defined herein. If so, disciplinary coun-
rule in response to the public health and civil preparedness sel shall obtain a certified copy of the finding of
emergencies declared on March 10, 2020, and renewed on
September 1, 2020, and January 26, 2021. The public health guilt, which shall be conclusive evidence of the
emergency was renewed on June 28, 2022, and is scheduled commission of that crime in any disciplinary pro-
to expire on December 28, 2022, or when the federal public ceeding based upon the finding of guilt. Upon
health emergency ends. See Appendix of Section 1-9B receipt of the certified copy of the finding of guilt,
Changes. the disciplinary counsel shall, pursuant to Section
Sec. 2-41. Discipline of Attorneys Found 2-47, file a presentment against the attorney pred-
Guilty of Serious Crimes in Another Juris- icated upon the finding of guilt. No entry fee shall
diction* be required for proceedings hereunder.
(Amended June 13, 2014, to take effect Oct. 1, 2014.) (f) A presentment filed pursuant to this section
(a) The term ‘‘serious crime,’’ as used herein, shall be filed in the judicial district where the attor-
shall mean any felony, any larceny, or any crime ney maintains an office for the practice of law in
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Sec. 2-41 SUPERIOR COURT—GENERAL PROVISIONS
this state. If the attorney has no office for the otherwise ordered by the court that granted the
practice of law in this state, the disciplinary coun- program to the attorney.
sel shall file the presentment in the Superior Court (P.B. 1978-1997, Sec. 28B.1.) (Amended June 29, 1998,
to take effect Sept. 1, 1998; amended June 24, 2002, to take
for the judicial district of Hartford. A hearing on effect July 1, 2003; May 14, 2003, effective date changed to
the presentment complaint shall address the issue Oct. 1, 2003; Sept. 30, 2003, effective date changed to Jan.
of the nature and extent of the final discipline to 1, 2004; amended June 26, 2006, to take effect Jan. 1, 2007;
be imposed, and shall be held within sixty days amended June 14, 2013, to take effect Jan. 1, 2014; amended
of the filing of the presentment. June 13, 2014, to take effect Oct. 1, 2014.)
*APPENDIX NOTE: The Rules Committee of the Superior
(g) The disciplinary counsel may also apply to Court enacted, and the judges of the Superior Court subse-
the court for an order of interim suspension, which quently adopted, certain changes to the provisions of this
application shall contain a certified copy of the rule in response to the public health and civil preparedness
finding of guilt. If the attorney was or will be sen- emergencies declared on March 10, 2020, and renewed on
tenced to a term of incarceration, disciplinary September 1, 2020, and January 26, 2021. The public health
emergency was renewed on June 28, 2022, and is scheduled
counsel shall seek a suspension for the term of to expire on December 28, 2022, or when the federal public
incarceration. The court may, in its discretion, health emergency ends. See Appendix of Section 1-9B
enter an order immediately placing the attorney Changes.
on interim suspension pending final disposition Sec. 2-42. Conduct Constituting Threat of
of the presentment filed pursuant to this section. Harm to Clients
Thereafter, for good cause shown, the court may,
in the interests of justice, set aside or modify the (a) If a grievance panel, a reviewing committee,
the Statewide Grievance Committee or the disci-
interim suspension.
plinary counsel believes that a lawyer poses a
(h) At the presentment hearing, the attorney substantial threat of irreparable harm to his or her
shall have the right to counsel, to be heard in his clients or to prospective clients, the disciplinary
or her own defense, and to present evidence and counsel shall apply to the court for an order of
witnesses in his or her behalf. After the hearing, interim suspension. The disciplinary counsel shall
the court shall enter an order dismissing the pre- provide the lawyer with notice that an application
sentment complaint, or imposing discipline upon for interim suspension has been filed and that a
such attorney in the form of suspension for a hearing will be held on such application.
period of time, disbarment or such other discipline (b) The court, after hearing, pending final dispo-
as the court deems appropriate. If the finding of sition of the disciplinary proceeding, may, if it finds
guilt was based on the lawyer’s misappropriation that the lawyer poses a substantial threat of irrepa-
of clients’ funds or other property held in trust, the rable harm to his or her clients or to prospective
court shall enter an order disbarring the attorney clients, enter an order of interim suspension, or
for a minimum of twelve years pursuant to Sec- may order such other interim action as deemed
tions 2-47A and 2-53 (g). appropriate. Thereafter, upon good cause shown,
(i) Whenever the court enters an order sus- the court may, in the interest of justice, set aside
pending or disbarring an attorney pursuant to a or modify the interim suspension or other order
presentment filed under this section, the court entered pursuant hereto. Whenever the court
may appoint a trustee, pursuant to Section 2-64, enters an interim suspension order pursuant
to protect the interests of the attorney’s clients and hereto, the court may appoint a trustee, pursuant
to secure the attorney’s clients’ funds accounts. to Section 2-64, to protect the clients’ and the
suspended attorney’s interests.
(j) If an attorney disciplined solely under the
(c) No entry fee shall be required for proceed-
provisions of this section demonstrates to the ings hereunder. Any hearings necessitated by the
court that the attorney’s finding of guilt was later proceedings may, in the discretion of the court,
vacated or reversed, the court shall vacate any be held in chambers.
disciplinary order entered pursuant to this section. (P.B. 1978-1997, Sec. 28C.) (Amended June 24, 2002, to
The vacating of such disciplinary order shall not take effect July 1, 2003; May 14, 2003, effective date changed
automatically terminate any other disciplinary pro- to Oct. 1, 2003; Sept. 30, 2003, effective date changed to Jan.
ceeding then pending against the attorney. 1, 2004; amended June 26, 2006, to take effect Jan. 1, 2007;
amended June 11, 2021, to take effect Jan. 1, 2022.)
(k) Immunity from prosecution granted to an
attorney is not a bar to disciplinary proceedings, Sec. 2-43. Notice by Attorney of Alleged Mis-
unless otherwise ordered by the court. The grant- use of Clients’ Funds and Garnishments of
ing of a pretrial diversion program to an attorney Lawyers’ Trust Accounts
charged with a serious crime, as defined herein, (a) When any complaint, counterclaim, cross
is not a bar to disciplinary proceedings, unless complaint, special defense or other pleading in
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a judicial or administrative proceeding alleges a to implement such transaction, where such trans-
lawyer’s misuse of funds handled by the lawyer action, documents, or procedures affect the legal
in his or her capacity as a lawyer or a fiduciary, rights, obligations, liabilities or interests of such
the person signing the pleading shall mail a copy person, and
thereof to the statewide bar counsel. (6) Engaging in any other act which may indi-
(b) In any case where a lawyer’s trust account, cate an occurrence of the authorized practice of
as defined in Section 2-28 (b), is garnisheed, or law in the state of Connecticut as established by
otherwise liened, the party who sought the gar- case law, statute, ruling or other authority.
nishment or lien shall mail a copy of the garnishee ‘‘Documents’’ includes, but is not limited to, con-
process or writ of attachment to the statewide tracts, deeds, easements, mortgages, notes,
bar counsel. releases, satisfactions, leases, options, articles
(P.B. 1978-1997, Sec. 28D.)
of incorporation and other corporate documents,
Sec. 2-44. Power of Superior Court To Disci- articles of organization and other limited liability
pline Attorneys and To Restrain Unautho- company documents, partnership agreements,
rized Practice affidavits, prenuptial agreements, wills, trusts,
The Superior Court may, for just cause, sus- family settlement agreements, powers of attorney,
pend or disbar attorneys and may, for just cause, notes and like or similar instruments; and plead-
punish or restrain any person engaged in the ings and any other papers incident to legal actions
unauthorized practice of law. and special proceedings.
(P.B. 1978-1997, Sec. 29.) The term ‘‘person’’ includes a natural person,
corporation, company, partnership, firm, associa-
Sec. 2-44A. Definition of the Practice of Law tion, organization, society, labor union, business
(a) General Definition: The practice of law is trust, trust, financial institution, governmental unit
ministering to the legal needs of another person and any other group, organization or entity of any
and applying legal principles and judgment to the nature, unless the context otherwise dictates.
circumstances or objectives of that person. This The term ‘‘Connecticut lawyer’’ means a natural
includes, but is not limited to: person who has been duly admitted to practice
(1) Holding oneself out in any manner as an law in this state and whose privilege to do so is
attorney, lawyer, counselor, advisor or in any then current and in good standing as an active
other capacity which directly or indirectly repre- member of the bar of this state.
sents that such person is either (a) qualified or (b) Exceptions. Whether or not it constitutes
capable of performing or (b) is engaged in the the practice of law, the following activities by any
business or activity of performing any act consti- person are permitted:
tuting the practice of law as herein defined. (1) Selling legal document forms previously
(2) Giving advice or counsel to persons con- approved by a Connecticut lawyer in any format.
cerning or with respect to their legal rights or (2) Acting as a lay representative authorized by
responsibilities or with regard to any matter involv- administrative agencies or in administrative hear-
ing the application of legal principles to rights, ings solely before such agency or hearing where:
duties, obligations or liabilities. (A) Such services are confined to representa-
(3) Drafting any legal document or agreement tion before such forum or other conduct reason-
involving or affecting the legal rights of a person. ably ancillary to such representation; and
(4) Representing any person in a court, or in a
(B) Such conduct is authorized by statute, or
formal administrative adjudicative proceeding or
the special court, department or agency has
other formal dispute resolution process or in any
administrative adjudicative proceeding in which adopted a rule expressly permitting and regulating
legal pleadings are filed or a record is established such practice.
as the basis for judicial review. (3) Serving in a neutral capacity as a mediator,
(5) Giving advice or counsel to any person, or arbitrator, conciliator or facilitator.
representing or purporting to represent the inter- (4) Participating in labor negotiations, arbitra-
est of any person, in a transaction in which an tions, or conciliations arising under collective bar-
interest in property is transferred where the advice gaining rights or agreements.
or counsel, or the representation or purported rep- (5) Providing clerical assistance to another to
resentation, involves (a) the preparation, evalua- complete a form provided by a court for the protec-
tion, or interpretation of documents related to such tion from abuse, harassment and violence when
transaction or to implement such transaction or no fee is charged to do so.
(b) the evaluation or interpretation of procedures (6) Acting as a legislative lobbyist.
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Sec. 2-44A SUPERIOR COURT—GENERAL PROVISIONS
(7) Serving in a neutral capacity as a clerk or Sec. 2-45. —Cause Occurring in Presence
a court employee providing information to the of Court
public. If such cause occurs in the actual presence of
(8) Performing activities which are preempted the court, the order may be summary, and without
by federal law. complaint or hearing; but a record shall be made
(9) Performing statutorily authorized services of such order, reciting the ground thereof. Without
as a real estate agent or broker licensed by the limiting the inherent powers of the court, if attorney
state of Connecticut. misconduct occurs in the actual presence of the
(10) Preparing tax returns and performing any court, the Statewide Grievance Committee and
other statutorily authorized services as a certified the grievance panels shall defer to the court if the
public accountant, enrolled IRS agent, public court chooses to exercise its jurisdiction.
(P.B. 1978-1997, Sec. 30.)
accountant, public bookkeeper, or tax preparer.
(11) Performing such other activities as the Sec. 2-46. Suspension of Attorneys Who
courts of Connecticut have determined do not Violate Support Orders
constitute the unlicensed or unauthorized practice (a) Except as otherwise provided in this section,
of law. the procedures of General Statutes §§ 46b-220
(12) Undertaking self-representation, or practic- through 46b-223 shall be followed with regard to
ing law authorized by a limited license to practice. the suspension from the practice of law of attor-
(c) Remote Practice: To the extent that a lawyer neys who are found to be delinquent child sup-
is physically present in this jurisdiction and port obligors.
remotely engages in the practice of law as author- (b) A judge, upon finding that an attorney admit-
ized under the laws of another United States juris- ted to the bar in this state is a delinquent child
diction in which the lawyer is admitted, such support obligor as defined in General Statutes
conduct does not constitute the practice of law in § 46b-220 (a), may, pursuant to General Statutes
this jurisdiction. § 46b-220 (b), issue a suspension order concern-
(d) Nonlawyer Assistance: Nothing in this rule ing that attorney.
shall affect the ability of nonlawyer assistants to (c) If the attorney obligor fails to comply with
act under the supervision of a lawyer in compli- the conditions of the suspension order within thirty
ance with Rule 5.3 of the Rules of Professional days of its issuance, the Department of Social
Services, a support enforcement officer, the attor-
Conduct.
ney for the obligee or the obligee, as provided in
(e) General Information: Nothing in this rule the suspension order, shall file with the clerk of
shall affect the ability of a person or entity to pro- the Superior Court which issued the suspension
vide information of a general nature about the law order an affidavit stating that the conditions of the
and legal procedures to members of the public. suspension order have not been met, and shall
(f) Governmental Agencies: Nothing in this rule serve the attorney obligor with a copy of such
shall affect the ability of a governmental agency affidavit in accordance with Sections 10-12
to carry out its responsibilities as provided by law. through 10-17. The affidavit shall be filed within
(g) Professional Standards: Nothing in this rule forty-five days of the expiration of the thirty day
shall be taken to define or affect standards for period.
civil liability or professional responsibility. (d) Upon receipt of the affidavit, the clerk shall
(h) Unauthorized Practice: If a person who is forthwith bring the suspension order and the affi-
not authorized to practice law is engaged in the davit to a judge of the Superior Court for review.
practice of law, that person shall be subject to the If the judge determines that pursuant to the provi-
civil and criminal penalties of this jurisdiction. sions of General Statutes § 46b-220 the attorney
(Adopted June 29, 2007, to take effect Jan. 1, 2008; obligor should be suspended, the judge shall sus-
amended June 10, 2022, to take effect Jan. 1, 2023.) pend the attorney obligor from the practice of law,
HISTORY—2023: What is now subsection (c) was added, effective immediately.
and what had been subsections (c) through (g) were redesig- (e) A suspended attorney who has complied
nated as subsections (d) through (h), respectively. with the conditions of the suspension order con-
COMMENTARY—2023: The changes to this section and cerning reinstatement, shall file a motion with the
to Rule 5.5 of the Rules of Professional Conduct address the
issue of remote practice and provide that to the extent that
court to vacate the suspension. Upon proof of
a lawyer is physically present in Connecticut and remotely such compliance, the court shall vacate the order
engaged in the practice of law under the law of another recog- of suspension and reinstate the attorney. The pro-
nized jurisdiction in which the lawyer is admitted, such conduct visions of Section 2-53 shall not apply to suspen-
does not constitute the practice of law in Connecticut. sions under this section.
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SUPERIOR COURT—GENERAL PROVISIONS Sec. 2-47
(f) The clerk shall notify the statewide bar coun- (d) (1) If a determination is made by the State-
sel of any suspensions and reinstatements wide Grievance Committee or a reviewing com-
ordered pursuant to this section. mittee that a respondent is guilty of misconduct
(P.B. 1978-1997, Sec. 30A.) and such misconduct does not otherwise warrant
a presentment to the Superior Court, but the
Sec. 2-47. Presentments and Unauthorized respondent has been disciplined pursuant to
Practice of Law Petitions* these rules by the Statewide Grievance Commit-
(a) Presentment of attorneys for misconduct, tee, a reviewing committee or the court at least
whether or not the misconduct occurred in the three times pursuant to complaints filed within the
actual presence of the court, shall be made by five year period preceding the date of the filing of
written complaint of the disciplinary counsel. Ser- the grievance complaint that gave rise to such
vice of the complaint shall be made as in civil finding of misconduct in the instant case, the
actions. Any interim proceedings to the contrary Statewide Grievance Committee or the reviewing
notwithstanding, a hearing on the merits of the committee shall direct the disciplinary counsel to
complaint shall be held within sixty days of the file a presentment against the respondent in the
date the complaint was filed with the court. At Superior Court. Service of the matter shall be
such hearing, the respondent shall have the right made as in civil actions. The Statewide Grievance
to be heard in his or her own defense and by Committee or the reviewing committee shall file
witnesses and counsel. After such hearing the with the court the record in the matter and a copy
court shall render a judgment dismissing the com- of the prior discipline issued against the respon-
plaint or imposing discipline as follows: reprimand, dent within such five year period. The sole issue to
suspension for a period of time, disbarment or be determined by the court upon the presentment
such other discipline as the court deems appro- shall be the appropriate action to take as a result
priate. This may include conditions to be fulfilled of the nature of the misconduct in the instant case
by the attorney before he or she may apply for and the cumulative discipline issued concerning
readmission or reinstatement. Unless otherwise the respondent within such five year period. Such
ordered by the court, such complaints shall be action shall be in the form of a judgment dismiss-
prosecuted by the disciplinary counsel or an attor- ing the complaint or imposing discipline as follows:
ney appointed pursuant to Section 2-48. reprimand, suspension for a period of time, disbar-
(b) The sole issue to be determined in a disci- ment or such other discipline as the court deems
plinary proceeding predicated upon conviction of appropriate. This may include conditions to be
a felony, any larceny or crime for which the lawyer fulfilled by the respondent before he or she may
is sentenced to a term of incarceration or for which apply for readmission or reinstatement. This sub-
a suspended period of incarceration is imposed section shall apply to all findings of misconduct
shall be the extent of the final discipline to be issued from the day of enactment forward and the
imposed. determination of presentment shall consider all
discipline pursuant to complaints filed within the
(c) A petition to restrain any person from engag- five year period preceding the date of the filing of
ing in the unauthorized practice of law not occurr- the grievance complaint that gave rise to the find-
ing in the actual presence of the court may be ing of misconduct even if they predate the effec-
made by written complaint to the Superior Court tive date of these rules.
in the judicial district where such violation occurs. (2) If the respondent has appealed the issuance
When offenses have been committed by the same of a finding of misconduct made by the Statewide
person in more than one judicial district, present- Grievance Committee or the reviewing commit-
ment for all offenses may be made in any one tee, the court shall first adjudicate and decide
of such judicial districts. Such complaint may be that appeal in accordance with the procedures set
prosecuted by the state’s attorney, by the disci- forth in subsections (d) through (f) of Section 2-
plinary counsel, or by any member of the bar by 38. In the event the court denies the respondent’s
direction of the court. Upon the filing of such com- appeal of the finding of misconduct, the court shall
plaint, a rule to show cause shall issue to the then adjudicate the presentment brought under
defendant, who may make any proper answer this section. In no event shall the court review the
within twenty days from the return of the rule and merits of the matters for which the prior repri-
who shall have the right to be heard as soon as mands were issued against the respondent.
practicable, and upon such hearing the court shall (e) No entry fee shall be required for the filing
make such lawful orders as it may deem just. of any complaint pursuant to this section.
Such complaints shall be proceeded with as (P.B. 1978-1997, Sec. 31.) (Amended June 24, 2002, to
civil actions. take effect July 1, 2003; May 14, 2003, effective date changed
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Sec. 2-47 SUPERIOR COURT—GENERAL PROVISIONS
to Oct. 1, 2003; Sept. 30, 2003, effective date changed to Jan. (E) using the titles ‘‘attorney’’ or ‘‘lawyer,’’ or
1, 2004; amended June 21, 2004, to take effect Jan. 1, 2005; the designations ‘‘Esq.,’’ or ‘‘J.D.’’ to describe one-
amended June 20, 2005, to take effect Jan. 1, 2006; amended
June 26, 2006, to take effect Jan. 1, 2007.)
self; or
*APPENDIX NOTE: The Rules Committee of the Superior (F) communicating with clients and third parties
Court enacted, and the judges of the Superior Court subse- regarding matters that are the subject of represen-
quently adopted, certain changes to the provisions of this tation by the supervising attorney or his or her firm.
rule in response to the public health and civil preparedness (4) ‘‘Employ’’ means to engage the services of
emergencies declared on March 10, 2020, and renewed on another, including employees, agents, indepen-
September 1, 2020, and January 26, 2021. The public health
dent contractors and consultants, regardless of
emergency was renewed on June 28, 2022, and is scheduled
to expire on December 28, 2022, or when the federal public whether any compensation is paid.
health emergency ends. See Appendix of Section 1-9B (b) (1) No deactivated attorney shall be permit-
Changes. ted to engage in any law-related activities or to
be employed as a paralegal or legal assistant
Sec. 2-47A. Disbarment of Attorney for Mis- unless expressly permitted by the court as pro-
appropriation of Funds vided in this section.
In any disciplinary proceeding where there has (2) The court may expressly permit, by written
been a finding by a judge of the Superior Court order, a deactivated attorney to perform any of
that a lawyer has knowingly misappropriated a the following activities, under the supervision of
client’s funds or other property held in trust, the a supervising attorney, as provided herein:
discipline for such conduct shall be disbarment (A) performing legal work of a preparatory
for a minimum of twelve years. nature, such as conducting legal research,
(Adopted June 26, 2006, to take effect Jan. 1, 2007; assembling data and other necessary information,
amended June 13, 2014, to take effect Jan. 1, 2015.) and drafting transactional documents, pleadings,
Sec. 2-47B. Restrictions on the Activities of briefs, and other similar documents; and
Deactivated Attorneys (B) providing clerical assistance to the supervis-
ing attorney.
(a) As used in this section: (c) No attorney who knows or should have
(1) A ‘‘deactivated attorney’’ is an attorney who known that an attorney’s license has been deacti-
is currently disbarred, suspended, resigned, or on vated, shall employ the deactivated attorney to
inactive status. engage in any law-related activities or to act as
(2) A ‘‘supervising attorney’’ is an attorney: a paralegal or legal assistant, without the permis-
(A) who has been approved by the court as a sion of the court, as provided in this section.
supervising attorney for a deactivated attorney in (d) A deactivated attorney shall not engage in
accordance with subsection (e) of this section; law-related activities or be employed as a parale-
(B) who is in good standing with the bar of gal or legal assistant on behalf of any client pre-
this state; viously represented by the deactivated attorney or
(C) who was not affiliated with the deactivated for whom the deactivated attorney had previously
attorney as an employer, employee, partner, inde- provided any legal services in the ten year period
pendent contractor or in any other employment prior to deactivation. During the period of employ-
relationship at the time of the deactivation; and ment of the deactivated attorney, the supervising
(D) who did not serve as an attorney pursuant attorney or his or her firm shall not assume repre-
to Section 2-64 in connection with the disbarment, sentation of any matter on behalf of any client pre-
suspension, resignation or placement on inactive viously represented by the deactivated attorney or
status of the deactivated attorney. for whom the deactivated attorney had previously
(3) A ‘‘law-related activity’’ is: provided any legal services in the ten year period
(A) engaging in the practice of law as defined prior to deactivation.
by Section 2-44A; (e) (1) An attorney desiring to become a super-
(B) representing a client in any legal matter, vising attorney shall file a written application on
including discovery matters; a form approved by the Office of the Chief Court
(C) negotiating or transacting any matter for, or Administrator.
on behalf of, a client with third parties, or having (2) The application shall be filed with the court
any contact with third parties regarding such in the docket number of the matter in which the
negotiation or transaction; deactivated attorney was suspended, disbarred,
(D) receiving, disbursing or exercising any con- placed on inactive status or resigned. A copy of
trol over clients’ funds or other property held in the application shall be served by the applicant
trust and related accounts; on the Office of the Chief Disciplinary Counsel.
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SUPERIOR COURT—GENERAL PROVISIONS Sec. 2-50
(3) An application filed under this section shall shall nevertheless determine if further proceed-
be assigned to the same judge who presided over ings are necessary. If it is found that further pro-
the matter in which the deactivated attorney ceedings are deemed unnecessary, such deci-
resigned or was disbarred, suspended, or placed sion shall be reviewed by the Statewide Grievance
on inactive status. If that judge is no longer avail- Committee in accordance with the provisions of
able, the administrative judge in the judicial district this chapter.
where the deactivation proceeding was held shall (P.B. 1978-1997, Sec. 31B.)
assign the matter to another judge.
(f) The court shall schedule the application for Sec. 2-50. Records of Statewide Grievance
a hearing to determine the following: Committee, Reviewing Committee and
Grievance Panel
(1) whether the deactivated attorney should be
permitted to perform the activities permitted (Amended June 26, 2006, to take effect Jan. 1, 2007.)
herein; (a) The Statewide Grievance Committee shall
(2) whether the attorney will be appointed to maintain the record of each grievance proceeding.
serve as the supervising attorney for the deacti- The record in a grievance proceeding shall consist
vated attorney; and of the following:
(3) whether any additional monitoring, condi- (1) The grievance panel’s record as set forth in
tions, or restrictions are necessary. Section 2-32 (i);
(g) If the relationship between the supervising (2) The reviewing committee’s record as set
attorney and the deactivated attorney terminates, forth in Section 2-35 (e);
the supervising attorney shall send written notice (3) The Statewide Grievance Committee’s rec-
to the court within fifteen days of the termination ord;
of the relationship. A copy of the written notice (4) Any probable cause determinations issued
shall be served on the Office of the Chief Disciplin- by the Statewide Grievance Committee or a
ary Counsel. reviewing committee;
(h) Violation of this section by the deactivated (5) Transcripts of hearings held before the
attorney or the supervising attorney shall consti- Statewide Grievance Committee or a reviewing
tute a violation of Rule 8.4 (4) of the Rules of committee;
Professional Conduct. (6) The reviewing committee’s proposed deci-
(i) In any application for reinstatement, the sion;
supervising attorney and a deactivated attorney (7) Any statement submitted to the Statewide
under the supervision of a supervising attorney Grievance Committee concerning a proposed
pursuant to this section shall certify that he or she decision;
has complied with the requirements of this section (8) The Statewide Grievance Committee’s
during the period of suspension, disbarment, res- final decision;
ignation, or inactive status. (9) The reviewing committee’s final decision;
(Adopted June 12, 2015, to take effect Jan. 1, 2016.) (10) Any request for review submitted to the
Statewide Grievance Committee concerning a
Sec. 2-48. Designee To Prosecute Pre- reviewing committee’s decision; and
sentments
(11) The Statewide Grievance Committee’s
The executive committee of the Superior Court decision on the request for review.
may choose one or more members of the bar of (b) The following records of the Statewide
this state to prosecute presentments. The chief Grievance Committee shall not be public:
court administrator may also contract with mem- (1) All records pertaining to grievance com-
bers of the bar of this state to prosecute present- plaints that have been decided by a local griev-
ments, actions for reciprocal discipline, actions for ance committee prior to July 1, 1986.
interim suspension and disciplinary proceedings (2) All records of pending grievance complaints
predicated on the conviction of an attorney of a in which probable cause has not yet been deter-
felony or other crime set out in Section 2-40. mined.
(P.B. 1978-1997, Sec. 31A.) (Amended June 24, 2002, to
take effect July 1, 2003; May 14, 2003, effective date changed (3) All records pertaining to grievance com-
to Oct. 1, 2003; Sept. 30, 2003, effective date changed to Jan. plaints that have been filed on or after July 1,
1, 2004.) 1986, and that have been dismissed by a griev-
ance panel, by the Statewide Grievance Commit-
Sec. 2-49. Restitution tee or by a reviewing committee without a finding
Whenever restitution has been made the panel of probable cause that the attorney is guilty of mis-
or committee investigating the attorney’s conduct conduct.
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Sec. 2-50 SUPERIOR COURT—GENERAL PROVISIONS
(4) All records of complaints dismissed pursu- his or her resignation from the bar with or without
ant to Section 2-32 (a) (2) and (c). the waiver of right to apply for readmission to
(c) All records enumerated in subsection (a) the bar at any time in the future if the attorney’s
pertaining to grievance complaints that have been conduct is the subject of an investigation or pro-
filed on or after July 1, 1986, in which probable ceeding by a grievance panel, a reviewing com-
cause has been found that the attorney is guilty mittee, the Statewide Grievance Committee, the
of misconduct shall be public, whether or not the disciplinary counsel or the court.
complaint is subsequently dismissed. (b) Concurrently with the written resignation,
(d) Unless otherwise ordered by the court, all the attorney shall submit an affidavit stating the
records that are not public shall be available only following:
to the Statewide Grievance Committee and its (1) that he or she desires to resign and that the
counsel, the reviewing committees, the grievance resignation is knowingly and voluntarily submit-
panels and their counsel, the bar examining com- ted, the attorney is not being subjected to coercion
mittee, the standing committee on recommenda- or duress, and is fully aware of the consequences
tions for admission to the bar, disciplinary counsel, of submitting the resignation;
the client security fund committee and its counsel, (2) the attorney is aware that there is currently
a judge of the Superior Court, a judge of the United pending an investigation or proceeding concern-
States District Court for the District of Connecticut, ing allegations that he or she has been guilty of
any grievance committee or other disciplinary misconduct, the nature of which shall be specifi-
authority of the United States District Court for the cally set forth in the affidavit;
District of Connecticut or, with the consent of the (3) either (A) that the material facts of the alle-
respondent, to any other person. Such records gations of misconduct are true, or (B) if the attor-
may be used or considered in any subsequent ney denies some or all of the material facts of
disciplinary or client security fund proceeding per- the allegations of misconduct, that the attorney
taining to the respondent. acknowledges that there is sufficient evidence to
(e) Any respondent who was the subject of a prove such material facts of the allegations of
complaint in which the respondent was misidenti- misconduct by clear and convincing evidence;
fied and the complaint was dismissed shall be (4) the attorney waives the right to a hearing
deemed to have never been subject to disciplinary on the merits of the allegations of misconduct, as
proceedings with respect to that complaint and provided by these rules, and acknowledges that
may so swear under oath. Records of such griev- the court will enter a finding that he or she has
ance complaints shall not be public. engaged in the misconduct specified in the affida-
(f) For purposes of this section, all grievance vit concurrently with the acceptance of the resig-
complaints that were pending before a grievance nation.
panel on July 1, 1986, shall be deemed to have
(c) If the written resignation is accompanied by
been filed on that date.
(P.B. 1978-1997, Sec. 32.) (Amended June 24, 2002, to a waiver of the right to apply for readmission to
take effect July 1, 2003; May 14, 2003, effective date changed the bar, the affidavit required in (b) shall also state
to Oct. 1, 2003; Sept. 30, 2003, effective date changed to Jan. that the attorney desires to resign and waive his
1, 2004; amended June 26, 2006, to take effect Jan. 1, 2007; or her right to apply for readmission to the bar at
amended June 29, 2007, to take effect Jan. 1, 2008; amended any time in the future.
June 30, 2008, to take effect Jan. 1, 2009.)
(d) Any resignation submitted in accordance
Sec. 2-51. Costs and Expenses with this section shall be in writing, signed by the
Costs may be taxed against the respondent in attorney, and filed in sextuplicate with the clerk
favor of the state, if the respondent be found guilty of the Superior Court in the judicial district in which
of the offense charged in whole or in part, at the the attorney resides, or if the attorney is not a
discretion of the court. The court may also, upon resident of this state, with the clerk of the Superior
any such complaint by the state’s attorney or by Court in Hartford. The clerk shall forthwith send
the Statewide Grievance Committee, as the case one copy to the grievance panel, one copy to the
may be, audit and allow (whatever may be the statewide bar counsel, one copy to disciplinary
result of the proceeding) reasonable expenses to counsel, one copy to the state’s attorney, one
be taxed as part of the expenses of the court. copy to the standing committee on recommenda-
(P.B. 1978-1997, Sec. 34.) tions for admission to the bar, and one copy to
Sec. 2-52. Resignation and Waiver of Attor- all complainants whose grievance complaints filed
ney Facing Disciplinary Investigation against the attorney in Connecticut resulted in the
(Amended June 15, 2012, to take effect Jan. 1, 2013.) submission. Such resignation shall not become
(a) The Superior Court may, under the proce- effective until accepted by the court after a hear-
dure provided herein, permit an attorney to submit ing, at which the court has accepted a report by
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the Statewide Grievance Committee, made a find- that full restitution has been made of all sums
ing of misconduct based upon the respondent’s found to be knowingly misappropriated, including,
affidavit, and made a finding that the resigna- but not limited to, restitution to the client security
tion is knowingly and voluntarily made. With the fund for all claims paid resulting from the attor-
exception of the statewide bar counsel and disci- ney’s dishonest misconduct.
plinary counsel, no person or entity who, pursuant (d) Unless otherwise ordered by the court, an
to this subsection, receives a copy of a resignation application for reinstatement shall not be filed
shall have the right to participate in the hearing until:
required by this subsection. (1) The applicant is in compliance with Sections
(e) Acceptance by the court of an attorney’s 2-27 (d), 2-70 and 2-80;
resignation from the bar without the waiver of the (2) The applicant is no longer the subject of any
right to apply for readmission to the bar at any pending disciplinary proceedings or investi-
time in the future shall not be a bar to any other gations;
disciplinary proceedings based on conduct (3) The applicant has passed the Multistate Pro-
occurring before or after the acceptance of the fessional Responsibility Examination (MPRE) not
attorney’s resignation. more than six months prior to the filing of the appli-
(P.B. 1978-1997, Sec. 35.) (Amended June 24, 2002, to cation;
take effect July 1, 2003; May 14, 2003, effective date changed (4) The applicant has successfully completed
to Oct. 1, 2003; Sept. 30, 2003, effective date changed to Jan.
1, 2004; amended June 20, 2005, to take effect Jan. 1, 2006;
any criminal sentence including, but not limited
amended June 29, 2007, to take effect Jan. 1, 2008; amended to, a sentence of incarceration, probation, parole,
June 15, 2012, to take effect Jan. 1, 2013; amended June 15, supervised release, or period of sex offender reg-
2018, to take effect Jan. 1, 2019.) istration and has fully complied with any orders
regarding conditions, restitution, criminal penal-
Sec. 2-53. Reinstatement after Suspension, ties or fines;
Disbarment or Resignation* (5) The applicant has fully complied with all
(a) An attorney who has been suspended from conditions imposed pursuant to the order of disci-
the practice of law in this state for a period of one pline. If an applicant asserts that a certain disci-
year or more or has remained under suspension plinary condition is impossible to fulfill, he or she
pursuant to an order of interim suspension for a must apply to the court that ordered the condition
period of one year or more shall be required to for relief from that condition prior to filing an appli-
apply for reinstatement in accordance with this cation for reinstatement;
section, unless the court that imposed the disci- (6) The bar examining committee has received
pline expressly provided in its order that such an application fee. The fee shall be established
application is not required. An attorney who has by the chief court administrator and shall be
been suspended for less than one year need not expended in the manner provided by Section 2-
file an application for reinstatement pursuant to 22 of these rules.
this section, unless otherwise ordered by the court (e) An application for reinstatement shall be
at the time the discipline was imposed. filed with the clerk of the Superior Court in the
(b) An attorney who was disbarred or resigned jurisdiction that issued the discipline. The applica-
shall be required to apply for reinstatement pursu- tion shall be filed under oath and on a form
ant to this section, but shall not be eligible to do approved by the Office of the Chief Court Adminis-
so until after five years from the effective date trator. The application shall be accompanied by
of disbarment or acceptance by the court of the proof of payment of the application fee to the bar
resignation, unless the court that imposed the dis- examining committee.
cipline expressly provided a shorter period of dis- (f) The application shall be referred by the clerk
barment or resignation in its order. No attorney of the Superior Court where it is filed to the chief
who has resigned from the bar and waived the justice or designee, who shall refer the matter to
privilege of applying for readmission or reinstate- a standing committee on recommendations for
ment to the bar at any future time shall be eligible admission to the bar whose members do not main-
to apply for readmission or reinstatement to the tain their primary office in the same judicial district
bar under this rule. as the applicant.
(c) In no event shall an application for reinstate- (g) The clerk of the Superior Court shall give
ment by an attorney disbarred pursuant to the notice of the pendency of the application to the
provisions of Section 2-47A be considered until state’s attorney of that court’s judicial district, the
after twelve years from the effective date of the grievance counsel to the grievance panel whose
disbarment. No such application may be granted jurisdiction includes that judicial district court loca-
unless the attorney provides satisfactory evidence tion, the Statewide Grievance Committee, the
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Sec. 2-53 SUPERIOR COURT—GENERAL PROVISIONS
Office of the Chief Disciplinary Counsel, the client the Statewide Grievance Committee and Office
security fund committee, the attorney or attorneys of the Chief Disciplinary Counsel, a copy of the
appointed by the court pursuant to Section 2-64, record of the applicant’s disciplinary history, a
and to all complainants whose complaints against transcript of its hearings thereon, any exhibits
the attorney resulted in the discipline for which the received by the standing committee, any other
attorney was disbarred or suspended or resigned. documents considered by the standing committee
The clerk shall also promptly publish notice on in making its recommendations, and copies of all
the Judicial Branch website, in the Connecticut notices provided by the standing committee in
Law Journal, and in a newspaper with substantial accordance with this section. Record materials
distribution in the judicial district where the appli- containing personal identifying information or
cation was filed. medical information may, in the discretion of the
(h) Within sixty days of the referral from the chief standing committee, be redacted, or open for
justice to a standing committee, the Statewide inspection only to the applicant and other persons
Grievance Committee and the Office of the Chief having a proper interest therein and upon order of
Disciplinary Counsel shall file a report with the the court. The standing committee shall complete
standing committee, which report may include work on the application within 180 days of referral
additional relevant information, commentary in the from the chief justice. It is the applicant’s burden
information provided in the application and recom- to demonstrate by clear and convincing evidence
mendations on whether the applicant should be that he or she possesses good moral character
reinstated. Both the Statewide Grievance Com- and fitness to practice law as defined by Section
mittee and the Office of the Chief Disciplinary 2-5A.
Counsel may file an appearance and participate (k) Upon completion of its investigation, the
in any investigation into the application and at any standing committee shall file its recommendation
hearing before the standing committee, and at in writing together with a copy of the record with
any court proceeding thereon. All filings by the the clerk of the Superior Court. The report shall
Statewide Grievance Committee and the Office recommend that the application be granted,
of the Chief Disciplinary Counsel and any other granted with conditions, or denied. The standing
party shall be served and certified to all other committee’s report shall be served and certified
parties pursuant to Section 10-12. to all other parties pursuant to Section 10-12.
(i) The standing committee shall investigate the (l) The court shall thereupon inform the chief
application, hold hearings pertaining thereto and justice of the pending application and recommen-
render a report with its recommendations to the dation, and the chief justice shall designate two
court. The standing committee shall give written other judges of the Superior Court to sit with the
notice of all hearings to the applicant, the state’s judge presiding at the session. The applicant, the
attorney of the court’s judicial district, the griev- Statewide Grievance Committee, the Office of the
ance counsel to the grievance panel whose juris- Chief Disciplinary Counsel and the standing com-
diction includes that judicial district ___location where mittee shall have an opportunity to appear and
the application was filed, the Statewide Grievance be heard at any hearing. The three judge panel,
Committee, the Office of the Chief Disciplinary or a majority of them, shall determine whether the
Counsel, the client security fund committee, the application should be granted.
attorney or attorneys appointed by the court pur- (m) If the application for reinstatement is
suant to Section 2-64, and to all complainants denied, the reasons therefor shall be stated on
whose complaints against the attorney resulted the record or put in writing. Unless otherwise
in the discipline for which the attorney was dis- ordered by the court, the attorney may not reapply
barred or suspended or resigned. The standing for reinstatement for a period of at least one year
committee shall also publish all hearing notices following the denial.
on the Judicial Branch website, in the Connecticut (P.B. 1978-1997, Sec. 36.) (Amended Nov. 17, 1999, on
an interim basis, to take effect Jan. 1, 2000, and amendment
Law Journal and in a newspaper with substantial adopted June 26, 2000, to take effect Jan. 1, 2001; amended
distribution in the county where the application June 24, 2002, to take effect July 1, 2003; May 14, 2003,
was filed. effective date changed to Oct. 1, 2003; Sept. 30, 2003, effec-
(j) The standing committee shall take all testi- tive date changed to Jan. 1, 2004; amended June 26, 2006,
mony at its hearings under oath and shall include to take effect Jan. 1, 2007; amended June 21, 2010, to take
in its report subordinate findings of facts and con- effect Jan. 1, 2011; amended June 15, 2012, to take effect
Jan. 1, 2013; amended June 14, 2013, to take effect Jan. 1,
clusions as well as its recommendation. The 2014; amended June 11, 2021, to take effect Jan. 1, 2022.)
standing committee shall have a record made of *APPENDIX NOTE: The Rules Committee of the Superior
its proceedings which shall include a copy of the Court enacted, and the judges of the Superior Court subse-
application for reinstatement, any reports filed by quently adopted, certain changes to the provisions of this
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SUPERIOR COURT—GENERAL PROVISIONS Sec. 2-55A
rule in response to the public health and civil preparedness (c) An attorney who has retired pursuant to this
emergencies declared on March 10, 2020, and renewed on section and thereafter wishes to revoke the retire-
September 1, 2020, and January 26, 2021. The public health
emergency was renewed on June 28, 2022, and is scheduled
ment and be eligible to practice law again in the
to expire on December 28, 2022, or when the federal public state of Connecticut may do so at any time by
health emergency ends. See Appendix of Section 1-9B sending written notice to the clerk for the judicial
Changes. district of Hartford and the statewide bar counsel.
(d) Retirement pursuant to this section shall not
Sec. 2-54. Publication of Notice of Repri-
mand, Suspension, Disbarment, Resigna- be a bar to the initiation, investigation and pursuit
tion, Placement on Inactive Status or of disciplinary complaints filed on or subsequent
Reinstatement to the date of retirement.
(e) An attorney who has retired pursuant to this
(a) Notice of the final action transferring an section may engage in uncompensated services
attorney to inactive status or reprimanding, sus- to clients under the supervision of an organized
pending, or disbarring an attorney from practice legal aid society, a state or local bar association
in this state shall be published once in the Con-
project, or a court-affiliated pro bono program.
necticut Law Journal by the authority accepting (P.B. 1978-1997, Sec. 37.) (Amended Nov. 17, 1999, on
or approving such action. Notice of a reprimand an interim basis pursuant to Section 1-9 (c), to take effect Jan.
by the Statewide Grievance Committee or by a 1, 2000, and amendment adopted June 26, 2000, to take effect
reviewing committee shall not be published until Jan. 1, 2001; amended June 14, 2013, to take effect Jan.
the expiration of any stay pursuant to Sections 2- 1, 2014.)
35 (e) and 2-38.
(b) Notice of the resignation or reinstatement Sec. 2-55A. Retirement of Attorney—Per-
after suspension, disbarment, resignation or manent
placement on inactive status of an attorney shall (a) An attorney who is admitted to the bar in
be published once in the Connecticut Law Journal the state of Connecticut and is not the subject of
by the authority accepting or approving such any pending disciplinary investigation may submit
action. a written request on a form approved by the Office
(P.B. 1978-1997, Sec. 36A.) (Amended June 28, 1999, to of the Chief Court Administrator to the statewide
take effect Jan. 1, 2000.) bar counsel for permanent retirement under this
Sec. 2-55. Retirement of Attorney—Right section. Upon receipt of the request, the statewide
of Revocation bar counsel shall review it and, if it is found that
(Amended June 14, 2013, to take effect Jan. 1, 2014.) the attorney is eligible for retirement under this
(a) An attorney who is admitted to the bar in section, shall grant the request and notify the
the state of Connecticut and is not the subject of attorney and the clerk for the judicial district of
any pending disciplinary investigation may submit Hartford. Retirement shall not constitute removal
a written request on a form approved by the Office from the bar or the roll of attorneys, but it shall
of the Chief Court Administrator to the statewide be noted on the roll of attorneys kept by the clerk
bar counsel for retirement under this section. for the judicial district of Hartford. If granted, the
Upon receipt of the request, the statewide bar attorney shall no longer be eligible to practice law
counsel shall review it and, if it is found that the as an attorney admitted in the state of Con-
attorney is eligible for retirement under this sec- necticut.
tion, shall grant the request and notify the attorney (b) An attorney who has retired pursuant to this
and the clerk for the judicial district of Hart- section shall thereafter be exempt from the regis-
ford. Retirement shall not constitute removal from tration requirements set forth in Sections 2-26 and
the bar or the roll of attorneys, but it shall be noted 2-27 (d) and from payment of the client security
on the roll of attorneys kept by the clerk for fund fee set forth in Section 2-70 (a).
the judicial district of Hartford. If the request is (c) An attorney who has retired pursuant to this
granted, the attorney shall no longer be eligible section and thereafter wishes to be eligible to
to practice law as an attorney admitted in the state practice law again in the state of Connecticut must
of Connecticut, except as provided in subsection apply for admission to the bar pursuant to Section
(e) of this section. 2-8, 2-13 or 2-13A.
(b) An attorney who has retired pursuant to this (d) Retirement pursuant to this section shall not
section shall thereafter be exempt from payment be a bar to the initiation, investigation and pursuit
of the client security fund fee set forth in Section of disciplinary complaints filed on or subsequent
2-70 (a), but must continue to comply with the to the date of retirement.
registration requirements set forth in Sections 2- (Adopted June 14, 2013, to take effect Jan. 1, 2014;
26 and 2-27 (d). amended June 10, 2022, to take effect Jan. 1, 2023.)
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Sec. 2-55A SUPERIOR COURT—GENERAL PROVISIONS
HISTORY—2023: In subsection (c), ‘‘or’’ after ‘‘2-8’’ was or illness or because of drug dependency or addic-
deleted and a comma was added, and ‘‘or 2-13A’’ was added tion to alcohol, such panel, committee or counsel,
after ‘‘2-13.’’ shall petition the court to determine whether the
COMMENTARY—2023: The changes to this section attorney is so incapacitated and the court may
acknowledge that a retired attorney who is a military spouse
may apply for temporary licensing under Section 2-13A.
take or direct such action as it deems necessary
or proper for such determination, including exami-
Sec. 2-56. Inactive Status of Attorney nation of the attorney by such qualified medical
expert or experts as the court shall designate, at
During the time an order placing an attorney on the expense of the Judicial Branch. If, upon due
inactive status is in effect, such attorney shall be consideration of the matter, the court is satisfied
precluded from practicing law. No entry fee shall and concludes that the attorney is incapacitated
be required for proceedings pursuant to this sec- from continuing to practice law, it shall enter an
tion and Sections 2-57 through 2-62. Any hearings order placing the attorney in an inactive status on
necessitated by the proceedings may, in the dis- the ground of such disability for an indefinite
cretion of the court, be held in chambers, and period and until the further order of the court, and
records and papers filed in connection therewith any pending disciplinary proceedings against the
shall be open for inspection only to persons having attorney shall be held in abeyance.
a proper interest therein and upon order of the (b) The court may provide for such notice to the
court. The court shall, in exercising discretion, respondent attorney of proceedings in the matter
weigh the public policy in favor of open proceed- as is deemed proper and advisable and shall
ings, as well as the duty to protect the public, appoint an attorney, at the expense of the Judicial
against the attorney’s right to medical and mental Branch, to represent any respondent who is with-
health privacy and ability to pursue a livelihood. out adequate representation.
(P.B. 1978-1997, Sec. 41.) (Amended June 24, 2002, to
(P.B. 1978-1997, Sec. 39.) (Amended June 24, 2002, to take effect July 1, 2003; May 14, 2003, effective date changed
take effect July 1, 2003; May 14, 2003, effective date changed to Oct. 1, 2003; Sept. 30, 2003, effective date changed to Jan.
to Oct. 1, 2003; Sept. 30, 2003, effective date changed to Jan. 1, 2004.)
1, 2004.)
Sec. 2-59. —Disability Claimed during
Sec. 2-57. —Prior Judicial Determination of Course of Disciplinary Proceeding
Incompetency or Involuntary Commitment If, during the course of a disciplinary proceed-
In the event an attorney is by a court of compe- ing, the respondent contends that he or she is
tent jurisdiction (1) declared to be incapable of suffering, by reason of mental infirmity or illness,
or because of drug dependency or addiction to
managing his or her affairs or (2) committed invol- alcohol, from a disability which makes it impos-
untarily to a mental hospital for drug dependency, sisle for the respondent adequately to defend
mental illness, or the addictive, intemperate, or himself or herself, the court thereupon shall, in a
excessive use of alcohol, the Superior Court, upon proceeding instituted in substantial accordance
notice from a grievance panel, a reviewing com- with the provisions of Section 2-58, enter an order
mittee, the Statewide Grievance Committee or a placing the respondent on inactive status until a
state’s attorney and upon proof of the fact of inca- determination is made of the respondent’s capac-
pacity to engage in the practice of law, shall enter ity to defend himself or herself. Notice of the insti-
an order placing such attorney upon inactive sta- tution of inactive status proceedings shall be
tus, effective immediately, for an indefinite period provided to the statewide bar counsel. If the court
and until further order of the court. A copy of such determines that the respondent is not incapaci-
order shall be served, in such manner as the court tated from practicing law, it shall take such action
shall direct, upon such attorney, the attorney’s as it deems proper and advisable, including a
conservator if any, and the director of any mental direction for the resumption of the disciplinary pro-
hospital in which the attorney may reside. ceeding against the respondent.
(P.B. 1978-1997, Sec. 42.) (Amended June 24, 2002, to
(P.B. 1978-1997, Sec. 40.) take effect July 1, 2003; May 14, 2003, effective date changed
to Oct. 1, 2003; Sept. 30, 2003, effective date changed to Jan.
Sec. 2-58. —No Prior Determination of 1, 2004.)
Incompetency or Involuntary Commitment
Sec. 2-60. —Reinstatement upon Termina-
(a) Whenever a grievance panel, a reviewing tion of Disability
committee, the Statewide Grievance Committee (a) Any attorney placed upon inactive status
or the disciplinary counsel shall have reason to under the provisions of these rules shall be enti-
believe that an attorney is incapacitated from con- tled to apply for reinstatement, without the pay-
tinuing to practice law by reason of mental infirmity ment of an entry fee, at such intervals as the court
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SUPERIOR COURT—GENERAL PROVISIONS Sec. 2-64
may direct in the order placing the attorney on against whom a grievance complaint or present-
inactive status or any modification thereof. Such ment has been filed or a person who is alleged
application shall be granted by the court upon a to have been engaged in the unauthorized prac-
showing by clear and convincing evidence that tice of law pursuant to General Statutes § 51-88.
the attorney’s disability has been removed and (P.B. 1978-1997, Sec. 46A.)
the attorney is fit to resume the practice of law.
Upon such application, the court may take or Sec. 2-64. Appointment of Attorney To Pro-
direct such action as it deems necessary or tect Clients’ and Attorney’s Interests
proper, including the determination whether the (a) Whenever an attorney is placed upon inac-
attorney’s disability has been removed, and tive status, suspended, disbarred, or resigns, the
including direction of an examination of the attor- court, upon such notice to him or her as the court
ney by such qualified medical expert or experts may direct, shall appoint an attorney or attorneys
as the court shall designate. The court shall direct to inventory the files of the inactive, suspended,
that the expense of such an examination be paid disbarred or resigned attorney and to take such
either by the attorney or by the Judicial Branch. action as seems indicated to protect the interests
(b) Where an attorney has been placed on inac- of the attorney’s clients. The court may also
tive status by an order in accordance with the appoint an attorney to protect the interests of the
provisions of Section 2-57 and thereafter, in pro- attorney placed on inactive status, suspended,
ceedings duly taken, has been judicially declared disbarred or resigned with respect to such files,
to be competent, the court may dispense with when the attorney is not otherwise represented
further evidence that his or her disability has been and the court deems that such representation is
removed and may direct his or her return to active necessary. If the discipline imposed is not effec-
status upon such terms as are deemed proper tive immediately as a result of an appeal or stay,
and advisable. the court, after the hearing and consideration of
(P.B. 1978-1997, Sec. 44.) the merits of the appeal or reason for the stay, may
issue interim orders to protect the public during
Sec. 2-61. —Burden of Proof in Inactive Sta- the pendency of the appeal period or stay, until
tus Proceedings the discipline order becomes effective. In case
In a proceeding seeking an order to place an of an attorney’s death, the court may appoint
attorney on inactive status, the burden of proof an attorney where no partner, executor or other
shall rest with the petitioner. In a proceeding seek- responsible party capable of conducting the
ing an order terminating inactive status, the bur- deceased attorney’s affairs is known to exist or
den of proof shall rest with the inactive attorney. willing to assume the responsibility.
(P.B. 1978-1997, Sec. 45.) (b) Any attorney so appointed by the court shall
not be permitted to disclose any information con-
Sec. 2-62. —Waiver of Doctor-Patient Privi- tained in any file so inventoried without the con-
lege upon Application for Reinstatement sent of the client to whom such file relates except
The filing of an application for reinstatement by as is necessary to carry out the order of the court
an attorney on inactive status shall be deemed to which appointed the attorney to make such inven-
constitute a waiver of any doctor-patient privilege tory.
existing between the attorney and any psychia- (c) Not less frequently than once each year and
trist, psychologist, physician or hospital who or at such time as the attorney may be returned
which has examined or treated the attorney dur- to active status, reinstated or readmitted to the
ing the period of disability. The attorney shall be practice of law or when the attorney appointed to
required to disclose the name of every psychia- protect clients’ interests has finished rendering
trist, psychologist, physician and hospital by services to those clients, the appointed attorney
whom or at which the attorney has been examined shall file with the court, for its examination and
or treated since being placed on inactive status approval, a report showing fees earned from the
and shall furnish to the court written consent to clients of the attorney, necessary disbursements,
each to divulge such information and records as and the amount requested by the appointed attor-
are requested by court-appointed medical experts ney as a fee for services rendered, to be paid out
or by the clerk of the court. of the funds received. Any attorney so appointed
(P.B. 1978-1997, Sec. 46.) by the court for the inactive, suspended, dis-
barred, resigned or deceased attorney may also
Sec. 2-63. Definition of Respondent be reimbursed for his or her services from any
When used in Sections 2-29 through 2-62 the amount found to be due to the inactive, sus-
word ‘‘respondent’’ shall mean the attorney pended, disbarred, resigned or deceased attorney
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Sec. 2-64 SUPERIOR COURT—GENERAL PROVISIONS
for services rendered to such clients. All attorney’s any of the aforementioned court officials is a part-
fees paid to any attorney appointed hereunder ner or associate, shall appear as counsel in any
shall be subject to court approval. criminal case in behalf of any accused in any state
(d) Unless the attorney appointed to protect cli- or federal court.
ents’ interests is a partner or associate of the (d) No chief clerk, deputy chief clerk, clerk,
attorney, if the attorney is returned to active status, deputy clerk or assistant clerk who has been
reinstated or readmitted, the appointed attorney appointed on a full-time basis shall appear as
shall immediately cease representing the clients counsel in any civil or criminal case in any state
of the attorney and shall return to the reinstated or federal court. Such persons may otherwise
or readmitted attorney, or to the attorney returned engage in the practice of law as permitted by
to active status, such files as the appointed attor- established Judicial Branch policy.
ney may have received, and the appointed attor- (e) No chief public defender, deputy chief pub-
ney and partners and associates shall not repre- lic defender, public defender, assistant public
sent any person who was a client of the reinstated defender or deputy assistant public defender shall
or readmitted attorney, or who was a client of an appear in behalf of the state in any criminal case.
(P.B. 1978-1997, Sec. 47.)
attorney returned to active status, on or before
the date when he or she was placed upon inactive Sec. 2-67. Payment of Attorneys by Bank
status, suspended, disbarred or resigned, unless and Trust Companies
the court which entered the order directing rein- (a) No attorney shall directly or indirectly receive
statement, readmission, or return to active status payment from any bank or trust company for legal
shall order otherwise after written request to the services rendered to others in the preparation of
court by the client whose interest is involved. wills, codicils or drafts of such instruments or for
(P.B. 1978-1997, Sec. 46B.) (Amended June 24, 2002, to advising others as to legal rights under existing
take effect July 1, 2003; May 1, 2003, effective date changed
to Oct. 1, 2003; Sept. 30, 2003, effective date changed to Jan.
or proposed instruments of that character.
1, 2004.) (b) The violation of this section by an attorney
may be cause for grievance proceedings.
Sec. 2-65. Good Standing of Attorney (P.B. 1978-1997, Sec. 48.)
An attorney is in good standing in this state if Sec. 2-68. Client Security Fund Established
the attorney has been admitted to the bar of this (a) A client security fund is hereby established
state, has registered with the Statewide Griev- to promote public confidence in the judicial system
ance Committee in compliance with Section 2-27 and the integrity of the legal profession by reim-
(d), has complied with Sections 2-27A and 2-70, bursing clients, to the extent provided for by these
and is not under suspension, on inactive status, rules, for losses resulting from the dishonest con-
disbarred, or resigned from the bar. duct of attorneys practicing law in this state in
(P.B. 1978-1997, Sec. 46C.) (Amended June 22, 2009, to the course of the attorney-client relationship, by
take effect Jan. 1, 2010; amended June 11, 2021, to take
effect Jan. 1, 2022.)
providing crisis intervention and referral assis-
tance to attorneys admitted to the practice of law
Sec. 2-66. Practice by Court Officials in this state who suffer from alcohol or other sub-
(a) No lawyer who is a judge of the Supreme stance abuse problems or gambling problems,
or who have behavioral health problems, and by
Court, Appellate Court or Superior Court shall
making grants-in-aid to the organization adminis-
practice law in any state or federal court.
tering the program for the use of interest earned
(b) The chief public defender, the deputy chief on lawyers’ clients’ funds accounts pursuant to
public defender, public defenders, assistant pub- General Statute § 51-81c, for the purpose of fund-
lic defenders, deputy assistant public defenders, ing the delivery of legal services to the poor.
the chief state’s attorney, the deputy chief state’s (b) It is the obligation of all attorneys admitted
attorney, state’s attorneys, assistant state’s attor- to the practice of law in this state to participate in
neys and deputy assistant state’s attorneys who the collective effort to reimburse clients who have
have been appointed on a full-time basis will lost money or property as the result of the unethi-
devote their full time to the duties of their offices, cal and dishonest conduct of other attorneys, to
will not engage in the private practice of law, either provide crisis intervention and referral assistance
civil or criminal, and will not be connected in any to attorneys admitted to the practice of law in this
way with any attorney or law firm engaged in the state who suffer from alcohol or other substance
private practice of law. abuse problems or gambling problems, or who
(c) No state’s attorney or assistant state’s attor- have behavioral health problems, and to fund the
ney, no partner or associate of a law firm of which delivery of legal services to the poor.
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(c) The client security fund is provided as a crisis intervention and referral assistance, and for
public service to persons using the legal services making grants-in-aid for the purpose of funding
of attorneys practicing in this state and as a means the delivery of legal services to the poor under
of providing crisis intervention and referral assis- these rules and the costs of administering the
tance to impaired attorneys, and grants-in-aid for client security fund. Such fee, which shall be $75,
the purpose of funding the delivery of legal ser- shall be paid by each attorney admitted to the
vices to the poor. All moneys and assets of the practice of law in this state and each judge, judge
fund shall constitute a trust. trial referee, state referee, family support magis-
(d) The establishment, administration and oper- trate, family support referee and administrative
ation of the fund shall not impose or create any law judge in this state. Notwithstanding the above,
obligation, expectation of recovery from or liability an attorney who is disbarred, retired, resigned, or
of the fund to any claimant, attorney or organiza- serving on active duty with the armed forces of
tion, and all reimbursements therefrom shall be a the United States for more than six months in
matter of grace and not of right. such year shall be exempt from payment of the
(Adopted June 29, 1998, to take effect Jan. 1, 1999; fee, and an attorney who does not engage in the
amended May 3, 2005, to take effect May 17, 2005; amended practice of law as an occupation and receives less
June 23, 2017, to take effect Jan. 1, 2018.) than $1000 in legal fees or other compensation
Sec. 2-68A. —Crisis Intervention and Refer- for services involving the practice of law during
ral Assistance the calendar year shall be obligated to pay one
half of such fee. No attorney who is disbarred,
(a) The chief court administrator may enter into retired or resigned shall be reinstated pursuant to
any contracts and take such other action as may
Section 2-53 or 2-55 until such time as the attor-
be reasonably necessary to provide for crisis inter-
ney has paid the fee due for the year in which the
vention and referral assistance to attorneys admit- attorney retired, resigned or was disbarred.
ted to the practice of law in this state who suffer
(b) An attorney or family support referee who
from alcohol or other substance abuse problems
fails to pay the client security fund fee in accord-
or gambling problems, or who have behavioral
ance with this section shall be administratively
health problems.
suspended from the practice of law in this state
(b) The crisis intervention and referral assis- pursuant to Section 2-79 of these rules until such
tance shall be provided with the assistance of payment, along with a reinstatement fee of $75,
an advisory committee appointed by the chief has been made. An attorney or family support
court administrator that shall include one or more referee who is under suspension for another rea-
behavioral health professionals. son at the time he or she fails to pay the fee, shall
(Adopted May 3, 2005, to take effect May 17, 2005.)
be the subject of an additional suspension which
Sec. 2-69. —Definition of Dishonest Con- shall continue until the fee and reinstatement fee
duct are paid.
(a) As used in Sections 2-68 through 2-81, inclu- (c) A judge, judge trial referee, state referee,
sive, ‘‘dishonest conduct’’ means wrongful acts family support magistrate or administrative law
committed by an attorney, in an attorney-client judge who fails to pay the client security fund fee
relationship or in a fiduciary capacity arising out in accordance with this section shall be referred
of an attorney-client relationship, in the nature of to the Judicial Review Council.
(Adopted June 29, 1998, to take effect Jan. 1, 1999;
theft or embezzlement of money or the wrongful amended June 28, 1999, to take effect Jan. 1, 2000; amended
taking or conversion of money, property, or other Nov. 17, 1999, on an interim basis pursuant to Section 1-9
things of value, including, but not limited to refusal (c), to take effect Jan. 1, 2000, and amendment adopted June
to refund unearned fees received in advance as 26, 2000, to take effect Jan. 1, 2001; amended June 21, 2004,
required by Rule 1.16 (d) of the Rules of Profes- to take effect July 13, 2004; amended May 3, 2005, to take
effect May 17, 2005; amended June 20, 2005, to take effect
sional Conduct. Jan. 1, 2006; amended June 15, 2012, to take effect Jan. 1,
(b) ‘‘Dishonest conduct’’ does not include such 2013; amended June 23, 2017, to take effect Jan. 1, 2018.)
wrongful acts committed in connection with the TECHNICAL CHANGE: The changes to this section are
provision of investment services to the claimant consistent with the adoption of Public Acts 2021, No. 21-
by the attorney. 18, § 1, codified at General Statutes (Supp. 2022) § 31-275d,
(Adopted June 29, 1998, to take effect Jan. 1, 1999.) which replaced the term ‘‘workers’ compensation commis-
sioner’’ with ‘‘administrative law judge.’’
Sec. 2-70. —Client Security Fund Fee* *APPENDIX NOTE: The Rules Committee of the Superior
Court enacted, and the judges of the Superior Court subse-
(a) The judges of the Superior Court shall quently adopted, certain changes to the provisions of this
assess an annual fee in an amount adequate for rule in response to the public health and civil preparedness
the proper payment of claims, the provision of emergencies declared on March 10, 2020, and renewed on
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Sec. 2-70 SUPERIOR COURT—GENERAL PROVISIONS
September 1, 2020, and January 26, 2021. The public health or knowingly contributed to the loss, the client
emergency was renewed on June 28, 2022, and is scheduled security fund committee may, in its discretion,
to expire on December 28, 2022, or when the federal public
health emergency ends. See Appendix of Section 1-9B
deny the claim.
(Adopted June 29, 1998, to take effect Jan. 1, 1999.)
Changes.
*APPENDIX NOTE: The Rules Committee of the Superior
Court enacted, and the judges of the Superior Court subse-
Sec. 2-71. —Eligible Claims* quently adopted, certain changes to the provisions of this
(a) A claim for reimbursement of a loss must rule in response to the public health and civil preparedness
be based upon the dishonest conduct of an attor- emergencies declared on March 10, 2020, and renewed on
ney who, in connection with the defalcation upon September 1, 2020, and January 26, 2021. The public health
emergency was renewed on June 28, 2022, and is scheduled
which the claim is based, was a member of the to expire on December 28, 2022, or when the federal public
Connecticut bar and engaged in the practice of health emergency ends. See Appendix of Section 1-9B
law in this state. Changes.
(b) The claim shall not be eligible for reimburse-
ment unless: Sec. 2-72. —Client Security Fund Com-
(1) the attorney was acting as an attorney or mittee
fiduciary in the matter in which the loss arose; (a) There is hereby established a client security
(2) the attorney has died, been adjudged inca- fund committee which shall consist of fifteen mem-
pable, not competent or insane, been disbarred bers who shall be appointed by the chief justice.
or suspended from the practice of law in Connecti- Nine of the members shall be attorneys, three
cut, been placed on probation or inactive status shall not be attorneys and three shall be individ-
by a Connecticut court, resigned from the Con- uals who serve in one of the following capacities:
necticut bar, or become the judgment debtor of Superior Court judge, judge trial referee, Appel-
the claimant with respect to such claim; and late Court judge, Supreme Court justice, family
(3) the claim is presented within four years of support magistrate, family support referee or
the time when the claimant discovered or first administrative law judge. Members shall be
reasonably should have discovered the dishonest appointed for terms of three years, provided, how-
acts and the resulting losses or the claim was ever, that of the members first appointed, five shall
pending before the Connecticut Bar Association’s serve for one year, five for two years and five for
client security fund committee as of the effective three years. No person shall serve as a member
date of this rule. for more than two consecutive three year terms,
excluding any appointments for less than a full
(c) Except as provided by subsection (d) of this
term, but a member may be reappointed after a
section, the following losses shall not be eligible
lapse of one year. The appointment of any mem-
for reimbursement:
ber may be revoked or suspended by the chief
(1) losses incurred by spouses, children, par- justice. In connection with such revocation or sus-
ents, grandparents, siblings, partners, associates pension, the chief justice shall appoint a qualified
and employees of the attorney causing the losses; individual to fill the vacancy for the remainder of
(2) losses covered by any bond, surety agree- the term or for any other appropriate period. In
ment, or insurance contract to the extent covered the event that a vacancy arises in this position
thereby, including any loss to which any bonding before the end of a term by reason other than
agent, surety or insurer is subrogated, to the revocation or suspension, the chief justice shall
extent of that subrogated interest; fill the vacancy for the balance of the term or for
(3) losses incurred by any financial institution any other appropriate period.
which are recoverable under a ‘‘banker’s blanket (b) The client security fund committee shall
bond’’ or similar commonly available insurance or elect from among its members a chair and a vice-
surety contract; chair who shall serve for a period of one year.
(4) losses incurred by any business entity con- (c) Seven members of the client security fund
trolled by the attorney, any person or entity committee shall constitute a quorum at its meet-
described in subdivisions (c) (1), (2), or (3) herein; ings. The chair may assign individual members
(5) losses incurred by any governmental entity of the committee to investigate and report on
or agency. claims to the committee.
(d) In cases of extreme hardship or special and (d) Members shall serve without compensation,
unusual circumstances, the client security fund but shall be reimbursed for their necessary and
committee may, in its discretion, consider a claim reasonable expenses incurred in the discharge of
eligible for reimbursement which would otherwise their duties.
be excluded under these rules. (e) The client security fund committee shall
(e) In cases where it appears that there will be operate under the supervision of the Superior
unjust enrichment, or the claimant unreasonably Court judges and report on its activities to the
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SUPERIOR COURT—GENERAL PROVISIONS Sec. 2-75
executive committee of the Superior Court on at with these rules. Such regulations may be
least a quarterly basis. adopted at any regular meeting of the client secu-
(Adopted June 29, 1998, to take effect Jan. 1, 1999.) rity fund committee or at any special meeting
TECHNICAL CHANGE: The changes to this section are called for that purpose. The regulations shall be
consistent with the adoption of Public Acts 2021, No. 21-
18, § 1, codified at General Statutes (Supp. 2022) § 31-275d,
effective sixty days after publication in one issue
which replaced the term ‘‘workers’ compensation commis- of the Connecticut Law Journal and shall at all
sioner’’ with ‘‘administrative law judge.’’ times be subject to amendment or revision by the
committee. A copy shall be provided to the chief
Sec. 2-73. —Powers and Duties of Client justice, the chief court administrator, and the exec-
Security Fund Committee utive committee of the Superior Court.
In addition to any other powers and duties set (Adopted June 29, 1998, to take effect Jan. 1, 1999;
forth in Sections 2-68 through 2-81, the client amended June 20, 2011, to take effect Jan. 1, 2012.)
security fund committee shall:
(a) Publicize its activities to the public and bar, Sec. 2-75. —Processing Claims*
including filing with the chief justice and the execu- (a) Upon receipt of a claim the client security
tive committee of the Superior Court an annual fund committee shall cause an appropriate inves-
report on the claims made and processed and the tigation to be conducted and shall cause the attor-
amounts disbursed. ney who is the subject of the claim or the attor-
(b) Receive, investigate and evaluate claims ney’s representative to be notified by certified
for reimbursement. mail within ten days of the filing of such claim.
(c) Determine in its judgment whether reim- The attorney or his or her representative shall
bursement should be made and the amount of have twenty days from the date the notice was
such reimbursement. mailed to file a response with the client security
(d) Prosecute claims for restitution against fund committee. Before processing a claim, the
attorneys whose conduct has resulted in dis- client security fund committee may require the
bursements. claimant to pursue other remedies he or she
(e) Employ such persons and contract with any may have.
public or private entity as may be reasonably nec- (b) The client security fund committee shall
essary to provide for its efficient and effective promptly notify the Statewide Grievance Commit-
operations, which shall include, but not be limited tee of each claim and shall request the grievance
to, the investigation of claims and the prosecution committee to furnish it with a report of its investiga-
of claims for restitution against attorneys. tion, if any, on the matter. The Statewide Griev-
(f) Pay to the chief court administrator for the ance Committee shall allow the client security
provision of crisis intervention and referral assis- fund committee access to its records during an
tance to attorneys admitted to the practice of law investigation of a claim. The client security fund
in this state who suffer from alcohol or other sub- committee shall evaluate whether the investiga-
stance abuse problems or gambling problems, or tion is complete and determine whether it should
who have behavioral health problems, any conduct additional investigation or await the pen-
amounts required pursuant to Section 2-77. dency of any disciplinary investigation or proceed-
(g) Pay to the chief court administrator for mak- ing involving the same act or conduct as is alleged
ing grants-in-aid to the organization administering in the claim.
the program for the use of interest earned on (c) The client security fund committee may, to
lawyers’ clients’ funds accounts pursuant to Gen- the extent permitted by law, request and receive
eral Statutes § 51-81c, for the purpose of funding from the state’s attorneys and from the Superior
the delivery of legal services to the poor, any Court information relative to the client security
amounts required pursuant to Section 2-77. fund committee’s investigation, processing and
(h) Perform all other acts necessary or proper determination of claims.
for the fulfillment of the purposes and effective (d) A certified copy of an order disciplining an
administration of the fund. attorney for the same dishonest act or conduct
(Adopted June 29, 1998, to take effect Jan. 1, 1999;
amended May 3, 2005, to take effect May 17, 2005; amended
alleged in a claim, or a final trial court judgment
June 23, 2017, to take effect Jan. 1, 2018.) imposing civil or criminal liability therefor, shall be
evidence that the attorney committed such dis-
Sec. 2-74. —Regulations of Client Security honest act or conduct.
Fund Committee (e) The client security fund committee may
The client security fund committee shall have require that a claimant, the subject attorney or
the power and authority to implement these rules any other person give testimony relative to a claim
by regulations relevant to and not inconsistent and may designate one or more members to
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Sec. 2-75 SUPERIOR COURT—GENERAL PROVISIONS
receive the testimony and render a report thereon any action or proceeding in which the committee’s
to the committee. right to receive restitution pursuant to Section 2-
(f) The client security fund committee shall, on 80 or 2-81 is at issue. The client security fund
the basis of the record, make its determination in committee may also provide statistical information
its sole and absolute discretion as to the validity regarding claims which does not disclose the
of claims. A determination shall require an affirma- names of claimants and attorneys until a disburse-
tive vote of at least seven members. ment is authorized.
(g) Based upon the claims approved for reim- (b) All information given or received in connec-
bursement, the claims being processed and the tion with the provision of crisis intervention and
amounts available in the client security fund, the referral assistance under these rules shall be sub-
client security fund committee shall determine in ject to the provisions of General Statutes § 51-
its sole and absolute discretion the amount, the 81d (f).
order and the manner of the payment to be made (Adopted June 29, 1998, to take effect Jan. 1, 1999;
on the approved claim. amended May 3, 2005, to take effect May 17, 2005; amended
June 26, 2006, to take effect Jan. 1, 2007.)
(h) Reimbursements shall not include interest,
expenses, or attorney’s fees in processing the Sec. 2-77. —Review of Status of Fund
claim, and may be paid in a lump sum or in install- The client security fund committee shall periodi-
ments. cally analyze the status of the fund, the approved
(i) The client security fund committee shall notify claims and the pending claims, the cost to the
the claimant and the subject attorney of its deter- fund of providing crisis intervention and referral
mination, which shall be final and not be subject assistance to attorneys, and the cost to the fund
to review by any court. of funding the delivery of legal services to the
(j) The approval or disapproval of a claim shall poor, to ensure the integrity of the fund for its
not be pertinent in any disciplinary proceeding. intended purposes. Based upon the analysis and
(Adopted June 29, 1998, to take effect Jan. 1, 1999.) recommendation of the client security fund com-
*APPENDIX NOTE: The Rules Committee of the Superior mittee, the judges of the Superior Court may
Court enacted, and the judges of the Superior Court subse-
quently adopted, certain changes to the provisions of this
increase or decrease the amount of the client
rule in response to the public health and civil preparedness security fund fee and the Superior Court executive
emergencies declared on March 10, 2020, and renewed on committee may fix a maximum amount on reim-
September 1, 2020, and January 26, 2021. The public health bursements payable from the fund.
emergency was renewed on June 28, 2022, and is scheduled The amount paid from the fund in any calen-
to expire on December 28, 2022, or when the federal public dar year to the chief court administrator for the
health emergency ends. See Appendix of Section 1-9B
Changes.
provision of crisis intervention and referral assis-
tance to attorneys shall not exceed 15.9 percent
Sec. 2-76. —Confidentiality of the amount received by the fund from payments
(a) Claims, proceedings and reports involving of the client security fund fee in the prior calen-
claims for reimbursement for losses caused by dar year. If less than the 15.9 percent maximum
the dishonest conduct of attorneys are confiden- amount is paid from the fund in any calendar year
tial until the client security fund committee autho- for the provision of crisis intervention and referral
rizes a disbursement to the claimant, at which assistance to attorneys, the remaining amount
time the committee may disclose the name of the may not be carried over and added to the amount
claimant, the attorney whose conduct produced that may be paid from the fund for that purpose
the claim and the amount of the reimbursement. in any other year.
However, the client security fund committee may By April 1 of each year, the client security fund
provide access to relevant information regarding committee shall recommend to the chief court
such claims to the Statewide Grievance Commit- administrator the amount of funds available to be
tee, grievance panels, to law enforcement agen- paid for making grants-in-aid for the purpose of
funding the delivery of legal services to the poor.
cies, to the Office of the Chief Disciplinary
The chief court administrator shall review the
Counsel, and to a judge of the Superior Court. The
recommendation of the client security fund com-
client security fund committee may also disclose
mittee and any other relevant information and
such information to any attorney retained or
determine and advise the client security fund com-
employed by the committee to protect the inter- mittee of the amount of funds to be used for mak-
ests of the client security fund or the committee ing grants-in-aid for the purpose of funding the
in any state or federal action in which the interests delivery of legal services to the poor.
of the committee or the fund may be at issue, (Adopted June 29, 1998, to take effect Jan. 1, 1999;
and may disclose such information as may be amended May 3, 2005, to take effect May 17, 2005; amended
necessary to protect the rights of the committee in June 23, 2017, to take effect Jan. 1, 2018.)
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SUPERIOR COURT—GENERAL PROVISIONS Sec. 2-80
Sec. 2-78. —Attorney’s Fee for Prosecut- requested, to the office of the client security fund
ing Claim committee. The application shall set forth the rea-
No attorney shall accept any fee for prosecuting sons why the application should be granted. The
a claim on behalf of a claimant, except where court shall schedule a hearing on the application,
specifically approved by the client security fund which shall be limited to whether good cause
committee for payment out of the award. exists to vacate the suspension order.
(Adopted June 29, 1998, to take effect Jan. 1, 1999.) (b) If a judge, judge trial referee, state referee,
family support magistrate or administrative law
Sec. 2-79. —Enforcement of Payment of judge has not paid the client security fund fee,
Fee* the Office of the Chief Court Administrator shall
(a) The client security fund committee shall send a notice to such person that he or she will
send a notice to each attorney who has not paid be referred to the Judicial Review Council unless
the client security fund fee pursuant to Section within sixty days from the date of such notice the
2-70 of these rules that the attorney’s license Office of the Chief Court Administrator receives
to practice law in this state may be administratively from such person proof that he or she has either
suspended unless within sixty days from the date paid the fee or is exempt from such payment. If
of such notice the client security fund commit- the Office of the Chief Court Administrator does
tee receives from such attorney proof that he or not receive such proof within the time required, it
she has either paid the fee or is exempt from such shall refer such person to the Judicial Review
payment. If the client security fund committee Council.
does not receive such proof within the time (c) Family support referees shall be subject to
required, it shall cause a second notice to be sent the provisions of subsection (a) herein until such
to the attorney advising the attorney that he or time as they come within the jurisdiction of the
she will be referred to the Superior Court for an Judicial Review Council, when they will be subject
administrative suspension of the attorney’s to the provisions of subsection (b).
license to practice law in this state unless within (d) The notices required by this section shall
thirty days from the date of the notice proof of the be sent by certified mail, return receipt requested
payment of the fee or exemption is received. The or with electronic delivery confirmation to the last
client security fund committee shall submit to the address registered by the attorney pursuant to
clerk of the Superior Court for the Hartford Judicial Section 2-26 and Section 2-27 (d), and to the
District a list of attorneys who did not provide proof home address of the judge, judge trial referee,
of payment or exemption within thirty days after state referee, family support magistrate, family
the date of the second notice. Upon order of the support referee or administrative law judge.
court, the attorneys so listed and referred to the (Adopted June 29, 1998, to take effect Jan. 1, 1999;
clerk shall be deemed administratively suspended amended June 20, 2005, to take effect Jan. 1, 2006; amended
from the practice of law in this state until such June 15, 2012, to take effect Jan. 1, 2013.)
time as payment of the fee and the reinstatement TECHNICAL CHANGE: The changes to this section are
fee assessed pursuant to Section 2-70 is made, consistent with the adoption of Public Acts 2021, No. 21-
18, § 1, codified at General Statutes (Supp. 2022) § 31-275d,
which suspension shall be effective upon publica- which replaced the term ‘‘workers’ compensation commis-
tion of the list in the Connecticut Law Journal. sioner’’ with ‘‘administrative law judge.’’
An administrative suspension of an attorney for *APPENDIX NOTE: The Rules Committee of the Superior
failure to pay the client security fund fee shall not Court enacted, and the judges of the Superior Court subse-
be considered discipline, but an attorney who is quently adopted, certain changes to the provisions of this
placed on administrative suspension for such fail- rule in response to the public health and civil preparedness
ure shall be ineligible to practice law as an attor- emergencies declared on March 10, 2020, and renewed on
September 1, 2020, and January 26, 2021. The public health
ney admitted to practice in this state, and shall emergency was renewed on June 28, 2022, and is scheduled
not be considered in good standing pursuant to to expire on December 28, 2022, or when the federal public
Section 2-65 of these rules until such time as the health emergency ends. See Appendix of Section 1-9B
fee and reinstatement fee are paid. An attorney Changes.
aggrieved by an order placing the attorney on
administrative suspension for failing to pay the Sec. 2-80. —Restitution by Attorney
client security fund fee may make an application An attorney whose dishonest conduct has
to the Superior Court to have the order vacated, resulted in reimbursement to a claimant shall
by filing the application with the Superior Court make restitution to the fund including interest and
for the Hartford Judicial District within thirty days the expense incurred by the fund in processing the
of the date that the order is published, and mailing claim. An attorney’s failure to make satisfactory
a copy of the same by certified mail, return receipt arrangements for restitution shall be cause for
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Sec. 2-80 SUPERIOR COURT—GENERAL PROVISIONS
suspension, disbarment, or denial of an applica- matter, and the respondent’s underlying admis-
tion for reinstatement. sion of misconduct, for approval as follows: (i) by
(Adopted June 29, 1998, to take effect Jan. 1, 1999.) the court, in all matters involving possible suspen-
sion or disbarment, or possible imposition of a
Sec. 2-81. —Restitution and Subrogation period of probation or other sanctions beyond the
(a) An attorney whose dishonest conduct authority of the Statewide Grievance Committee,
results in reimbursement to a claimant shall be as set forth in Section 2-37; or (ii) by a reviewing
liable to the fund for restitution; and the client committee of the Statewide Grievance Commit-
security fund committee may bring such action as tee, in all other matters. If, after a hearing, the
it deems advisable to enforce such obligation. admission of misconduct is accepted and the pro-
(b) As a condition of reimbursement, a claimant posed disposition is approved by the court or the
shall be required to provide the fund with a pro reviewing committee, the matter shall be disposed
tanto transfer of the claimant’s rights against of in the manner agreed to. If any resulting admis-
the attorney, the attorney’s legal representative, sion of misconduct or proposed disposition is
estate or assigns; and of the claimant’s rights rejected by the court or the reviewing committee,
against any third party or entity who may be liable the admission of misconduct and proposed dispo-
for the claimant’s loss. sition shall be withdrawn, shall not be made public,
(c) Upon commencement of an action by the and shall not be used against the respondent in
client security fund committee as subrogee or any subsequent proceedings. In that event, the
assignee of a claim, it shall advise the claimant, matter shall be referred for further proceedings to
who may then join in such action to recover the a different judicial authority or reviewing commit-
claimant’s unreimbursed losses. tee, as appropriate.
(d) In the event that the claimant commences (c) If disciplinary counsel and the respondent
an action to recover unreimbursed losses against are unable to agree to a proposed disposition
the attorney or another entity who may be liable of the matter, the respondent may nonetheless
for the claimant’s loss, the claimant shall be tender an admission of misconduct, which shall be
required to notify the client security fund commit- in accordance with subsection (a) of this section.
tee of such action. If such an admission of misconduct without pro-
(e) The claimant shall be required to agree to posed disposition is tendered, disciplinary coun-
cooperate in all efforts that the client security fund sel shall cause it to be forwarded, together with
committee undertakes to achieve restitution for the complaint and the record in the matter, for
the fund. consideration, possible acceptance and disposi-
(Adopted June 29, 1998, to take effect Jan. 1, 1999.) tion as follows: (i) by the court, in all matters involv-
ing possible suspension or disbarment, or
Sec. 2-82. Admission of Misconduct; Disci- possible imposition of a period of probation or
pline by Consent other sanctions beyond the authority of the State-
(a) The disciplinary counsel to whom a com- wide Grievance Committee, as set forth in Section
plaint is forwarded after a finding that probable 2-37; or (ii) by a reviewing committee of the State-
cause exists that the respondent is guilty of mis- wide Grievance Committee, in all other matters.
conduct may negotiate a proposed disposition If, after a hearing, the admission of misconduct
of the complaint with the respondent or, if the is accepted by the court or the reviewing commit-
respondent is represented by an attorney, with tee, the matter shall be disposed of and any
the respondent’s attorney. Such a proposed dis- resulting imposition of discipline shall be made
position shall be based upon the respondent’s public in the manner prescribed by these rules. If
admission of misconduct, which shall consist of the admission of misconduct is rejected by the
either (1) an admission by the respondent that the court or the reviewing committee, it shall be with-
material facts alleged in the complaint, or a portion drawn, shall not be made public, and shall not be
thereof describing one or more acts of misconduct used against the respondent in any subsequent
to which the admission relates, are true, or (2) if proceedings. In that event, the matter shall be
the respondent denies some or all of such material referred for further proceedings to a different judi-
facts, an acknowledgment by the respondent that cial authority or reviewing committee, as appro-
there is sufficient evidence to prove such material priate.
facts by clear and convincing evidence. (d) A respondent who tenders an admission of
(b) If disciplinary counsel and the respondent misconduct and, if applicable, enters with disci-
agree to a proposed disposition of the matter, they plinary counsel into a proposed disposition of the
shall place their agreement in writing and submit matter, shall present to the court or the reviewing
it, together with the complaint, the record in the committee an affidavit stating the following:
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SUPERIOR COURT—GENERAL PROVISIONS Sec. 2-83
(1) That the admission of misconduct and, if applicable, and the imposition of any discipline,
applicable, the proposed disposition are freely the complainant will be given the right to com-
and voluntarily submitted; that the respondent is ment thereon.
not making the admission of misconduct and, if (g) In any disciplinary proceeding where the
applicable, the proposed disposition, as a result respondent already has other disciplinary matters
of any threats or other coercion or duress, or any pending before a court, either pursuant to an order
promises or other inducements not set forth in the of interim suspension under Section 2-42, or pur-
proposed disposition; that the respondent is fully suant to a presentment filed under Section 2-35,
aware of the consequences of such submissions; 2-40, 2-41 or 2-47, the respondent and disciplin-
(2) That the respondent is aware that there is ary counsel may agree to a presentment. The
presently pending a complaint, in connection with respondent and disciplinary counsel shall stipu-
which probable cause has been found that the late that the order of presentment is requested
respondent committed the following acts of mis- for the purpose of consolidating all pending disci-
conduct: (list specific acts); and plinary matters before the court.
(Adopted June 24, 2002, to take effect July 1, 2003; May
(3) Either (A) that the respondent admits that 14, 2003, effective date changed to Oct. 1, 2003; Sept. 30,
the material facts alleged in the complaint, or in 2003, effective date changed to Jan. 1, 2004; amended June
that portion thereof to which the respondent’s 26, 2006, to take effect Jan. 1, 2007.)
admission relates, are true, or (B) if the respon- Sec. 2-83. Effective Dates
dent denies some or all of such material facts,
that the respondent acknowledges that there is (a) The revisions to this chapter which are effec-
tive January 1, 2004, shall apply to all grievance
sufficient evidence to prove such material facts
complaints filed on or after that date, unless other-
by clear and convincing evidence.
wise provided in these rules.
(e) The disciplinary counsel may recommend (b) The rules in effect on December 31, 2003,
dismissal of acts of misconduct alleged in the shall govern all grievance complaints filed on or
complaint that are not admitted by the respondent. before that date.
The respondent’s admission of some acts of mis- (Adopted June 24, 2002, to take effect July 1, 2003; May
conduct shall not foreclose the disciplinary coun- 14, 2003, effective date changed to Oct. 1, 2003, and amended
sel from pursuing discipline based upon other acts on an interim basis, pursuant to the provisions of Section 1-
of misconduct alleged in the complaint. 9 (c), to take effect Oct. 1, 2003, and amendment adopted
June 30, 2003, to take effect Oct. 1, 2003; Sept. 30, 2003,
(f) Prior to acceptance by the court or the effective date changed to Jan. 1, 2004, and amended on an
reviewing committee of the admission of miscon- interim basis, pursuant to the provisions of Section 1-9 (c), to
duct, the proposed disposition of the matter, if take effect Jan. 1, 2004.)
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Sec. 3-1 SUPERIOR COURT—GENERAL PROVISIONS
CHAPTER 3
APPEARANCES
Sec. Sec.
3-1. Appearance for Plaintiff on Writ or Complaint in Civil 3-11. Appearance for Several Parties
and Family Cases 3-12. Change in Name, Composition or Membership of a
3-2. Time To File Appearance Firm or Professional Corporation
3-3. Form and Signing of Appearance 3-13. When Creditor May Appear and Defend
3-4. Filing Appearance 3-14. Legal Interns
3-5. Service of Appearances on Other Parties 3-15. —Supervision of Legal Interns
3-16. —Requirements and Limitations
3-6. Appearances for Bail, Detention Hearing or Alterna-
3-17. —Activities of Legal Intern
tive Arraignment Proceedings Only 3-18. —Certification of Intern
3-7. Consequence of Filing Appearance 3-19. —Legal Internship Committee [Repealed]
3-8. Appearance for Represented Party 3-20. —Unauthorized Practice
3-9. Withdrawal of Appearance; Duration of Appearance 3-21. —Out-of-State Interns
3-10. Motion To Withdraw Appearance E3-22. —Certified Law School Graduates
For previous Histories and Commentaries see the editions of the Practice Book
corresponding to the years of the previous amendments.
Sec. 3-1. Appearance for Plaintiff on Writ or the entry against such party of a nonsuit or judg-
Complaint in Civil and Family Cases ment after default for failure to appear shall not
When a writ has been signed by an attorney at affect the entry of the nonsuit or any judgment
law admitted to practice in the courts of this state, after default.
such writ shall contain the attorney’s name, juris (b) An appearance in a criminal case or in a
number, mailing address, telephone number, and juvenile matter should be filed promptly but may
e-mail address, all of which shall be typed or be filed at any stage of the proceeding.
printed on the writ, and the attorney’s appearance (P.B. 1978-1997, Sec. 64 (b); see also Secs. 66, 630,
shall be entered for the plaintiff, unless such attor- 1056.1.)
ney by endorsement on the writ shall otherwise Sec. 3-3. Form and Signing of Appearance
direct, or unless such attorney shall type or print
on the writ the name, address, juris number, tele- (a) Except as otherwise provided in subsection
phone number, and e-mail address of the profes- (b), each appearance shall: (1) be filed on Judicial
sional corporation or firm, of which such attorney Branch form JD-CL-12; (2) include the name and
shall be a member, entering its appearance for number of the case, the name of the court ___location
the plaintiff. The signature on the complaint of to which it is returnable and the date; (3) be legibly
any person proceeding without the assistance of signed by the individual preparing the appearance
counsel pursuant to Section 8-1 shall be deemed with the individual’s own name; and (4) state the
to constitute the self-represented appearance of party or parties for whom the appearance is being
such party, who shall be required to type or print entered and the official (with position or depart-
on the writ the party’s name, mailing address, ment, if desired), firm, professional corporation or
telephone number, and e-mail address. individual whose appearance is being entered,
(P.B. 1978-1997, Sec. 64 (a).) (Amended June 11, 2021, together with the juris number assigned thereto,
to take effect Jan. 1, 2022.) if any, the mailing address, telephone number and
e-mail address.
Sec. 3-2. Time To File Appearance (b) Each limited appearance pursuant to Sec-
(a) After the writ has been filed the attorney for tion 3-8 (b) shall: (1) be filed on Judicial Branch
any party to any action, or any party himself or form JD-CL-121; (2) include the name and num-
herself, may enter his or her appearance in writing ber of the case, the name of the court ___location to
with the clerk of the court ___location to which such which it is returnable and the date; (3) be legibly
action is returnable. Except where otherwise pre- signed by the individual preparing the appearance
scribed herein or by statute, an appearance for a with the individual’s own name; and (4) state the
party in a civil or family case should be filed on party or parties for whom the appearance is being
or before the second day following the return day. entered and the official (with position or depart-
Appearances filed thereafter in such cases shall ment, if desired), firm, professional corporation or
be accepted but an appearance for a party after individual whose appearance is being entered,
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SUPERIOR COURT—GENERAL PROVISIONS Sec. 3-7
together with the juris number assigned thereto, 2012; amended June 15, 2012, to take effect Jan. 1, 2013;
if any, the mailing address, telephone number and amended June 13, 2014, to take effect Jan. 1, 2015.)
e-mail address; (5) define the proceeding or event Sec. 3-5. Service of Appearances on Other
for which the lawyer is appearing; and (6) state Parties
that the attorney named on the limited appearance (Amended June 20, 2011, to take effect Jan. 1, 2012.)
is available for service of process only for those
Service of appearances shall be made in
matters described on the limited appearance. All
accordance with Sections 10-12 through 10-17.
pleadings, motions, or other documents served
on the limited appearance attorney shall also be Proof of service shall be endorsed on the appear-
served in the same manner on the party for whom ance filed with the clerk. This section shall not
the limited appearance was filed. For all other apply to appearances entered pursuant to Section
matters, service must be made on the party instead 3-1.
(See Secs. 64 (c), 630, 1056.1, P.B. 1978-1997.) (P.B.
of the attorney who filed the limited appearance, 1998.) (Amended June 20, 2011, to take effect Jan. 1, 2012.)
unless otherwise ordered by court.
(c) This section does not apply to appearances Sec. 3-6. Appearances for Bail, Detention
entered pursuant to Section 3-1. Hearing, or Alternative Arraignment Pro-
(P.B. 1978-1997, Sec. 64 (b).) (Amended June 22, 2009, ceedings Only
to take effect Jan. 1, 2010; amended June 21, 2010, to take
(Amended June 11, 2021, to take effect Jan. 1, 2022.)
effect Jan. 1, 2011; amended June 20, 2011, to take effect
Jan. 1, 2012; amended June 14, 2013, to take effect Oct. 1, (a) An attorney, prior to the entering of an
2013; amended June 11, 2021, to take effect Jan. 1, 2022.) appearance by any other attorney, may enter an
appearance for the defendant in a criminal case
Sec. 3-4. Filing Appearance for the sole purpose of representing the defendant
(Amended June 20, 2011, to take effect Jan. 1, 2012.)
at a hearing for the fixing of bail. Such appearance
Appearances shall be filed with the clerk of the shall be in writing and shall be styled, ‘‘for the
court ___location where the matter is pending. purpose of the bail hearing only.’’ Upon entering
(a) Whenever an appearance is filed in any civil
such an appearance, that attorney shall be enti-
or family action, including appearances filed in
tled to confer with the prosecuting authority in
addition to or in place of another appearance, a
copy shall be mailed or delivered to all counsel connection with the bail hearing.
and self-represented parties of record. (b) An attorney may enter an appearance in a
(b) Whenever an appearance is filed in sum- delinquency proceeding for the sole purpose of
mary process actions, including appearances filed representing the respondent at any detention hear-
in addition to or in place of another appearance, ing; such appearance shall be in writing and styled
the attorney for the defendant, or, if there is no ‘‘for the purpose of detention hearing only.’’
such attorney, the defendant himself or herself, (c) An attorney may enter an appearance for
shall mail or deliver a copy of the appearance to the defendant in a criminal case who is subject
the attorney for the plaintiff, or if there is no such to a motion to arraign such defendant remotely
attorney, to the plaintiff himself or herself. or without his or her presence pursuant to subsec-
(c) Whenever an appearance is filed in delin- tion (c) of Section 37-1 for the limited purpose of
quency or family with service needs proceed- representing the defendant at the hearing on such
ings, including appearances filed in addition to or motion, any arraignment conducted pursuant to
in place of another appearance, the attorney or that subsection, and until the defendant’s first
guardian ad litem for the respondent, or for any appearance in court. Such appearance shall be
other interested party, shall mail or deliver a copy in writing and shall be styled, ‘‘for the purpose of
of the appearance to the prosecutorial official and alternative arraignment proceedings only.’’ Upon
all other counsel and self-represented parties of entering such an appearance, that attorney shall
record; in child protection proceedings, the attor- be entitled to confer with the prosecuting authority
ney or guardian ad litem for the child, respondent, in connection with the hearing on such motion,
or any other interested party, shall mail or deliver the arraignment of the defendant in accordance
a copy of the appearance to the attorney for the with subsection (c) of Section 37-1, if any, and
petitioner and to all other counsel and self-repre- until the defendant’s first appearance in court.
sented parties of record. (See Sec. 633, P.B. 1978-1997.) (P.B. 1998.) (Amended
(d) Whenever an appearance is filed in criminal June 11, 2021, to take effect Jan. 1, 2022.)
cases, including appearances filed in addition to Sec. 3-7. Consequence of Filing Appear-
or in place of another appearance, the attorney ance
for the defendant shall mail or deliver a copy of
the appearance to the prosecuting authority. (a) Except by leave of the judicial authority, no
(P.B. 1978-1997, Sec. 64 (c); see also Secs. 630, 1056.1.) attorney shall be permitted to appear in court or
(P.B. 1998.) (Amended June 20, 2011, to take effect Jan. 1, to be heard on behalf of a party until the attorney’s
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Sec. 3-7 SUPERIOR COURT—GENERAL PROVISIONS
appearance has been entered. No attorney shall a limited appearance may be filed pursuant to
be entitled to confer with the prosecuting author- Section 79a-3 (c) (1).
ity as counsel for the defendant in a criminal case (c) The provisions of this section regarding par-
until the attorney’s appearance has been so entered. ties filing appearances for themselves do not
(b) After the filing of an appearance, the attor- apply to criminal cases.
ney or self-represented party shall receive copies (P.B. 1978-1997, Sec. 65.) (Amended June 15, 2012, to
of all notices required to be given to parties by take effect Jan. 1, 2013; amended June 14, 2013, to take
effect Oct. 1, 2013; amended June 12, 2015, to take effect
statute or by these rules. Jan. 1, 2016; subsection (b) amended June 26, 2020, on an
(c) The filing of an appearance by itself shall interim basis pursuant to Section 1-9 (c), to take effect July
not waive the right to attack defects in jurisdiction 14, 2020, and amendment adopted June 11, 2021, to take
or any claimed violation of constitutional rights. effect July 13, 2021; amended June 11, 2021, to take effect
(See also Secs. 630, 631, 1056.1, P.B. 1978-1997.) Jan. 1, 2022.)
(P.B. 1998.)
Sec. 3-9. Withdrawal of Appearance; Dura-
Sec. 3-8. Appearance for Represented Party tion of Appearance
(a) Whenever an attorney files an appearance (a) An attorney or party whose appearance has
for a party, or the party files an appearance for been filed shall be deemed to have withdrawn
himself or herself, and there is already an appear- such appearance upon the filing of a new appear-
ance of an attorney or party on file for that party, ance that is stated to be in place of the appear-
the attorney or party filing the new appearance ance on file in accordance with Section 3-8.
shall state thereon whether such appearance is Appropriate entries shall be made in the court
in place of or in addition to the appearance or file. An attorney or party whose appearance is
appearances already on file. Section 25-6A shall deemed to have been withdrawn may file an
apply to any appearance filed in a family case by appearance for the limited purpose of filing an
a self-represented party when filed in addition to objection to the in place of appearance at any
time.
an appearance or appearances already on file.
(b) An attorney may withdraw his or her appear-
(b) An attorney is permitted to file an appear-
ance for a party or parties in any action after the
ance limited to a specific event or proceeding in
appearance of other counsel representing the
any family or civil case. If an event or proceeding same party or parties has been entered. An appli-
in a matter in which a limited appearance has cation for withdrawal in accordance with this sub-
been filed has been continued to a later date, for section shall state that such an appearance has
any reason, it is not deemed completed unless been entered and that such party or parties are
otherwise ordered by the court. Except with leave being represented by such other counsel at the
of court, a limited appearance may not be filed to time of the application. Such an application may
address a specific issue or to represent the client be granted by the clerk as of course, if such an
at or for a portion of a hearing. A limited appear- appearance by other counsel has been entered.
ance may not be limited to a particular length of (c) In addition to the grounds set forth in subsec-
time or the exhaustion of a fee. Whenever an tions (a), (b), and (d), a lawyer who represents a
attorney files a limited appearance for a party, the party or parties on a limited basis in accordance
limited appearance shall be filed in addition to any with Section 3-8 (b) and has completed his or her
self-represented appearance that the party may representation as defined in the limited appear-
have already filed with the court. Upon the filing ance, shall file a certificate of completion of limited
of the limited appearance, the client may not file or appearance on Judicial Branch form JD-CL-122.
serve pleadings, discovery requests or otherwise The certificate shall constitute a full withdrawal of
represent himself or herself in connection with a limited appearance. Copies of the certificate
the proceeding or event that is the subject of the must be served in accordance with Sections 10-
limited appearance. An attorney shall not file a 12 through 10-17 on the client, and all attorneys
limited appearance for a party when filing a new and self-represented parties of record.
action or during the pendency of an action if there (d) All appearances of counsel shall be deemed
is no appearance on file for that party, unless the to have been withdrawn 180 days after the entry
party for whom the limited appearance is being of judgment in any action seeking a dissolution
filed files an appearance in addition to the attor- of marriage or civil union, annulment, or legal sep-
ney’s limited appearance at the same time. A lim- aration, provided no appeal shall have been
ited appearance may not be filed on behalf of a taken. In the event of an appeal or the filing of a
firm or corporation. A limited appearance may not motion to open a judgment within such 180 days,
be filed in criminal or juvenile cases, except that all appearances of counsel shall be deemed to
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SUPERIOR COURT—GENERAL PROVISIONS Sec. 3-10
have been withdrawn after final judgment on such COMMENTARY—2023: The change to subsection (f) adds
appeal or motion or within 180 days after the entry a reference to Section 35a-20A, which was adopted to take
effect on January 1, 2022, so that an attorney’s representation
of the original judgment, whichever is later. Noth- of a client in connection with appeals from certain juvenile
ing herein shall preclude or prevent any attorney matters is subject to Sections 35a-20 or 35a-20A, as
from filing a motion to withdraw with leave of the applicable.
court during that period subsequent to the entry of
judgment. In the absence of a specific withdrawal, Sec. 3-10. Motion To Withdraw Appearance
counsel will continue of record for all postjudg- (a) No motion for withdrawal of appearance
ment purposes until 180 days have elapsed from shall be granted unless good cause is shown and
the entry of judgment or, in the event an appeal until the judicial authority is satisfied that reason-
or a motion to open a judgment is filed within such able notice has been given to other attorneys of
180 day period, until final judgment on that appeal record and that the party represented by the attor-
or determination of that motion, whichever is later. ney was served with the motion and the notice
(e) Except as provided in subsections (a), (b), required by this section or that the attorney has
(c) and (d), no attorney shall withdraw his or her made reasonable efforts to serve such party. All
appearance in any civil, criminal, family, juvenile motions to withdraw appearance shall be set
or other matter after it has been entered upon the down for argument and when the attorney files
record of the court without the leave of the court. such motion, he or she shall obtain such argument
(f) All appearances in juvenile matters shall be date from the clerk.
deemed to continue during the period of delin- (b) In civil and family cases, a motion to with-
quency probation supervision or probation super- draw shall include the last known address of any
vision with residential placement, family with party as to whom the attorney seeks to withdraw
service needs supervision, any commitment to the his or her appearance and shall have attached to
Commissioner of the Department of Children and it a notice to such party advising of the following:
Families pursuant to General Statutes § 46b-129 (1) the attorney is filing a motion which seeks the
or protective supervision. An attorney appointed court’s permission to no longer represent the party
by the chief public defender to represent a parent in the case; (2) the date and time the motion will
in a pending neglect or uncared for proceeding be heard; (3) the party may appear in court on
shall continue to represent the parent for any sub- that date and address the court concerning the
sequent petition to terminate parental rights if the motion; (4) if the motion to withdraw is granted,
attorney remains under contract to the Office of the party should either obtain another attorney or
the Chief Public Defender to represent parties in file an appearance on his or her own behalf with
child protection matters, the parent appears at the court; and (5) if the party does neither, the
the first hearing on the termination petition and party will not receive notice of court proceedings
qualifies for appointed counsel, unless the attor- in the case and a nonsuit or default judgment may
ney files a motion to withdraw pursuant to Section be rendered against such party.
3-10 that is granted by the judicial authority or the (c) In criminal and juvenile matters, the motion
parent requests a new attorney. The attorney shall to withdraw shall comply with subsections (b) (1),
represent the client in connection with appeals, (2) and (3) of this section and the client shall also
subject to Section 35a-20 or 35a-20A, and with be advised by the attorney that if the motion to
motions for review of permanency plans, revoca- withdraw is granted the client should request court
tions or postjudgment motions and shall have appointed counsel, obtain another attorney or file
access to any documents filed in court. The attor- an appearance on his or her own behalf with the
ney for the child shall continue to represent the court and be further advised that if none is done,
child in all proceedings relating to the child, includ there may be no further notice of proceeding and
ing termination of parental rights and during the the court may act.
period until final adoption following termination of (d) In addition to the above, each motion to with-
parental rights. draw appearance and each notice to the party or
(P.B. 1978-1997, Sec. 77.) (Amended June 26, 2006, to parties who are the subject of the motion shall
take effect Jan. 1, 2007; amended June 30, 2008, to take state whether the case has been assigned for pre-
effect Jan. 1, 2009; amended June 21, 2010, to take effect trial or trial and, if so, the date so assigned.
Jan. 1, 2011; amended June 15, 2012, to take effect Jan. 1,
2013; amended June 14, 2013, to take effect Oct. 1, 2013; (e) The attorney’s appearance for the party shall
amended June 24, 2016, to take effect Jan. 1, 2017; amended be deemed to have been withdrawn upon the
June 13, 2019, to take effect Jan. 1, 2020; amended June 10, granting of the motion without the necessity of
2022, to take effect Jan. 1, 2023.) filing a withdrawal of appearance.
HISTORY—2023: In the third sentence of subsection (f), (P.B. 1978-1997, Sec. 77 (d).) (Amended June 26, 2000,
‘‘or 35a-20A,’’ was added after ‘‘Section 35a-20.’’ to take effect Jan. 1, 2001; amended June 25, 2001, to take
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Sec. 3-10 SUPERIOR COURT—GENERAL PROVISIONS
effect Jan. 1, 2002; amended June 21, 2004, to take effect that he or she is in danger of being defrauded by
Jan. 1, 2005.) a recovery by the plaintiff, and upon giving bond
Sec. 3-11. Appearance for Several Parties with surety to the plaintiff, in such amount as the
judicial authority approves, for the payment of
Where there are several plaintiffs or defend- such costs as the plaintiff may thereafter recover.
ants, the appearance shall state specifically either If the plaintiff recovers the whole claim, costs shall
that it is for all or that it is for certain specified be taxed against the defendant to the time of the
parties; otherwise the appearance shall not be appearance of such creditor, and for the residue
entered by the clerk. of the costs such creditor shall be liable upon his
(P.B. 1978-1997, Sec. 76.) or her bond; if only a part of the plaintiff’s claim
Sec. 3-12. Change in Name, Composition or is recovered, the whole costs shall be taxed
Membership of a Firm or Professional Cor- against the defendant, and the creditor shall not
poration be liable for the same; if judgment is rendered in
favor of the defendant, costs shall be taxed in his
(a) Whenever the appearance of a firm or or her favor against the plaintiff, but the judicial
professional corporation (hereinafter collectively authority may order that the judgment and execu-
referred to as ‘‘unit’’) has been entered upon the tion therefor shall belong to such creditor. No cred-
record of the court and there is a change in the itor so appearing shall be permitted to file a motion
name, composition or membership of such unit, to dismiss, or to plead or give in evidence the
it shall be the duty of such unit forthwith to notify, statute of limitations, or to plead that the contract
in writing, the director of court operations of the was not in writing according to the requirements of
Judicial Branch, giving the name, mailing address the statute, or to plead any other statutory defense
and telephone number of the successor firm, pro- consistent with the justice of the plaintiff’s claim.
fessional corporation or individual who will con- (See General Statutes § 52-86 and annotations.)
tinue the major portion of such unit’s business. In (P.B. 1978-1997, Sec. 79.)
court locations having access to the automated Sec. 3-14. Legal Interns
roll of attorneys, upon receipt of such notice the
appearance of such successor will be automati- An eligible legal intern may, under supervision
cally entered in lieu of the appearance of the by a member of the Connecticut bar as provided
former unit in all pending cases. In other court in Section 3-15, appear in court with the approval
locations, unless such successor unit files a notice of the judicial authority or before an administrative
to the clerks pursuant to Section 2-26 or withdraws tribunal, subject to its permission, on behalf of any
person, if that person has indicated in writing his
its appearance under the provisions of Section
or her consent to the intern’s appearance and the
3-10, the former unit’s original appearance shall supervising attorney has also indicated in writing
remain on file in each case in which it had been approval of that appearance.
entered and the clerk may rely on the information (P.B. 1978-1997, Sec. 68.)
contained therein for the purpose of giving notice
to such unit regarding court activities involving the Sec. 3-15. —Supervision of Legal Interns
cases in which the unit remains active. The member of the bar under whose supervi-
(b) In each case where such successor will no sion an eligible legal intern does any of the things
longer represent the party or parties for whom the permitted by these rules shall:
original unit had entered an appearance, it is the (1) be an attorney who has been admitted to
duty of the new attorney who will represent such the Connecticut bar for at least three years, or
party or parties to enter an appearance, and it is one who is employed by an attorney of five years’
the duty of the successor firm, professional corpo- standing, or one who is employed by an accred-
ration or individual to withdraw such unit’s appear- ited law school in Connecticut, or one who is
ance under the provisions of Section 3-10. approved as a supervising attorney by the presid-
(P.B. 1978-1997, Sec. 78.) ing judge in the case at bar;
(2) assume personal professional responsibility
Sec. 3-13. When Creditor May Appear and for the intern’s work;
Defend (3) assist the intern in his or her preparation to
In any action in which property has been attached, the extent the supervising attorney considers nec-
any person may appear and defend in the name essary;
of the defendant, upon filing in the court an affida- (4) be present in court with the intern.
(P.B. 1978-1997, Sec. 69.)
vit that he or she is a creditor of the defendant
and has good reason to believe, and does believe, Sec. 3-16. —Requirements and Limitations
that the amount which the plaintiff claims was not (a) In order to appear pursuant to these rules,
justly due at the commencement of the suit and the legal intern must:
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SUPERIOR COURT—GENERAL PROVISIONS Sec. E3-22
(1) be certified by a law school approved by the (1) shall be filed with the clerk of the Superior
American Bar Association or by the bar examin- Court in Hartford and, unless it is sooner with-
ing committee; drawn, shall remain in effect until the announce-
(2) have completed legal studies amounting to ment of the results of the second Connecticut bar
at least two semesters of credit in a three or four examination following the intern’s graduation. For
year course of legal studies, or the equivalent if any intern who passes that examination, the certi-
the school is on some basis other than a semester fication shall continue in effect until the date of
basis except that the dean may certify a student admission to the bar.
under this section who has completed less than (2) shall terminate if the intern, prior to gradua-
two semesters of credit or the equivalent to enable tion, is no longer duly enrolled in an accredited
that student to participate in a faculty supervised law school.
law school clinical program; (3) may be terminated by the dean at any time
(3) be certified by the dean of his or her law by mailing a notice to that effect to the clerk of
school as being of good character and competent the Superior Court in Hartford and to the intern.
legal ability; It is not necessary that the notice to the Superior
(4) be introduced to the court in which he or she Court state the cause for termination.
is appearing by an attorney admitted to practice (4) may be terminated by the Superior Court at
any time upon notice to the intern, to the dean
in that court;
and to the Superior Court in Hartford.
(5) comply with the provisions of Section 3-21 (P.B. 1978-1997, Sec. 72.)
if enrolled in a law school outside the state of Con-
necticut. Sec. 3-19. —Legal Internship Committee
(b) A legal intern may not be employed or com- [Repealed as of Jan. 1, 2019.]
pensated directly by a client for services rendered. Sec. 3-20. —Unauthorized Practice
This section shall not prevent an attorney, legal Nothing contained in these rules shall affect the
aid bureau, law school, public defender agency right of any person who is not admitted to the
or the state from compensating an eligible intern. practice of law to do anything that he or she might
(P.B. 1978-1997, Sec. 70.) (Amended June 28, 1999, to lawfully do prior to their adoption, nor shall they
take effect Jan. 1, 2000; amended June 22, 2009, to take
enlarge the rights of persons, not members of the
effect Jan. 1, 2010.)
bar or legal interns covered by these rules, to
Sec. 3-17. —Activities of Legal Intern engage in activities customarily considered to be
the practice of law.
(a) In each case where a legal intern appears (P.B. 1978-1997, Sec. 74.)
in court or before an administrative tribunal, the
written consent and approval referred to in Section Sec. 3-21. —Out-of-State Interns
3-14 shall be filed in the record of the case and A legal intern who is certified under a legal
shall be brought to the attention of the judicial internship program or student practice rule in
authority or the presiding officer of the administra- another state or in the District of Columbia may
tive tribunal. appear in a court or before an administrative tribu-
(b) In addition to appearing in court or before nal of Connecticut under the same circumstances
an administrative tribunal, an intern may, under and on the same conditions as those applicable
the supervision of a member of the bar: to certified Connecticut legal interns, if the out-
of-state intern files with the clerk of the Superior
(1) prepare pleadings and other documents to Court in Hartford a certification by the dean of
be filed in any matter; his or her law school of his or her admission to
(2) prepare briefs, abstracts and other doc- internship or student practice in that state or in
uments. the District of Columbia, together with the text of
(c) Each document or pleading must contain that state’s or the District of Columbia’s applicable
the name of the intern who participated in drafting statute or rule governing such admissions.
it and must be signed by the supervising attorney. (P.B. 1978-1997, Sec. 75.) (Amended June 15, 2018, to
(P.B. 1978-1997, Sec. 71.) (Amended June 15, 2018, to take effect Jan. 1, 2019.)
take effect Jan. 1, 2019.)
Sec. E3-22. Certified Law School Graduates
Sec. 3-18. —Certification of Intern See Appendix of Section 1-9B Changes.
(Adopted June 26, 2020, to take effect retroactively May
The certification of an intern by the law school 11, 2020, on an interim basis, but until no later than November
dean: 15, 2021.)
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Sec. 4-1 SUPERIOR COURT—GENERAL PROVISIONS
CHAPTER 4
PLEADINGS
Sec. Sec.
4-1. Form of Pleading 4-7. Personal Identifying Information To Be Omitted or
4-2. Signing of Pleading
4-3. Filing and Endorsing Pleadings Redacted from Court Records in Civil and Family
4-4. Electronic Filing Matters
4-5. Notice Required for Ex Parte Temporary Injunctions 4-8. Notice of Complaint or Action Filed Against Judicial
4-6. Page Limitations for Briefs, Memoranda of Law and Authority
Reply Memoranda
For previous Histories and Commentaries see the editions of the Practice Book
corresponding to the years of the previous amendments.
Sec. 4-1. Form of Pleading by an attorney shall sign his or her pleadings and
(a) All documents filed in paper format shall be other papers. The name of the attorney or party
typed or printed on size 81/2 by 11 inch paper, shall who signs such document shall be legibly typed
have no back or cover sheet, and shall include a or printed beneath the signature.
page number on each page other than the first (b) The signing of any pleading, motion, objec-
page. Those subsequent to the complaint shall tion or request shall constitute a certificate that
be headed with the title and number of the case, the signer has read such document, that to the
the name of the court, and the date and designa- best of the signer’s knowledge, information and
tion of the particular pleading, in conformity with belief there is good ground to support it, that it is
the applicable form in the rules of practice which not interposed for delay, and that the signer has
is set forth in the Appendix of Forms in this volume. complied with the requirements of Section 4-7
(b) At the bottom of the first page of each paper, regarding personal identifying information. Each
a blank space of approximately two inches shall pleading and every other court-filed document
be reserved for notations of receipt or time of signed by an attorney or party shall set forth the
filing by the clerk and for statements by counsel signer’s telephone number and mailing address.
pursuant to Section 11-18 (a) (2). Papers shall be (c) An attorney may assist a client in prepar-
punched with two holes, two and twelve-six- ing a pleading, motion or other document to be
teenths inches apart, each centered seven-six- signed and filed in court by the client. In such
teenths of an inch from the upper edge, one being cases, the attorney shall insert the notation ‘‘pre-
two and fourteen-sixteenths inches from the left- pared with assistance of counsel’’ on any plead-
hand edge and the other being the same distance ing, motion or document prepared by the attorney.
from the right-hand edge, and each four-six- The attorney is not required to sign the pleading,
teenths of an inch in diameter. motion or document and the filing of such a plead-
(c) All documents filed electronically shall be ing, motion or document shall not constitute an
in substantially the same format as required by appearance by the attorney.
subsection (a) of this section. (P.B. 1978-1997, Sec. 119.) (Amended June 22, 2009, to
take effect Jan. 1, 2010; amended June 14, 2013, to take
(d) The clerk may require a party to correct any effect Oct. 1, 2013.)
filed paper which is not in compliance with this
section by substituting a paper in proper form. Sec. 4-3. Filing and Endorsing Pleadings
(e) This section shall not apply to forms supplied All pleadings, written motions, and papers in
by the Judicial Branch or generated by the elec- pending cases shall be filed with and kept by the
tronic filing system. clerk of the court, who shall endorse upon each
(P.B. 1978-1997, Sec. 118.) (Amended Aug. 24, 2001, to
take effect Jan. 1, 2002; amended June 20, 2011, to take
the time when it is filed, and make a like entry
effect Jan. 1, 2012; amended June 13, 2014, to take effect upon the clerk’s docket and the file.
Jan. 1, 2015.) (P.B. 1978-1997, Sec. 127.)
Sec. 4-2. Signing of Pleading Sec. 4-4. Electronic Filing
(a) Every pleading and other paper of a party Papers may be filed, signed or verified by elec-
represented by an attorney shall be signed by tronic means that comply with procedures and
at least one attorney of record in the attorney’s technical standards established by the Office of
individual name. A party who is not represented the Chief Court Administrator, which may also
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SUPERIOR COURT—GENERAL PROVISIONS Sec. 4-8
set forth the manner in which such papers shall authority. The judicial authority may also permit
be kept by the clerk. A paper filed by electronic the filing of a supplemental brief of a particular
means in compliance with such procedures and number of pages. The text of any brief shall be
standards constitutes a written paper for the pur- double-spaced and the type font shall be no
pose of applying these rules. smaller than 12 point. The judicial authority may
(Adopted June 29, 1998, to take effect Jan. 1, 1999; in its discretion limit the number of pages of any
amended June 30, 2008, to take effect Jan. 1, 2009.) brief to less than thirty-five.
Sec. 4-5. Notice Required for Ex Parte Tem- (b) Any reply memorandum filed pursuant to
porary Injunctions Section 11-10 (b) shall not exceed ten pages with-
(a) No temporary injunction shall be granted out the permission of the judicial authority.
(Adopted June 26, 2000, to take effect Jan. 1, 2001;
without notice to each opposing party unless the amended June 12, 2015, to take effect Jan. 1, 2016.)
applicant certifies one of the following to the court
in writing: Sec. 4-7. Personal Identifying Information
(1) facts showing that within a reasonable time To Be Omitted or Redacted from Court
prior to presenting the application the applicant Records in Civil and Family Matters
gave notice to each opposing party of the time (a) As used in this section, ‘‘personal identifying
when and the place where the application would information’’ means: an individual’s date of birth;
be presented and provided a copy of the applica- mother’s maiden name; motor vehicle operator’s
tion; or license number; Social Security number; other
(2) the applicant in good faith attempted but government issued identification number except
was unable to give notice to an opposing party or for juris, license, permit or other business related
parties, specifying the efforts made to contact identification numbers that are otherwise made
such party or parties; or available to the public directly by any government
(3) facts establishing good cause why the appli- agency or entity; health insurance identification
cant should not be required to give notice to each number; or any financial account number, security
opposing party. code or personal identification number (PIN). For
(b) When an application for a temporary injunc- purposes of this section, a person’s name is spe-
tion is granted without notice or without a hearing, cifically excluded from this definition of personal
the court shall schedule an expeditious hearing identifying information unless the judicial authority
as to whether the temporary injunction should has entered an order allowing the use of a pseud-
remain in effect. Any temporary injunction which onym in place of the name of a party. If such an
was granted without a hearing shall automatically order has been entered, the person’s name is
expire thirty days following its issuance, unless included in this definition of ‘‘personal identify-
the court, following a hearing, determines that said ing information.’’
(b) Persons who file documents with the court
injunction should remain in effect. shall not include personal identifying information,
(c) For purposes of this rule, notice to the
and if any such personal identifying information
opposing party means notice to the opposing par- is present, shall redact it from any documents filed
ty’s attorney if the applicant knows who the oppos- with the court, whether filed in electronic or paper
ing party’s attorney is; if the applicant does not format, unless otherwise required by law or
know who the opposing party’s attorney is, notice ordered by the court. The party filing the redacted
shall be given to the opposing party. If the tempo- documents shall retain the original unredacted
rary injunction is sought against the state of Con- documents throughout the pendency of the action,
necticut, a city or town, or an officer or agency any appeal period, and any applicable appellate
thereof, notice shall be given to the attorney gen- process.
eral or to the city or town attorney or corporation (c) The responsibility for omitting or redacting
counsel, as the case may be. personal identifying information rests solely with
(d) This section shall not apply to applications the person filing the document. The court or the
for relief from physical abuse filed pursuant to clerk of the court need not review any filed docu-
General Statutes § 46b-15 or to motions for orders ment for compliance with this rule.
of temporary custody in juvenile matters filed pur- (Adopted June 22, 2009, to take effect Jan. 1, 2010;
suant to General Statutes § 46b-129. amended June 21, 2010, to take effect Jan. 1, 2011; amended
(Adopted June 26, 2000, to take effect Jan. 1, 2001.) June 15, 2012, to take effect Jan. 1, 2013; amended June 12,
2015, to take effect Jan. 1, 2016.)
Sec. 4-6. Page Limitations for Briefs, Memo-
randa of Law and Reply Memoranda Sec. 4-8. Notice of Complaint or Action Filed
(Amended June 12, 2015, to take effect Jan. 1, 2016.) Against Judicial Authority
(a) The text of any trial brief or any other brief An attorney or party who has filed a complaint
concerning a motion in any case shall not exceed with the Judicial Review Council or an administra-
thirty-five pages without permission of the judicial tive agency or has filed an action against any
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Sec. 4-8 SUPERIOR COURT—GENERAL PROVISIONS
judicial authority other than a small claims magis- judicial authority, shall mail such notice by certified
trate, shall give notice of the filing of such com- mail, return receipt requested or with electronic
plaint or action to the judicial authority and to all delivery confirmation, to the judicial authority at
other attorneys and parties of record in any matter the ___location at which such judicial authority is
pending before the judicial authority or, if the attor- assigned.
ney or party has no matter pending before the (Adopted June 15, 2018, to take effect Jan. 1, 2019.)
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SUPERIOR COURT—GENERAL PROVISIONS Sec. 5-8
CHAPTER 5
TRIALS
Sec. Sec.
5-1. Trial Briefs 5-8. Interlocutory Matters
5-2. Raising Questions of Law Which May Be the Subject 5-9. Citation of Opinion Not Officially Published
of an Appeal [Repealed]
5-3. Administering Oath 5-10. Sanctions for Counsel’s Failure To Appear
5-11. Testimony of Party or Child in Family Relations Matter
5-4. Examination of Witnesses When Protective Order, Restraining Order, Stand-
5-5. Objections to Evidence; Interlocutory Questions; ing Criminal Protective Order or Standing Criminal
Exceptions Not Required Restraining Order Issued on Behalf of Party or
5-6. Reception of Evidence Objected to Child
5-7. Marking Exhibits 5-12. Objection to the Use of a Peremptory Challenge
For previous Histories and Commentaries see the editions of the Practice Book
corresponding to the years of the previous amendments.
Sec. 5-1. Trial Briefs Sec. 5-5. Objections to Evidence; Interlocu-
The parties shall, if the judicial authority so tory Questions; Exceptions Not Required
orders, file, at such time as the judicial authority Whenever an objection to the admission of evi-
shall determine, written trial briefs discussing the dence is made, counsel shall state the grounds
issues in the case and the factual or legal basis upon which it is claimed or upon which objec-
upon which they ought to be resolved. tion is made, succinctly and in such form as he
(P.B. 1978-1997, Sec. 285A.) (Amended June 14, 2013, or she desires it to go upon the record, before
to take effect Jan. 1, 2014.)
any discussion or argument is had. Argument
Sec. 5-2. Raising Questions of Law Which upon such objection or upon any interlocutory
May Be the Subject of an Appeal question arising during the trial of a case shall
Any party intending to raise any question of law not be made by either party unless the judicial
which may be the subject of an appeal must either authority requests it and, if made, must be brief
state the question distinctly to the judicial authority and to the point.
in a written trial brief under Section 5-1 or state (P.B. 1978-1997, Secs. 288, 850A.)
the question distinctly to the judicial authority on Sec. 5-6. Reception of Evidence Objected to
the record before such party’s closing argument
and within sufficient time to give the opposing Whenever evidence offered upon trial is
counsel an opportunity to discuss the question. If objected to as inadmissible, the judicial authority
the party fails to do this, the judicial authority will or committee trying such case shall not admit such
be under no obligation to decide the question. evidence subject to the objection, unless both par-
(See Secs. 877, 285A, P.B.1978-1997.)(P.B. 1998.) ties agree that it be so admitted; but, if either party
requests a decision, such judicial authority or
Sec. 5-3. Administering Oath committee shall pass upon such objection and
The oath or affirmation shall be administered admit or reject the testimony. (See General Stat-
deliberately and with due solemnity, as the wit- utes § 52-208 and annotations.)
ness takes the stand. The official court reporter (P.B. 1978-1997, Sec. 289.)
or court recording monitor shall note by whom it
was administered. Sec. 5-7. Marking Exhibits
(P.B. 1978-1997, Sec. 286.) (Amended June 26, 2020, to
take effect Jan. 1, 2021.)
Unless otherwise ordered by the judicial author-
ity, the clerk shall mark all exhibits not marked in
Sec. 5-4. Examination of Witnesses advance of trial and shall keep a list of all exhibits
The counsel who commences the examina- marked for identification or received in evidence
tion of a witness, either in chief or on cross-exami- during the course of the trial.
nation, must alone conduct it; and no associate (P.B. 1978-1997, Sec. 291.)
counsel will be permitted to interrogate the wit-
ness, except by permission of the judicial author- Sec. 5-8. Interlocutory Matters
ity. No more than one counsel on each side shall
(P.B. 1978-1997, Secs. 287, 875.) be heard on any question of evidence, or upon any
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Sec. 5-8 SUPERIOR COURT—GENERAL PROVISIONS
interlocutory motion or motion to dismiss, without Sec. 5-12. Objection to the Use of a Peremp-
permission of the judicial authority. tory Challenge
(P.B. 1978-1997, Sec. 293.) (a) Policy and Purpose. The purpose of this
rule is to eliminate the unfair exclusion of potential
Sec. 5-9. Citation of Opinion Not Officially jurors based upon race or ethnicity.
Published (b) Objection. A party may object to the use
[Repealed as of Jan. 1, 2014.] of a peremptory challenge to raise a claim of
improper bias. The court may also raise this objec-
Sec. 5-10. Sanctions for Counsel’s Failure tion on its own. The objection shall be made by
To Appear simple citation to this rule, and any further discus-
Counsel who fails to appear on a scheduled sion shall be conducted outside the presence of
date for any hearing or trial or who requests a the prospective juror.
continuance without cause or in any other way (c) Response. Upon objection to the exercise
delays a case unnecessarily will be subject to of a peremptory challenge pursuant to this rule,
sanctions pursuant to General Statutes § 51-84. the party exercising the peremptory challenge
(P.B. 1978-1997, Sec. 983.) shall articulate the reason that the peremptory
challenge has been exercised.
Sec. 5-11. Testimony of Party or Child in (d) Determination. The court shall then evalu-
Family Relations Matter When Protective ate from the perspective of an objective observer,
Order, Restraining Order, Standing Criminal as defined in subsection (e) herein, the reason
Protective Order or Standing Criminal given to justify the peremptory challenge in light
Restraining Order Issued on Behalf of Party of the totality of the circumstances. If the court
or Child determines that the use of the challenge against
(Amended June 20, 2011, to take effect Jan. 1, 2012.) the prospective juror, as reasonably viewed by an
(a) In any court proceeding in a family relations objective observer, legitimately raises the appear-
matter, as defined in General Statutes § 46b-1, ance that the prospective juror’s race or ethnicity
or in any proceeding pursuant to General Statutes was a factor in the challenge, then the challenge
§ 46b-38c, the court may, except as otherwise shall be disallowed and the prospective juror shall
required by law and within available resources, be seated. If the court determines that the use of
upon motion of any party, order that the testimony the challenge does not raise such an appearance,
of a party or a child who is a subject of the pro- then the challenge shall be permitted and the pro-
spective juror shall be excused. The court need
ceeding be taken outside the physical presence
not find purposeful discrimination to disallow the
of any other party if a protective order, restraining
peremptory challenge. The court must explain its
order, standing criminal protective order or stand- ruling on the record. A party whose peremptory
ing criminal restraining order has been issued on challenge has been disallowed pursuant to this
behalf of the party or child, and the other party is rule shall not be prohibited from attempting to
subject to the protective order or restraining order. challenge peremptorily the prospective juror for
Such order may provide for the use of alternative any other reason or from conducting further voir
means to obtain the testimony of any party or dire of the prospective juror.
child, including, but not limited to, the use of a (e) Nature of Observer. For the purpose of
secure video connection for the purpose of con- this rule, an objective observer: (1) is aware that
ducting hearings by videoconference. Such testi- purposeful discrimination, and implicit, institu-
mony may be taken outside the courtroom or at tional, and unconscious biases, have historically
another ___location inside or outside the state. The resulted in the unfair exclusion of potential jurors
court shall provide for the administration of an on the basis of their race, or ethnicity; and (2) is
oath to such party or child prior to the taking of deemed to be aware of and to have given due
such testimony as required by law. consideration to the circumstances set forth in
(b) Nothing in this section shall be construed to subsection (f) herein.
limit any party’s right to cross-examine a witness (f) Circumstances considered. In making its
whose testimony is taken pursuant to an order determination, the circumstances the court should
under subsection (a) hereof. consider include, but are not limited to, the fol-
(c) An order under this section may remain in lowing:
effect during the pendency of the proceedings in (1) the number and types of questions posed
the family relations matter. to the prospective juror including consideration
(Adopted June 21, 2010, to take effect Jan. 1, 2011; of whether the party exercising the peremptory
amended June 20, 2011, to take effect Jan. 1, 2012.) challenge failed to question the prospective juror
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SUPERIOR COURT—GENERAL PROVISIONS Sec. 5-12
about the alleged concern or the questions asked The presumptive invalidity of any such reason
about it; may be overcome as to the use of a peremptory
(2) whether the party exercising the peremptory challenge on a prospective juror if the party exer-
challenge asked significantly more questions or cising the challenge demonstrates to the court’s
different questions of the prospective juror, unre- satisfaction that the reason, viewed reasonably
lated to his testimony, than were asked of other and objectively, is unrelated to the prospective
prospective jurors; juror’s race or ethnicity and, while not seen by the
(3) whether other prospective jurors provided court as sufficient to warrant excusal for cause,
similar answers but were not the subject of a legitimately bears on the prospective juror’s ability
peremptory challenge by that party; to be fair and impartial in light of particular facts
(4) whether a reason might be disproportion- and circumstances at issue in the case.
(h) Reliance on Conduct. The following rea-
ately associated with a race or ethnicity;
sons for peremptory challenges also have histori-
(5) if the party has used peremptory challenges cally been associated with improper discrimination
disproportionately against a given race or ethnicity in jury selection: allegations that the prospective
in the present case, or has been found by a court juror was inattentive, failing to make eye contact
to have done so in a previous case; or exhibited a problematic attitude, body lan-
(6) whether issues concerning race or ethnicity guage, or demeanor. If any party intends to offer
play a part in the facts of the case to be tried; one of these reasons or a similar reason as a
(7) whether the reason given by the party exer- justification for a peremptory challenge, that party
cising the peremptory challenge was contrary to must provide reasonable notice to the court and
or unsupported by the record. the other parties so the behavior can be verified
(g) Reasons Presumptively Invalid. Because and addressed in a timely manner. A party who
historically the following reasons for peremptory intends to exercise a peremptory challenge for
challenges have been associated with improper reasons relating to those listed above in this sub-
discrimination in jury selection in Connecticut or section shall, as soon as practicable, notify the
may be influenced by implicit or explicit bias, the court and the other party in order to determine
following are presumptively invalid reasons for a whether such conduct was observed by the court
peremptory challenge: or that party. If the alleged conduct is not corrobo-
rated by observations of the court or the objecting
(1) having prior contact with law enforcement party, then a presumption of invalidity shall apply
officers; but may be overcome as set forth in subsection
(2) expressing a distrust of law enforcement or (g).
a belief that law enforcement officers engage in (i) Review Process. The chief justice shall
racial profiling; appoint an individual or individuals to monitor
(3) having a close relationship with people who issues relating to this rule.
have been stopped, arrested, or convicted of a (Adopted June 10, 2022, to take effect Jan. 1, 2023.)
crime; COMMENTARY—2023: This new rule is intended to elimi-
nate the unfair exclusion of potential jurors based upon race
(4) living in a high crime neighborhood; or ethnicity.
(5) having a child outside of marriage; TECHNICAL CHANGE: In subsection (h), a technical
(6) receiving state benefits; change was made to correct an internal reference.
(7) not being a native English speaker; and
(8) having been a victim of a crime.
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Sec. 6-1 SUPERIOR COURT—GENERAL PROVISIONS
CHAPTER 6
JUDGMENTS
Sec. Sec.
6-1. Statement of Decision; When Required 6-4. —Signing of Judgment File
6-2. Judgment Files; Captions and Contents 6-5. —Notation of Satisfaction
6-3. —Preparation; When; By Whom; Filing
For previous Histories and Commentaries see the editions of the Practice Book
corresponding to the years of the previous amendments.
Sec. 6-1. Statement of Decision; When shall file a brief with the trial court discussing the
Required legal and factual issues in the matter. Within
(a) The judicial authority shall state its decision twenty days after the briefs have been filed by
either orally or in writing, in all of the following: the parties, the judicial authority shall file a written
(1) in rendering judgments in trials to the court in memorandum of decision stating the factual basis
civil and criminal matters, including rulings regard- for its decision on the issues in the matter and
ing motions for stay of execution, (2) in ruling its conclusion as to each claim of law raised by
on aggravating and mitigating factors in capital the parties.
penalty hearings conducted to the court, (3) in (P.B. 1978-1997, Sec. 334A.) (Amended June 28, 1999,
to take effect Jan. 1, 2000; amended June 26, 2020, to take
ruling on motions to dismiss under Sections 41-8 effect Jan. 1, 2021.)
through 41-11, (4) in ruling on motions to suppress
under Sections 41-12 through 41-17, (5) in grant- Sec. 6-2. Judgment Files; Captions and
ing a motion to set aside a verdict under Sections Contents
16-35 through 16-38, and (6) in making any other The name and residence of every party to the
rulings that constitute a final judgment for pur- action, at the date of judgment, must be given
poses of appeal under General Statutes § 52-263, in the caption of every judgment file. In the cap-
including those that do not terminate the proceed- tions of pleas, answers, etc., the parties may be
ings. The judicial authority’s decision shall encom- described as John Doe v. Richard Roe et al., but
pass its conclusion as to each claim of law raised this will not be sufficient in a judgment file, which
by the parties and the factual basis therefor. If must give all the data necessary for use in drawing
oral, the decision shall be recorded by an official any execution that may be necessary. All judg-
court reporter or court recording monitor and, if ment files in actions for dissolution of marriage or
there is an appeal, the trial judge shall create a civil union, legal separation and annulment shall
memorandum of decision for use in the appeal by state the date and place, including the city or town,
ordering a transcript of the portion of the proceed- of the marriage and the jurisdictional facts as
ings in which it stated its oral decision. The tran- found by the judicial authority upon the hearing.
script of the decision shall be signed by the trial (P.B. 1978-1997, Sec. 336.) (Amended June 26, 2006, to
judge and filed in the trial court clerk’s office. take effect Jan. 1, 2007.)
This section does not apply in small claims
actions and to matters listed in subsection (b). Sec. 6-3. —Preparation; When; By Whom;
(b) In any uncontested matter where no aspect Filing
of the matter is in dispute, in a pendente lite family (a) Judgment files in civil, criminal, family and
relations matter whether contested or uncontested, juvenile cases shall be prepared when: (1) an
or in any dismissal under Section 14-3, the oral appeal is taken; (2) a party requests in writing that
or written decision as provided in subsection (a) the judgment be incorporated into a judgment file;
is not required, except as provided in subsection (3) a judgment has been entered involving the
(c). The clerk of the trial court shall, however, granting of a dissolution of marriage or civil union,
promptly notify the trial judge of the filing of the a legal separation, an annulment, injunctive relief,
appeal. or title to property (including actions to quiet title
(c) Within twenty days from the filing of an but excluding actions of foreclosure), except in
appeal from a contested pendente lite order or those instances where judgment is entered in
from a dismissal under Section 14-3 in which an such cases pursuant to Section 14-3 and no
oral or written decision has not been made pursu- appeal has been taken from the judicial authority’s
ant to subsection (b), each party to the appeal judgment; (4) a judgment has been entered in a
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SUPERIOR COURT—GENERAL PROVISIONS Sec. 6-5
juvenile matter involving allegations that a child hereby certify that the foregoing judgment file con-
has been neglected, abused, or uncared for, or forms to the judgment entered by the court’’; the
involving termination of parental rights or com- clerk or assistant clerk, after ascertaining that the
mitment of a child from a family with service terms of the judgment have been correctly incor-
needs; (5) in criminal cases, sentence review is porated into the judgment file, may sign any judg-
requested; or (6) ordered by the judicial authority. ment file so endorsed.
(b) Unless otherwise ordered by the judicial (c) In those cases in which there is no provision
authority, the judgment file in juvenile cases shall in this section for a clerk to sign a judgment file
be prepared by the clerk and in all other cases, and in which a case has been tried and judgment
in the clerk’s discretion, by counsel or the clerk. has been directed in open court or by memoran-
As to judgments of foreclosure, the clerk’s office dum of decision and the trial judge shall die or
shall prepare a certificate of judgment in accord- become incapacitated before the judgment file is
ance with a form prescribed by the chief court signed, any judge holding such court may exam-
administrator only when requested in the event ine the docket and file and, if it appears therefrom
of a redemption. In those cases in which a plaintiff that the issues have been definitely decided and
has secured a judgment of foreclosure under that the only thing remaining to be done is the
authority of General Statutes § 49-17, when signing of the judgment file, the judgment file may
requested, the clerk shall prepare a decree of be drawn up by that judge or under that judge’s
foreclosure in accordance with a form prescribed direction and signed by him or her.
by the chief court administrator. (d) Whenever a clerk or assistant clerk signs a
(c) Judgment files in family cases shall be filed judgment file, the signer’s name shall be legibly
within sixty days of judgment. typed or printed beneath such signature.
(P.B. 1978-1997, Sec. 337.) (Amended June 26, 2006, to (P.B. 1978-1997, Sec. 338.) (Amended June 24, 2002, to
take effect Jan. 1, 2007; amended June 15, 2012, to take take effect Jan. 1, 2003; amended June 26, 2006, to take
effect Jan. 1, 2013; amended June 13, 2014, to take effect effect Jan. 1, 2007.)
Jan. 1, 2015; amended June 13, 2019, to take effect Jan. Sec. 6-5. —Notation of Satisfaction
1, 2020.)
When the judgment is satisfied in a civil action,
Sec. 6-4. —Signing of Judgment File the party recovering the judgment shall file written
(a) Except as hereinafter provided, the judg- notice thereof with the clerk, who shall endorse
ment file, where it is necessary that it be prepared judgment satisfied on the judgment file, if there is
pursuant to Section 6-3, shall be signed by the one, and make a similar notation on the file and
clerk or assistant clerk unless otherwise ordered docket sheet, giving the name of the party and
by the judicial authority. the date. An execution returned fully satisfied shall
(b) In all actions involving dissolution of mar- be deemed a satisfaction of judgment and the
riage or civil union where counsel have appeared notice required in this section shall not be filed.
The judicial authority may, upon motion, make a
for both the plaintiff and the defendant, unless the
determination that the judgment has been sat-
judicial authority shall order otherwise, counsel
isfied.
for the parties shall endorse their approval of the (P.B. 1978-1997, Sec. 339.) (Amended June 25, 2001, to
judgment file immediately below the line for the take effect Jan. 1, 2002; amended June 30, 2003, to take
subscribing authority in the following words: ‘‘I effect Jan. 1, 2004.)
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Sec. 7-1 SUPERIOR COURT—GENERAL PROVISIONS
CHAPTER 7
CLERKS; FILES AND RECORDS
Sec. Sec.
7-1. Dockets; Clerk’s Records 7-11. —Judgments on the Merits—Stripping and Retention
7-2. General Duties of Clerk 7-12. —Actions Affecting the Title to Land
7-3. Financial Accounts 7-13. —Criminal/Motor Vehicle Files and Records
7-4. Daybook 7-14. —Reports from Adult Probation and Family Division
7-4A. Identification of Cases 7-15. —Retention Ordered by Chief Court Administrator;
7-4B. Motion To File Record under Seal Transfer to State Library
7-4C. Lodging a Record 7-16. —Motion To Prevent Destruction of File
7-5. Notice To Attorneys and Self-Represented Parties 7-17. Clerks’ Offices
7-6. Filing of Papers 7-18. Hospital, Psychiatric and Medical Records
7-7. Custody of Files 7-19. Issuing Subpoenas for Witnesses on Behalf of Self-
7-8. Lost File or Pleading Represented Litigants
7-9. Completing Records 7-20. Records of Short Calendar Matters
7-10. Retention and Destruction of Files and Records; With- 7-21. Removing Exhibits and Other Papers
drawals, Dismissals, Satisfactions of Judgment
For previous Histories and Commentaries see the editions of the Practice Book
corresponding to the years of the previous amendments.
Sec. 7-1. Dockets; Clerk’s Records filed on a docket of the court ___location. Each entry
The clerk shall keep a record of all pending shall state the first named plaintiff and the first
cases, including applications and petitions made named defendant, unless otherwise prohibited by
to the court, together with a record of each paper statute or ordered by the judicial authority, the
filed and order made or judgment rendered date of filing and the number assigned to the case.
therein, with the date of such filing, making or ren- Daybooks shall be retained for a period deter-
dition. Duplicates of these records shall be kept mined by the chief court administrator.
with the original file in the case. (P.B. 1978-1997, Sec. 397.)
(P.B. 1978-1997, Sec. 250.)
Sec. 7-2. General Duties of Clerk Sec. 7-4A. Identification of Cases
The clerk at each court ___location shall receive Except as otherwise required by statute, every
files, processes and documents, make records of case filed in the Superior Court shall be identified
all proceedings required to be recorded, have the as existing in the records of the court by docket
custody of the files and records of the court loca- number and by the names of the parties, and this
tion except those sent to the records center, make information shall be available to the public.
and certify true copies of the files and records at (Adopted May 14, 2003, to take effect July 1, 2003.)
the court ___location of which each is the clerk, make COMMENTARY—2003: In all cases brought, the records
and keep dockets of causes therein, issue execu- of the clerk’s office shall reflect a docket number and names
tions on judgments and perform all other duties of the parties involved. This information shall be available to
imposed on such clerks by law. Each such clerk any member of the public who shall request such information.
The names of the parties reflected in the records of the clerk’s
shall collect and receive all fines and forfeitures office shall reflect the true identity of the parties unless permis-
imposed or decreed by the court, including fines sion has been granted for use of a pseudonym pursuant to
paid after commitment. (See General Statutes Section 11-20A. If a motion for use of a pseudonym is granted,
§ 51-52 and annotations.) then the records of the clerk’s office shall reflect that pseu-
(P.B. 1978-1997, Sec. 395.) donym.
Sec. 7-3. Financial Accounts
The clerk shall make and keep adequate Sec. 7-4B. Motion To File Record under Seal
accounts showing all receipts and disbursements. (a) As used in this section, ‘‘record’’ means any
Records of such accounts shall be retained for affidavit, document, or other material.
such period as determined by the chief court (b) A party filing a motion requesting that a
administrator. record be filed under seal or that its disclosure
(P.B. 1978-1997, Sec. 396.) be limited shall lodge the record with the court
Sec. 7-4. Daybook pursuant to Section 7-4C when the motion is filed,
The clerk shall keep daybooks in which to enter unless the judicial authority, for good cause
each case on the date upon which the matter is shown, orders that the record need not be lodged.
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SUPERIOR COURT—GENERAL PROVISIONS Sec. 7-8
The motion must be accompanied by an appro- container in bold letters the words ‘‘Sealed by
priate memorandum of law to justify the sealing Order of the Court on (Date)’’ or ‘‘Disclosure
or limited disclosure. Limited by Order of the Court on (Date),’’ as
(c) If necessary to prevent disclosure, the appropriate, and shall affix to the envelope or con-
motion, any objection thereto, and any supporting tainer a copy of the court’s order and the pub-
records must be filed in a public redacted version lic redacted version of the motion. If the judicial
and lodged in a nonredacted version conditionally authority denies the motion and the submitting
under seal. party requests in writing that the record be retained
(d) If the judicial authority denies the motion to as a lodged record, the clerk shall prominently
seal or to limit disclosure, the clerk shall either (1) place on the envelope or container in bold letters
return the lodged record to the submitting party the words ‘‘Motion Denied, Retain as Lodged
and shall not place it in the court file or (2) upon Record’’ and shall affix to the envelope or con-
written request of the submitting party retain the tainer a copy of the court’s order and the public
record as a lodged record so that in the event the redacted version of the motion.
submitting party appeals the denial of the motion, (Adopted May 14, 2003, to take effect July 1, 2003.)
the lodged record can be part of the record on
appeal of the final judgment in the case. In the Sec. 7-5. Notice To Attorneys and Self-Rep-
latter event or if the judicial authority grants the resented Parties
motion, the clerk shall follow the procedure set The clerk shall give notice, by mail or by elec-
forth in Section 7-4C (e). If the lodged record is tronic delivery, to the attorneys of record and self-
retained pursuant to (2) above, the clerk shall represented parties unless otherwise provided by
return it to the submitting party or destroy it upon statute or these rules, of all judgments, nonsuits,
the expiration of the appeal period if no appeal defaults, decisions, orders and rulings unless
has been filed. made in their presence. The clerk shall record in
(Adopted May 14, 2003, to take effect July 1, 2003;
amended June 21, 2004, to take effect Jan. 1, 2005.)
the court file the date of the issuance of the notice.
(P.B. 1978-1997, Sec. 398.) (Amended June 20, 2011, to
COMMENTARY—2003: Sections 7-4B and 7-4C are nec-
take effect Jan. 1, 2012.)
essary to provide a uniform procedure for the filing of motions
to seal records and the processing of such motions by the
clerks. These rules are based on Rule 243.2 of the California Sec. 7-6. Filing of Papers
Rules of Court. No document in any case shall be filed by the
HISTORY—2005: In 2005, the words ‘‘or limited disclosure’’ clerk unless it has been signed by counsel or a
were added to the end of subsection (b).
COMMENTARY—2005: The above change made the rule
self-represented party and contains the title of
internally consistent. the case to which it belongs, the docket number
assigned to it by the clerk and the nature of the
Sec. 7-4C. Lodging a Record document. The document shall contain a certifica-
(a) A ‘‘lodged’’ record is a record that is tempo- tion of service in accordance with Sections 10-12
rarily placed or deposited with the court but not through 10-17, and, if required by Section 11-1,
filed. a proper order and order of notice if one or both
(b) A party who moves to file a record under are necessary.
seal or to limit its disclosure shall put the record in (P.B. 1978-1997, Sec. 399.)
a manila envelope or other appropriate container,
seal the envelope or container, and lodge it with Sec. 7-7. Custody of Files
the court. Clerks will not permit files, records, transcripts,
(c) The party submitting the lodged record must or exhibits to be taken from their offices, except
affix to the envelope or container a cover sheet for use in the courtroom or upon order of a judicial
that contains the case caption and docket number, authority. No person shall take any file from the
the words ‘‘Conditionally Under Seal,’’ the name custody of the clerk or from the courtroom without
of the party submitting the record and a statement the express authority of a judicial authority or a
that the enclosed record is subject to a motion to clerk of the court and unless a proper receipt is
file the record under seal. given to the clerk on a form prescribed by the
(d) Upon receipt of a record lodged under this Office of the Chief Court Administrator.
section, the clerk shall note on the affixed cover (P.B. 1978-1997, Sec. 400.)
sheet the date of its receipt and shall retain but
not file the record unless the court orders it filed. Sec. 7-8. Lost File or Pleading
(e) If the judicial authority grants the motion If any file or pleading be mislaid, lost or
to seal the record or to limit its disclosure, the destroyed the clerk may permit the original dupli-
clerk shall prominently place on the envelope or cate or a sworn copy to be substituted therefor in
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Sec. 7-8 SUPERIOR COURT—GENERAL PROVISIONS
the files, and such substitution shall be certified retention, the file in any action set forth in subsec-
by the clerk thereon. tion (d) may be transferred to the records center
(P.B. 1978-1997, Sec. 402.) or other proper designated storage area, where
it shall be retained for the balance of the retention
Sec. 7-9. Completing Records period. Files in actions concerning dissolution of
The clerk may, when so directed by a judicial marriage or civil union, legal separation, or annul-
authority, make up, amend and complete any ment may, upon agreement with officials of the
imperfect or unfinished record in such manner state library, be transferred to the state library at
as the judicial authority may direct. (See General the expiration of their retention period.
Statutes § 51-52a (b).) (d) The following is a schedule which sets forth
(P.B. 1978-1997, Sec. 403.) when a file may be stripped and the length of
Sec. 7-10. Retention and Destruction of time the file shall be retained. The time periods
Files and Records; Withdrawals, Dismiss- indicated herein shall run from the date judgment
als, Satisfactions of Judgment is rendered, except receivership actions or actions
for injunctive relief, which shall run from the date
The files in all civil, family and juvenile actions,
of the termination of the receivership or injunction.
including summary process and small claims,
which, before a final judgment has been rendered
on the issues, have been terminated by the filing Type of Case Stripping Retention
Date Date
of a withdrawal or by a judgment of dismissal or
(1) Administrative appeals 3 years
nonsuit when the issues have not been resolved
on the merits or upon motion by any party or the (2) Contracts (where money dam- 1 year 20 years
ages are not awarded)
court, or in which judgment for money damages
only has been rendered and a full satisfaction of (3) Eminent ___domain (except as 10 years
such judgment has been filed, may be destroyed provided in Section 7-12)
upon the expiration of one year after such termina- (4) Family
tion or the rendition of such judgment. -Dissolution of marriage or civil 5 years 75 years
(P.B. 1978-1997, Sec. 403B.) (Amended June 29, 1998, union, legal separation, annul-
to take effect Jan. 1, 1999.) ment and change of name
-Delinquency Until subject is 25
Sec. 7-11. —Judgments on the Merits— years of age
Stripping and Retention -Family with service needs Until subject is 25
years of age
(a) With the exception of actions which affect -Termination of parental rights Permanent
the title to land and actions which have been dis- -Neglect and uncared for 75 years
posed of pursuant to Section 7-10, the files in civil, -Emancipation of minor 5 years
family and juvenile actions in which judgment has -Orders in relief from physical 5 years
been rendered may be stripped and destroyed abuse (General Statutes
pursuant to the schedule set forth in subsection § 46b-15)
-Other 75 years
(d), except that requests relating to discovery,
responses and objections thereto may be stripped (5) Family support magistrate 75 years
after the expiration of the appeal period. matters
(b) When a file is to be stripped, all papers in -Uniform Reciprocal Enforce- 75 years
ment of Support
the file shall be destroyed except: -Uniform Interstate Family Sup- 75 years
(1) The complaint, including any amendment port Act
thereto, substituted complaint or amended com- (6) Landlord/Tenant
plaint; -Summary process 3 years
(2) All orders of notice, appearances and offi- -Housing code enforcement 5 years
cers’ returns; (General Statutes § 47a-14h)
-Contracts/Leases (where 1 year 20 years
(3) All military or other affidavits; money damages are not
(4) Any cross complaint, third-party complaint, awarded)
or amendment thereto; -Money damages (except 1 year 26 years
(5) All responsive pleadings; where a satisfaction of judg-
ment has been filed)
(6) Any memorandum of decision;
(7) The judgment file or notation of the entry of (7) Miscellaneous
-Bar discipline 50 years
judgment, and all modifications of judgment;
-Money damages (except 1 year 26 years
(8) All executions issued and returned. where a satisfaction of judg-
(c) Upon the expiration of the stripping date, or ment has been filed)
at any time if facilities are not available for local -Mandamus, habeas corpus, 10 years
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SUPERIOR COURT—GENERAL PROVISIONS Sec. 7-13
arbitration, petition for new trial, information or indictment and any substitute infor-
action for an accounting, inter-
pleader mation, (4) a written plea of nolo contendere, (5)
-Injunctive relief (where no 5 years documents relating to programs for adjudication
other relief is requested) and treatment as a youthful offender, programs
(8) Property (except as provided 5 years 26 years
relating to family violence education, community
in Section 7-12) service labor, accelerated pretrial rehabilita-
tion, pretrial drug education, pretrial alcohol edu-
(9) Receivership 10 years
cation and treatment, determination of compe-
(10) Small claims 15 years tency to stand trial or suspension of prosecution or
(11) Torts (except as noted below) 1 year 26 years
any other programs for adjudication or treatment
-Money damages if the judg- Permanent which may be created from time to time, (6) any
ment was rendered in an action official receipts, (7) the judgment mittimus, (8) any
to recover damages for per- written notices of rights, (9) orders regarding pro-
sonal injury caused by sexual
assault where the party at fault bation, (10) any exhibits on file, (11) any tran-
was convicted under General scripts on file of proceedings held in the matter,
Statutes § 53a-70 or § 53a-70a and (12) the transaction sheet.
(except where a satisfaction of
judgment has been filed) (b) Unless otherwise ordered by the court, the
copy of the application for a search warrant and
(12) Wills and estates 10 years
affidavits filed pursuant to General Statutes § 54-
(13) Asset forfeiture (General Stat- 10 years 33c shall be destroyed upon the expiration of three
utes § 54-36h) years from the filing of the copy of the application
(14) Alcohol and drug commitment 10 years and affidavits with the clerk.
(General Statutes § 17a-685) (c) Except as otherwise provided, the papers
(15) All other civil actions (except as 75 years stripped from the court file may be destroyed upon
provided in Section 7-12) the expiration of ninety days from the date of dis-
position of the case.
(P.B. 1978-1997, Sec. 403C.) (Amended June 29, 1998, to
take effect Jan. 1, 1999; amended June 28, 1999, to take
(d) Upon the disposition of any criminal or motor
effect Jan. 1, 2000; amended June 30, 2003, to take effect vehicle case in which the defendant has been
Jan. 1, 2004; amended June 26, 2006, to take effect Jan. 1, released pursuant to a bond, the clerk shall
2007; amended June 15, 2012, to take effect Jan. 1, 2013; remove the bond form from the file and maintain
amended June 23, 2017, to take effect Jan. 1, 2018.) it in the clerk’s office for such periods as deter-
Sec. 7-12. —Actions Affecting the Title to mined by the chief court administrator.
Land (e) Upon the disposition of any criminal or motor
vehicle case in which property is seized, whether
Files in any actions concerning title to land pursuant to a search warrant, an arrest, an in rem
which are terminated by a final judgment affecting proceeding or otherwise, the clerk shall remove
any right, title or interest in real property shall be the executed search warrant, if any, papers relat-
retained for forty years in the office of the clerk ing to any in rem proceedings, if any, and the
of the court ___location in which the judgment is ren- inventory of the seized property from the court file
dered and thereafter may be transferred to the and maintain them in the clerk’s office during the
state library pursuant to Section 7-15 (b) or to the pendency of proceedings to dispose of the prop-
Judicial Branch record center. erty and for such further periods as determined
(P.B. 1978-1997, Sec. 403D.)
by the chief court administrator.
Sec. 7-13. —Criminal/Motor Vehicle Files (f) In cases in which there has been neither a
and Records* conviction nor the payment of a fine on any
(Amended June 29, 1998, to take effect Jan. 1, 1999.) charge, the file shall be destroyed upon the expira-
(a) Upon the disposition of any criminal case, tion of three years from the date of disposition.
except a case in which a felony or a capital felony (g) In cases in which a fine has been paid pursu-
conviction resulted, or any motor vehicle case, ant to an infraction or a violation, the file shall be
including any matter brought pursuant to the com- destroyed upon the expiration of five years from
mission of an infraction or a violation, the file may the date of disposition.
be stripped of all papers except (1) the executed (h) In cases in which there has been a convic-
arrest warrant and original affidavit in support of tion of a misdemeanor charge but not a conviction
probable cause, the misdemeanor/motor vehicle of a felony charge, the file shall be destroyed upon
summons, prosecutorial summons or the com- the expiration of ten years from the date of dis-
plaint ticket, (2) the uniform arrest report, (3) the position.
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Sec. 7-13 SUPERIOR COURT—GENERAL PROVISIONS
(i) In cases in which there has been a conviction the retention of which is not otherwise provided for
of a felony charge but not a conviction of a capital by rule or statute, be retained either for a specific
felony charge, the file, all exhibits and the tran- period or permanently, and may authorize the
scripts of all proceedings held in the matter shall transfer of any such files and records to the rec-
be destroyed upon the expiration of twenty years ords center or other proper facility for retention.
from the date of disposition or upon the expiration Such files and records may be destroyed upon
of the sentence, whichever is later. the expiration of the specific period required for
(j) In cases in which there has been a conviction their retention.
of a capital felony charge, the file, all exhibits and (b) Except where prohibited by rule or statute,
the transcripts of all proceedings held in the matter any files and records of the Judicial Branch may,
shall be destroyed upon the expiration of seventy- with the written consent of the chief court adminis-
five years from such conviction. trator and upon agreement with the appropriate
(k) The file and records in any case in which officials of the state library, be transferred to the
an individual is adjudged a youthful offender shall state library for retention.
be retained for ten years. (P.B. 1978-1997, Sec. 403G.)
(l) The file in any case in which the disposition
is not guilty by reason of mental disease or defect Sec. 7-16. —Motion To Prevent Destruction
shall be retained for seventy-five years. of File
(m) Investigatory grand jury records shall be Upon the motion of any interested party, the
retained permanently. judicial authority may, for good cause shown,
(P.B. 1978-1997, Sec. 403E.) (Amended June 29, 1998, exempt from destruction for a specified period the
to take effect Jan. 1, 1999; amended June 30, 2003, to take
effect Jan. 1, 2004; amended June 29, 2007, to take effect
file in any case which has gone to judgment for
Jan. 1, 2008; amended June 22, 2009, to take effect Jan. reasons other than dismissal.
1, 2010.) (P.B. 1978-1997, Sec. 403H.)
*APPENDIX NOTE: The Rules Committee of the Superior
Court enacted, and the judges of the Superior Court subse- Sec. 7-17. Clerks’ Offices*
quently adopted, certain changes to the provisions of this The chief court administrator shall, from time
rule in response to the public health and civil preparedness to time, determine for each clerk’s office the hours
emergencies declared on March 10, 2020, and renewed on
September 1, 2020, and January 26, 2021. The public health that it shall be open, provided that each clerk’s
emergency was renewed on June 28, 2022, and is scheduled office shall be open at least five days a week
to expire on December 28, 2022, or when the federal public except during weeks which include a legal holiday.
health emergency ends. See Appendix of Section 1-9B The chief court administrator may increase the
Changes. hours of the clerk’s office for the purpose of the
Sec. 7-14. —Reports from Adult Probation acceptance of bonds or for other limited purposes
and Family Division for one or more court locations. If the last day for
filing any matter in the clerk’s office falls on a day
(a) The Office of Adult Probation shall maintain on which such office is not open as thus provided
one copy of each presentence investigation report or is closed pursuant to authorization by the
for twenty-five years. Copies of such reports in administrative judge in consultation with the chief
the custody of the clerk pursuant to Section 43- court administrator or the chief court administrator
8 may be destroyed upon the expiration of one due to the existence of special circumstances,
year from the date of final disposition of the case. then the last day for filing shall be the next busi-
(b) Except as provided in General Statutes ness day upon which such office is open. Except
§ 45a-757, the family division of the Superior
as provided below, a document that is electroni-
Court shall maintain one copy of each case study
cally received by the clerk’s office for filing after
report prepared pursuant to Section 25-60 for two
5 o’clock in the afternoon on a day on which the
years beyond the youngest child’s eighteenth
birthday and copies of such reports in the custody clerk’s office is open or that is electronically
of the clerk may be destroyed upon the expiration received by the clerk’s office for filing at any time
of one year from the date of final disposition of on a day on which the clerk’s office is closed, shall
the case. be deemed filed on the next business day upon
(P.B. 1978-1997, Sec. 403F.) which such office is open. If a party is unable to
electronically file a document because the court’s
Sec. 7-15. —Retention Ordered by Chief electronic filing system is nonoperational for thirty
Court Administrator; Transfer to State consecutive minutes from 9 o’clock in the forenoon
Library to 3 o’clock in the afternoon or for any period of
(a) The chief court administrator may require time from 3 o’clock to 5 o’clock in the afternoon
that any files and records of the Judicial Branch, of the day on which the electronic filing is attempted,
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SUPERIOR COURT—GENERAL PROVISIONS Sec. 7-21
and such day is the last day for filing the docu- verifying the scheduling of the matter, shall pre-
ment, the document shall be deemed to be timely sent the application to the judge before whom the
filed if received by the clerk’s office on the next matter is scheduled for hearing, or the administra-
business day the electronic system is operational. tive judge or any judge designated by the adminis-
(P.B. 1978-1997, Sec. 405.) (Amended June 24, 2002, to trative judge if the matter has not been scheduled
take effect Jan. 1, 2003; amended June 21, 2004, to take before a specific judge, which judge shall conduct
effect July 13, 2004; amended June 21, 2010, to take effect
Jan. 1, 2011; amended June 24, 2016, to take effect July
an ex parte review of the application and may
12, 2016.) direct or deny the issuance of subpoenas as such
*APPENDIX NOTE: The Rules Committee of the Superior judge deems warranted under the circumstances,
Court enacted, and the judges of the Superior Court subse- keeping in mind the nature of the scheduled hear-
quently adopted, certain changes to the provisions of this ing and future opportunities for examination of
rule in response to the public health and civil preparedness witnesses, as may be appropriate. If an applica-
emergencies declared on March 10, 2020, and renewed on
September 1, 2020, and January 26, 2021. The public health
tion is denied in whole or in part, the applicant
emergency was renewed on June 28, 2022, and is scheduled may request a hearing which shall be scheduled
to expire on December 28, 2022, or when the federal public by the court.
health emergency ends. See Appendix of Section 1-9B (P.B. 1978-1997, Sec. 395A.) (Amended June 12, 2015,
Changes. to take effect Jan. 1, 2016; amended June 24, 2016, to take
effect Jan. 1, 2017.)
Sec. 7-18. Hospital, Psychiatric and Medi-
Sec. 7-20. Records of Short Calendar
cal Records
Matters
Hospital, psychiatric and medical records shall The clerk shall keep a record of all matters
not be filed with the clerk unless such records are assigned for hearing on the civil short calendar
submitted in a sealed envelope clearly identified together with the disposition made of them. Such
with the case caption, the subject’s name and the records shall be retained for such period and in
name of the attorney or self-represented party such format as determined by the chief court
pursuant to Section 7-19 subpoenaing the same. administrator.
Such records shall be opened only pursuant to (P.B. 1978-1997, Sec. 397A.) (Amended June 30, 2008,
court order. to take effect Jan. 1, 2009.)
(P.B. 1978-1997, Secs. 397B, 1011E.) (Amended June 23,
2017, to take effect Jan. 1, 2018.) Sec. 7-21. Removing Exhibits and Other
Papers
Sec. 7-19. Issuing Subpoenas for Witnesses Unless otherwise ordered by the judicial author-
on Behalf of Self-Represented Litigants ity, it is the duty of attorneys and self-represented
Self-represented litigants seeking to compel the parties, upon the final determination of any civil
attendance of necessary witnesses in connection case, to remove from the courthouse all exhib-
with the hearing of any matter shall file an applica- its that have been entered into evidence, briefs,
tion to have the clerk of the court issue subpoenas depositions, and memoranda and, if not so
for that purpose. The application shall include a removed, such items may be destroyed by the
summary of the expected testimony of each pro- clerk four months after the final determination of
posed witness so that the court may determine the case, without notice.
the relevance of the testimony. The clerk, after (P.B. 1978-1997, Sec. 401.)
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Sec. 8-1 SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS
CHAPTER 8
COMMENCEMENT OF ACTION
Sec. Sec.
8-1. Process 8-7. Request To Furnish Bond [Repealed]
8-2. Waiver of Court Fees and Costs 8-8. Member of Community Defending To Give Bond
8-3. Bond for Prosecution [Repealed] [Repealed]
8-9. Bond by Nonresident in Realty Action [Repealed]
8-3A. Bond for Prosecution or Recognizance
8-10. Surety Company Bond Acceptable
8-4. Certification of Financial Responsibility [Repealed] 8-11. Action on Probate Bond; Endorsement of Writ
8-5. Remedy for Failure To Give Bond [Repealed] [Repealed]
8-6. Bond Ordered by Judicial Authority [Repealed] 8-12. Renewal of Bond
For previous Histories and Commentaries see the editions of the Practice Book
corresponding to the years of the previous amendments.
Sec. 8-1. Process (8) Applications for custody.
(Amended June 14, 2013, to take effect Jan. 1, 2014.) (9) Applications for visitation.
(a) Process in civil actions shall be a writ of (d) A plaintiff may, before service on a defend-
summons or attachment, describing the parties, ant, alter printed forms JD-FM-3, JD-HM-32, and
the court to which it is returnable and the time JD-CV-1 in order to make them conform to any
and place of appearance, and shall be accompa- relevant amendments to the rules of practice or
nied by the plaintiff’s complaint. Such writ may statutes.
run into any judicial district or geographical area (P.B. 1978-1997, Sec. 49.) (Amended June 28, 1999, to
take effect Jan. 1, 2000; amended June 21, 2004, to take
and shall be signed by a Commissioner of the effect Jan. 1, 2005; amended June 14, 2013, to take effect
Superior Court or a judge or clerk of the court to Jan. 1, 2014.)
which it is returnable. Except in those actions and
proceedings indicated below, the writ of summons Sec. 8-2. Waiver of Court Fees and Costs
shall be on a form substantially in compliance with (a) Prior to the commencement of an action, or
the following Judicial Branch forms prescribed at any time during its pendency, a party may file
by the chief court administrator: Form JD-FM-3 with the clerk of the court in which the action is
in family actions, Form JD-HM-32 in summary pending, or in which the party intends to return
process actions, and Form JD-CV-1 in other civil a writ, summons and complaint, an application for
actions, as such forms shall from time to time waiver of fees payable to the court and for
be amended. Any person proceeding without the payment by the state of the costs of service of
assistance of counsel shall sign the complaint and process. The application shall set forth the facts
present the complaint and proposed writ of sum- which are the basis of the claim for waiver and
mons to the clerk; the clerk shall review the pro- for payment by the state of any costs of service
posed writ of summons and, unless it is defective of process; a statement of the applicant’s current
as to form, shall sign it. income, expenses, assets and liabilities; pertinent
(b) For administrative appeals brought pursuant records of employment, gross earnings, gross
to General Statutes § 4-183 et seq., process and wages and all other income; and the specific fees
service of process shall be made in accordance and costs of service of process sought to be
with General Statutes § 4-183 (c) and Practice waived or paid by the state and the amount of
Book Section 14-7A (a). each. The application and any representations
(c) Form JD-FM-3, Form JD-HM-32, and Form shall be supported by an affidavit of the applicant
JD-CV-1 shall not be used in the following actions to the truth of the facts recited.
and proceedings: (b) The clerk with whom such an application is
(1) Applications for change of name. filed shall refer it to the court of which he or she
(2) Proceedings pertaining to arbitration. is clerk. If the court finds that a party is indigent
(3) Probate appeals. and unable to pay a fee or fees payable to the
(4) Administrative appeals. court or to pay the cost of service of process, the
(5) Verified petitions for paternity. court shall waive such fee or fees and the cost of
(6) Verified petitions for support orders. service of process shall be paid by the state.
(7) Any actions or proceedings in which an (c) There shall be a rebuttable presumption that
attachment, garnishment or replevy is sought. a person is indigent and unable to pay a fee or
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SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 8-12
fees or the cost of service of process if (1) such authority consider the fees or charges of expert
person receives public assistance or (2) such per- witnesses notwithstanding that such fees or
son’s income after taxes, mandatory wage deduc- charges may be allowable under that section. Any
tions and child care expenses is one hundred party failing to comply with such order may be
twenty-five percent or less of the federal poverty nonsuited or defaulted, as the case may be.
level. For purposes of this subsection, ‘‘public (Adopted June 24, 2016, to take effect Jan. 1, 2017.)
assistance’’ includes, but is not limited to, state Sec. 8-4. Certification of Financial Respon-
administered general assistance, temporary fam- sibility
ily assistance, aid to persons who are elderly,
persons who are blind or visually impaired or per- [Repealed as of Jan. 1, 2017.]
sons with disabilities, food stamps and supple- Sec. 8-5. Remedy for Failure To Give Bond
mental security income. [Repealed as of Jan. 1, 2017.]
(d) Nothing in this section shall preclude the
court from (1) finding that a person whose income Sec. 8-6. Bond Ordered by Judicial
does not meet the criteria of subsection (c) of this Authority
section is indigent and unable to pay a fee or fees [Repealed as of Jan. 1, 2017.]
or the cost of service of process, or (2) denying
an application for the waiver of the payment of a Sec. 8-7. Request To Furnish Bond
fee or fees or the cost of service of process when [Repealed as of Jan. 1, 2017.]
the court finds that (A) the applicant has repeat- Sec. 8-8. Member of Community Defending
edly filed actions with respect to the same or simi- To Give Bond
lar matters, (B) such filings establish an extended
pattern of frivolous filings that have been without [Repealed as of Jan. 1, 2017.]
merit, (C) the application sought is in connection Sec. 8-9. Bond by Nonresident in Realty
with an action before the court that is consistent Action
with the applicant’s previous pattern of frivolous [Repealed as of Jan. 1, 2017.]
filings, and (D) the granting of such application
would constitute a flagrant misuse of Judicial Sec. 8-10. Surety Company Bond Ac-
Branch resources. ceptable
If an application for the waiver of the payment Any surety company chartered by this state or
of a fee or fees or the cost of service of process authorized to do business herein may be accepted
is denied, the court clerk shall, upon the request as surety or recognizor upon any bond or recogni-
of the applicant, schedule a hearing on the appli- zance required by law in any civil action or in any
cation. Nothing in this section shall affect the proceeding instituted under the statutes of this
inherent authority of the court to manage its state and, in any case where a bond or recogni-
docket. zance is required by law, the bond of such com-
(P.B. 1978-1997, Sec. 50.) (Amended June 21, 2010, to pany, duly executed and conditioned for the per-
take effect Jan. 1, 2011; amended June 13, 2014, to take
effect Jan. 1, 2015; amended June 13, 2019, to take effect
formance of the obligations expressed in such
Jan. 1, 2020.) bond or recognizance, may be accepted by the
person having authority thereto, who shall file it
Sec. 8-3. Bond for Prosecution with the court where the action or proceeding is
[Repealed as of Jan. 1, 2017.] returnable or pending. (See General Statutes
§ 52-189 and annotations.)
Sec. 8-3A. Bond for Prosecution or Recog- (P.B. 1978-1997, Sec. 58.) (Amended June 24, 2016, to
nizance take effect Jan. 1, 2017.)
No bond for prosecution or recognizance for Sec. 8-11. Action on Probate Bond;
prosecution shall be required of a party in any Endorsement of Writ
civil action unless ordered by the judicial author- [Repealed as of Jan. 1, 2017.]
ity upon motion and for good cause shown. If the
judicial authority finds that a party is not able to Sec. 8-12. Renewal of Bond
pay the costs of the action, the judicial authority Bonds given in the course of any judicial pro-
shall order the party to give a sufficient bond to ceedings may, for reasonable cause and upon
pay taxable costs. In determining the sufficiency due notice, be renewed, or other bonds taken in
of the bond to be given, the judicial authority shall lieu of them, by the judicial authority.
consider only the taxable costs for which a party (P.B. 1978-1997, Sec. 60.) (Amended June 24, 2016, to
may be responsible under General Statutes § 52- take effect Jan. 1, 2017.)
257, except that in no event shall the judicial
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Sec. 9-1 SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS
CHAPTER 9
PARTIES
Sec. Sec.
9-1. Continuance for Absent or Nonresident Defendant 9-13. Persons Liable on Same Instrument
9-2. Defense by Garnishee; Continuance 9-14. Defendants Alternately Liable
9-3. Joinder of Parties and Actions; Interested Persons 9-15. Assignee of Part Interest
as Plaintiffs 9-16. Assignment Pending Suit
9-4. —Joinder of Plaintiffs in One Action 9-17. Unsatisfied Judgment against One Defendant
9-5. —Consolidation of Actions 9-18. Addition or Substitution of Parties; Additional Parties
9-6. —Interested Persons as Defendants Summoned in by Court
9-19. —Nonjoinder and Misjoinder of Parties
9-7. Class Actions; Prerequisites to Class Actions
9-20. —Substituted Plaintiff
9-8. —Class Actions Maintainable 9-21. —Counterclaim; Third Parties
9-9. —Procedure for Class Certification and Management 9-22. —Motion To Cite in New Parties
of Class 9-23. Suit by Real Party in Interest
9-10. —Orders To Ensure Adequate Representation 9-24. Change of Name by Minor Child
9-11. Executor, Administrator or Trustee of Express Trust 9-25. Action on Bond to Municipal Officer
9-12. Personal Representatives of Cocontractor
For previous Histories and Commentaries see the editions of the Practice Book
corresponding to the years of the previous amendments.
Sec. 9-1. Continuance for Absent or Nonres- exists. In actions of foreclosure, including prayers
ident Defendant for relief incident thereto and part thereof, judg-
Every civil action in which the defendant is an ment may then be rendered upon the plaintiff’s
inhabitant of this state but is absent therefrom at motion for judgment of foreclosure. The provisions
the commencement of the suit and continues to of this section shall not apply in the case of any
be absent until after the return day, without having civil action brought under and pursuant to General
entered any appearance therein, shall be contin- Statutes § 47-33 or § 52-69 and no continuance
ued or postponed for thirty days by order of the or postponement of any such action or additional
judicial authority. If the defendant does not then notice of the pendency thereof shall be required
appear and no special reason is shown for further unless the judicial authority so orders. (See Gen-
delay, judgment by default may be rendered eral Statutes § 52-87 and annotations.)
(P.B. 1978-1997, Sec. 80.)
against the defendant. If the defendant is not an
inhabitant or resident of this state at the com- Sec. 9-2. Defense by Garnishee; Continuance
mencement of the action and does not appear In any action by foreign attachment, if the
therein, the judicial authority shall continue or defendant does not appear, any garnishee may
postpone it for a period of three months and may, be admitted to defend his or her principal; but, if
if it deems further notice advisable, direct such the defendant is not in this state and does not
further notice of the pendency of the action to be appear, personally or by attorney, and the gar-
given to the defendant by publication in some nishee does not appear to defend, the action shall
newspaper, or otherwise, as it deems expedient, be continued, postponed or adjourned for a period
or may authorize any person empowered to serve of three months from the return day of the writ.
process by the laws of the foreign jurisdiction in Any continuance, postponement or adjournment,
which such defendant resides to serve upon such prescribed in this or Section 9-1, shall not be
defendant a copy of the summons and complaint granted or, if granted, shall terminate whenever
and of the order of notice and such person shall the judicial authority finds that the absent or non-
make affidavit of his or her doings thereon on the resident defendant, or authorized agent or attor-
original order of notice. If, upon the expiration of ney, has received actual notice of the pendency
such three months, the defendant does not then of the case at least twelve days prior to such
appear and no special reason is shown for further finding, and thereupon, unless some special rea-
delay, judgment may be rendered against such son is shown for further delay, the cause may be
defendant by default. Upon the expiration of any brought to trial. (See General Statutes § 52-88
such continuance, it shall be presumed prima and annotations.)
facie that no special reason for further delay (P.B. 1978-1997, Sec. 81.)
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SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 9-8
Sec. 9-3. Joinder of Parties and Actions; separate files and all documents submitted by coun-
Interested Persons as Plaintiffs sel or the parties shall bear only the docket num-
All persons having an interest in the subject of ber and case title of the file in which it is to be filed.
the action, and in obtaining the judgment (P.B. 1978-1997, Sec. 84A.) (Amended June 29, 1998, to
take effect Jan. 1, 1999.)
demanded, may be joined as plaintiffs, except
as otherwise expressly provided; and, if one who Sec. 9-6. —Interested Persons as Defend-
ought to be joined as plaintiff declines to join, such ants
person may be made a defendant, the reason Any person may be made a defendant who has
therefor being stated in the complaint. (See Gen- or claims an interest in the controversy, or any
eral Statutes § 52-101 and annotations.) part thereof, adverse to the plaintiff, or whom it is
(P.B. 1978-1997, Sec. 83.)
necessary, for a complete determination or settle-
Sec. 9-4. —Joinder of Plaintiffs in One ment of any question involved therein, to make a
Action party. (See General Statutes § 52-102 and anno-
All persons may be joined in one action as plain- tations.)
tiffs in whom any right of relief in respect to or (P.B. 1978-1997, Sec. 85.)
arising out of the same transaction or series of Sec. 9-7. Class Actions; Prerequisites to
transactions is alleged to exist either jointly or Class Actions
severally when, if such persons brought separate
actions, any common question of law or fact would One or more members of a class may sue or
arise; provided, if, upon the motion of any party, be sued as representative parties on behalf of all
it would appear that such joinder might embarrass only if (1) the class is so numerous that joinder
or delay the trial of the action, the judicial authority of all members is impracticable, (2) there are
may order separate trials, or make such other questions of law or fact common to the class,
order as may be expedient, and judgment may (3) the claims or defenses of the representative
be given for such one or more of the plaintiffs as parties are typical of the claims or defenses of the
may be found to be entitled to relief, for the relief class, and (4) the representative parties will fairly
to which he, she or they may be entitled; and there and adequately protect the interests of the class.
(P.B. 1978-1997, Sec. 87.)
shall be but one entry fee, one jury fee, if claimed
for jury trial, and such other costs as may by rule Sec. 9-8. —Class Actions Maintainable
be prescribed. An action may be maintained as a class action
(P.B. 1978-1997, Sec. 84.)
if the prerequisites of Section 9-7 are satisfied,
Sec. 9-5. —Consolidation of Actions and in addition:
(a) Whenever there are two or more separate (1) the prosecution of separate actions by or
actions which should be tried together, the judicial against individual members of the class would
authority may, upon the motion of any party or create a risk of: (A) inconsistent or varying adjudi-
upon its own motion, order that the actions be cations with respect to individual members of the
consolidated for trial. class which would establish incompatible stan-
(b) If a party seeks consolidation, the motion to dards of conduct for the party opposing the class;
consolidate shall be filed in all of the court files or (B) adjudications with respect to individual
proposed to be consolidated, shall include the members of the class which would, as a practical
docket number and judicial district of each of the matter, be dispositive of the interests of the other
cases, and shall contain a certification specifically members who are not parties to the adjudications
stating that the motion was served in accordance or substantially impair or impede their ability to
with Sections 10-12 through 10-17 on all parties protect their interests; or
to such actions. The certification shall specifically (2) the party opposing the class has acted or
recite the name and address of each counsel and refused to act on grounds generally applicable to
self-represented party served, the date of such the class, thereby making appropriate final injunc-
service and the name and docket number of the tive relief or corresponding declaratory relief with
case in which that person has appeared. The mov- respect to the class as a whole; or
ing party shall give reasonable notice to all such (3) the court finds that the questions of law or
parties of the date on which the motion will be fact common to the members of the class predom-
heard on short calendar. The judicial authority inate over any questions affecting only individual
shall not consider the motion unless it is satisfied members and that a class action is superior to
that such notice was given. other available methods for the fair and efficient
(c) The court files in any actions consolidated adjudication of the controversy. The matters perti-
pursuant to this section shall be maintained as nent to the findings include: (A) the interest of
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Sec. 9-8 SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS
members of the class in individually controlling 9-8 shall then be construed and applied accord-
the prosecution or defense of separate actions; ingly.
(B) the extent and nature of any litigation concern- (b) In the conduct of actions to which Section
ing the controversy already commenced by or 9-7 et seq. apply, the court may make appro-
against members of the class; (C) the desirability priate orders:
or undesirability of concentrating the litigation of (1) determining the course of proceedings or
the claims in the particular forum; (D) the difficul- prescribing measures to prevent undue repetition
ties likely to be encountered in the management or complication in the presentation of evidence
of class action. or argument;
(P.B. 1978-1997, Sec. 88.) (Amended June 22, 2009, to (2) requiring, for the protection of the members
take effect Jan. 1, 2010.) of the class or otherwise for the fair conduct of
Sec. 9-9. —Procedure for Class Certification the action, that notice be given in such manner
and Management of Class as the court may direct to some or all of the mem-
(Amended June 22, 2009, to take effect Jan. 1, 2010.)
bers of:
(a) (1) (A) When a person sues or is sued as (A) any step in the action;
(B) the proposed extent of the judgment; or
a representative of a class, the court must, at an (C) the opportunity of members to signify
early practicable time, determine by order whether whether they consider the representation fair and
to certify the action as a class action. adequate, to intervene and to present claims or
(B) An order certifying a class action must defenses, or otherwise to come into the action;
define the class and the class claims, issues or (3) imposing conditions on the representative
defenses, and must appoint class counsel. parties or on intervenors;
(C) An order under Section 9-9 (a) (1) (A) may (4) requiring that the pleadings be amended to
be altered or amended before final judgment. eliminate therefrom allegations as to representa-
(2) (A) For any class certified under Section 9-8 tion of absent persons, and that the action pro-
(1) or (2), the court must direct notice to the class. ceed accordingly;
(B) For any class certified under Section 9-8 (5) dealing with similar procedural matters.
(3), the court must direct to class members the The orders may be altered or amended as may
best notice practicable under the circumstances, be desirable from time to time.
including individual notice to all members who can (c) (1) (A) The court must approve any settle-
be identified through reasonable effort. The notice ment, withdrawal, or compromise of the claims,
must concisely and clearly state in plain, easily issues, or defense of a certified class. Court
understood language: approval is not required for settlement, withdrawal
(i) the nature of the action; or compromise of a claim in which a class has
(ii) the definition of the class certified; been alleged but no class has been certified.
(iii) the class claims, issues or defenses; (B) The court must direct notice in a reasonable
(iv) that a class member may enter an appear- manner to all class members who would be bound
ance through counsel if the member so desires; by a proposed settlement, withdrawal or com-
(v) that the court will exclude from the class any promise.
member who requests exclusion, stating when (C) The court may approve a settlement, with-
and how members may elect to be excluded; and drawal, or compromise that would bind class
(vi) the binding effect of a class judgment on members only after a hearing and on finding that
class members under Section 9-8 (3). the settlement, withdrawal, or compromise is fair,
(3) The judgment in an action maintained as a reasonable, and adequate.
class action under Section 9-8 (1) or (2), whether (2) The parties seeking approval of a settle-
or not favorable to the class, shall include and ment, withdrawal, or compromise of an action in
describe those whom the court finds to be mem- which a class has been certified must file a state-
bers of the class. The judgment in an action main- ment identifying any agreement made in connec-
tained as a class action under Section 9-8 (3), tion with the proposed settlement, withdrawal or
whether or not favorable to the class, shall include compromise.
and specify or describe those to whom the notice (3) In an action previously certified as a class
provided in Section 9-9 (a) (2) (B) was directed, action under Section 9-8 (3), the court may refuse
and who have not requested exclusion, and whom to approve a settlement unless it affords a new
the court finds to be members of the class. opportunity to request exclusion to individual class
(4) When appropriate, (A) an action may be members who had an earlier opportunity to
brought or maintained as a class action with request exclusion but did not do so.
respect to particular issues, or (B) a class may be (4) (A) Any class member may object to a pro-
divided into subclasses and each subclass treated posed settlement, withdrawal or compromise that
as a class, and the provisions of Sections 9-7 and requires court approval under (c) (1) (A).
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SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 9-11
(B) An objection made under (c) (4) (A) may be claims, expenses, litigation costs, attorney’s fees,
withdrawn only with the court’s approval. and other court-approved disbursements made to
(d) Unless a statute provides otherwise, a court implement the relief granted. Nothing in this rule
that certifies a class must appoint class counsel. is intended to limit the parties to a class action
An attorney appointed to serve as class counsel from recommending, or the trial court from approv-
must fairly and adequately represent the interests ing, a settlement that does not create residual
of the class. funds.
(1) In appointing class counsel, the court (2) Any order, judgment or approved settlement
must consider: in a class action that establishes a process for
(A) the work counsel has done in identifying or identifying and compensating members of the
investigating potential claims in the action; class may designate the recipient or recipients of
(B) counsel’s experience in handling class any such residual funds that may remain after the
actions, other complex litigation, and claims of the claims payment process has been completed. In
type asserted in the action; the absence of such designation, the residual
(C) counsel’s knowledge of the applicable funds shall be disbursed to the organization
law; and administering the program for the use of interest
(D) the resources counsel will commit to repre- on lawyers’ client funds pursuant to General Stat-
senting the class.
(2) The court may: utes § 51-81c for the purpose of funding those
(A) consider any other matter pertinent to coun- organizations that provide legal services for the
sel’s ability to represent the interests of the class poor in Connecticut.
(P.B. 1978-1997, Sec. 89.) (Amended June 22, 2009, to
fairly and adequately; take effect Jan. 1, 2010; amended June 13, 2014, to take
(B) direct potential class counsel to provide effect Jan. 1, 2015.)
information on any subject pertinent to the
appointment and to propose terms for attorney’s Sec. 9-10. —Orders To Ensure Adequate
fees and nontaxable costs; and Representation
(C) make further orders in connection with The judicial authority at any stage of an action
the appointment. under this section may require such security and
(e) The court may designate interim counsel to impose such terms as shall fairly and adequately
act on behalf of the putative class before determin- protect the interests of the class in whose behalf
ing whether to certify the action as a class action. the action is brought or defended. It may order
When there is one applicant for appointment as that notice be given, in such manner as it may
class counsel, the court may appoint that appli- direct, of the pendency of the action, of a proposed
cant only if the applicant is adequate under sub- settlement, of entry of judgment, or of any other
section (d). If more than one adequate applicant proceedings in the action, including notice to the
seeks appointment as class counsel, the court absent persons that they may come in and present
must appoint the applicant best able to represent claims and defenses if they so desire. Whenever
the interests of the class. The order appointing the representation appears to the judicial authority
class counsel may include provisions about the inadequate fairly to protect the interests of absent
award of attorney’s fees or nontaxable costs parties who may be bound by the judgment, it
under subsection (f). may at any time prior to judgment order an amend-
(f) In an action certified as a class action, the ment of the pleadings, eliminating therefrom all
court may award reasonable attorney’s fees and reference to representation of absent persons,
nontaxable costs authorized by law or by consent and it shall order entry of judgment in such form
of the parties as follows: as to affect only the parties to the action and those
(1) a request for an award of attorney’s fees adequately represented.
and nontaxable costs must be made by motion (P.B. 1978-1997, Sec. 90.)
subject to the provisions of this subdivision, at a
time set by the court. Notice of the motion must Sec. 9-11. Executor, Administrator or
be served on all parties and, for motions by class Trustee of Express Trust
counsel, directed to class members in a reason- An executor, administrator, or trustee of an
able manner. express trust may sue or be sued without joining
(2) A class member or a party from whom pay- the persons represented by him or her and benefi-
ment is sought, may object to the motion. cially interested in the suit. The term ‘‘trustee of
(3) The court may hold a hearing and must an express trust’’ shall be construed to include any
find the facts and state its conclusions of law on person with whom, or in whose name, a contract
such motion. is made for the benefit of another. (See General
(g) (1) ‘‘Residual funds’’ are funds that remain Statutes § 52-106 and annotations.)
after the payment of approved class member (P.B. 1978-1997, Sec. 91.)
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Sec. 9-12 SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS
Sec. 9-12. Personal Representatives of Co- a complete determination cannot be had without
contractor the presence of other parties, the judicial authority
In suits on a joint contract, whether partnership may direct that they be brought in. If a person not
or otherwise, the personal representatives of a a party has an interest or title which the judgment
deceased cocontractor may join, as plaintiffs, and will affect, the judicial authority, on its motion, shall
be joined, as defendants, with the survivor; pro- direct that person to be made a party. (See Gen-
vided, where the estate of the decedent is in set- eral Statutes § 52-107 and annotations.)
tlement in this state as an insolvent estate, his or (P.B. 1978-1997, Sec. 99.)
her personal representatives cannot be joined as Sec. 9-19. —Nonjoinder and Misjoinder of
defendants. (See General Statutes § 52-78.) Parties
(P.B. 1978-1997, Sec. 92.)
Except as provided in Sections 10-44 and 11-
Sec. 9-13. Persons Liable on Same Instru- 3 no action shall be defeated by the nonjoinder
ment or misjoinder of parties. New parties may be
Persons severally and immediately liable on the added and summoned in, and parties misjoined
same obligation or instrument, including parties may be dropped, by order of the judicial authority,
to bills of exchange and promissory notes, and at any stage of the cause, as it deems the interests
endorsers, guarantors, and sureties, whether on of justice require. (See General Statutes § 52-108
the same or by separate instruments, may all, or and annotations.)
any of them, be joined as defendants, and a joint (P.B. 1978-1997, Sec. 100.)
judgment may be rendered against those so
joined. Sec. 9-20. —Substituted Plaintiff
(P.B. 1978-1997, Sec. 93.) When any action has been commenced in the
Sec. 9-14. Defendants Alternately Liable name of the wrong person as plaintiff, the judicial
Persons may be joined as defendants against authority may, if satisfied that it was so com-
whom the right to relief is alleged to exist in the menced through mistake and that it is necessary
alternative, although a right to relief against one for the determination of the real matter in dispute
may be inconsistent with a right to relief against so to do, allow any other person to be substituted
the other. or added as plaintiff. (See General Statutes § 52-
(P.B. 1978-1997, Sec. 94.) 109 and annotations.)
(P.B. 1978-1997, Sec. 101.)
Sec. 9-15. Assignee of Part Interest
If a part interest in a contract obligation be Sec. 9-21. —Counterclaim; Third Parties
assigned, the assignor retaining the remaining When a counterclaim raises questions affecting
interest and the assignee may join as plaintiffs. the interests of third parties, the defendant may,
(P.B. 1978-1997, Sec. 95.) and if required by the judicial authority shall, cause
Sec. 9-16. Assignment Pending Suit such parties to be summoned in as parties to such
If, pending the action, the plaintiff assigns the suit. (See General Statutes § 52-110 and anno-
cause of action, the assignee, upon written tations.)
(P.B. 1978-1997, Sec. 102.)
motion, may either be joined as a coplaintiff or
be substituted as a sole plaintiff, as the judicial Sec. 9-22. —Motion To Cite in New Parties
authority may order; provided that it shall in no Any motion to cite in or admit new parties must
manner prejudice the defense of the action as it comply with Section 11-1 and state briefly the
stood before such change of parties. grounds upon which it is made.
(P.B. 1978-1997, Sec. 96.)
(P.B. 1978-1997, Sec. 103.)
Sec. 9-17. Unsatisfied Judgment against
One Defendant Sec. 9-23. Suit by Real Party in Interest
Where the plaintiff may at his or her option join An action may be brought in all cases in the
several persons as defendants, or sue them sepa- name of the real party in interest, but any claim
rately, judgment without satisfaction against one or defense may be set up which would have been
shall not bar a suit against another. available had the plaintiff sued in the name of the
(P.B. 1978-1997, Sec. 97.) nominal party in interest.
(P.B. 1978-1997, Sec. 104.)
Sec. 9-18. Addition or Substitution of Par-
ties; Additional Parties Summoned in by Sec. 9-24. Change of Name by Minor Child
Court In all proceedings for change of name under
The judicial authority may determine the contro- General Statutes § 52-11, brought by a minor
versy as between the parties before it, if it can do child through his or her next friend, the parents
so without prejudice to the rights of others; but, if of such child, not named as next friends, shall be
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necessary parties and shall be cited in, in such this state, wherein the beneficial interest belongs,
manner as shall be ordered by the court or a or on the face of such security appears to belong,
judge thereof. to such community or corporation, any action to
(P.B. 1978-1997, Sec. 105.)
recover or enforce the same may be maintained
Sec. 9-25. Action on Bond to Municipal
Officer by such community or corporation in its own cor-
When any bond, note or other security is taken porate name. (See General Statutes § 52-73a.)
to any officer of a community or corporation in (P.B. 1978-1997, Sec. 106.)
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Sec. 10-1 SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS
CHAPTER 10
PLEADINGS
Sec. Sec.
10-1. Fact Pleading 10-42. —Memorandum of Law—Motion and Objection
10-2. Pleading Legal Effect [Repealed]
10-3. Allegations Based on Statutory Grounds; Foreign 10-43. —When Memorandum of Decision Required on
Law Motion To Strike
10-4. Implied Duty 10-44. —Substitute Pleading; Judgment
10-5. Untrue Allegations or Denials 10-45. —Stricken Pleading Part of Another Cause or
10-6. Pleadings Allowed and Their Order Defense
10-7. Waiving Right To Plead 10-46. The Answer; General and Special Denial
10-8. Time To Plead 10-47. —Evasive Denials
10-9. Common Counts 10-48. —Express Admissions and Denials To Be Direct
10-10. Supplemental Pleadings; Counterclaims and Specific
10-11. Impleading of Third Party by Defendant in Civil 10-49. —Suit by Corporation; Admission by General
Action Denial
10-12. Service of the Pleading and Other Papers; Respon- 10-50. —Denials; Special Defenses
sibility of Counsel or Self-Represented Party: 10-51. —Several Special Defenses
Documents and Persons To Be Served 10-52. —Admissions and Denials in Special Defense
10-13. —Method of Service 10-53. —Pleading Contributory Negligence
10-14. —Proof of Service 10-54. —Pleading of Counterclaim and Setoff
10-15. —Numerous Defendants 10-55. —Withdrawal of Action after Counterclaim
10-16. —Several Parties Represented by One Attorney 10-56. Subsequent Pleadings; Plaintiff’s Response to
10-17. —Service by Indifferent Person Answer
10-18. Penalty for Failing To Plead 10-57. —Matter in Avoidance of Answer
10-19. Implied Admissions 10-58. —Pleadings Subsequent to Reply
10-20. Contents of Complaint 10-59. Amendments; Amendment as of Right by Plaintiff
10-21. Joinder of Causes of Action 10-60. —Amendment by Consent, Order of Judicial
10-22. —Transactions Connected with Same Subject Authority, or Failure To Object
10-23. —Joinder of Torts 10-61. —Pleading after Amendment
10-24. —Legal and Equitable Relief 10-62. —Variance; Amendment
10-25. Alternative Relief 10-63. —Amendment; Legal or Equitable Relief
10-26. Separate Counts 10-64. —Amendment Calling for Legal Relief; Jury Trial
10-27. Claim for Equitable Relief 10-65. —Amending Contract to Tort and Vice Versa
10-28. Interest and Costs Need Not Be Claimed 10-66. —Amendment of Amount in Demand
10-29. Exhibits as Part of Pleading 10-67. —Amendment of Claim against Insolvent Estate
10-68. Pleading Special Matters; Pleading Notice
10-30. Motion To Dismiss; Grounds
10-69. —Foreclosure Complaint; Pleading Encumbrances
10-31. —Opposition; Date for Hearing Motion To Dismiss 10-70. —Foreclosure of Municipal Liens
10-32. —Waiver Based on Certain Grounds 10-71. —Action on Probate Bond
10-33. —Waiver and Subject Matter Jurisdiction 10-72. —Action by Assignee of Chose in Action
10-34. —Further Pleading by Defendant 10-73. —Pleading Charters
10-35. Request To Revise 10-74. —Wrongful Sale; Wrongful Conversion
10-36. —Reasons in Request To Revise 10-75. —Goods Sold; Variance
10-37. —Granting of and Objection to Request To Revise 10-76. —Probate Appeals; Reasons of Appeal
10-38. —Waiver of Pleading Revisions 10-77. —Appeals from Commissioners
10-39. Motion To Strike; Grounds 10-78. —Pleading Collateral Source Payments
10-40. —Opposition; Date for Hearing Motion To Strike 10-79. —Pleading Issues of Policy Limitations
10-41. —Reasons in Motion To Strike [Repealed]
For previous Histories and Commentaries see the editions of the Practice Book
corresponding to the years of the previous amendments.
Sec. 10-1. Fact Pleading each containing as nearly as may be a separate
Each pleading shall contain a plain and concise allegation. If any such pleading does not fully dis-
statement of the material facts on which the close the ground of claim or defense, the judicial
pleader relies, but not of the evidence by which authority may order a fuller and more particular
they are to be proved, such statement to be statement; and, if in the opinion of the judicial
divided into paragraphs numbered consecutively, authority the pleadings do not sufficiently define
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the issues in dispute, it may direct the parties to (5) The defendant’s answer (including any spe-
prepare other issues, and such issues shall, if the cial defenses) to the complaint.
parties differ, be settled by the judicial authority. (6) The plaintiff’s request to revise the defend-
(P.B. 1978-1997, Sec. 108.) ant’s answer.
Sec. 10-2. Pleading Legal Effect (7) The plaintiff’s motion to strike the defend-
Acts and contracts may be stated according to ant’s answer.
their legal effect, but in so doing the pleading (8) The plaintiff’s reply to any special defenses.
(P.B. 1978-1997, Sec. 112.)
should be such as fairly to apprise the adverse
party of the state of facts which it is intended to Sec. 10-7. Waiving Right To Plead
prove. Thus an act or promise by a principal, other In all cases, when the judicial authority does
than a corporation, if in fact proceeding from an not otherwise order, the filing of any pleading pro-
agent known to the pleader, should be so stated; vided for by the preceding section will waive the
and the obligation of a spouse to pay for necessar- right to file any pleading which might have been
ies furnished to his or her spouse, whom he or filed in due order and which precedes it in the
she has driven from the marital house, should be order of pleading provided in that section.
stated according to the facts. (P.B. 1978-1997, Sec. 113.)
(P.B. 1978-1997, Sec. 109.)
Sec. 10-8. Time To Plead
Sec. 10-3. Allegations Based on Statutory
Grounds; Foreign Law Commencing on the return day of the writ, sum-
mons and complaint in civil actions, pleadings,
(a) When any claim made in a complaint, cross
complaint, special defense, or other pleading is including motions and requests addressed to the
grounded on a statute, the statute shall be specifi- pleadings, shall advance within thirty days from
cally identified by its number. the return day, and any subsequent pleadings,
(b) A party to an action who intends to raise an motions and requests shall advance at least one
issue concerning the law of any jurisdiction or step within each successive period of thirty days
governmental unit thereof outside this state shall from the preceding pleading or the filing of the
give notice in his or her pleadings or other reason- decision of the judicial authority thereon if one is
able written notice. required, except that in summary process actions
(P.B. 1978-1997, Sec. 109A.) the time period shall be three days and in actions
to foreclose a mortgage on real estate the time
Sec. 10-4. Implied Duty period shall be fifteen days. The filing of interroga-
It is unnecessary to allege any promise or duty tories or requests for discovery shall not suspend
which the law implies from the facts pleaded. the time requirements of this section unless upon
(P.B. 1978-1997, Sec. 110.)
motion of either party the judicial authority shall
Sec. 10-5. Untrue Allegations or Denials find that there is good cause to suspend such
Any allegation or denial made without reason- time requirements.
able cause and found untrue shall subject the (P.B. 1978-1997, Sec. 114.) (Amended June 14, 2013, to
party pleading the same to the payment of such take effect Jan. 1, 2014.)
reasonable expenses, to be taxed by the judicial Sec. 10-9. Common Counts
authority, as may have been necessarily incurred The common counts writ and complaint is
by the other party by reason of such untrue plead- hereby abolished.
ing; provided that no expenses for counsel fees (P.B. 1978-1997, Sec. 115.)
shall be taxed exceeding $500 for any one
offense. Such expenses shall be taxed against Sec. 10-10. Supplemental Pleadings; Coun-
the offending party whether that party prevails in terclaims
the action or not. (See General Statutes § 52-99 Supplemental pleadings showing matters aris-
and annotations.) ing since the original pleading may be filed in
(P.B. 1978-1997, Sec. 111.) actions for equitable relief by either party. In any
Sec. 10-6. Pleadings Allowed and Their action for legal or equitable relief, any defendant
Order may file counterclaims against any plaintiff and
The order of pleading shall be as follows: cross claims against any codefendant provided
(1) The plaintiff’s complaint. that each such counterclaim and cross claim
(2) The defendant’s motion to dismiss the com- arises out of the transaction or one of the transac-
plaint. tions which is the subject of the plaintiff’s com-
(3) The defendant’s request to revise the com- plaint; and if necessary, additional parties may be
plaint. summoned in to answer any such counterclaim
(4) The defendant’s motion to strike the com- or cross claim. A defendant may also file a coun-
plaint. terclaim or cross claim under this section against
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any other party to the action for the purpose of the judicial authority hearing the case may order
establishing that party’s liability to the defendant separate trials of different parts of the action and
for all or part of the plaintiff’s claim against that may make such other order respecting the trial of
defendant. the action as will do justice to the parties and
(P.B. 1978-1997, Sec. 116.) expedite final disposition of the case.
(P.B. 1978-1997, Sec. 117.)
Sec. 10-11. Impleading of Third Party by
Defendant in Civil Action Sec. 10-12. Service of the Pleading and
(a) A defendant in any civil action may move Other Papers; Responsibility of Counsel or
the court for permission as a third-party plaintiff Self-Represented Party: Documents and
to serve a writ, summons and complaint upon a Persons To Be Served
person not a party to the action who is or may (a) It is the responsibility of counsel or a self-
be liable to such defendant for all or part of the represented party filing the same to serve on each
plaintiff’s claim against him or her. Such a motion other party who has appeared one copy of every
may be filed at any time before trial and such pleading subsequent to the original complaint,
permission may be granted by the judicial author- every written motion other than one in which an
ity if, in its discretion, it deems that the granting order is sought ex parte and every paper relating
of the motion will not unduly delay the trial of the to discovery, request, demand, claim, notice or
action or work an injustice upon the plaintiff or the similar paper, except a request for mediation
party sought to be impleaded. The writ, summons under General Statutes § 49-31l. When a party is
and complaint so served shall be equivalent in all represented by an attorney, the service shall be
respects to an original writ, summons and com- made upon the attorney unless service upon the
plaint, and the person upon whom it is served, party is ordered by the judicial authority.
hereinafter called the third-party defendant, shall (b) It shall be the responsibility of counsel or a
have available to him or her all remedies available self-represented party at the time of filing a motion
to an original defendant, including the right to for default for failure to appear to serve the party
assert setoffs or counterclaims against the third- sought to be defaulted with a copy of the motion.
party plaintiff, and shall be entitled to file cross Upon good cause shown, the judicial authority
complaints against any other third-party defend- may dispense with this requirement when judg-
ant. The third-party defendant may also assert ment is rendered.
against the plaintiff any defenses which the third- (c) Any pleading asserting new or additional
party plaintiff has to the plaintiff’s claim and may claims for relief against parties who have not
assert any claim against the plaintiff arising out of appeared or who have been defaulted shall be
the transaction or occurrence which is the subject served on such parties.
matter of the plaintiff’s claim against the third- (P.B. 1978-1997, Sec. 121.) (Amended June 22, 2009, to
take effect Jan. 1, 2010.)
party plaintiff.
(b) The plaintiff, within twenty days after the Sec. 10-13. —Method of Service
third-party defendant appears in the action, may Service upon the attorney or upon a self-repre-
assert any claim against the third-party defendant sented party, except service pursuant to Section
arising out of the transaction or occurrence which 10-12 (c), may be by delivering a copy or by mail-
is the subject matter of the original complaint, and ing it to the last known address of the attorney or
the third-party defendant, as against such claim, party. Delivery of a copy within this section means
shall have available to him or her all remedies handing it to the attorney or to the party; or leaving
available to an original defendant, including the it at the attorney’s office with a person in charge
right to assert setoffs or counterclaims against thereof; or, if there is no one in charge, leaving it
the plaintiff. in a conspicuous place therein; or, if the office is
(c) A third-party defendant may proceed under closed or the person to be served has no office,
this section against any person not a party to the leaving it at the usual place of abode. Delivery of
action who is or may be liable to such defendant a copy within this rule may also mean electronic
for all or any part of the third-party plaintiff’s claim delivery to the last known electronic address of the
against him or her. attorney or party, provided that electronic delivery
(d) When a counterclaim is asserted against a was consented to in writing by the person served.
plaintiff, the plaintiff may cause a third party to be An attorney or self-represented party who files a
brought in under circumstances which under this document electronically with the court must serve
section would entitle a defendant to do so. it electronically on any attorney or self-repre-
(e) When any civil action in which such a third sented party who consented in writing to elec-
party has been brought in is reached for trial, tronic delivery under this section. Service by mail
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is complete upon mailing. Service by electronic that service of the pleadings of the defendants
delivery is complete upon sending the electronic and replies thereto need not be made as between
notice unless the party making service learns that the defendants and that any cross complaint,
the attempted service did not reach the electronic counterclaim, or matter constituting an avoidance
address of the person to be served. Service pursu- or affirmative defense contained therein shall be
ant to Section 10-12 (c) shall be made in the same deemed to be denied or avoided by all other
manner as an original writ and complaint is served defendants and that the filing of any such pleading
or as ordered by the judicial authority. and service thereof upon the plaintiff shall be
(P.B. 1978-1997, Sec. 122.) (Amended June 29, 1998, to deemed to constitute due notice of it to the parties.
take effect Jan. 1, 1999; amended June 21, 2004, to take A copy of every such order shall be served upon
effect Jan. 1, 2005; amended June 22, 2009, to take effect
Jan. 1, 2010; amended June 15, 2012, to take effect Jan. the parties in such manner and form as the judicial
1, 2013.) authority directs.
(P.B. 1978-1997, Sec. 124.)
Sec. 10-14. —Proof of Service
(a) Proof of service pursuant to Section 10-12 Sec. 10-16. —Several Parties Represented
(a) and (b) may be made by written acknowledg- by One Attorney
ment of service by the party served, by a certificate When several parties have entered their
of counsel for the party filing the pleading or paper appearance by one attorney or one firm of attor-
or by the self-represented party, or by affidavit of neys, such several parties shall be treated as a
the person making the service, but these methods single party under this section.
of proof shall not be exclusive. Proof of service (P.B. 1978-1997, Sec. 125.)
shall include the address at which such service
Sec. 10-17. —Service by Indifferent Person
was made. If proof of such service is made by a
certificate of counsel or by the self-represented Service of copies of any written pleading subse-
party, it shall be in substantially the following form: quent to the original complaint, motion, claim,
I certify that a copy of the above was or will notice or demand, when required by law or rule of
immediately be mailed or delivered electronically the court, may be made by any indifferent person.
or nonelectronically on (Date) to all counsel and (P.B. 1978-1997, Sec. 126.)
self-represented parties of record and that written Sec. 10-18. Penalty for Failing To Plead
consent for electronic delivery was received from
all counsel and self-represented parties of record Parties failing to plead according to the rules
who were or will immediately be electronically and orders of the judicial authority may be non-
served. (Here list the name of each party served suited or defaulted, as the case may be. (See
or immediately to be served and the address at General Statutes § 52-119 and annotations.)
(P.B. 1978-1997, Sec. 128.)
which service was made or will immediately be
made.) Sec. 10-19. Implied Admissions
Or Every material allegation in any pleading which
to the party against whom the default for failure is not denied by the adverse party shall be
to appear is claimed. (Here list the name of each deemed to be admitted, unless such party avers
nonappearing party served or immediately to be that he or she has not any knowledge or informa-
served and the address at which service was tion thereof sufficient to form a belief.
made or will immediately be made.) (P.B. 1978-1997, Sec. 129.)
(Individual signature of
counsel or self-represented party) Sec. 10-20. Contents of Complaint
(b) Proof of service pursuant to Section 10-12 The first pleading on the part of the plaintiff
(c) shall be made in the same manner as proof of shall be known as the complaint. It shall contain
service is made of an original writ and complaint, a concise statement of the facts constituting the
unless the judicial authority ordered service in cause of action and, on a separate page of the
some other manner, in which event service may complaint, a demand for relief which shall be
be proved as prescribed in subsection (a) above. a statement of the remedy or remedies sought.
(P.B. 1978-1997, Sec. 123.) (Amended June 29, 1998, to When money damages are sought in the demand
take effect Jan. 1, 1999; amended June 21, 2004, to take
effect Jan. 1, 2005; amended June 13, 2014, to take effect for relief, the demand for relief shall include the
Jan. 1, 2015.) information required by General Statutes § 52-91.
(P.B. 1978-1997, Sec. 131.)
Sec. 10-15. —Numerous Defendants
In any action in which there is an unusually Sec. 10-21. Joinder of Causes of Action
large number of defendants, the judicial author- In any civil action the plaintiff may include in
ity, upon motion or of its own initiative, may order the complaint both legal and equitable rights
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and causes of action, and demand both legal Sec. 10-24. —Legal and Equitable Relief
and equitable remedies; but, if several causes of A cause of action for legal relief for breach of
action are united in the same complaint, they shall contract may be joined with another cause of
all be brought to recover, either (1) upon contract, action for equitable relief growing out of another
express or implied, or (2) for injuries, with or with- contract, although such contracts in no way relate
out force, to person and property, or either, includ- to each other.
ing a conversion of property to the defendant’s (P.B. 1978-1997, Sec. 136.)
use, or (3) for injuries to character, or (4) upon
claims to recover real property, with or without Sec. 10-25. Alternative Relief
damages for the withholding thereof, and the rents The plaintiff may claim alternative relief, based
and profits of the same, or (5) upon claims to upon an alternative construction of the cause of
recover personal property specifically, with or action.
without damages for the withholding thereof, or (P.B. 1978-1997, Sec. 137.)
(6) claims arising by virtue of a contract or by Sec. 10-26. Separate Counts
operation of law in favor of or against a party in
some representative or fiduciary capacity, or (7) Where separate and distinct causes of action,
upon claims, whether in contract or tort or both, as distinguished from separate and distinct claims
arising out of the same transaction or transactions for relief founded on the same cause of action
connected with the same subject of action. The or transaction, are joined, the statement of the
several causes of action so united shall all belong second shall be prefaced by the words Second
to one of these classes, and, except in an action Count, and so on for the others; and the several
for the foreclosure of a mortgage or lien, shall paragraphs of each count shall be numbered sep-
affect all the parties to the action, and not require arately beginning in each count with the num-
different places of trial, and shall be separately ber one.
stated; and, in any case in which several causes (P.B. 1978-1997, Sec. 138.)
of action are joined in the same complaint, or as Sec. 10-27. Claim for Equitable Relief
matter of counterclaim or setoff in the answer, if A party seeking equitable relief shall specifically
it appears to the judicial authority that they cannot demand it as such, unless the nature of the
all be conveniently heard together, it may order
a separate trial of any such cause of action or demand itself indicates that the relief sought is
may direct that any one or more of them be equitable relief.
(P.B. 1978-1997, Sec. 139.)
deleted from the complaint or answer. (See Gen-
eral Statutes § 52-97 and annotations.) Sec. 10-28. Interest and Costs Need Not
(P.B. 1978-1997, Sec. 133.) Be Claimed
Sec. 10-22. —Transactions Connected with Interest and costs need not be specially claimed
Same Subject in the demand for relief, in order to recover them.
Transactions connected with the same subject (P.B. 1978-1997, Sec. 140.)
of action within the meaning of subdivision (7) Sec. 10-29. Exhibits as Part of Pleading
of Section 10-21, may include any transactions
which grew out of the subject matter in regard to (a) Any plaintiff, except as otherwise provided
which the controversy has arisen; as, for instance, in subsection (b) in connection with a plaintiff in
the failure of a bailee to use the goods bailed for the housing division as defined in Section 1-7,
the purpose agreed, also an injury to them by his desiring to make a copy of any document a part
or her fault or neglect; the breach of a covenant of the complaint shall refer to it as Exhibit A, B,
for quiet enjoyment by the entry of the lessor, also C, etc. No later than the return date, the plaintiff
a trespass to goods, committed in the course of shall file the original or a copy of such exhibit or
the entry. Injuries to character, within the meaning exhibits in court. The plaintiff shall serve a copy
of subdivision (3) of Section 10-21, may embrace of such exhibit or exhibits on each party no later
libel, slander, and malicious prosecution. than ten days after receipt of notice of the appear-
(P.B. 1978-1997, Sec. 134.) ance of such party, in the manner provided in
Sec. 10-23. —Joinder of Torts Sections 10-12 through 10-17, and shall file proof
Where several torts are committed simultane- of service on each appearing party with the court.
ously against the plaintiff, as a battery accompa- Except as required by statute, the plaintiff shall
nied by slanderous words, they may be joined, not annex the document or documents referred
within the meaning of subdivision (7) of Section to as exhibits to the complaint, or incorporate them
10-21, as causes of action arising out of the same in the complaint, at full length, and if the plaintiff
transaction, although they may belong to different does so, the plaintiff shall not be allowed in costs
classes of torts. for such part of the fees of the officer for copies
(P.B. 1978-1997, Sec. 135.) of such complaint left in service, as are chargeable
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SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 10-36
for copying such document or documents referred Sec. 10-32. —Waiver Based on Certain
to as exhibits. Grounds
(b) The provisions of subsection (a) shall apply Any claim of lack of jurisdiction over the person
to a plaintiff in the housing division, as defined or insufficiency of process or insufficiency of ser-
in Section 1-7, desiring to make a copy of any vice of process is waived if not raised by a motion
document a part of the complaint, except that to dismiss filed in the sequence provided in Sec-
the plaintiff shall serve on each party who has tions 10-6 and 10-7 and within the time provided
appeared a copy of such exhibit or exhibits at the by Section 10-30.
first court session of the matter or no later than (P.B. 1978-1997, Sec. 144.) (Amended June 24, 2016, to
seven days after receipt of notice of the appear- take effect Jan. 1, 2017.)
ance of such party, whichever is earlier.
(c) When either the plaintiff or the defendant in Sec. 10-33. —Waiver and Subject Matter
any pleading subsequent to the complaint desires Jurisdiction
to make a copy of any document a part of his or Any claim of lack of jurisdiction over the subject
her pleading, such party may, without reciting it matter cannot be waived; and whenever it is found
therein, either annex it thereto, or refer to it therein, after suggestion of the parties or otherwise that
and shall serve it and file it in court with proof of the court lacks jurisdiction of the subject matter,
service in the manner provided in Sections 10-12 the judicial authority shall dismiss the action.
through 10-17. (P.B. 1978-1997, Sec. 145.)
(P.B. 1978-1997, Sec. 141.) (Amended June 15, 2012, to
take effect Jan. 1, 2013.) Sec. 10-34. —Further Pleading by Defend-
Sec. 10-30. Motion To Dismiss; Grounds ant
(Amended June 30, 2003, to take effect Jan. 1, 2004; If any motion to dismiss is denied with respect to
amended June 14, 2013, to take effect Jan. 1, 2014.) any jurisdictional issue, the defendant may plead
(a) A motion to dismiss shall be used to assert: further without waiving the right to contest jurisdic-
(1) lack of jurisdiction over the subject matter; (2) tion further.
lack of jurisdiction over the person; (3) insuffi- (P.B. 1978-1997, Sec. 146.)
ciency of process; and (4) insufficiency of service
of process. Sec. 10-35. Request To Revise
(b) Any defendant, wishing to contest the court’s Whenever any party desires to obtain (1) a more
jurisdiction, shall do so by filing a motion to dismiss complete or particular statement of the allegations
within thirty days of the filing of an appearance. of an adverse party’s pleading, or (2) the deletion
(c) This motion shall always be filed with a sup- of any unnecessary, repetitious, scandalous,
porting memorandum of law and, where appro- impertinent, immaterial or otherwise improper
priate, with supporting affidavits as to facts not allegations in an adverse party’s pleading, or (3)
apparent on the record. separation of causes of action which may be
(P.B. 1978-1997, Sec. 142.) (Amended June 30, 2003, to
take effect Jan. 1, 2004; amended June 21, 2004, to take
united in one complaint when they are improperly
effect Jan. 1, 2005; amended June 14, 2013, to take effect combined in one count, or the separation of two
Jan. 1, 2014; amended June 13, 2014, to take effect Jan. or more grounds of defense improperly combined
1, 2015.) in one defense, or (4) any other appropriate cor-
Sec. 10-31. —Opposition; Date for Hearing rection in an adverse party’s pleading, the party
Motion To Dismiss desiring any such amendment in an adverse par-
(Amended June 14, 2013, to take effect Jan. 1, 2014.) ty’s pleading may file a timely request to revise
(a) Any adverse party shall have thirty days that pleading.
from the filing of the motion to dismiss to respond (P.B. 1978-1997, Sec. 147.)
to the motion to dismiss by filing and serving in Sec. 10-36. —Reasons in Request To Revise
accordance with Sections 10-12 through 10-17
a memorandum of law in opposition and, where The request to revise shall set forth, for each
appropriate, supporting affidavits as to facts not requested revision, the portion of the pleading
apparent on the record. sought to be revised, the requested revision, and
(b) Except in summary process matters, the the reasons therefor, and, except where the
motion shall be placed on the short calendar to request is served electronically in accordance with
be held not less than forty-five days following Section 10-13, in a format that allows the recipient
the filing of the motion, unless the judicial author- to insert electronically the objection and reasons
ity otherwise orders. If an evidentiary hearing is therefor, provide sufficient space in which the
required, any party shall file a request for such party to whom the request is directed can insert
hearing with the court. an objection and reasons therefor.
(P.B. 1978-1997, Sec. 143.) (Amended June 14, 2013, to (P.B. 1978-1997, Sec. 148.) (Amended June 20, 2011, to
take effect Jan. 1, 2014.) take effect Jan. 1, 2012.)
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Sec. 10-37 SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS
Sec. 10-37. —Granting of and Objection to cross complaint, or any count thereof, because
Request To Revise of the absence of any necessary party or, pursu-
(a) Any such request, after service upon each ant to Section 17-56 (b), the failure to join or give
party as provided by Sections 10-12 through 10- notice to any interested person; or (4) the joining
17 and with proof of service endorsed thereon, of two or more causes of action which cannot
shall be filed with the clerk of the court in which properly be united in one complaint, whether the
the action is pending, and such request shall be same be stated in one or more counts; or (5) the
deemed to have been automatically granted by legal sufficiency of any answer to any complaint,
the judicial authority on the date of filing and shall counterclaim or cross complaint, or any part of
be complied with by the party to whom it is directed that answer including any special defense con-
within thirty days of the date of filing the same, tained therein.
unless within thirty days of such filing the party to (b) Each claim of legal insufficiency enumerated
whom it is directed shall file objection thereto. in this section shall be separately set forth and
(b) The objection and the reasons therefor shall shall specify the reason or reasons for such
be inserted on the request to revise in the space claimed insufficiency.
provided under the appropriate requested revi- (c) Each motion to strike must be accompanied
sion. In the event that a reason for objection by a memorandum of law citing the legal authori-
requires more space than that provided on the ties upon which the motion relies.
request to revise, it shall be continued on a sepa- (d) A motion to strike on the ground of the non-
rate sheet of paper which shall be attached to that joinder of a necessary party or noncompliance
document, except where the request is served with Section 17-56 (b) must give the name and
electronically as provided in Section 10-13 and in residence of the missing party or interested per-
a format that allows the recipient to electronically son or such information as the moving party has
insert the objection and reasons therefor. The as to the identity and residence of the missing
request to revise on which objections have been party or interested person and must state the
inserted shall be appended to a cover sheet which missing party’s or interested person’s interest in
shall comply with Sections 4-1 and 4-2 and the
the cause of action.
objecting party shall specify thereon to which of (P.B. 1978-1997, Sec. 152.) (Amended June 28, 1999, to
the requested revisions objection is raised. The take effect Jan. 1, 2000; amended June 14, 2013, to take
cover sheet with the appended objections shall effect Jan. 1, 2014; amended June 13, 2014, to take effect
be filed with the clerk within thirty days from the Jan. 1, 2015.)
date of the filing of the request for the next short
calendar list. If the judicial authority overrules the Sec. 10-40. —Opposition; Date for Hearing
objection, a substitute pleading in compliance with Motion To Strike
the order of the judicial authority shall be filed (Amended June 30, 2003, to take effect Jan. 1, 2004;
within fifteen days of such order. amended June 14, 2013, to take effect Jan. 1, 2014.)
(P.B. 1978-1997, Sec. 149.) (Amended June 20, 2012, to (a) Any adverse party shall have thirty days
take effect Jan. 1, 2012.) from the filing of the motion to strike to respond
Sec. 10-38. —Waiver of Pleading Revisions to a motion to strike filed pursuant to Section 10-
Whenever any party files any request to revise 39 by filing and serving in accordance with Sec-
or any subsequent motion or pleading in the tions 10-12 through 10-17 a memorandum of law
sequence provided in Sections 10-6 and 10-7, in opposition.
that party thereby waives any right to seek any (b) Except in summary process matters, the
further pleading revisions which that party might motion to strike shall be placed on the short calen-
then have requested. dar to be held not less than forty-five days follow-
(P.B. 1978-1997, Sec. 150.) ing the filing of the motion, unless the judicial
authority otherwise orders.
Sec. 10-39. Motion To Strike; Grounds (P.B. 1978-1997, Sec. 153.) (Amended June 30, 2003, to
(Amended June 14, 2013, to take effect Jan. 1, 2014.) take effect Jan. 1, 2004; amended June 21, 2004, to take
(a) A motion to strike shall be used whenever effect Jan. 1, 2005; amended June 14, 2013, to take effect
any party wishes to contest: (1) the legal suffi- Jan. 1, 2014.)
ciency of the allegations of any complaint, coun-
terclaim or cross claim, or of any one or more Sec. 10-41. —Reasons in Motion To Strike
counts thereof, to state a claim upon which relief [Repealed as of Jan. 1, 2014.]
can be granted; or (2) the legal sufficiency of any
prayer for relief in any such complaint, counter- Sec. 10-42. —Memorandum of Law—Motion
claim or cross complaint; or (3) the legal suffi- and Objection
ciency of any such complaint, counterclaim or [Repealed as of Jan. 1, 2014.]
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SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 10-50
Sec. 10-43. —When Memorandum of Deci- defendant intends to controvert, admitting the
sion Required on Motion To Strike truth of the other allegations, unless the defendant
Whenever a motion to strike is filed and more intends in good faith to controvert all the allega-
than one ground of decision is set up therein, tions, in which case he or she may deny them
the judicial authority, in rendering the decision generally. Any defendant who intends to contro-
thereon, shall specify in writing the grounds upon vert the right of the plaintiff to sue as executor, or
which that decision is based. as trustee, or in any other representative capacity,
(P.B. 1978-1997, Sec. 156.) or as a corporation, or to controvert the execution
or delivery of any written instrument or recogni-
Sec. 10-44. —Substitute Pleading; Judg- zance sued upon, shall deny the same in the
ment answer specifically.
Within fifteen days after the granting of any (P.B. 1978-1997, Sec. 160.)
motion to strike, the party whose pleading has
been stricken may file a new pleading; provided Sec. 10-47. —Evasive Denials
that in those instances where an entire complaint, Denials must fairly meet the substance of the
counterclaim or cross complaint, or any count in allegations denied. Thus, when the payment of a
a complaint, counterclaim or cross complaint has certain sum is alleged, and in fact a lesser sum
been stricken, and the party whose pleading or a was paid, the defendant cannot simply deny the
count thereof has been so stricken fails to file a payment generally, but must set forth how much
new pleading within that fifteen day period, the was paid to the defendant; and where any matter
judicial authority may, upon motion, enter judg- of fact is alleged with divers circumstances, some
ment against said party on said stricken com- of which are untruly stated, it shall not be sufficient
plaint, counterclaim or cross complaint, or count to deny it as alleged, but so much as is true and
thereof. material should be stated or admitted, and the
Any new pleading filed pursuant to this section rest only denied.
shall be accompanied by a separate document (P.B. 1978-1997, Sec. 161.)
which shows the differences between the previ- Sec. 10-48. —Express Admissions and
ous pleading and the new pleading by using Denials To Be Direct and Specific
underlining to indicate new language and by using
either brackets or strikethrough to indicate deleted Express admissions and denials must be direct,
language. precise and specific, and not argumentative,
Nothing in this section shall dispense with the hypothetical or in the alternative. Accordingly, any
requirements of Section 61-3 or 61-4 of the appel- pleader wishing expressly to admit or deny a por-
late rules. tion only of a paragraph must recite that portion;
(P.B. 1978-1997, Sec. 157.) (Amended June 30, 2003, to except that where a recited portion of a paragraph
take effect Jan. 1, 2004; amended June 11, 2021, to take has been either admitted or denied, the remainder
effect Jan. 1, 2022.) of the paragraph may be denied or admitted with-
out recital. Admissions or denials of allegations
Sec. 10-45. —Stricken Pleading Part of identified only by a summary or generalization
Another Cause or Defense thereof, or by describing the facts alleged as ‘‘con-
Whenever the judicial authority grants a motion sistent’’ or ‘‘inconsistent’’ with other facts recited
to strike the whole or any portion of any pleading or referred to, are improper.
or count which purports to state an entire cause (P.B. 1978-1997, Sec. 162.)
of action or defense, and such pleading or portion
thereof states or constitutes a part of another Sec. 10-49. —Suit by Corporation; Admis-
cause of action or defense, the granting of that sion by General Denial
motion shall remove from the case only the cause In an action by a corporation, foreign or domes-
of action or defense which was the subject of the tic, founded upon any contract, express or implied,
granting of that motion, and it shall not remove the defendant shall not, under a general denial,
such pleading or count or any portion thereof so be permitted to dispute, but shall be deemed to
far as the same is applicable to any other cause admit, the capacity of the plaintiff to make such
of action or defense. contract.
(P.B. 1978-1997, Sec. 158.) (P.B. 1978-1997, Sec. 163.)
Sec. 10-46. The Answer; General and Spe- Sec. 10-50. —Denials; Special Defenses
cial Denial No facts may be proved under either a general
The defendant in the answer shall specially or special denial except such as show that the
deny such allegations of the complaint as the plaintiff’s statements of fact are untrue. Facts
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Sec. 10-50 SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS
which are consistent with such statements but Sec. 10-54. —Pleading of Counterclaim
show, notwithstanding, that the plaintiff has no and Setoff
cause of action, must be specially alleged. Thus, In any case in which the defendant has either
accord and satisfaction, arbitration and award, in law or in equity or in both a counterclaim, or
duress, fraud, illegality not apparent on the face right of setoff, against the plaintiff’s demand, the
of the pleadings, infancy, that the defendant was defendant may have the benefit of any such setoff
non compos mentis, payment (even though non- or counterclaim by pleading the same as such in
payment is alleged by the plaintiff), release, the the answer, and demanding judgment accord-
statute of limitations and res judicata must be spe- ingly; and the same shall be pleaded and replied
cially pleaded, while advantage may be taken, to according to the rules governing complaints
under a simple denial, of such matters as the and answers. (See General Statutes §§ 52-139
statute of frauds, or title in a third person to what to 52-142.)
(P.B. 1978-1997, Sec. 168.)
the plaintiff sues upon or alleges to be the plain-
tiff’s own. Sec. 10-55. —Withdrawal of Action after
(P.B. 1978-1997, Sec. 164.) (Amended June 23, 2017, to Counterclaim
take effect Jan. 1, 2018.)
The withdrawal of an action after a counter-
Sec. 10-51. —Several Special Defenses claim, whether for legal or equitable relief, has
been filed therein shall not impair the right of the
Where several matters of defense are pleaded, defendant to prosecute such counterclaim as fully
each must refer to the cause of action which it as if said action had not been withdrawn, provided
is intended to answer, and be separately stated that the defendant shall, if required by the judicial
and designated as a separate defense, as, First authority, give bond to pay costs as in civil actions.
Defense, Second Defense, etc. Where the com- (P.B. 1978-1997, Sec. 169.)
plaint or counterclaim is for more than one cause
of action, set forth in several counts, each sepa- Sec. 10-56. Subsequent Pleadings; Plain-
tiff’s Response to Answer
rate matter of defense should be preceded by
a designation of the cause of action which it is The plaintiff’s reply pleading to each of the
designed to meet, in this manner: First Defense defendant’s special defenses may admit some
to First Count, Second Defense to First Count, and deny others of the allegations of that defense,
First Defense to Second Count, and so on. Any or by a general denial of that defense put the
statement of a matter of defense resting in part defendant upon proof of all the material facts
upon facts pleaded in any preceding statement in alleged therein.
(P.B. 1978-1997, Sec. 171.)
the same answer may refer to those facts as thus
recited, without otherwise repeating them. Sec. 10-57. —Matter in Avoidance of Answer
(P.B. 1978-1997, Sec. 165.) Matter in avoidance of affirmative allegations
in an answer or counterclaim shall be specially
Sec. 10-52. —Admissions and Denials in pleaded in the reply. Such a reply may contain
Special Defense two or more distinct avoidances of the same
No special defense shall contain a denial of any defense or counterclaim, but they must be sepa-
allegation of the complaint or counterclaim unless rately stated.
that denial is material to such defense. An admis- (P.B. 1978-1997, Sec. 172.)
sion of any allegation of the complaint or counter- Sec. 10-58. —Pleadings Subsequent to
claim in a special defense will be deemed to Reply
incorporate such allegation in the defense.
(P.B. 1978-1997, Sec. 166.) Further pleadings, subsequent in their nature,
may be had if necessary by leave of the judicial
Sec. 10-53. —Pleading Contributory Neg- authority.
ligence (P.B. 1978-1997, Sec. 173.)
If contributory negligence is relied upon as a Sec. 10-59. Amendments; Amendment as of
defense, it shall be affirmatively pleaded by the Right by Plaintiff
defendant and the defendant shall specify the The plaintiff may amend any defect, mistake or
negligent acts or omissions on which the defend- informality in the writ, complaint or petition and
ant relies. (See General Statutes § 52-114 and insert new counts in the complaint, which might
annotations.) have been originally inserted therein, without
(P.B. 1978-1997, Sec. 167.) costs, during the first thirty days after the return
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SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 10-64
day. (See General Statutes § 52-128 and anno- trial or inconvenience to the other party, the judi-
tations.) cial authority may award costs in its discretion in
Any writ, complaint or petition amended pursu- favor of the other party. For the purposes of this
ant to this section shall be accompanied by a rule, a substituted pleading shall be considered
separate document showing the portion or por- an amendment. (See General Statutes § 52-130
tions of the original writ, complaint or petition so and annotations.)
amended by using underlining to indicate new (P.B. 1978-1997, Sec. 176.) (Amended June 24, 2016, to
take effect Jan. 1, 2017; amended June 11, 2021, to take
language and by using either brackets or effect Jan. 1, 2022.)
strikethrough to indicate deleted language.
(P.B. 1978-1997, Sec. 175.) (Amended June 11, 2021, to Sec. 10-61. —Pleading after Amendment
take effect Jan. 1, 2022.) When any pleading is amended the adverse
party may plead thereto within the time provided
Sec. 10-60. —Amendment by Consent, by Section 10-8 or, if the adverse party has
Order of Judicial Authority, or Failure To already pleaded, alter the pleading, if desired,
Object within ten days after such amendment or such
(a) Except as provided in Section 10-66, a party other time as the rules of practice, or the judicial
may amend his or her pleadings or other parts of authority, may prescribe, and thereafter plead-
the record or proceedings at any time subsequent ings shall advance in the time provided by that
to that stated in the preceding section in the follow- section. If the adverse party fails to plead further,
ing manner: pleadings already filed by the adverse party shall
(1) By order of judicial authority; or be regarded as applicable so far as possible to
(2) By written consent of the adverse party; or the amended pleading.
(P.B. 1978-1997, Sec. 177.)
(3) By filing a request for leave to file an amend-
ment together with the amended pleading or other Sec. 10-62. —Variance; Amendment
parts of the record or proceedings. The party shall In all cases of any material variance between
file the request and accompanying documents allegation and proof, an amendment may be per-
after service upon each party as provided by Sec- mitted at any stage of the trial. If such allegation
tions 10-12 through 10-17, and with proof of ser- was made without reasonable excuse, or if the
vice endorsed thereon. If no party files an objection adverse party was actually misled thereby to his or
to the request within fifteen days from the date it her prejudice in maintaining the action or defense
is filed, the amendment shall be deemed to have upon the merits, or if such amendment requires
been filed by consent of the adverse party. If an postponement of the trial or additional expense
opposing party shall have objection to any part of to the adverse party and this is shown to the satis-
such request or the amendment appended thereto, faction of the judicial authority, such amendment
such objection in writing specifying the particular shall be made only upon payment of costs or upon
paragraph or paragraphs to which there is objec- such terms as the judicial authority may deem
tion and the reasons therefor, shall, after service proper; but in any other case, without costs. Imma-
upon each party as provided by Sections 10-12 terial variances shall be wholly disregarded.
(P.B. 1978-1997, Sec. 178.)
through 10-17 and with proof of service endorsed
thereon, be filed with the clerk within the time Sec. 10-63. —Amendment; Legal or Equita-
specified above and placed upon the next short ble Relief
calendar list. If, on the trial, whether upon an issue of fact
(b) Any amended pleading or other part of the or of law, of a cause wherein equitable relief is
record or proceedings filed pursuant to this sec- demanded, it appears that the plaintiff is not enti-
tion or accompanying a request for leave to file tled to such relief but may be entitled to legal relief,
an amendment pursuant to this section shall be the judicial authority may permit the complaint to
accompanied by a separate document showing be amended so as to present a proper case for
the amendments to the original pleading or other the latter relief; and in like manner a complaint
parts of the record or proceedings being amended demanding legal relief may be so amended as to
by using underlining to indicate new language and entitle the plaintiff to equitable relief. (See General
by using either brackets or strikethrough to indi- Statutes § 52-137 and annotations.)
(P.B. 1978-1997, Sec. 179.)
cate deleted language.
(c) The judicial authority may restrain such Sec. 10-64. —Amendment Calling for Legal
amendments so far as may be necessary to com- Relief; Jury Trial
pel the parties to join issue in a reasonable time If on the trial any complaint is so amended as to
for trial. If the amendment occasions delay in the call for legal instead of equitable relief, the judicial
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Sec. 10-64 SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS
authority shall not proceed to judgment until the Sec. 10-69. —Foreclosure Complaint; Plead-
defendant has had a reasonable opportunity to ing Encumbrances
put the issue or issues, on which the new claim The complaint in all actions seeking the foreclo-
for relief may be based, on the jury docket. (See sure of a mortgage or other lien upon real estate
General Statutes § 52-138 and annotations.) shall set forth, in addition to the other essentials
(P.B. 1978-1997, Sec. 180.) of such complaint: All encumbrances of record
upon the property both prior and subsequent to
Sec. 10-65. —Amending Contract to Tort the encumbrance sought to be foreclosed, the
and Vice Versa dates of such encumbrances, the amount of each
A complaint for breach of contract may be and the date when such encumbrance was
amended so as to set forth a cause of action recorded; if such encumbrance be a mechanic’s
founded on a tort arising from the same transac- lien, the date of commencing to perform services
tion or subject of action; and a complaint founded or furnish materials as therein recited; and if such
on a tort may be amended so as to set forth a encumbrance be a judgment lien, whether said
cause of action for a breach of contract arising judgment lien contains a reference to the previous
out of the same transaction or subject of action. attachment of the same premises in the same
(See General Statutes § 52-136 and annotations.) action, as provided by General Statutes § 52-
(P.B. 1978-1997, Sec. 181.) 380a.
(P.B. 1978-1997, Sec. 186.)
Sec. 10-66. —Amendment of Amount in Sec. 10-70. —Foreclosure of Municipal
Demand Liens
A party may amend the party’s statement con- (a) In any action to foreclose a municipal tax or
cerning the amount in demand by order of the assessment lien the plaintiff need only allege and
judicial authority upon filing of a motion for leave prove: (1) the ownership of the liened premises
to file such amendment, with a copy of the amend- on the date when the same went into the tax
ment appended, after service upon each party as list, or when said assessment was made; (2) that
provided by Sections 10-12 through 10-17, and thereafter a tax in the amount specified in the list,
with proof of service endorsed thereon. After or such assessment in the amount made, was
obtaining permission of the judicial authority, the duly and properly assessed upon the property and
moving party shall file the amended statement of became due and payable; (3) (to be used only
amount in demand with the clerk and shall pay in cases where the lien has been continued by
any entry fee prescribed by statute to the clerk certificate) that thereafter a certificate of lien for
when the amendment is filed. the amount thereof was duly and properly filed
(P.B. 1978-1997, Sec. 182.) (Amended June 24, 2016, to and recorded in the land records of the said town
take effect Jan. 1, 2017.) on the date stated; (4) that no part of the same
has been paid; and (5) other encumbrances as
Sec. 10-67. —Amendment of Claim against required by the preceding section.
Insolvent Estate (b) When the lien has been continued by certifi-
In any hearing on appeal from the doings of cate, the production in court of the certificate of
commissioners on the estate of an insolvent lien, or a certified copy thereof, shall be prima
debtor or a deceased person, the claimant may facie evidence that all requirements of law for the
amend any defect, mistake or informality in the assessment and collection of the tax or assess-
statement of the claim, not changing the ground ment secured by it, and for the making and filing
of action; such amendment to be upon such terms of the certificate, have been duly and properly
as to costs as the judicial authority directs. (See complied with. Any claimed informality, irregularity
General Statutes § 52-131 and annotations.) or invalidity in the assessment or attempted col-
(P.B. 1978-1997, Sec. 183.) lection of the tax, or in the lien filed, shall be a
matter of affirmative defense to be alleged and
Sec. 10-68. Pleading Special Matters; Plead- proved by the defendant.
ing Notice (P.B. 1978-1997, Sec. 187.)
Whenever in an action of tort or upon a statute Sec. 10-71. —Action on Probate Bond
the plaintiff is compelled to allege the giving of a In any action upon a bond taken in a Probate
notice required by statute, the plaintiff shall either Court, not brought by a representative of the
recite the same in the complaint or annex a copy estate in connection with which the bond was
thereto. given or by some person in that person’s own
(P.B. 1978-1997, Sec. 185.) behalf and that of all other persons interested in
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SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 10-79
the estate, the plaintiff shall aver in the complaint Sec. 10-76. —Probate Appeals; Reasons of
or reply for whose special benefit the action is Appeal
prosecuted, and how such persons are interested (a) Unless otherwise ordered, in all appeals
in the same, and how the act or neglect of the from probate the appellant shall file reasons of
defendant has injured their rights or affected their appeal, which upon motion shall be made reason-
interests and the judgment rendered in any such ably specific, within ten days after the return day;
case shall not, in any future proceedings, by scire and pleadings shall thereafter follow in analogy
facias or otherwise, bar or conclude the rights of to civil actions.
other persons interested in the bond. (See Gen- (b) Appellees opposing the probate of a will
eral Statutes § 52-117 and annotations.) shall specifically deny such of the reasons of
(P.B. 1978-1997, Sec. 189.) appeal as they intend to controvert and affirma-
tively allege any other grounds upon which they
Sec. 10-72. —Action by Assignee of Chose propose to rely.
in Action (c) The appellant in appeals involving the pro-
Where the assignee and equitable and bona bate of a will shall file, with the reasons of appeal,
fide owner of any chose in action, not negotiable, a copy of the will. (See General Statutes §§ 45a-
sues thereon in his or her own name, such party 186 to 45a-193.)
(P.B. 1978-1997, Sec. 194.)
shall in the complaint allege that he or she is the
actual bona fide owner thereof, and set forth when Sec. 10-77. —Appeals from Commissioners
and how such party acquired title thereto. (See In all appeals from the allowance or disallow-
General Statutes § 52-118 and annotations.) ance of any claim by commissioners appointed
(P.B. 1978-1997, Sec. 190.) by courts of probate, the party presenting the
claim shall, within ten days after the return day,
Sec. 10-73. —Pleading Charters unless otherwise ordered, file a statement of the
All acts of incorporation passed by the General amount and nature of the claim, and of the facts
Assembly may be declared on or pleaded as pub- upon which it is based, which statement shall con-
lic acts. (See General Statutes § 52-115 and form, as far as may be, in form and substance,
annotations.) to the requirements of a complaint brought to
(P.B. 1978-1997, Sec. 191.)
recover upon said claim in a civil action. To such
statement the adverse party, unless otherwise
Sec. 10-74. —Wrongful Sale; Wrongful Con- ordered by the judicial authority, shall plead, and
version thereafter the pleadings shall continue until issues
are joined, as in civil actions.
Where the defendant has wrongfully sold per- (P.B. 1978-1997, Sec. 195.)
sonal property of the plaintiff, the latter may waive
the tort, affirm the sale, and sue for the proceeds; Sec. 10-78. —Pleading Collateral Source
Payments
but in case of wrongful conversion of property,
without a sale, the plaintiff cannot waive the tort No pleading shall contain any allegations
regarding receipt by a party of collateral source
and declare as on a contract.
(P.B. 1978-1997, Sec. 192.)
payments as described in General Statutes §§ 52-
225a and 52-225b.
(P.B. 1978-1997, Sec. 195A.)
Sec. 10-75. —Goods Sold; Variance
In an action for goods sold at a reasonable Sec. 10-79. —Pleading Issues of Policy Lim-
price, if the proof is that they were sold at an itations
agreed price, the plaintiff shall not be precluded, An insurer should raise issues of monetary pol-
on the ground of a variance, from recovering such icy limits, or credits for payments by or on behalf
agreed price; and in an action for goods sold at an of third-party tortfeasors, by special defense.
When a jury determination of the facts raised by
agreed price the plaintiff may recover a different
special defense is not necessary, the special
or a reasonable price, if the proof fails to establish defense shall not be submitted to the jury but,
the price alleged; and the like rule shall prevail in rather, shall be resolved by the trial court prior to
actions for work done, materials furnished, or use the rendering of judgment.
and occupation of land. (P.B. 1978-1997, Sec. 195B.)
(P.B. 1978-1997, Sec. 193.)
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Sec. 11-1 SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS
CHAPTER 11
MOTIONS, REQUESTS, ORDERS OF NOTICE AND
SHORT CALENDAR
Sec. Sec.
11-1. Form of Motion and Request 11-12. Motion To Reargue
11-2. Definition of ‘‘Motion’’ and ‘‘Request’’ 11-13. Short Calendar; Need for List; Case Assigned for
11-3. Motion for Misjoinder of Parties Trial; Reclaims
11-4. Applications for Orders of Notice 11-14. —Short Calendar; Frequency; Time; Lists
11-5. Subsequent Orders of Notice; Continuance 11-15. —Short Calendar; Assignments Automatic
11-6. Notice by Publication 11-16. —Continuances when Counsel’s Presence or Oral
Argument Required
11-7. Attestation; Publication; Proof of Compliance
11-17. —Transfers on Short Calendar
11-8. Orders of Notice Directed outside of the United 11-18. —Oral Argument of Motions in Civil Matters
States of America 11-19. —Time Limit for Deciding Short Calendar Matters
11-9. Disclosure of Previous Applications 11-20. Closure of Courtroom in Civil Cases
11-10. Requirement That Memorandum of Law Be Filed 11-20A. Sealing Files or Limiting Disclosure of Documents
with Certain Motions in Civil Cases
11-11. Motions Which Delay the Commencement of the 11-20B. —Documents Containing Personal Identifying
Appeal Period or Cause the Appeal Period To Information
Start Again 11-21. Motions for Attorney’s Fees
For previous Histories and Commentaries see the editions of the Practice Book
corresponding to the years of the previous amendments.
Sec. 11-1. Form of Motion and Request other than the first page, except that this require-
(a) Every motion, request, application or objec- ment shall not apply to forms supplied by the Judi-
tion directed to pleading or procedure, unless cial Branch or generated by the electronic filing
relating to procedure in the course of a trial, shall system.
be in writing. A motion to extend time to plead, (P.B. 1978-1997, Sec. 196.) (Amended June 20, 2011, to
respond to written discovery, object to written dis- take effect Jan. 1, 2012; amended June 15, 2012, to take
covery, or respond to requests for admissions effect Jan. 1, 2013; amended June 13, 2014, to take effect
Jan. 1, 2015; amended June 24, 2016, to take effect Jan.
shall state the date of the certification of service 1, 2017.)
of the document for which an extension is sought
and the date through which the moving party is Sec. 11-2. Definition of ‘‘Motion’’ and
seeking the extension. ‘‘Request’’
(b) (1) For civil matters, with the exception of As used in these rules, the term ‘‘motion’’
housing, family and small claims matters, when means any application to the court for an order,
any motion, application or objection is filed either which application is to be acted upon by the court
electronically or on paper, no order page should or any judge thereof; and the term ‘‘request’’
be filed unless an order of notice and citation means any application to the court which shall be
is necessary. granted by the clerk by operation of these rules
(2) For family, juvenile, housing and small unless timely objection is filed.
claims matters, when any motion, application or (P.B. 1978-1997, Sec. 197.)
objection is filed in paper format, an order shall
be annexed to the filing until such cases are incor- Sec. 11-3. Motion for Misjoinder of Parties
porated into the Judicial Branch’s electronic filing The exclusive remedy for misjoinder of parties
system. Once these case types are incorporated is by motion to strike. As set forth in Section 10-
into such electronic filing system, no order page 39, the exclusive remedy for nonjoinder of parties
should be filed unless an order of notice and cita- is by motion to strike.
tion is necessary. (P.B. 1978-1997, Sec. 198.)
(c) Whether filed under subsection (b) (1) or (b)
(2), such motion, request, application or objection Sec. 11-4. Applications for Orders of Notice
shall be served on all parties as provided in Sec- Applications for orders of notice, whether made
tions 10-12 through 10-17 and, when filed, the to a court, a judge, a clerk, or an assistant clerk,
fact of such service shall be endorsed thereon. shall be made in writing, shall state the residence
Any such motion, request, application or objec- of the party whom the notice is sought to reach
tion, as well as any supporting brief or memoran- or that all reasonable efforts have been made to
dum, shall include a page number on each page ascertain the residence and have failed, and shall
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further state what notice is considered most likely Sec. 11-8. Orders of Notice Directed outside
to come to the attention of such person, with the of the United States of America
reasons therefor, unless they are evident; and If service of process cannot be made under the
such applications shall become a part of the file applicable international treaty or convention within
of the case. sixty days from the issuance of the summons,
(P.B. 1978-1997, Sec. 199.) then the judicial authority may issue, upon the
Sec. 11-5. Subsequent Orders of Notice; application of any party, an order of notice. In
Continuance determining what manner and form of notice shall
Motions made to the court for a second or sub- be ordered, the judicial authority shall consider
sequent order of notice shall be filed with the clerk, the following:
who shall call them to the attention of the judi- (1) other methods of service specified or
cial authority at the earliest convenient time. The allowed in any applicable international treaty or
judicial authority may thereupon enter its order convention, including any reservations;
or direct that the matter be placed on the next (2) whether all applicable international treaties
short calendar list. If a continuance of the case is and conventions prohibit substituted service;
desired, it may also be requested in the motion (3) what method of service provides the great-
for the order of notice. est likelihood the party being served will receive
(P.B. 1978-1997, Sec. 200.) actual and timely notice of the suit so the party
may appear and defend;
Sec. 11-6. Notice by Publication (4) whether a particular method of service vio-
(a) If an order of notice is by publication and it lates the law, particularly the criminal law, of the
states the nature of the action and the relief sought foreign country involved;
sufficiently to inform the party to whom the notice (5) whether an actual agent of the party being
is addressed of the way in which the interests of served can be served within the United States.
the party may be affected, the authority issuing the (P.B. 1978-1997, Sec. 202A.)
order may direct that only the order be published.
(b) Every notice by publication shall have the Sec. 11-9. Disclosure of Previous Appli-
words ‘‘State of Connecticut’’ in the caption of the cations
case, and following it, in bold type, the words Upon making a motion or application to the
‘‘Notice to (the person to whom it is addressed).’’ court, or to a judge thereof before the return day
(P.B. 1978-1997, Sec. 201.) of the action, (1) for an order appointing a receiver
or an injunction, or (2) for a modification or disso-
Sec. 11-7. Attestation; Publication; Proof lution of any such order or injunction, or (3) for
of Compliance
issuance of a prejudgment remedy, or (4) for a
Orders of notice of legal or judicial proceedings reduction or dissolution of an attachment, if a
need not be directed to or attested by any officer motion or application for the same order or injunc-
or person, but all copies of complaints or other tion has been previously made to the court or to
papers thereby ordered, served or mailed shall any judge, such motion or application shall so
be so attested as true copies of the original. To recite. Nothing in this section shall be so con-
prove publication of any legal notice, either the strued as to preclude the making of more than
return of any officer authorized to serve process one motion or application for the same or similar
or the affidavit of any person showing that such order or injunction or affect in any way the right
publication was made as directed shall be suffi- of the applicant to have such motion or application
cient. Such order shall not require publication of passed upon on its merits.
any recital stating where the designated newspa- (P.B. 1978-1997, Sec. 203.)
per is printed or recital of any other details in or
pertinent to the application for such order which Sec. 11-10. Requirement That Memorandum
are not essential parts of the notice to be given. of Law Be Filed with Certain Motions
A copy of the prescribed notice, instead of the (a) A memorandum of law briefly outlining the
original order, may be left with the newspaper claims of law and authority pertinent thereto shall
for publication purposes, and each original order be filed and served by the movant with the follow-
shall be left with or returned to the clerk of the court ing motions and requests: (1) motions regarding
in which the proceeding is pending or returnable. parties filed pursuant to Sections 9-18 through 9-
When proof of compliance with the order is filed 22 and motions to implead a third-party defendant
with such clerk, he or she shall note such fact filed pursuant to Section 10-11; (2) motions to
upon the docket, and such proof and order shall dismiss except those filed pursuant to Section 14-
be preserved as part of the case file. (See General 3; (3) motions to strike; (4) motions to set aside
Statutes § 52-52 and annotations.) judgment filed pursuant to Section 17-4; and (5)
(P.B. 1978-1997, Sec. 202.) motions for summary judgment. Memoranda of
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law may be filed by other parties on or before the (d) This section shall not apply to motions to
time the matter appears on the short calendar. reargue decisions which are final judgments for
(b) A reply memorandum is not required and purposes of appeal. Such motions shall be filed
the absence of such memoranda will not prejudice pursuant to Section 11-11.
any party. A reply memorandum shall be strictly (P.B. 1978-1997, Sec. 204B.)
confined to a discussion of matters raised by the
Sec. 11-13. Short Calendar; Need for List;
responsive memorandum and shall be filed within
fourteen days of the filing of the responsive memo- Case Assigned for Trial; Reclaims
randum to which such reply memoranda is being (a) Unless otherwise provided in these rules or
made. ordered by the judicial authority, questions as to
(c) Surreply memoranda cannot be filed without the terms or form of a decree or judgment to be
the permission of the judicial authority. rendered on the report of a committee or of audi-
(P.B. 1978-1997, Sec. 204.) (Amended June 12, 2015, to tors, or on an award of arbitrators, foreclosures
take effect Jan. 1, 2016.) where the only question is as to the time to be
Sec. 11-11. Motions Which Delay the Com- limited for redemption, all motions and objections
mencement of the Appeal Period or Cause to requests when practicable, and all issues of
the Appeal Period To Start Again law must be placed on the short calendar list. No
Any motions which would, pursuant to Section motions will be heard which are not on said list
63-1, delay the commencement of the appeal and ought to have been placed thereon; provided
period, and any motions which, pursuant to Sec- that any motion in a case on trial, or assigned for
tion 63-1, would toll the appeal period and cause trial, may be disposed of by the judicial authority
it to begin again, shall be filed simultaneously at its discretion, or ordered upon the short calen-
insofar as such filing is possible, and shall be dar list on terms, or otherwise.
considered by the judge who rendered the under- (b) Unless it is filed electronically, whenever a
lying judgment or decision. The party filing any short calendar matter or reclaim slip is filed in a
such motion shall set forth the judgment or deci- case which has been assigned for trial, the filing
sion which is the subject of the motion, the name party shall place the words ‘‘assigned for trial’’ on
of the judge who rendered it, the specific grounds the bottom of the first page of the document and
upon which the party relies, and shall indicate on on any short calendar reclaim slip. The moving
the bottom of the first page of the motion that such party at a short calendar hearing shall, when appli-
motion is a Section 11-11 motion. The foregoing cable, inform the judicial authority that the case
applies to motions to reargue decisions that are has been assigned for trial.
final judgments for purposes of appeal, but shall (c) If a motion has gone off the short calendar
not apply to motions under Sections 16-35, 17- without being adjudicated, any party may claim
2A and 11-12. the motion for adjudication. If an objection to a
(P.B. 1978-1997, Sec. 204A.) request has gone off the short calendar without
Sec. 11-12. Motion To Reargue being adjudicated, the party who filed the request
may claim the objection to the request for adjudi-
(a) A party who wishes to reargue a decision
cation. If a case is on the docket management
or order rendered by the court shall, within twenty
list, any party may claim any motion or objection
days from the issuance of notice of the rendition
for adjudication when the motion or objection must
of the decision or order, file a motion to reargue
setting forth the decision or order which is the be resolved to close the pleadings.
(P.B. 1978-1997, Sec. 206.) (Amended June 24, 2002, to
subject of the motion, the name of the judge who take effect Jan. 1, 2003; amended June 20, 2011, to take
rendered it, and the specific grounds for reargu- effect Jan. 1, 2012.)
ment upon which the party relies.
(b) The judge who rendered the decision or Sec. 11-14. —Short Calendar; Frequency;
order may, upon motion of a party and a showing Time; Lists
of good cause, extend the time for filing a motion Short calendar sessions shall be held in each
to reargue. Such motion for extension must be judicial district and geographical area at least
filed before the expiration of the twenty day time once each month, the date, hour and place to
period in subsection (a). be fixed by the presiding judge upon due notice
(c) The motion to reargue shall be considered to the clerk. The caseflow coordinator or clerk, in
by the judge who rendered the decision or order. consultation with the presiding judge, shall deter-
Such judge shall decide, without a hearing, mine the number of lists, such as whether there
whether the motion to reargue should be granted. shall be separate lists for family relations matters
If the judge grants the motion, the judge shall and foreclosures, and whether various portions of
schedule the matter for hearing on the relief any one list shall be scheduled for different days
requested. and for different hours of the same day. Notice of
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SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 11-19
the assigned date and time of the motion shall be 10-17, with proof of service endorsed thereon, a
provided to attorneys and self-represented parties written notice stating the party’s intention to argue
of record. the motion or present testimony. Such a notice
(P.B. 1978-1997, Sec. 207.) (Amended June 29, 2007, to shall be filed on or before the third day before the
take effect Jan. 1, 2008.) date of the short calendar date and shall contain
Sec. 11-15. —Short Calendar; Assignments (A) the name of the party filing the motion and
Automatic (B) the date of the short calendar on which the
Matters to be placed on the short calendar shall matter appears.
be assigned automatically by the clerk without (b) As to any motion for which oral argument
written claim, except as provided in Section 17- is of right and as to any other motion for which the
31. No such matters shall be so assigned unless judicial authority grants or, in its own discretion,
filed at least five days before the opening of court requires argument or testimony, the date for argu-
on the short calendar day. Motions to dismiss, ment or testimony shall be set by the judge to
motions to strike, and motions for summary judg- whom the motion is assigned.
ment shall be assigned in accordance with Sec- (c) If a case has been designated for argument
tions 10-31, 10-40 and 17-45, respectively. as of right or by the judicial authority but a date
(P.B. 1978-1997, Sec. 208.) for argument or testimony has not been set within
thirty days of the date the motion was marked
Sec. 11-16. —Continuances when Coun-
ready, the movant may reclaim the motion.
sel’s Presence or Oral Argument Required
(d) Failure to appear and present argument on
Matters upon the short calendar list requiring the date set by the judicial authority shall consti-
oral argument or counsel’s presence shall not be tute a waiver of the right to argue unless the judi-
continued except for good cause shown; and no cial authority orders otherwise.
such matter in which adverse parties are inter- (e) Notwithstanding the above, all motions to
ested shall be continued unless the parties shall withdraw appearance, except those under Sec-
agree thereto before the day of the short calendar tion 3-9 (b), and any other motions designated
session and notify the clerk, who shall make note by the chief court administrator in the civil short
thereof on the list of the presiding judge; in the calendar standing order shall be set down for oral
absence of such agreement, unless the judicial argument.
authority shall otherwise order, any counsel (f) For those motions for which oral argument
appearing may argue the matter and submit it for
is not a matter of right, oral argument may be
decision, or request that it be denied.
(P.B. 1978-1997, Sec. 209.) requested in accordance with the procedure that
is printed on the short calendar on which the
Sec. 11-17. —Transfers on Short Calendar motion appears.
Matters on the short calendar list may, by writ- (P.B. 1978-1997, Sec. 211.) (Amended June 28, 1999, to
ten stipulation of the parties and consent of the take effect Jan. 1, 2000; amended June 21, 2004, to take
judge, be heard and disposed of by any judge in effect Jan. 1, 2005; amended June 29, 2007, to take effect
Jan. 1, 2008; amended June 20, 2011, to take effect Jan.
any judicial district, who shall certify the decision 1, 2012.)
to the clerk of the court in which the action is
pending, who shall thereupon enter the decision Sec. 11-19. —Time Limit for Deciding Short
as the order or judgment of the court. Calendar Matters
(P.B. 1978-1997, Sec. 210.) (a) Any judge of the Superior Court and any
Sec. 11-18. —Oral Argument of Motions in judge trial referee to whom a short calendar matter
Civil Matters has been submitted for decision, with or without
(a) Oral argument is at the discretion of the oral argument, shall issue a decision on such mat-
judicial authority except as to motions to dismiss, ter not later than 120 days from the date of such
motions to strike, motions for summary judgment, submission, unless such time limit is waived by
motions for judgment of foreclosure, and motions the parties. In the event that the judge or referee
for judgment on the report of an attorney trial ref- conducts a hearing on the matter and/or the par-
eree and/or hearing on any objections thereto. ties file briefs concerning it, the date of submission
For those motions, oral argument shall be a matter for purposes of this section shall be the date the
of right, provided: matter is heard or the date the last brief ordered
(1) the motion has been marked ready in by the court is filed, whichever occurs later. If a
accordance with the procedure that appears on decision is not rendered within this period the mat-
the short calendar on which the motion appears, ter may be claimed in accordance with subsection
or (b) for assignment to another judge or referee.
(2) a nonmoving party files and serves on all (b) A party seeking to invoke the provisions of
other parties pursuant to Sections 10-12 through this section shall not later than fourteen days after
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the expiration of the 120 day period file with the motion shall be placed on the short calendar so
clerk a motion for reassignment of the undecided that notice to the public is given of the time and
short calendar matter which shall set forth the place of the hearing on the motion and to afford
date of submission of the short calendar matter, the public an opportunity to be heard on the motion
the name of the judge or referee to whom it was under consideration. The motion itself may be filed
submitted, that a timely decision on the matter under seal, where appropriate, by leave of the
has not been rendered, and whether or not oral judicial authority. When placed on a short calen-
argument is requested or testimony is required. dar, motions filed under this rule shall be listed in
The failure of a party to file a timely motion for a separate section titled ‘‘Motions to Seal or
reassignment shall be deemed a waiver by that Close’’ and shall also be listed with the time, date
party of the 120 day time. and place of the hearing on the Judicial Branch
(P.B. 1978-1997, Sec. 211A.) website. A notice of such motion being placed on
the short calendar shall, upon issuance of the
Sec. 11-20. Closure of Courtroom in Civil short calendar, be posted on a bulletin board adja-
Cases cent to the clerk’s office and accessible to the
(Amended May 14, 2003, to take effect July 1, 2003.) public.
(a) Except as otherwise provided by law, there (f) With the exception of any provision of the
shall be a presumption that courtroom proceed- General Statutes under which the judicial author-
ings shall be open to the public. ity is authorized to close courtroom proceed-
(b) Except as provided in this section and ings, whether at a pretrial or trial stage, no order
except as otherwise provided by law, the judicial excluding the public from any portion of a court-
authority shall not order that the public be room proceeding shall be effective until seventy-
excluded from any portion of a courtroom pro- two hours after it has been issued. Any person
ceeding. affected by such order shall have the right to the
(c) Upon written motion of any party, or upon review of such order by the filing of a petition for
its own motion, the judicial authority may order review with the Appellate Court within seventy-
that the public be excluded from any portion of a two hours from the issuance of such order. The
courtroom proceeding only if the judicial authority timely filing of any petition for review shall stay
concludes that such order is necessary to pre- such order.
serve an interest which is determined to override (P.B. 1978-1997, Sec. 211B.) (Amended June 28, 1999,
the public’s interest in attending such proceeding. to take effect Jan. 1, 2000; amended May 14, 2003, to take
effect July 1, 2003; amended June 21, 2004, to take effect
The judicial authority shall first consider reason- Jan. 1, 2005; June 20, 2011, to take effect Jan. 1, 2012.)
able alternatives to any such order and any such HISTORY—2003: Prior to July 1, 2003, Sec. 11-20 read:
order shall be no broader than necessary to pro- ‘‘Exclusion of the Public; Sealing Files Limiting Disclosure
tect such overriding interest. An agreement of the of Documents
parties to close the courtroom shall not constitute ‘‘(a) Except as provided in this section and except as other-
wise provided by law, including Section 13-5, the judicial
a sufficient basis for the issuance of such an order. authority shall not order that the public, which may include
(d) In connection with any order issued pursu- the news media, be excluded from any portion of a proceeding
ant to subsection (c) of this section, the judicial and shall not order that any files, affidavits, documents, or
authority shall articulate the overriding interest other materials on file with the court or filed in connection with
being protected and shall specify its findings a court proceeding be sealed or their disclosure limited.
‘‘(b) Upon motion of any party, or upon its own motion, the
underlying such order. If any findings would reveal judicial authority may order that the public be excluded from
information entitled to remain confidential, those any portion of a proceeding and may order that files, affidavits,
findings may be set forth in a sealed portion of documents or other materials on file with the court or filed in
the record. The time, date and scope of any such connection with a court proceeding be sealed or their disclo-
order shall be set forth in a writing signed by the sure limited if the judicial authority concludes that such order
is necessary to preserve an interest which is determined to
judicial authority which upon issuance the court override the public’s interest in attending such proceeding or
clerk shall immediately enter in the court file and in viewing such materials. Any such order shall be no broader
publish by posting both on the Judicial Branch than necessary to protect such overriding interest.
website and on a bulletin board adjacent to the ‘‘(c) In connection with any order issued pursuant to subsec-
tion (b) of this section, the judicial authority shall, on the record
clerk’s office and accessible to the public. The in open court, articulate the overriding interest being protected
judicial authority shall order that a transcript of and shall specify its findings underlying such order. The time
its decision be included in the file or prepare a and date of any such order shall be entered by the court clerk
memorandum setting forth the reasons for its in the court file together with such order.
order. ‘‘(d) With the exception of orders concerning any session
of court conducted pursuant to General Statutes §§ 46b-11,
(e) A motion to close a courtroom proceeding 46b-49, 46b-122 or any other provision of the General Statutes
shall be filed not less than fourteen days before under which the judicial authority is authorized to close pro-
the proceeding is scheduled to be heard. Such ceedings, whether at a pretrial or trial stage, no order excluding
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the public from any portion of a proceeding shall be effective was substituted for ‘‘copy of,’’ before ‘‘the short calendar.’’
until seventy-two hours after it has been issued. Any person Also, in that same sentence, ‘‘page containing the aforesaid
affected by such order shall have the right to the review of section’’ was deleted, after ‘‘short calendar.’’
such order by the filing of a petition for review with the Appellate COMMENTARY—2012: The above amendment is
Court within seventy-two hours from the issuance of such intended to provide for the electronic filing and processing of
order. The timely filing of any petition for review shall stay documents and orders, and the maintenance of court records,
such order. where the present terminology, filing requirements or pro-
‘‘(e) With the exception of orders concerning the confidenti- cesses that are applicable in a paper environment result in
ality of records and other papers, issued pursuant to General confusion or redundancy when applied to an electronic envi-
Statutes § 46b-11 or any other provision of the General Stat-
ronment.
utes under which the court is authorized to seal or limit the
disclosure of files, affidavits, documents or other materials, Sec. 11-20A. Sealing Files or Limiting Dis-
whether at a pretrial or trial stage, any person affected by a
court order that seals or limits the disclosure of any files, closure of Documents in Civil Cases
documents or other materials on file with the court or filed in (a) Except as otherwise provided by law, there
connection with a court proceeding, shall have the right to the shall be a presumption that documents filed with
review of such order by the filing of a petition for review with the the court shall be available to the public.
Appellate Court within seventy-two hours from the issuance
of such order. Nothing under this subsection shall operate as (b) Except as provided in this section and
a stay of such sealing order. except as otherwise provided by law, including
‘‘(f) The provisions of this section shall not apply to settle- Section 13-5, the judicial authority shall not order
ment agreements which have not been incorporated into a that any files, affidavits, documents, or other
judgment of the court.’’
COMMENTARY—2003: The public and press enjoy a right materials on file with the court or filed in connec-
of access to attend trials in civil as well as criminal cases. tion with a court proceeding be sealed or their
Westmoreland v. Columbia Broadcasting System, Inc., 752 disclosure limited.
F.2d 16, 22 (2d Cir. 1984); Publicker Industries, Inc. v. Cohen, (c) Upon written motion of any party, or upon
733 F.2d 1059, 1071 (3d Cir. 1984). This right is implicit in the
first and fourteenth amendments. Westmoreland v. Columbia its own motion, the judicial authority may order
Broadcasting System, Inc., supra, 21. In civil cases, public that files, affidavits, documents, or other materials
access to trials ‘‘enhances the quality and safeguards the on file or lodged with the court or in connection
integrity of the factfinding process . . . fosters an appearance with a court proceeding be sealed or their disclo-
of fairness . . . and heightens public respect for the judicial
process . . . while permitting the public to participate in and sure limited only if the judicial authority concludes
serve as a check upon the judicial process—an essential com- that such order is necessary to preserve an inter-
ponent in our structure of self government . . . .’’ (Citations est which is determined to override the public’s
omitted; internal quotation marks omitted.) Id., 23. interest in viewing such materials. The judicial
For a further discussion of court closure, see the Commen-
tary to Section 42-49. authority shall first consider reasonable alterna-
Because this section no longer deals with the sealing of tives to any such order and any such order shall
documents, subsections (e) and (f) have been transferred, be no broader than necessary to protect such
with revisions, to Section 11-20A. overriding interest. An agreement of the parties
HISTORY—2005: Prior to 2005, the third sentence of sub-
section (d) read: ‘‘The time, date and scope of any such order to seal or limit the disclosure of documents on file
shall be in writing and shall be signed by the judicial authority with the court or filed in connection with a court
and be entered by the court clerk in the court file.’’ proceeding shall not constitute a sufficient basis
COMMENTARY—2005: As used in subsection (a) above, for the issuance of such an order.
the words ‘‘Except as otherwise provided by law’’ are intended
to exempt from the operation of this rule all established proce- (d) In connection with any order issued pursu-
dures for the closure of courtroom proceedings as required ant to subsection (c) of this section, the judicial
or permitted by statute; e.g., General Statutes §§ 19a-583 (a) authority shall articulate the overriding interest
(10) (D) (pertaining to court proceedings as to disclosure of being protected and shall specify its findings
confidential HIV-related information), 36a-21 (b) (pertaining to
court proceedings at which certain records of the Department
underlying such order and the duration of such
of Banking are disclosed), 46b-11 (pertaining to hearings in order. If any findings would reveal information
family relations matters), 54-86c (b) (pertaining to the disclo- entitled to remain confidential, those findings may
sure of exculpatory information or material), 54-86f (pertaining be set forth in a sealed portion of the record. The
to the admissibility of evidence of sexual conduct) and 54-86g time, date, scope and duration of any such order
(pertaining to the testimony of a victim of child abuse); other
rules of practice; e.g., Practice Book Section 40-43; and/or shall be set forth in a writing signed by the judicial
controlling state or federal case law. authority which upon issuance the court clerk shall
The above amendment to subsection (d) establishes a immediately enter in the court file and publish by
mechanism by which the public and the press, who are empow- posting both on the Judicial Branch website and
ered by this rule to object to pending motions to close the
courtroom in civil matters, will receive timely notice of the on a bulletin board adjacent to the clerk’s office
court’s disposition of such motions. General Statutes § 51- and accessible to the public. The judicial authority
164x (a) gives any person affected by a court closure order shall order that a transcript of its decision be
in a civil action the right to the review of such order by filing included in the file or prepare a memorandum
a petition for review with the Appellate Court within seventy-
two hours from the issuance of the order.
setting forth the reasons for its order.
HISTORY—2012: In 2012, in beginning of the fifth sentence (e) Except as otherwise ordered by the judicial
of subsection (e), ‘‘notice of such motion being placed on’’ authority, a motion to seal or limit the disclosure
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Sec. 11-20A SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS
of affidavits, documents, or other materials on file than necessary to protect such overriding interest.
or lodged with the court or in connection with a The judicial authority shall articulate the overriding
court proceeding shall be calendared so that interest being protected and shall specify its find-
notice to the public is given of the time and place ings underlying such order and the duration of
of the hearing on the motion and to afford the such order. If any findings would reveal informa-
public an opportunity to be heard on the motion tion entitled to remain confidential, those findings
under consideration. The procedures set forth in may be set forth in a sealed portion of the record.
Sections 7-4B and 7-4C shall be followed in con- The time, date, scope and duration of any such
nection with a motion to file affidavits, documents order shall forthwith be reduced to writing and be
or other materials under seal or to limit their dis- signed by the judicial authority and be entered by
closure. the court clerk in the court file. The judicial author-
(f) (1) A motion to seal the contents of an entire ity shall order that a transcript of its decision be
court file shall be placed on the short calendar to included in the file or prepare a memorandum
be held not less than fifteen days following the setting forth the reasons for its order. An agree-
filing of the motion, unless the judicial authority ment of the parties that pseudonyms be used shall
otherwise directs, so that notice to the public is not constitute a sufficient basis for the issuance of
given of the time and place of the hearing on the such an order. The authorization of pseudonyms
motion and to afford the public an opportunity to pursuant to this section shall be in place of the
be heard on the motion under consideration. The names of the parties required by Section 7-4A.
procedures set forth in Sections 7-4B and 7-4C (2) The judicial authority may grant prior to the
shall be followed in connection with such motion. commencement of the action a temporary ex parte
(2) The judicial authority may issue an order application for permission to use pseudonyms
sealing the contents of an entire court file only pending a hearing on continuing the use of such
upon a finding that there is not available a more pseudonyms to be held not less than fifteen days
narrowly tailored method of protecting the overrid- after the return date of the complaint.
ing interest, such as redaction, sealing a portion (3) After commencement of the action, a motion
of the file or authorizing the use of pseudonyms. for permission to use pseudonyms shall be placed
The judicial authority shall state in its decision or on the short calendar to be held not less than
order each of the more narrowly tailored methods fifteen days following the filing of the motion,
that was considered and the reason each such unless the judicial authority otherwise directs, so
method was unavailable or inadequate. that notice to the public is given of the time and
(g) With the exception of any provision of the place of the hearing on the motion and to afford
General Statutes under which the court is author- the public an opportunity to be heard on the motion
ized to seal or limit the disclosure of files, affida- under consideration. Leave of the court may be
vits, documents, or other materials, whether at a sought to file the motion under seal pending a
pretrial or trial stage, any person affected by a disposition of the motion by the judicial authority.
court order that seals or limits the disclosure of (4) Any order allowing the use of a pseudonym
any files, documents or other materials on file in place of the name of a party shall also require
with the court or filed in connection with a court the parties to use such pseudonym in all docu-
proceeding, shall have the right to the review of ments filed with the court.
such order by the filing of a petition for review (i) The provisions of this section shall not apply
with the Appellate Court within seventy-two hours to settlement conferences or negotiations or to
documents submitted to the court in connection
from the issuance of such order. Nothing under
with such conferences or negotiations. The provi-
this subsection shall operate as a stay of such
sions of this section shall apply to settlement
sealing order. Any party requesting the use of a agreements which have been filed with the court
pseudonym pursuant to this section shall lodge or have been incorporated into a judgment of the
the original documents with the true identity of court.
the party or parties with the clerk of the court in (j) When placed on a short calendar, motions
accordance with Sections 7-4B and 7-4C. filed under this rule shall be listed in a separate
(h) (1) Pseudonyms may be used in place of section titled "Motions to Seal or Close" and shall
the name of a party or parties only with the prior also be listed with the time, date and place of the
approval of the judicial authority and only if the hearing on the Judicial Branch website. A notice
judicial authority concludes that such order is nec- of such motion being placed on the short calen-
essary to preserve an interest which is determined dar shall, upon issuance of the short calendar, be
to override the public’s interest in knowing the posted on a bulletin board adjacent to the clerk’s
name of the party or parties. The judicial authority office and accessible to the public.
shall first consider reasonable alternatives to any (Adopted May 14, 2003, to take effect July 1, 2003;
such order and any such order shall be no broader amended June 21, 2004, to take effect Jan. 1, 2005; amended
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SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 11-20A
June 20, 2011, to take effect Jan. 1, 2012; amended June 23, action against defendants for past sexual abuse). Courts have
2017, to take effect Jan. 1, 2018.) generally concluded that there must be a strong social interest
COMMENTARY—2003: The public and press enjoy a right in concealing a party’s identity, but the possibility that a litigant
of access to attend trials in civil as well as criminal cases. may suffer some embarrassment, economic harm, or loss of
See Nixon v. Warner Communications, Inc., 435 U.S. 589, reputation have been found not to be sufficiently overriding
597–608, 98 S. Ct. 1306, 55 L. Ed. 2d 570 (1978). The guaran- interests to justify anonymity. ABC, LLC v. State Ethics Com-
tee of open public proceedings in civil trials applies as well to mission, Superior Court, judicial district of New Britain, Docket
the sealing of court documents. See Publicker Industries, Inc. No. CV-00-050407S (October 11, 2000).
v. Cohen, 733 F.2d 1059, 1070–71 (3d Cir. 1984). In Doe v. Connecticut Bar Examining Committee, 263 Conn.
See also the Commentary to Section 42-49A. 39, 818 A.2d 14 (2003), the plaintiff sought to proceed anony-
Motions to seal or limit the disclosure of affidavits, docu- mously in an action against the defendant in connection with
ments or other materials in cases on the complex litigation the defendant’s failure to recommend the plaintiff for admission
docket shall appear on the regular short calendar for the pur- to the bar. The Supreme Court, in determining that the use
pose of providing notice to the public. of a pseudonym in this case should be left to the discretion
As regards the use of pseudonyms set out in subsection of the Superior Court, stated: ‘‘Because lawsuits are public
(h) of this section, it is clear that such use generally runs afoul events . . . a plaintiff should be permitted to proceed anony-
of the public’s right of access to judicial proceedings. Does I mously only in those exceptional cases involving matters of
Thru XXIII v. Advanced Textile Corp., 214 F.3d 1058, 1067 a highly sensitive and personal nature. . . . A plaintiff’s desire
(9th Cir. 2000). ‘‘Though not as critical as access to the pro- to avoid economic and social harm as well as embarrassment
ceedings, knowing the litigants’ identities nevertheless tends and humiliation in his professional and social community is
to sharpen public scrutiny of the judicial process, to increase normally insufficient to permit him to appear without disclosing
confidence in the administration of the law, to enhance the his identity.’’ (Citation omitted; internal quotation marks omit-
therapeutic value of judicial proceedings, and to serve the ted.) Id., 70.
structural function of the first amendment by enabling informed HISTORY—2005: Prior to 2005, the third sentence of sub-
discussion of judicial operations.’’ (Internal quotation marks section (d) read: ‘‘The time, date, scope and duration of any
omitted.) Doe v. Burkland, 808 A.2d 1090, 1097 (R.I. 2002). such order shall forthwith be reduced to writing and be signed
‘‘[M]any federal courts . . . have permitted parties to pro- by the judicial authority and be entered by the court clerk in
ceed anonymously when special circumstances justify the court file.’’
secrecy. . . . In [the Ninth] [C]ircuit, [parties are allowed] to COMMENTARY—2005: As used in subsection (a) above,
use pseudonyms in the ‘unusual case’ when nondisclosure of the words ‘‘Except as otherwise provided by law’’ are intended
the party’s identity ‘is necessary . . . to protect a person from to exempt from the operation of this rule all established proce-
harassment, injury, ridicule or personal embarrassment.’ dures for the sealing or ex parte filing, in camera inspection
United States v. Doe, 655 F.2d 920, 922 n.1 (9th Cir. 1981) and/or nondisclosure to the public of documents, records and
. . . .’’ (Citations omitted.) Does I Thru XXIII v. Advanced other materials, as required or permitted by statute; e.g., Gen-
Textile Corp., supra, 214 F.3d 1067–68. In Does I Thru XXIII eral Statutes §§ 12-242vv (pertaining to taxpayer information),
v. Advanced Textile Corp., supra, 1062, the plaintiffs filed suit 52-146c et seq. (pertaining to the disclosure of psychiatric
under pseudonyms against their employers alleging multiple records) and 54-56g (pertaining to the pretrial alcohol educa-
violations of the Fair Labor Standards Act. The court concluded tion program); other rules of practice; e.g., Practice Book Sec-
that in determining whether to allow the use of pseudonyms, tions 7-18, 13-5 (6) through (8) and 40-13 (c); and/or controlling
the trial court must consider the severity of the plaintiffs’ threat- state or federal case law; e.g., Matza v. Matza, 226 Conn.
ened injury, the reasonableness of their fears and their vulner- 166, 627 A.2d 414 (1993) (establishing a procedure whereby
ability to retaliation. Id., 1068. In Doe v. Frank, 951 F.2d 320, an attorney seeking to withdraw from a case due to his client’s
322 (11th Cir. 1992), the plaintiff, a government employee anticipated perjury at trial may support his motion to withdraw
challenging government activity, was denied permission to by filing a sealed affidavit for the court’s review).
proceed under a pseudonym which he sought due to his alco- The above amendment to subsection (d) establishes a
holism. The court concluded that a plaintiff should be permitted mechanism by which the public and the press, who are empow-
to proceed anonymously only in ‘‘exceptional cases involving ered by this rule to object to pending motions to seal files or
matters of a highly sensitive and personal nature, real danger limit the disclosure of documents in civil matters, will receive
of physical harm, or where the injury litigated against would timely notice of the court’s disposition of such motions. General
be incurred as a result of the disclosure of the plaintiff’s identity. Statutes § 51-164x (c) gives any person affected by a court
The risk that a plaintiff may suffer some embarrassment is not order sealing a file or limiting the disclosure of a document in
enough.’’ Id., 324. The need for anonymity must outweigh the a civil action the right to the review of such order by filing a
presumption of openness. petition for review with the Appellate Court within seventy-two
‘‘The privilege of using fictitious names in actions should hours from the issuance of the order.
be granted only in the rare case where the nature of the issue HISTORY—2012: In 2012, at the beginning of the second
litigated and the interest of the parties demand it and no harm sentence of subsection (j), ‘‘notice of such motion being placed
can be done to the public interest.’’ See Buxton v. Ullman, on’’ was substituted for ‘‘copy of,’’ before ‘‘the short calendar.’’
147 Conn. 48, 60, 156 A.2d 508 (1959) (parties who were Also, in that same sentence, ‘‘page containing the aforesaid
medical patients of named plaintiff were allowed to use pseud- section’’ was deleted, after ‘‘short calendar.’’
onyms due to intimate and distressing details alleged in com- COMMENTARY—2012: The above amendment is
plaint regarding prevention of contraception), appeal dis- intended to provide for the electronic filing and processing of
missed sub nom. Poe v. Ullman, 367 U.S. 497, 81 S. Ct. 1752, documents and orders, and the maintenance of court records,
6 L. Ed. 2d 989 (1961). Connecticut trial courts applying the where the present terminology, filing requirements or pro-
Buxton holding have concluded that permission to proceed cesses that are applicable in a paper environment result in
anonymously may be appropriate in situations involving social confusion or redundancy when applied to an electronic envi-
stigmatization, real danger of physical harm, or risk of an unfair ronment.
trial. Doe v. Diocese Corp., 43 Conn. Supp. 152, 158, 647 A.2d HISTORY—2018: What is now the final sentence was
1067 (1994) (plaintiff was allowed to proceed anonymously in added to subsection (g).
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Sec. 11-20A SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS
COMMENTARY—2018: The change to this section clari- including a nonsuit or default, as appropriate,
fies that a party requesting the approval of the judicial authority against said party for such failure upon the expira-
to use a pseudonym must lodge the original documents identi-
fying the party or parties by name with the clerk of the court.
tion of the ten day period. Upon the submission
of a redacted copy of such document, the original
Sec. 11-20B. —Documents Containing Per- document containing the personal identifying
sonal Identifying Information information shall be retained as a sealed docu-
ment in the court file, unless otherwise ordered
(a) The requirements of Section 11-20A shall by the court.
not apply to ‘‘personal identifying information,’’ as (Adopted June 22, 2009, to take effect Jan. 1, 2010;
defined in Section 4-7, that may be found in doc- amended June 21, 2010, to take effect Jan. 1, 2011.)
uments filed with the court. If a document con- Sec. 11-21. Motions for Attorney’s Fees
taining personal identifying information is filed with
the court, a party or a person identified by the Motions for attorney’s fees shall be filed with
personal identifying information may request that the trial court within thirty days following the date
on which the final judgment of the trial court was
the document containing the personal identify-
rendered. If appellate attorney’s fees are sought,
ing information be sealed. In response to such motions for such fees shall be filed with the trial
request, or on its own motion, the court shall order court within thirty days following the date on which
that the document be sealed and that the party the Appellate Court or Supreme Court rendered
who filed the document submit a redacted copy its decision disposing of the underlying appeal.
of the document within ten days of such order. Nothing in this section shall be deemed to affect
(b) If the party who filed the document fails to an award of attorney’s fees assessed as a compo-
submit a redacted copy of the document within ten nent of damages.
days of the order, the court may enter sanctions, (Adopted June 29, 1998, to take effect Jan. 1, 1999.)
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SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 12-3
CHAPTER 12
TRANSFER OF ACTIONS
Sec. Sec.
12-1. Procedure for Transfer 12-3. Transmission of Files and Papers
12-2. Transfer of Action Filed in Wrong Location of Cor-
rect Court
For previous Histories and Commentaries see the editions of the Practice Book
corresponding to the years of the previous amendments.
Sec. 12-1. Procedure for Transfer order of the judicial authority within a reasonable
Any cause, or the trial of any issue therein, may time, the judicial authority shall dismiss the action
be transferred from a judicial district court ___location with costs.
to any other judicial district court ___location or to (P.B. 1978-1997, Sec. 213.)
any geographical area court ___location, or from a Sec. 12-3. Transmission of Files and Papers
geographical area court ___location to any other geo- Upon the transfer of any action, the clerk of the
graphical area court ___location or to any judicial court in which such action is pending shall transmit
district court ___location, by order of a judicial author- to the clerk of the court to which such cause is
ity (1) upon its own motion or upon the granting transferred the original files and papers in such
of a motion of any of the parties, or (2) upon written cause with a certificate of such transfer, who shall
agreement of the parties filed with the court. (See enter such cause in the docket of the court to
General Statutes § 51-347b and annotations.) which it is so transferred; and such cause shall
(P.B. 1978-1997, Sec. 212.) thereafter be proceeded with in the same manner
Sec. 12-2. Transfer of Action Filed in Wrong as if it were originally brought to such court. When
Location of Correct Court a case which has been claimed for trial is subse-
quently transferred to another court, a new certifi-
A clerk of the court of a judicial district or geo- cate of closed pleadings shall not be required,
graphical area should not accept a civil cause and its position on the inventory of pending cases
which is made returnable to a judicial district or of the transferee court shall be determined by the
geographical area of which such person is not the certificate of closed pleadings date in the original
clerk. A clerk who does accept and enter such a file. Where only the trial of an issue or issues in
civil cause shall, upon discovery of the error, bring an action is transferred, the files, after such issues
the matter to the attention of the court. The judicial have been disposed of, shall be returned to the
authority shall then order the plaintiff to file a clerk of the court where the action originated and
motion to transfer with such notice to the defend- judgment may be entered in such court. (See Gen-
ant as the judicial authority may direct. If the plain- eral Statutes § 51-347b; see also Section 14-8.)
tiff complies, the motion to transfer shall be (P.B. 1978-1997, Sec. 215.) (Amended June 29, 1998, to
granted; but if the plaintiff fails to comply with the take effect Jan. 1, 1999.)
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Sec. 13-1 SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS
CHAPTER 13
DISCOVERY AND DEPOSITIONS
Sec. Sec.
13-1. Definitions 13-16. Orders by Judge
13-2. Scope of Discovery; In General 13-17. Disclosure before Court or Committee
13-3. —Materials Prepared in Anticipation of Litigation; 13-18. Disclosures in Equity
Statements of Parties; Privilege Log 13-19. Disclosure of Defense
13-4. —Experts 13-20. Discovery Sought by Judgment Creditor
13-5. —Protective Order 13-21. Discovery outside the United States of America
13-6. Interrogatories; In General 13-22. Admission of Facts and Execution of Writings;
13-7. —Answers to Interrogatories Requests for Admission
13-8. —Objections to Interrogatories 13-23. —Answers and Objections to Requests for
13-9. Requests for Production, Inspection and Examina- Admission
tion; In General 13-24. —Effect of Admission
13-10. —Responses to Requests for Production; 13-25. —Expenses on Failure To Admit
Objections 13-26. Depositions; In General
13-11. —Physical or Mental Examination 13-27. —Notice of Deposition; General Requirements;
13-11A. —Motion for Authorization To Obtain Protected Special Notice; Nonstenographic Recording;
Health Information Production of Documents and Things; Deposition
13-12. Disclosure of Amount and Provisions of Insurance of Organization
Liability Policy 13-28. —Persons before Whom Deposition Taken; Sub-
13-12A. Disclosure of Medicare Enrollment, Eligibility and poenas
Payments Received 13-29. —Place of Deposition
13-13. Disclosure of Assets in Cases in Which Prejudg- 13-30. —Deposition Procedure
ment Remedy Sought 13-31. —Use of Depositions in Court Proceedings
13-14. Order for Compliance; Failure To Answer or Comply 13-32. Stipulations regarding Discovery and Deposition
with Order Procedure
13-15. Continuing Duty To Disclose 13-33. Claim of Privilege or Protection after Production
For previous Histories and Commentaries see the editions of the Practice Book
corresponding to the years of the previous amendments.
Sec. 13-1. Definitions chapter and shall preclude any broader definition
(a) For purposes of this chapter: (1) ‘‘statement’’ of a term defined in subsection (c), but shall not
means (A) a written statement in the handwriting preclude: (1) the definition of other terms specific
of the person making it, or signed, or initialed, or to the particular litigation; (2) the use of abbrevia-
otherwise in writing adopted or approved by the tions; or (3) a more narrow definition of a term
person making it; or (B) a stenographic, mechani- defined in subsection (c).
cal, electrical or other recording or a transcription (c) The following definitions apply to all discov-
thereof, which is a substantially verbatim recital ery requests:
of an oral statement by the person making it and (1) Communication. The term ‘‘communication’’
which is contemporaneously recorded; (2) ‘‘party’’ means the transmittal of information (in the form
means (A) a person named as a party in the of facts, ideas, inquiries or otherwise).
(2) Document. The term ‘‘document’’ means
action, or (B) an agent, employee, officer, or direc- any writing, drawing, graph, chart, photograph,
tor of a public or private corporation, partnership, sound recording, image, and other data or data
association, or governmental agency, named as compilation, stored in any medium from which
a party in the action; (3) ‘‘representative’’ includes information can be obtained either directly or, if
agent, attorney, consultant, indemnitor, insurer, necessary, after translation by the responding
and surety; (4) ‘‘electronic’’ means relating to tech- party into a reasonably usable form. A draft or
nology having electrical, digital, magnetic, wire- nonidentical copy is a separate document within
less, optical, electromagnetic, or similar capabili- the meaning of this term. A request for produc-
ties; (5) ‘‘electronically stored information’’ means tion of ‘‘documents’’ shall encompass, and the
information that is stored in an electronic medium response shall include, electronically stored infor-
and is retrievable in perceivable form. mation, as defined in subsection (a) above, unless
(b) The full text of the definitions and rules of otherwise specified by the requesting party.
construction set forth in subsections (c) and (d) (3) Identify (with respect to persons). When
herein is deemed incorporated by reference into referring to a person, to ‘‘identify’’ means to pro-
all discovery requests served pursuant to this vide, to the extent known, the person’s full name,
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SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 13-3
present or last known address, and when referring the discovery request all responses that might
to a natural person, additionally, the present or otherwise be construed to be outside its scope.
last known place of employment. Once a person (3) Number. The use of the singular form of any
has been identified in accordance with this subdi- word includes the plural and vice versa.
vision, only the name of that person need be listed (4) Gender. Unless the context clearly requires
in response to subsequent discovery requesting otherwise, the use of any pronoun or gender-iden-
the identification of that person. tified form of any word includes both the male and
(4) Identify (with respect to documents or elec- female genders.
tronically stored information). When referring to (P.B. 1978-1997, Sec. 216.) (Amended June 20, 2011, to
documents or electronically stored information, to take effect Jan. 1, 2012; amended June 14, 2013, to take
‘‘identify’’ means: to provide, to the extent known, effect Jan. 1, 2014.)
information about the (A) type of document or Sec. 13-2. Scope of Discovery; In General
electronically stored information; (B) its general In any civil action, in any probate appeal, or
subject matter; (C) the date of the document or in any administrative appeal where the judicial
electronically stored information; and (D) author(s), authority finds it reasonably probable that evi-
addressee(s) and recipient(s). dence outside the record will be required, a party
(5) Identify (with respect to oral communica- may obtain in accordance with the provisions of
tions). When referring to an oral communica- this chapter discovery of information or disclosure,
tion, to ‘‘identify’’ means: (A) to state the date and production and inspection of papers, books, docu-
place of the oral communication; (B) to identify all ments and electronically stored information mate-
persons hearing, present or participating in the
rial to the subject matter involved in the pending
communication; (C) to state whether the commu-
action, which are not privileged, whether the
nication was in person, by telephone, or by some
discovery or disclosure relates to the claim or
other means or medium; (D) to summarize what
defense of the party seeking discovery or to the
was said by each such person, or provide a tran-
script if one is available. claim or defense of any other party, and which
(6) Identify (with respect to an act or event). are within the knowledge, possession or power
When referring to an act or event, to ‘‘identify’’ of the party or person to whom the discovery is
means: (A) to describe the act or event, including addressed. Discovery shall be permitted if the dis-
its ___location and its date; (B) to identify the persons closure sought would be of assistance in the pros-
participating, present or involved in the act or ecution or defense of the action and if it can be
event; (C) to identify all oral communications provided by the disclosing party or person with
which were made at the act or event identified; substantially greater facility than it could otherwise
and (D) to identify all documents concerning the be obtained by the party seeking disclosure. It
act or event identified. shall not be ground for objection that the informa-
(7) Person. The term ‘‘person’’ is defined as tion sought will be inadmissible at trial if the infor-
any natural person or any business, legal or gov- mation sought appears reasonably calculated to
ernmental entity or association. lead to the discovery of admissible evidence. Writ-
(8) Concerning. The term ‘‘concerning’’ means ten opinions of health care providers concerning
relating to, referring to, describing, evidencing evidence of medical negligence, as provided by
or constituting. General Statutes § 52-190a, shall not be subject
(9) You. The term ‘‘you’’ means the party or to discovery except as provided in that section.
(P.B. 1978-1997, Sec. 218.) (Amended June 20, 2011, to
person to whom a discovery request is directed, take effect Jan. 1, 2012.)
except that: (A) if the party is the representative
of the estate of a decedent, ward, or incapable Sec. 13-3. —Materials Prepared in Anticipa-
person, ‘‘you’’ shall also refer to the party’s dece- tion of Litigation; Statements of Parties;
dent, ward or incapable person, unless the context Privilege Log
of the discovery request clearly indicates other- (Amended June 14, 2013, to take effect Jan. 1, 2014.)
wise; and (B) notwithstanding subsection (b) (a) Subject to the provisions of Section 13-4,
above, the propounding party may specify a differ- a party may obtain discovery of documents and
ent definition of the term ‘‘you.’’ tangible things otherwise discoverable under Sec-
(d) The following rules of construction apply to tion 13-2 and prepared in anticipation of litigation
all discovery requests: or for trial by or for another party or by or for that
(1) All/Each. The terms ‘‘all’’ and ‘‘each’’ shall other party’s representative only upon a showing
both be construed as all and each. that the party seeking discovery has substantial
(2) And/Or. The connectives ‘‘and’’ and ‘‘or’’ need of the materials in the preparation of the
shall be construed either disjunctively or conjunc- case and is unable without undue hardship to
tively as necessary to bring within the scope of obtain the substantial equivalent of the materials
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Sec. 13-3 SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS
by other means. In ordering discovery of such (3) The date of the document or electronically
materials when the required showing has been stored information;
made, the judicial authority shall not order disclo- (4) The author of the document or electronically
sure of the mental impressions, conclusions, opin- stored information;
ions, or legal theories of an attorney or other (5) Each recipient of the document or electroni-
representative of a party concerning the litigation. cally stored information; and
(b) A party may obtain, without the showing (6) The nature of the privilege or protection
required under this section, discovery of the par- asserted.
ty’s own statement and of any nonprivileged state- The privilege log shall initially be served upon
ment of any other party concerning the action or all parties but not filed in court.
its subject matter. If the information called for by one or more of
(c) A party may obtain, without the showing the foregoing categories is itself privileged, it need
required under this section, discovery of any not be disclosed. However, the existence of the
recording, by film, photograph, video, audio or any document and any nonprivileged information
other digital or electronic means, of the requesting called for by the other categories must be dis-
party and of any recording of any other party con- closed.
cerning the action or the subject matter, thereof, A privilege log must be prepared with respect
including any transcript of such recording, pre- to all documents and electronically stored infor-
pared in anticipation of litigation or for trial by or mation withheld on the basis of a claim of privilege
for another party or by or for that other party’s or work product protection, except for the follow-
representative. A party may obtain information ing: written or electronic communications after
identifying any such recording and transcript, if commencement of the action between a party and
one was created, prior to the deposition of the the firm or lawyer appearing for the party in the
party who is the subject of the recording; but the action or as otherwise ordered by the judicial
person from whom discovery is sought shall not authority.
be required to produce the recording or transcript (P.B. 1978-1997, Sec. 219.) (Amended June 29, 2007, to
until thirty days after the completion of the deposi- take effect Jan. 1, 2008; amended June 14, 2013, to take
tion of the party who is the subject of the recording effect Jan. 1, 2014; amended June 24, 2016, to take effect
or sixty days prior to the date the case is assigned Jan. 1, 2017; amended June 23, 2017, to take effect Jan.
to commence trial, whichever is earlier; except 1, 2018.)
that if a deposition of the party who is the subject Sec. 13-4. —Experts
of the recording was not taken, the recording and (a) A party shall disclose each person who may
transcript shall be produced sixty days prior to the be called by that party to testify as an expert
date the case is assigned to commence trial. If a witness at trial, and all documents that may be
recording was created within such sixty day offered in evidence in lieu of such expert tes-
period, the recording and transcript must be pro- timony, in accordance with this section. The
duced immediately. No such recording or tran-
requirements of Section 13-15 shall apply to dis-
script is required to be identified or produced if
neither it nor any part thereof will be introduced closures made under this section.
into evidence at trial. However, if any such (b) A party shall file with the court and serve
recording or part or transcript thereof is required upon counsel a disclosure of expert witnesses
to be identified or produced, all recordings and which identifies the name, address and employer
transcripts thereof of the subject of the recording of each person who may be called by that party
party shall be identified and produced, rather than to testify as an expert witness at trial, whether
only those recordings, or transcripts or parts through live testimony or by deposition. In addi-
thereof that the producing party intends to use or tion, the disclosure shall include the following
introduce at trial. information:
(d) When a claim of privilege or work product (1) Except as provided in subdivision (2) of this
protection has been asserted pursuant to Section subsection, the field of expertise and the subject
13-5, 13-8 or 13-10 in response to a discovery matter on which the witness is expected to offer
request for documents or electronically stored expert testimony; the expert opinions to which the
information, the party asserting the privilege or witness is expected to testify; the substance of
protection shall provide, within forty-five days from the grounds for each such expert opinion; and the
the request of the party serving the discovery, the written report of the expert witness, if any. The
following information in the form of a privilege log: report shall not be filed with the court. Disclosure
(1) The type of document or electronically of the information required under this subsection
stored information; may be made by making reference in the disclo-
(2) The general subject matter of the document sure to the written report of the expert witness
or electronically stored information; containing such information.
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SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 13-4
(2) If the witness to be disclosed hereunder rights under the rules of practice to subpoena or to
is a health care provider who rendered care or request production of any materials, to the extent
treatment to the plaintiff, and the opinions to be otherwise discoverable, in addition to those pro-
offered hereunder are based upon that provider’s duced under subsection (b) of this section, in con-
care or treatment, then the disclosure obligations nection with the deposition of any expert witness,
under this section may be satisfied by disclosure nor shall anything contained herein impair the
to the parties of the medical records and reports right of a party to raise any objections to any
of such care or treatment. A witness disclosed request for production of documents sought here-
under this subsection shall be permitted to offer under to the extent that a claim of privilege exists.
expert opinion testimony at trial as to any opinion (2) Unless otherwise ordered by the judicial
as to which fair notice is given in the disclosed authority for good cause shown, or agreed upon
medical records or reports. Expert testimony by the parties, the fees and expenses of the expert
witness for any such deposition, excluding prepa-
regarding any opinion as to which fair notice is not ration time, shall be paid by the party or parties
given in the disclosed medical records or reports taking the deposition. Unless otherwise ordered,
must be disclosed in accordance with subdivision the fees and expenses hereunder shall include
(1) of subsection (b) of this section. The parties only (A) a reasonable fee for the time of the wit-
shall not file the disclosed medical records or dis- ness to attend the deposition itself and the wit-
closed medical reports with the court. ness’ travel time to and from the place of dep-
(3) Except for an expert witness who is a health osition; and (B) the reasonable expenses actually
care provider who rendered care or treatment to incurred for travel to and from the place of depo-
the plaintiff, or unless otherwise ordered by the sition and lodging, if necessary. If the parties are
judicial authority or agreed upon by the parties, unable to agree on the fees and expenses due
the party disclosing an expert witness shall, upon under this subsection, the amount shall be set by
the request of an opposing party, produce to all the judicial authority, upon motion.
other parties all materials obtained, created and/ (d) (1) A party shall file with the court a list of
or relied upon by the expert in connection with all documents or records that the party expects
his or her opinions in the case within fourteen to submit in evidence pursuant to any statute or
days prior to that expert’s deposition or within rule permitting admissibility of documentary evi-
such other time frame determined in accordance dence in lieu of the live testimony of an expert
with the Schedule for Expert Discovery prepared witness. The list filed hereunder shall identify such
pursuant to subsection (g) of this section. If any documents or records with sufficient particularity
such materials have already been produced to that they shall be easily identified by the other
parties. The parties shall not file with the court a
the other parties in the case, then a list of such copy of the documents or records on such list.
materials, made with sufficient particularity that (2) Unless otherwise ordered by the judicial
the materials can be easily identified by the par- authority upon motion, a party may take the depo-
ties, shall satisfy the production requirement here- sition of any expert witness whose records are
under with respect to those materials. If an expert disclosed pursuant to subdivision (1) of subsec-
witness otherwise subject to this subsection is tion (d) of this section in the manner prescribed
not being compensated in that capacity by or on in Section 13-26 et seq. governing deposition pro-
behalf of the disclosing party, then that party may cedure generally. Nothing contained in subsection
give written notice of that fact in satisfaction of (d) of this section shall impair the right of any party
the obligations imposed by this subsection. If such from exercising that party’s rights under the rules
notice is provided, then it shall be the duty of the of practice to subpoena or to request production
party seeking to depose such expert witness to of any materials, to the extent otherwise dis-
obtain the production of the requested materials coverable, in addition to those produced under
by subpoena or other lawful means. subsection (d), in connection with the deposition
(4) Nothing in this section shall prohibit any of any expert witness.
witness disclosed hereunder from offering nonex- (3) Unless otherwise ordered by the judicial
pert testimony at trial. authority for good cause shown, or agreed upon
by the parties, the fees and expenses of the expert
(c) (1) Unless otherwise ordered by the judicial witness for any such deposition, excluding prepa-
authority upon motion, a party may take the depo- ration time, shall be paid by the party or parties
sition of any expert witness disclosed pursuant taking the deposition. Unless otherwise ordered,
to subsection (b) of this section in the manner the fees and expenses hereunder shall include
prescribed in Section 13-26 et seq. governing only (A) a reasonable fee for the time of the wit-
deposition procedure generally. Nothing con- ness to attend the deposition itself and the wit-
tained in subsection (b) of this section shall impair ness’ travel time to and from the place of dep-
the right of any party from exercising that party’s osition; and (B) the reasonable expenses actually
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incurred for travel to and from the place of deposi- (3) Unless otherwise ordered by the court, dis-
tion and lodging, if necessary. If the parties are closure of any expert witness under subsection
unable to agree on the fees and expenses due (e) hereof shall be made within thirty days of the
under this subsection, the amount shall be set by event giving rise to the need for that party to adopt
the judicial authority, upon motion. the expert disclosure as its own (e.g., the with-
(e) If any party expects to call as an expert drawal or dismissal of the party originally disclos-
witness at trial any person previously disclosed ing the expert).
by any other party under subsection (b) hereof, (4) The parties, by agreement, may modify the
the newly disclosing party shall file a notice of approved Schedule for Expert Discovery or any
disclosure: (1) stating that the party adopts all or other time limitation under this section so long as
a specified part of the expert disclosure already on the modifications do not interfere with an assigned
file; and (2) disclosing any other expert opinions trial date. A party who wishes to modify the
to which the witness is expected to testify and approved Schedule for Expert Discovery or other
time limitation under this section without agree-
the substance of the grounds for any such expert ment of the parties may file a motion for modifica-
opinion. Such notice shall be filed within the time tion with the court stating the reasons therefor.
parameters set forth in subsection (g). Said motion shall be granted if: (A) the requested
(f) A party may discover facts known or opinions modification will not cause undue prejudice to any
held by an expert who had been retained or spe- other party; (B) the requested modification will not
cially employed by another party in anticipation cause undue interference with the trial schedule
of litigation or preparation for trial and who is not in the case; and (C) the need for the requested
expected to be called as a witness at trial only modification was not caused by bad faith delay
as provided in Section 13-11 or upon a showing of disclosure by the party seeking modification.
of exceptional circumstances under which it is (h) A judicial authority may, after a hearing,
impracticable for the party seeking discovery to impose sanctions on a party for failure to comply
obtain facts or opinions on the same subject by with the requirements of this section. An order
other means. precluding the testimony of an expert witness may
(g) Unless otherwise ordered by the judicial be entered only upon a finding that: (1) the sanc-
authority, or otherwise agreed by the parties, the tion of preclusion, including any consequence
following schedule shall govern the expert discov- thereof on the sanctioned party’s ability to prose-
ery required under subsections (b), (c), (d) and cute or to defend the case, is proportional to the
(e) of this section. noncompliance at issue, and (2) the noncompli-
(1) Within 120 days after the return date of any ance at issue cannot adequately be addressed
civil action, or at such other time as the parties by a less severe sanction or combination of sanc-
tions.
may agree or as the court may order, the parties (i) The revisions to this rule adopted by the
shall submit to the court for its approval a pro- judges of the Superior Court in June, 2008, effec-
posed Schedule for Expert Discovery, which, tive on January 1, 2009, and the revisions to this
upon approval by the court, shall govern the timing rule adopted by the judges of the Superior Court
of expert discovery in the case. This schedule in June, 2009, and March, 2010, shall apply to
shall be submitted on a ‘‘Schedule for Expert Dis- cases commenced on or after January 1, 2009.
covery’’ form prescribed by the Office of the Chief The version of this rule in effect on December
Court Administrator. The deadlines proposed by 31, 2008, shall apply to cases commenced on or
the parties shall be realistic and reasonable, tak- before that date.
ing into account the nature and relative complexity (P.B. 1978-1997, Sec. 220.) (Amended June 30, 2008, to
take effect Jan. 1, 2009; amended June 22, 2009, to take
of the case, the need for predicate discovery and effect Sept. 1, 2009; amended June 21, 2010, to take effect
the estimated time until the case may be exposed Jan. 1, 2011; amended June 15, 2012, to take effect Jan. 1,
for trial. If the parties are unable to agree on dis- 2013; amended June 24, 2016, to take effect Jan. 1, 2017.)
covery deadlines, they shall so indicate on the Sec. 13-5. —Protective Order
proposed Schedule for Expert Discovery, in which Upon motion by a party from whom discovery
event the court shall convene a scheduling confer- is sought, and for good cause shown, the judi-
ence to set those deadlines. cial authority may make any order which justice
(2) If a party is added or appears in a case after requires to protect a party from annoyance,
the proposed Schedule for Expert Discovery is embarrassment, oppression, or undue burden or
filed, then an amended proposed Schedule for expense, including one or more of the following:
Expert Discovery shall be prepared and filed for (1) that the discovery not be had; (2) that the
approval by the court within sixty days after such discovery may be had only on specified terms and
new party appears, or at such other time as the conditions, including a designation of the time or
court may order. place; (3) that the discovery may be had only by
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a method of discovery other than that selected vehicle or alleging liability based on the owner-
by the party seeking discovery; (4) that certain ship, maintenance or control of real property, or
matters not be inquired into, or that the scope of in actions claiming a loss of consortium or unin-
the discovery be limited to certain matters; (5) sured/underinsured motorist coverage benefits,
that discovery be conducted with no one present the interrogatories shall be limited to those set
except persons designated by the judicial author- forth in Forms 201, 202, 203, 208, 210, 212, 213
ity; (6) that a deposition after being sealed be and/or 214 of the rules of practice, unless upon
opened only by order of the judicial authority; (7) motion, the judicial authority determines that such
that a trade secret or other confidential research, interrogatories are inappropriate or inadequate in
development, or commercial information not be the particular action. These forms are set forth in
disclosed or be disclosed only in a designated the Appendix of Forms in this volume. Unless the
way; (8) that the parties simultaneously file speci- judicial authority orders otherwise, the frequency
fied documents or information enclosed in sealed of use of interrogatories in all actions except those
envelopes to be opened as directed by the judicial for which interrogatories have been set forth in
authority; (9) specified terms and conditions relat- Forms 201, 202, 203, 208, 210, 212, 213, 214,
ing to the discovery of electronically stored infor- 218, 220 and/or 221 of the rules of practice is
mation including the allocation of expense of the not limited.
discovery of electronically stored information, tak- (c) In all actions alleging medical negligence,
ing into account the amount in controversy, the the interrogatories shall be limited to: (1) those
resources of the parties, the importance of the set forth in Forms 218, 220, and 221 of the rules
issues, and the importance of the requested dis- of practice and contained in the Appendix of
covery in resolving the issues. Forms in this volume to which no objections shall
(P.B. 1978-1997, Sec. 221.) (Amended June 20, 2011, to be allowed and (2) twenty additional interrogato-
take effect Jan. 1, 2012.) ries as of right, which may not contain subparts.
The party to whom the additional twenty as of
Sec. 13-6. Interrogatories; In General right interrogatories are directed may file specific,
(a) In any civil action, in any probate appeal, or individual objections to each additional as of
in any administrative appeal where the judicial right interrogatory.
authority finds it reasonably probable that evi- (d) The standard interrogatories in civil actions,
dence outside the record will be required, any including standard and as of right additional inter-
party may serve in accordance with Sections 10- rogatories in medical negligence actions, are
12 through 10-17 written interrogatories, which intended to address discovery needs in most
may be in electronic format, upon any other party cases in which their use is mandated, but they do
to be answered by the party served. Written inter- not preclude any party from moving for permission
rogatories may be served upon any party without to serve such additional discovery as may be nec-
leave of the judicial authority at any time after the essary in any particular case as contemplated by
return day. Except as provided in subsection (d) or Section 13-2.
where the interrogatories are served electronically (e) In lieu of serving the interrogatories set forth
as provided in Section 10-13 and in a format that in Forms 201, 202, 203, 208, 210, 212, 213, 214,
allows the recipient to electronically insert the 218, 220, and/or 221 of the rules of practice on
answers in the transmitted document, the party a party who is represented by counsel, the moving
serving interrogatories shall leave sufficient space party may serve on such party a notice of interrog-
following each interrogatory in which the party to atories, which shall not include the actual interrog-
whom the interrogatories are directed can insert atories to be answered, but shall instead set forth
the answer. In the event that an answer requires the number of the Practice Book form containing
more space than that provided on interrogatories such interrogatories and the name of the party to
that were not served electronically and in a format whom the interrogatories are directed. The party
that allows the recipient to electronically insert the to whom such notice is directed shall in his or her
answers in the transmitted document, the answer response set forth each interrogatory immediately
shall be continued on a separate sheet of paper followed by that party’s answer thereto.
(f) The party serving interrogatories or the
which shall be attached to the completed answers.
notice of interrogatories shall not file them with
(b) Interrogatories may relate to any matters the court.
which can be inquired into under Sections 13-2 (g) Unless leave of court is granted, the instruc-
through 13-5, and the answers may be used at tions to Forms 201 through 203 are to be used
trial to the extent permitted by the rules of evi- for all nonstandard interrogatories.
dence. In all personal injury actions alleging liabil- (P.B. 1978-1997, Sec. 223.) (Amended June 28, 1999, to
ity based on the operation or ownership of a motor take effect Jan. 1, 2000; amended Aug. 24, 2001, to take
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Sec. 13-6 SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS
effect Jan. 1, 2002; amended June 30, 2008, to take effect 203, 208, 210, 212, 213, 214, 218, 220 and/or
Jan. 1, 2009; amended June 14, 2013, to take effect Jan. 1, 221 of the rules of practice for use in connection
2014; amended June 24, 2016, to take effect Jan. 1, 2017;
amended June 23, 2017, to take effect Jan. 1, 2018; amended
with Section 13-6.
June 11, 2021, to take effect Jan. 1, 2022.) (b) To the extent a party withholds responsive
information based on an assertion of a claim of
Sec. 13-7. —Answers to Interrogatories privilege or work product protection, the party
(a) Any such interrogatories shall be answered must file an objection in compliance with the provi-
under oath by the party to whom directed and sions of subsection (a) of this section and comply
such answers shall not be filed with the court but with the provisions set forth in subsection (d) of
shall be served within sixty days after the date of Section 13-3.
certification of service, in accordance with Sec- (c) No objections to interrogatories shall be
tions 10-12 through 10-17, of the interrogatories placed on the short calendar list until an affidavit
or, if applicable, the notice of interrogatories on by either counsel is filed certifying that bona fide
the answering party, or within such shorter or attempts have been made to resolve the differ-
longer time as the judicial authority may allow, ences concerning the subject matter of the objec-
unless: tion and that counsel have been unable to reach
(1) Counsel file with the court a written stipula- an agreement. The affidavit shall set forth the date
tion extending the time within which answers or of the objection, the name of the party who filed
objections may be served; or the objection and the name of the party to whom
(2) Upon motion, the judicial authority allows a the objection was addressed. The affidavit shall
longer time; or also recite the date, time and place of any confer-
(3) Objections to the interrogatories and the ence held to resolve the differences and the
reasons therefor are filed and served within the names of all persons participating therein or, if no
sixty day period. conference has been held, the reasons for the
(b) All answers to interrogatories shall: (1) failure to hold such a conference. If any objection
repeat immediately before each answer the inter- to an interrogatory is overruled, the objecting party
rogatory being answered; and (2) be signed by shall answer the interrogatory, and serve the
the person making them. answer within twenty days after the judicial author-
(c) A party objecting to one or more interrogato- ity ruling unless otherwise ordered by the judi-
ries shall file an objection in accordance with Sec- cial authority.
tion 13-8. (d) An interrogatory otherwise proper is not
(d) Objection by a party to certain of the inter- objectionable merely because it involves more
rogatories directed to such party shall not relieve than one fact or relates to the application of law
that party of the obligation to answer the interroga- to facts.
tories to which he or she has not objected within (P.B. 1978-1997, Sec. 225.) (Amended Aug. 24, 2001, to
take effect Jan. 1, 2002; amended June 20, 2011, to take
the sixty day period. effect Jan. 1, 2012; amended June 14, 2013, to take effect
(e) The party serving interrogatories or the Jan. 1, 2014; amended June 24, 2016, to take effect Jan. 1,
notice of interrogatories may move for an order 2017; amended June 23, 2017, to take effect Jan. 1, 2018;
under Section 13-14 with respect to any failure amended June 10, 2022, to take effect Jan. 1, 2023.)
to answer. HISTORY—2023: In the third sentence of subsection (a),
(P.B. 1978-1997, Sec. 224.) (Amended June 28, 1999, to ‘‘and/or’’ after ‘‘213’’ was deleted and ‘‘, 218, 220 and/or 221’’
take effect Jan. 1, 2000; amended June 20, 2011, to take was added after ‘‘214.’’
effect Jan. 1, 2012; amended June 12, 2015, to take effect COMMENTARY—2023: The changes in subsection (a) add
Jan. 1, 2016; amended June 24, 2016, to take effect Jan. the standard interrogatory forms for medical malpractice,
1, 2017.) Forms 218, 220 and 221, to the list of standard interrogatories
to which objections may not be filed.
Sec. 13-8. —Objections to Interrogatories
(a) The party objecting to any interrogatory Sec. 13-9. Requests for Production, Inspec-
shall: (1) set forth each interrogatory; (2) specifi- tion and Examination; In General
cally state the reasons for the objection; and (3) (a) In any civil action, in any probate appeal, or
state whether any responsive information is being in any administrative appeal where the judicial
withheld on the basis of the stated objection. authority finds it reasonably probable that evi-
Objections shall be governed by the provisions of dence outside the record will be required, any
Sections 13-2 through 13-5, signed by the attor- party may serve in accordance with Sections 10-
ney or self-represented party making them, and 12 through 10-17 upon any other party a request
filed with the court pursuant to Section 13-7. No to afford the party submitting the request the
objection may be filed with respect to interrogato- opportunity to inspect, copy, photograph or other-
ries which have been set forth in Forms 201, 202, wise reproduce designated documents or to
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SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 13-10
inspect and copy, test or sample any tangible The request or, if applicable, the notice of requests
things in the possession, custody or control of the for production shall specify a reasonable time,
party upon whom the request is served or to permit place and manner of making the inspection.
entry upon designated land or other property for Unless the judicial authority orders otherwise, the
the purpose of inspection, measuring, surveying, frequency of use of requests for production in
photographing, testing or sampling the property all actions except those for which requests for
or any designated object or operation thereon. production have been set forth in Forms 204, 205,
Such requests will be governed by the provisions 206, 209, 211, 215, 216, 219, 222, and/or 223 of
of Sections 13-2 through 13-5. In all personal the rules of practice is not limited.
injury actions alleging liability based on the opera- (f) If information has been electronically stored,
tion or ownership of a motor vehicle or alleging and if a request for production does not specify
liability based on the ownership, maintenance or a form for producing a type of electronically stored
control of real property, or in actions claiming a information, the responding party shall produce
loss of consortium or uninsured/underinsured the information in a form in which it is ordinarily
motorist coverage benefits, the requests for pro- maintained or in a form that is reasonably usable.
duction shall be limited to those set forth in Forms A party need not produce the same electronically
204, 205, 206, 209, 211, 215 and/or 216 of the stored information in more than one form.
rules of practice, unless, upon motion, the judicial (g) The party serving such request or notice of
authority determines that such requests for pro- requests for production shall not file it with the
duction are inappropriate or inadequate in the par- court.
ticular action. These forms are set forth in the (h) Unless leave of court is granted, the instruc-
Appendix of Forms in this volume. tions to Forms 204 through 206 of the rules of
(b) In all actions alleging medical negligence, practice are to be used for all nonstandard
production requests shall be limited to: (1) those requests for production.
set forth in Forms 219, 222, and 223 of the rules (i) A party seeking the production of a written
of practice and contained in the Appendix of authorization in compliance with the Health Insur-
Forms in this volume and (2) twenty additional ance Portability and Accountability Act to inspect
production requests as of right, which may not and make copies of protected health information,
contain subparts. The party to whom the addi- or a written authorization in compliance with the
tional twenty as of right requests are directed may Public Health Service Act to inspect and make
file specific, individual objections to each addi- copies of alcohol and drug records that are pro-
tional as of right production request. A party may tected by that act, shall file a motion pursuant to
move for permission to file additional discovery, Section 13-11A. A motion need not be filed to
which the judicial authority shall permit if it deter- obtain such authorization in actions to which
mines that such requests for production filed to Forms 204, 205, 216, 219, 222, and 223 of the
date are inappropriate or inadequate in the partic- rules of practice apply.
ular action. (P.B. 1978-1997, Sec. 227.) (Amended June 28, 1999, to
(c) The standard requests for production are take effect Jan. 1, 2000; amended Aug. 24, 2001, to take
intended to address discovery needs in most effect Jan. 1, 2002; amended June 20, 2005, to take effect
cases in which their use is mandated, but they do Jan. 1, 2006; amended June 20, 2011, to take effect Jan. 1,
2012; amended June 14, 2013, to take effect Jan. 1, 2014;
not preclude any party from moving for permission amended June 24, 2016, to take effect Jan. 1, 2017; amended
to serve such additional discovery as may be nec- June 23, 2017, to take effect Jan. 1, 2018; amended June 11,
essary in any particular case. 2021, to take effect Jan. 1, 2022.)
(d) Requests for production may be served
upon any party without leave of court at any time Sec. 13-10. —Responses to Requests for
after the return day. In lieu of serving the requests Production; Objections
for production set forth in Forms 204, 205, 206, (a) The party to whom the request is directed
209, 211, 215, 216, 219, 222 and/or 223 of the or such party’s attorney shall serve a written
rules of practice on a party who is represented response, which may be in electronic format,
by counsel, the moving party may serve on such within sixty days after the date of certification of
party a notice of requests for production, which service, in accordance with Sections 10-12
shall not include the actual requests, but shall through 10-17, of the request or, if applicable, the
instead set forth the number of the Practice Book notice of requests for production on the
form containing such requests and the name of responding party or within such shorter or longer
the party to whom the requests are directed. time as the judicial authority may allow, unless:
(e) The request shall clearly designate the items (1) counsel and/or self-represented parties file
to be inspected either individually or by category. with the court a written stipulation extending the
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Sec. 13-10 SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS
time within which responses may be served; or affidavit shall also set forth the reasons for the
(2) upon motion, the court allows a longer time; failure to hold such a conference.
or (3) objections to the requests for production (j) If an objection to any part of a request for
and the reasons therefor are filed and served production is overruled, the objecting party shall
within the sixty day period. comply with the request at a time set by the judi-
(b) All responses: (1) shall repeat immediately cial authority.
before the response the request for production (k) The party serving the request or the notice
being responded to; and (2) shall state with of request for production may move for an order
respect to each item or category that inspection under Section 13-14 with respect to any failure to
and related activities will be permitted as respond by the party to whom the request or notice
requested, unless the request or any part thereof is addressed.
is objected to. (P.B. 1978-1997, Sec. 227.) (Amended June 28, 1999, to
(c) Where a request calling for submission of take effect Jan. 1, 2000; amended Aug. 24, 2001, to take
effect Jan. 1, 2002; amended June 30, 2008, to take effect
copies of documents is not objected to, the party Jan. 1, 2009; amended June 20, 2011, to take effect Jan. 1,
responding to the request shall produce those 2012; amended June 14, 2013, to take effect Jan. 1, 2014;
copies with the response served upon all parties. amended June 12, 2015, to take effect Jan. 1, 2016; amended
(d) Objection by a party to certain parts of a June 24, 2016, to take effect Jan. 1, 2017; amended June 23,
request shall not relieve that party of the obligation 2017, to take effect Jan. 1, 2018; amended June 10, 2022,
to respond to those portions to which that party to take effect Jan. 1, 2023.)
HISTORY—2023: In subsection (h), ‘‘and/or’’ after ‘‘215,’’
has not objected within the sixty day period. was deleted and ‘‘, 219, 222 and/or 223’’ was added after
(e) A party objecting to one or more of the ‘‘216.’’
requests for production shall file an objection in COMMENTARY—2023: The changes in subsection (h) add
accordance with subsection (f) of this section. the standard requests for production forms for medical mal-
(f) A party who objects to any request or portion practice, Forms 219, 222 and 223, to the list of standard
of a request shall: (1) set forth the request requests for production to which objections may not be filed.
TECHNICAL CHANGE: The format of subdivisions (a) (1)
objected to; (2) specifically state the reasons for through (3) has been changed for purposes of consistency.
the objection; and (3) state whether any respon-
sive materials are being withheld on the basis of Sec. 13-11. —Physical or Mental Exami-
the stated objection. Objections shall be governed nation
by the provisions of Sections 13-2 through 13-5, (a) In any civil action, in any probate appeal, or
signed by the attorney or self-represented party in any administrative appeal where the judicial
making them and filed with the court. authority finds it reasonably probable that evi-
(g) To the extent a party withholds any respon- dence outside the record will be required, in which
sive material based on an assertion of a claim of the mental or physical condition of a party, or of
privilege or work product protection, the party a person in the custody of or under the legal con-
must file an objection in compliance with the provi- trol of a party, is material to the prosecution or
sions of subsection (f) of this section and comply defense of said action, the judicial authority may
with the provisions set forth in subsection (d) of order the party to submit to a physical or mental
Section 13-3. examination by a physician or to produce for
(h) No objection may be filed with respect to examination the person in the party’s custody or
requests for production set forth in Forms 204, legal control.
205, 206, 209, 211, 215, 216, 219, 222 and/or (b) In the case of an action to recover damages
223 of the rules of practice for use in connection for personal injuries, any party adverse to the
with Section 13-9. plaintiff may file and serve in accordance with
(i) No objection to any request for production Sections 10-12 through 10-17 a request that the
shall be placed on the short calendar list until an plaintiff submit to a physical or mental examina-
affidavit by counsel or self-represented parties is tion at the expense of the requesting party. That
filed certifying that they have made good faith request shall specify the time, place, manner,
attempts to resolve the objection and that counsel conditions and scope of the examination and the
and/or self-represented parties have been unable person or persons by whom it is to be made. Any
to reach an agreement. The affidavit shall set such request shall be complied with by the plain-
forth: (1) the date of the objection; (2) the name tiff unless, within ten days from the filing of the
of the party who filed the objection and to whom request, the plaintiff files in writing an objec-
the objection was addressed; (3) the date, time tion thereto specifying to which portions of said
and place of any conference held to resolve the request objection is made and the reasons for
differences; and (4) the names of all conference said objection. The objection shall be placed on
participants. If no conference has been held, the the short calendar list upon the filing thereof. The
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SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 13-13
judicial authority may make such order as is just The judicial authority may, on application of a
in connection with the request. No plaintiff shall party that is in compliance with the provisions of
be compelled to undergo a physical or mental the Public Health Service Act and for good cause
examination by any physician to whom he or she shown, order a party to provide a written authori-
objects in writing. zation sufficient to comply with the provisions of
(c) In any other case, such order may be made said act, as that act may from time to time be
only on motion for good cause shown to be heard amended, to inspect and make copies of alcohol
at short calendar. The motion shall specify the and drug records that are protected by that act.
time, place, manner, conditions and scope of the (Adopted June 20, 2005, to take effect Jan. 1, 2006.)
examination and the person or persons by whom Sec. 13-12. Disclosure of Amount and Provi-
it is to be made. sions of Insurance Liability Policy
(d) If requested by the party against whom an
order is made under this rule, or who has volunta- In any civil action the existence, contents and
rily agreed to an examination, the party causing policy limits of any insurance policy under which
the examination to be made shall deliver to such any insurer may be liable to satisfy part or all of
party a copy of a written report of the examin- a judgment which may be rendered in the action
ing physician, setting out the findings, including against any party or to indemnify or reimburse
results of all tests made, diagnoses and conclu- any defendant for payments made to satisfy the
judgment shall be subject to discovery by any
sions, together with like reports of all earlier exam-
party by interrogatory or request for production
inations of the same condition. After delivery, the
under Sections 13-6 through 13-11. Information
party causing the examination shall be entitled
concerning the insurance agreement is not by rea-
upon request to receive from the party against son of disclosure admissible in evidence at trial.
whom the order is made, or who has voluntarily (P.B. 1978-1997, Sec. 230.)
agreed to an examination, a like report of any
examination, previously or thereafter made, of the Sec. 13-12A. Disclosure of Medicare Enroll-
same condition. The judicial authority on motion ment, Eligibility and Payments Received
may make an order requiring delivery by a party In any civil action involving allegations of
of a report on such terms as are just, and if a personal injury, information on the claimant’s
physician fails or refuses to make a report, the Medicare enrollment status, eligibility or payments
judicial authority may exclude the physician’s tes- received, which is sufficient to allow providers of
timony if offered at the trial. liability insurance, including self-insurance, no
(e) By requesting and obtaining a report of the fault insurance, and/or workers’ compensation
examination so ordered or by taking the deposi- insurance to comply with Medicare Secondary
tion of the examiner, the party examined waives, Payer obligations, including those imposed under
in that action, or in any other action involving the 42 U.S.C. § 1395y (b) (2) and (8), shall be subject
same controversy, any privilege he or she may to discovery by any party by interrogatory as pro-
have regarding the testimony of every other per- vided in Sections 13-6 through 13-8. The interrog-
son who has examined or may thereafter examine atories shall be limited to those set forth in Form
the party in respect to the same mental or physi- 217. The information disclosed pursuant to this
cal condition. section shall not be admissible at trial solely by
(f) This section does not preclude discovery of reason of such disclosure. Such information shall
a report of an examining physician or the taking be used only for purposes of the litigation and for
of a deposition of the physician in accordance with complying with 42 U.S.C. § 1395y (b) (8) and shall
the provisions of any other section of this chapter. not be used or disclosed for any other purpose.
(P.B. 1978-1997, Sec. 229.) (Amended June 21, 2010, to (Adopted June 13, 2019, to take effect Jan. 1, 2020.)
take effect Jan. 1, 2011.)
Sec. 13-13. Disclosure of Assets in Cases in
Sec. 13-11A. —Motion for Authorization To Which Prejudgment Remedy Sought
Obtain Protected Health Information (a) The judicial authority may, on motion, order
The judicial authority may, on motion of a party any appearing party against whom a prejudgment
and for good cause shown, order a party to pro- remedy has been granted to disclose property
vide a written authorization sufficient to comply in which the party has an interest or debts owing
with the provisions of the Health Insurance Porta- to the party sufficient to satisfy a prejudgment
bility and Accountability Act, as that act may from remedy. The existence, ___location and extent of a
time to time be amended, to inspect and make party’s interest in such property or debts shall be
copies of protected health information. subject to disclosure after hearing on the motion
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Sec. 13-13 SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS
for disclosure. The form and terms of disclosure discovery is objectionable unless written objection
shall be determined by the judicial authority. as authorized by Sections 13-6 through 13-11 has
(b) A motion to disclose pursuant to this section been filed.
may be made by filing it with the application for (d) The failure to comply as described in this
a prejudgment remedy or may be made at any section shall be excused and the judicial authority
time after the filing of the application. may not impose sanctions on a party for failure
(c) The judicial authority may order disclosure to provide information, including electronically
at any time prior to final judgment after it has stored information, lost as the result of the routine,
determined that the party filing the motion for dis- good-faith operation of a system or process in
closure has, pursuant to either General Statutes the absence of a showing of intentional actions
§§ 52-278d, 52-278e or 52-278i, probable cause designed to avoid known preservation obligations.
sufficient for the issuance of a prejudgment rem- (P.B. 1978-1997, Sec. 227.) (Amended June 28, 1999, to
edy. take effect Jan. 1, 2000; amended Aug. 24, 2001, to take
effect Jan. 1, 2002; amended June 30, 2008, to take effect
(d) Any party, in lieu of disclosing assets pur- Jan. 1, 2009; amended June 20, 2011, to take effect Jan. 1,
suant to subsection (a), may move the judicial 2012; amended June 14, 2013, to take effect Jan. 1, 2014;
authority for substitution either of a bond with amended June 12, 2015, to take effect Jan. 1, 2016; amended
surety substantially in compliance with General June 24, 2016, to take effect Jan. 1, 2017; amended June 23,
Statutes §§ 52-307 and 52-308 or of other suffi- 2017, to take effect Jan. 1, 2018, amended June 11, 2021,
to take effect Jan. 1, 2022.)
cient security.
(P.B. 1978-1997, Sec. 230A.) (Amended June 20, 2011, Sec. 13-15. Continuing Duty To Disclose
to take effect Jan. 1, 2012.)
If, subsequent to compliance with any request
Sec. 13-14. Order for Compliance; Failure or order for discovery, including partial compli-
To Answer or Comply with Order ance subject to an objection or made notwith-
(a) If any party has failed to answer interrogato- standing an objection, and prior to or during trial,
ries or to answer them fairly, or has intentionally a party discovers additional or new material or
answered them falsely or in a manner calculated information previously requested and ordered
to mislead, or has failed to respond to requests subject to discovery or inspection or discovers
for production or for disclosure of the existence that the prior compliance was totally or partially
and contents of an insurance policy or the limits incorrect or, though correct when made, is no
thereof, or has failed to submit to a physical or longer true and the circumstances are such that
mental examination, or has failed to comply with a failure to amend the compliance is in substance
a discovery order made pursuant to Section 13- a knowing concealment, that party shall promptly
13, or has failed to comply with the provisions of notify the other party, or the other party’s attorney,
Section 13-15, or has failed to appear and testify and file and serve in accordance with Sections
at a deposition duly noticed pursuant to this chap- 10-12 through 10-17 a supplemental or cor-
ter, or has failed otherwise substantially to comply rected compliance.
with any other discovery order made pursuant to (P.B. 1978-1997, Sec. 232.) (Amended June 23, 2017, to
take effect Jan. 1, 2018.)
Sections 13-6 through 13-11, the judicial authority
may, on motion, make such order proportional to Sec. 13-16. Orders by Judge
the noncompliance as the ends of justice require. Any order provided in this chapter to be made
(b) Such orders may include the following: by the court may be made by a judge thereof
(1) An order of compliance; when the court is not actually in session.
(2) The award to the discovering party of the (P.B. 1978-1997, Sec. 233.)
costs of the motion, including a reasonable attor-
ney’s fee; Sec. 13-17. Disclosure before Court or Com-
(3) The entry of an order that the matters mittee
regarding which the discovery was sought or other Disclosures by garnishees and all other disclo-
designated facts shall be taken to be established sures in civil actions not under Sections 13-2
for the purposes of the action in accordance with through 13-16 may be made to the judicial author-
the claim of the party obtaining the order; ity or before a committee, as the judicial authority
(4) The entry of an order prohibiting the party may determine.
who has failed to comply from introducing desig- (P.B. 1978-1997, Sec. 234.)
nated matters in evidence;
(5) An order of dismissal, nonsuit or default. Sec. 13-18. Disclosures in Equity
(c) The failure to comply as described in this Disclosures made in answer to complaints in
section may not be excused on the ground that the the nature of bills of discovery in equity may be
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SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 13-21
made either by sworn answers or before a com- whom discovery is sought. Neither the interroga-
mittee, as the judicial authority may determine. tories nor a notice thereof shall be filed with the
When either party in any action has obtained from court. The interrogatories shall be in clear and
the other party a disclosure on oath, respecting simple language and shall be placed on the page
the matters alleged in any pleading, the disclosure in such manner as to leave space under each
shall not be deemed conclusive, but may be con- interrogatory for the person served to insert the
tradicted as any other testimony. (See General answer. The person to whom interrogatories are
Statutes § 52-200.) directed shall answer them and return them to the
(P.B. 1978-1997, Sec. 235.) judgment creditor within thirty days of the date of
service. Answers to interrogatories served on a
Sec. 13-19. Disclosure of Defense judgment debtor shall be signed by such debtor
In any action to foreclose or to discharge any under penalty of false statement. With respect to
mortgage or lien or to quiet title, or in any action assets, the person served is required to reveal
upon any written contract, in which there is an information concerning the amount, nature and
appearance by an attorney for any defendant, the ___location of the judgment debtor’s nonexempt
plaintiff may at any time file and serve in accord- assets up to an amount clearly sufficient in value
ance with Sections 10-12 through 10-17 a written to ensure full satisfaction of the judgment with
demand that such attorney present to the court, interest and costs, provided disclosure shall be
to become a part of the file in such case, a writing first required as to assets subject to levy or foreclo-
signed by the attorney stating whether he or she sure within the state. If interrogatories are served
has reason to believe and does believe that there on a financial institution, the financial institution
exists a bona fide defense to the plaintiff’s action shall disclose only whether it holds funds of the
and whether such defense will be made, together judgment debtor on account and the balance of
with a general statement of the nature or sub- such funds, up to the amount necessary to satisfy
stance of such defense. If the defendant fails to the judgment with interest and costs.
disclose a defense within ten days of the filing of (b) On failure of a person served with interroga-
such demand in any action to foreclose a mort- tories to, within the thirty days, return a sufficient
gage or lien or to quiet title, or in any action upon answer or disclose sufficient assets for execution,
any written contract, the plaintiff may file a written or on objection by such person to the interrogato-
motion that a default be entered against the ries, which objection shall not be filed with the
defendant by reason of the failure of the defendant court by such person, the judgment creditor may
to disclose a defense. If no disclosure of defense move the judicial authority for such supplemental
has been filed, the judicial authority may order discovery orders as may be necessary to ensure
judgment upon default to be entered for the plain- disclosure including (1) an order for compliance
tiff at the time the motion is heard or thereafter, with the interrogatories or authorizing additional
provided that in either event a separate motion interrogatories and (2) an order for production or
for examination of the judgment debtor or third
for such judgment has been filed. The motions
person, provided any such examination shall be
for default and for judgment upon default may
conducted before the judicial authority. The judi-
be served and filed simultaneously but shall be
cial authority may order such discovery as justice
separate motions. requires provided the order shall contain a notice
(P.B. 1978-1997, Sec. 236.) (Amended June 22, 2009, to
take effect Jan. 1, 2010; amended June 20, 2011, to take that failure to comply therewith may subject the
effect Jan. 1, 2012.) person served to being held in contempt of court.
(c) On motion of a judgment debtor or third
Sec. 13-20. Discovery Sought by Judgment person from whom discovery is sought, and for
Creditor good cause shown, or on its own motion, the judi-
(a) A judgment creditor may obtain discovery cial authority may make any order which justice
from the judgment debtor, or from any third per- requires to protect such debtor or third person
son the judgment creditor reasonably believes, from annoyance, embarrassment, oppression or
in good faith, may have assets of the judgment undue burden or expense.
debtor, or from any financial institution to the (d) The other provisions of this chapter shall
extent provided by this section, of any matters not apply to discovery sought under this section.
(P.B. 1978-1997, Sec. 236A.)
relevant to satisfaction of the money judgment.
The judgment creditor shall commence any dis- Sec. 13-21. Discovery outside the United
covery proceeding by serving interrogatories on States of America
a form approved by the judges of the Superior (a) If an applicable treaty or convention renders
Court, or their designees, on the person from discovery inadequate or inequitable but does not
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Sec. 13-21 SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS
prohibit additional discovery, the judicial authority fact, including the existence, due execution and
may order, upon application of any party, discov- genuineness of any documents described in the
ery on such terms and conditions as the judicial request. The party serving a request for admission
authority deems just and equitable after consider- shall separately set forth each matter of which an
ing the following: admission is requested and unless the request is
(1) other methods of discovery specified or served electronically as provided in Section 10-
allowed in any applicable international treaty or 13 and in a format that allows the recipient to
convention, including any reservations; electronically insert the answers in the transmit-
(2) whether all applicable international treaties ted document, shall leave sufficient space follow-
and conventions prohibit one or more specified ing each request in which the party to whom the
methods of discovery; requests are directed can insert an answer or
(3) whether the method of discovery violates objection. Copies of documents shall be served
the criminal law of the foreign nation involved; with the request unless they have been or are
(4) whether the foreign nation’s procedure otherwise furnished or made available for inspec-
will allow the parties to directly apply to the for- tion and copying. The request may, without leave
eign nation’s courts for judicial assistance in of the judicial authority, be served upon any party
obtaining discovery; at any time after the return day. Unless the judicial
(5) the importance of the requested documents authority orders otherwise, the frequency of use
or other information to the litigation; of requests for admission is not limited.
(6) the degree of specificity of the request; (b) The party serving such request shall not file
(7) whether the information originated within the it with the court but shall instead file a notice with
United States; the court which states that the party has served
(8) the availability of alternate means of obtain- a request for admission on another party, the
ing the information; name of the party to whom the request has been
(9) the extent noncompliance with the request directed and the date upon which service in
would undermine important interests of the United accordance with Sections 10-12 through 10-17
States; was made.
(10) the extent compliance with the request (P.B. 1978-1997, Sec. 238.) (Amended June 30, 2008, to
would undermine important interests of the foreign take effect Jan. 1, 2009.)
nation involved;
Sec. 13-23. —Answers and Objections to
(11) whether the discovery sought, or the
Requests for Admission
method sought to be employed, is unreasonably
intrusive or burdensome under the circum- (a) Each matter of which an admission is
stances; requested is admitted unless, within thirty days
(12) whether the request can be modified to after the filing of the notice required by Section
make it reasonable under the circumstances; 13-22 (b), or within such shorter or longer time
(13) whether the foreign party is wholly or par- as the judicial authority may allow, the party to
tially owned by a foreign nation or the instrumen- whom the request is directed files and serves
tality of a foreign nation; upon the party requesting the admission a written
(14) the cost of compliance; answer or objection addressed to the matter,
(15) whether the foreign country requires that signed by the party or by his attorney. Any such
discovery be obtained through a judicial officer. answer or objection shall be inserted directly on
(b) As used in this section, discovery includes the original request. In the event that an answer
the taking of testimony by deposition upon oral or objection requires more space than that pro-
examination. vided on a request for admission that was not
(P.B. 1978-1997, Sec. 236B.) served electronically and in a format that allows
the recipient to electronically insert the answers
Sec. 13-22. Admission of Facts and Execu- in the transmitted document, it shall be continued
tion of Writings; Requests for Admission on a separate sheet of paper which shall be
(a) A party may serve in accordance with Sec- attached to the response. Documents sought to
tions 10-12 through 10-17 upon any other party be admitted by the request shall be filed with the
a written request, which may be in electronic for- response by the responding party only if they are
mat, for the admission, for purposes of the pend- the subject of an answer or objection. If objection
ing action only, of the truth of any matters relevant is made, the reasons therefor shall be stated. The
to the subject matter of the pending action set answer shall specifically deny the matter or set
forth in the request that relate to statements or forth in detail the reasons why the answering party
opinions of fact or of the application of law to cannot truthfully admit or deny the matter. A denial
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SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 13-27
shall fairly meet the substance of the requested purpose nor may it be used against him or her in
admission, and when good faith requires that a any other proceeding.
party qualify his or her answer or deny only a part (b) The admission of any matter under this sec-
of the matter of which an admission is requested, tion shall not be deemed to waive any objections
such party shall specify so much of it as is true to its competency or relevancy. An admission of
and qualify or deny the remainder. An answering the existence and due execution of a document,
party may not give lack of information or knowl- unless otherwise expressed, shall be deemed to
edge as a reason for failure to admit or deny include an admission of its delivery, and that it
unless such party states that he or she has made has not since been altered.
reasonable inquiry and that the information known (P.B. 1978-1997, Sec. 240.)
or readily obtainable by him or her is insufficient Sec. 13-25. —Expenses on Failure To Admit
to enable an admission or denial. A party who
considers that a matter of which an admission If a party fails to admit the genuineness of any
has been requested presents a genuine issue for document or the truth of any matter as requested
herein, and if the party requesting the admissions
trial may not, on that ground alone, object to the
thereafter proves the genuineness of the docu-
request; the party may deny the matter or set forth ment or the truth of the matter, such party may
reasons why he or she cannot admit or deny it. apply to the court for an order requiring the other
The responding party shall attach a cover sheet party to pay the reasonable expenses incurred in
to the response which shall comply with Sections making that proof, including reasonable attorney’s
4-1 and 4-2 and shall specify those requests to fees. The judicial authority shall make the order
which answers and objections are addressed. unless it finds that such failure to admit was rea-
(b) The party who has requested the admission sonable.
may move to determine the sufficiency of the (P.B. 1978-1997, Sec. 241.)
answer or objection. No such motion shall be
placed on the short calendar list until an affidavit Sec. 13-26. Depositions; In General
by either counsel is filed certifying that bona fide In addition to other provisions for discovery and
attempts have been made to resolve the differ- subject to the provisions of Sections 13-2 through
ences concerning the subject matter of the motion 13-5, any party who has appeared in a civil action,
and that counsel have been unable to reach an in any probate appeal, or in any administrative
accord. Unless the judicial authority determines appeal where the judicial authority finds it reason-
that an objection is justified, it shall order that an ably probable that evidence outside the record
answer be served. If the judicial authority deter- will be required, may, at any time after the com-
mines that an answer does not comply with the mencement of the action or proceeding, in accord-
requirements of this rule, it may order either that ance with the procedures set forth in this chap-
the matter is admitted or that an amended answer ter, take the testimony of any person, including
be served. The judicial authority may, in lieu of a party, by deposition upon oral examination. The
these orders, determine that final disposition of attendance of witnesses may be compelled by
the request be made at a designated time prior subpoena as provided in Section 13-28. The
attendance of a party deponent or of an officer,
to trial.
(P.B. 1978-1997, Sec. 239.) (Amended June 30, 2008, to
director, or managing agent of a party may be
take effect Jan. 1, 2009.) compelled by notice to the named person or such
person’s attorney in accordance with the require-
Sec. 13-24. —Effect of Admission ments of Section 13-27 (a). The deposition of a
person confined in prison may be taken only by
(a) Any matter admitted under this section is con-
leave of the judicial authority on such terms as
clusively established unless the judicial authority the judicial authority prescribes. (See General
on motion permits withdrawal or amendment of Statutes § 52-178.)
the admission. The judicial authority may permit (P.B. 1978-1997, Sec. 243.)
withdrawal or amendment when the presentation
of the merits of the action will be subserved Sec. 13-27. —Notice of Deposition; General
thereby and the party who obtained the admission Requirements; Special Notice; Nonsteno-
fails to satisfy the judicial authority that withdrawal graphic Recording; Production of Docu-
or amendment will prejudice such party in main- ments and Things; Deposition of Organi-
taining his or her action or defense on the merits. zation
Any admission made by a party under this section (a) A party who desires to take the deposition
is for the purpose of the pending action only and of any person upon oral examination shall give
is not an admission by him or her for any other reasonable notice in writing to every other party
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Sec. 13-27 SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS
to the action. Such notice shall not be filed with approval if (A) any party desiring to videotape the
the court but shall be served upon each party or deposition provides written notice of the videotap-
each party’s attorney in accordance with Sections ing to all parties in either the notice of deposition
10-12 through 10-17. The notice shall state the or other notice served in the same manner as a
time and place for taking the deposition, the name notice of deposition and (B) the deposition is also
and address of each person to be examined, if recorded stenographically.
known, and, if the name is not known, a general (g) The notice to a party deponent may be
description sufficient to identify such person or accompanied by a request made in compliance
the particular class or group to which he or she with Sections 13-9 through 13-11 for the produc-
belongs and the manner of recording. If a sub- tion of documents and tangible things at the taking
poena duces tecum is to be served on the person of the deposition. The procedure of Sections 13-
to be examined, the designation of the materials 9 through 13-11 shall apply to the request.
to be produced as set forth in the subpoena shall (h) A party may in the notice and in the sub-
be attached to or included in the notice. poena name as the deponent a public or private
(b) Leave of a judicial authority, granted with or corporation or a partnership or an association or
without notice, must be obtained only if the party a governmental agency or a state officer in an
seeks to take a deposition prior to the expiration action arising out of the officer’s performance of
of twenty days after the return day, except that employment and designate with reasonable par-
leave is not required (1) if the adverse party has ticularity the matters on which examination is
served a notice of the taking of a deposition or requested. The organization or state officer so
has otherwise sought discovery, or (2) if special named shall designate one or more officers, direc-
notice is given as provided herein. tors, or managing agents, or other persons who
(c) Leave of a judicial authority is not required consent to testify on its behalf, and may set forth,
for the taking of a deposition by a party if the for each person designated, the matters on which
notice (1) states that the person to be examined the person will testify. The persons so designated
is about to go out of this state, or is bound on a shall testify as to matters known or reasonably
voyage to sea, and will be unavailable for exami- available to the organization. This subsection
nation unless such person’s deposition is taken does not preclude the taking of a deposition by
before the expiration of twenty days after the any other procedure authorized by the rules of
return day, and (2) sets forth facts to support the practice.
statement. The party’s attorney shall sign the (P.B. 1978-1997, Sec. 244.) (Amended June 26, 2000, to
notice, and this signature constitutes a certifica- take effect Jan. 1, 2001; amended June 22, 2009, to take
effect Jan. 1, 2010.)
tion by such attorney that to the best of his or her
knowledge, information and belief the statement Sec. 13-28. —Persons before Whom Depo-
and supporting facts are true. sition Taken; Subpoenas
(d) Whenever the whereabouts of any adverse (a) Within this state, depositions shall be taken
party is unknown, a deposition may be taken pur- before a judge or clerk of any court, notary public
suant to Section 13-26 after such notice as the or Commissioner of the Superior Court. In any
court, in which such deposition is to be used, or, other state or country, depositions for use in a
when such court is not in session, any judge civil action, probate proceeding or administrative
thereof, may direct. appeal within this state shall be taken before a
(e) The judicial authority may for good cause notary public, of such state or country, a commis-
shown increase or decrease the time for taking sioner appointed by the governor of this state, any
the deposition. magistrate having power to administer oaths in
(f) (1) The judicial authority may upon motion such state or country, or a person commissioned
order that the testimony at a deposition be by the court before which such action or proceed-
recorded by other than stenographic means such ing is pending, or when such court is not in ses-
as by videotape, in which event the order shall sion, by any judge thereof. Any person so com-
designate the manner of recording, preserving, missioned shall have the power by virtue of his
and filing the deposition, and may include other or her commission to administer any necessary
provisions to assure that the recorded testimony oaths and to take testimony. Additionally, if a
will be accurate and trustworthy. If the order is deposition is to be taken out of the United States,
made, a party may nevertheless arrange to have it may be taken before any foreign minister, secre-
a stenographic transcription made at the party’s tary of a legation, consul or vice-consul appointed
own expense. by the United States or any person by him or her
(2) Notwithstanding this section, a deposition appointed for the purpose and having authority
may be recorded by videotape without prior court under the laws of the country where the deposition
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SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 13-28
is to be taken; and the official character of any without just excuse to comply with any of its terms,
such person may be proved by a certificate from the court before which the cause is pending, or
the secretary of state of the United States. any judge thereof, or, if the cause is pending in
(b) Each judge or clerk of any court, notary a foreign court, the court in the judicial district
public or Commissioner of the Superior Court, in wherein the subpoenaed person resides, may
this state, may issue a subpoena, upon request, issue a capias and cause the person to be brought
for the appearance of any witness before an offi- before that court or judge, as the case may be,
cer authorized to administer oaths within this state and, if the person subpoenaed refuses to comply
to give testimony at a deposition subject to the with the subpoena, the court or judge may commit
provisions of Sections 13-2 through 13-5, if the the person to jail until he or she signifies a willing-
party seeking to take such person’s deposition ness to comply with it.
has complied with the provisions of Sections 13- (g) (1) Deposition of witnesses living in this state
26 and 13-27. may be taken in like manner to be used as evi-
(c) A subpoena issued for the taking of a depo- dence in a civil action or probate proceeding pend-
sition may command the person to whom it is ing in any court of the United States or of any
directed to produce and permit inspection and other state of the United States or of any foreign
copying of designated books, papers, documents country, on application of any party to such civil
or tangible things which constitute or contain mat- action or probate proceeding.
ters within the scope of the examination permitted (2) Any person to whom a subpoena has been
by Sections 13-2 through 13-5. Unless otherwise directed in a civil action or probate proceeding,
ordered by the court or agreed upon in writing other than a party to such civil action or Probate
by the parties any subpoena issued to a person Court proceeding, pending in any court of any
commanding the production of documents or other state of the United States or of any foreign
other tangible thing at a deposition shall not direct country, which subpoena commands (A) the per-
compliance within less than fifteen days from the son’s appearance at a deposition, or (B) the pro-
date of service thereof. duction, copying or inspection of books, papers,
(d) The person to whom a subpoena is directed documents or tangible things may, within fifteen
may, within fifteen days after the service thereof days after the service thereof or on or before the
or within such time as otherwise ordered by the time specified in the subpoena for compliance if
court or agreed upon in writing by the parties, such time is less than fifteen days after service,
serve upon the issuing authority designated in the serve upon the party who requested issuance of
subpoena written objection to the inspection or the subpoena written objection to appearing or
copying of any or all of the designated materials. producing, copying or permitting the inspection
If objection is made, the party at whose request of such books, papers, documents or tangible
the subpoena was issued shall not be entitled to things on the ground that the subpoena will cause
inspect and copy the disputed materials except such person undue or unreasonable burden or
pursuant to an order of the court in which the expense. Service of the objection shall be made
cause is pending. The party who requested the by United States mail, certified or registered, post-
subpoena may, if objection has been made, move, age prepaid, return receipt requested, without the
upon notice to the deponent, for an order at any use of a state marshal or other officer. Such writ-
time before or during the taking of the deposition. ten objection shall be accompanied by an affidavit
(e) The court in which the cause is pending, or, of costs setting forth the estimated or actual costs
if the cause is pending in a foreign court, the court of compliance with such subpoena, including, but
in the judicial district wherein the subpoenaed per- not limited to, the person’s attorney’s fees or the
son resides, may, upon motion made promptly costs to such person of electronic discovery. If a
and, in any event, at or before the time for compli- person makes such written objection, the party
ance specified in a subpoena authorized by sub- who requested issuance of the subpoena (i) shall
section (b) of this section, (1) quash or modify the not be entitled to compel such person’s appear-
subpoena if it is unreasonable and oppressive or ance or receive, copy or inspect the books,
if it seeks the production of materials not subject papers, documents or tangible things, except pur-
to production under the provisions of subsection suant to an order of the Superior Court, and (ii)
(c) of this section, or (2) condition denial of the may, upon notice to such person, file a motion
motion upon the advancement by the party who with the court in the judicial district wherein the
requested the subpoena of the reasonable cost subpoenaed person resides, for an order to com-
of producing the materials being such. pel such person’s appearance or production,
(f) If any person to whom a lawful subpoena is copying or inspection of such materials in accord-
issued under any provision of this section fails ance with the terms of such subpoena. Upon
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Sec. 13-28 SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS
receipt of such motion together with the payment (1) By subpoena to give a deposition in any
of all entry fees, if required, the clerk shall sched- county in this state in which the defendant is per-
ule the matter for hearing and provide the moving sonally served, or
party notice of the time and place of the hearing. (2) By notice under Section 13-27 (a) to give a
The moving party shall serve the motion to compel deposition at any place within thirty miles of the
and the notice of the time and place of the hearing defendant’s residence or within the county of his
upon the subpoenaed party. When ruling on such or her residence or at such other place as is fixed
motion to compel, the court shall make a finding by order of the judicial authority.
as to whether the subpoena subjects the person (d) A nonparty deponent may be compelled by
to undue or unreasonable burden or expense prior subpoena served within this state to give a deposi-
to entering any order to compel such person’s tion at a place within the county of his or her
appearance or the production, copying or inspec- residence or within thirty miles of the nonparty
tion of such materials. If the court finds that the deponent’s residence, or if a nonresident of this
subpoena issued to the person subjects such per- state within any county in this state in which he
son to undue or unreasonable burden or expense, or she is personally served, or at such other place
any order to compel such person’s appearance as is fixed by order of the judicial authority.
or production, copying or inspection of such mate- (e) In this section, the terms ‘‘plaintiff’’ and
rials shall protect the person from undue or unrea- ‘‘defendant’’ include officers, directors and man-
sonable burden or expense resulting from com- aging agents of corporate plaintiffs and corporate
pliance with such subpoena and, except in the defendants or other persons designated under
case of a subpoena commanding the production, Section 13-27 (h) as appropriate.
copying or inspection of medical records, may (f) If a deponent is an officer, director or manag-
include, but not be limited to, the reimbursement ing agent of a corporate party, or other person
of such person’s reasonable costs of compliance, designated under Section 13-27 (h), the place of
as set forth in the affidavit of costs. examination shall be determined as if the residence
(3) The provisions of subdivision (2) of this sub- of the deponent were the residence of the party.
section shall not be applicable to a civil action (P.B. 1978-1997, Sec. 246.)
filed to recover damages resulting from personal
injury or wrongful death in which it is alleged that Sec. 13-30. —Deposition Procedure
such injury or death resulted from professional (a) Examination and cross-examination of
malpractice of a health care provider or health deponents may proceed as permitted at trial. The
care institution. officer before whom the deposition is to be taken
(P.B. 1978-1997, Sec. 245.) (Amended June 21, 2004, to
take effect Jan. 1, 2005; amended June 24, 2016, to take
shall put the deponent on oath and shall person-
effect Jan. 1, 2017.) ally, or by someone acting under the officer’s
direction, record the testimony of the deponent.
Sec. 13-29. —Place of Deposition The testimony shall be taken stenographically
(a) Any party who is a resident of this state may or recorded by any other means authorized in
be compelled by notice as provided in Section 13- accordance with Section 13-27 (f). If the testimony
27 (a) to give a deposition at any place within the is taken stenographically, it shall be transcribed
county of such party’s residence, or within thirty at the request of one of the parties.
miles of such residence, or at such other place (b) All objections made at the time of the exami-
as is fixed by order of the judicial authority. A nation to the qualifications of the officer taking the
plaintiff who is a resident of this state may also deposition, or to the manner of taking it, or to
be compelled by like notice to give a deposition the evidence presented, or to the conduct of any
at any place within the county where the action party, and any other objection to the proceedings,
is commenced or is pending. shall be noted by the officer upon the deposition.
(b) A plaintiff who is not a resident of this state Evidence objected to shall be taken subject to
may be compelled by notice under Section 13-27 the objections. Every objection raised during a
(a) to attend at the plaintiff’s expense an examina- deposition shall be stated succinctly and framed
tion in the county of this state where the action is so as not to suggest an answer to the deponent
commenced or is pending or at any place within and, at the request of the questioning attorney,
thirty miles of the plaintiff’s residence or within the shall include a clear statement as to any defect
county of his or her residence or in such other in form or other basis of error or irregularity. A
place as is fixed by order of the judicial authority. person may instruct a deponent not to answer
(c) A defendant who is not a resident of this only when necessary to preserve a privilege, to
state may be compelled: enforce a limitation directed by the court, or to
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SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 13-30
present a motion under subsection (c) of this sec- the deponent),’’ shall then promptly deliver it to
tion. In lieu of participating in the oral examination, the party at whose request it was taken and give
parties may serve written questions in a sealed to all other parties a notice that the deposition has
envelope on the party taking the deposition and been transcribed and so delivered. The party at
the party shall transmit the questions to the officer, whose request the deposition was taken shall file
who shall propound them to the witness and the sealed deposition with the court at the time
record the answers verbatim. of trial.
(c) At any time during the taking of the deposi- (f) Documents and things produced for inspec-
tion, on motion of a party or of the deponent and tion during the examination of the deponent, shall,
upon a showing that the examination is being con- upon the request of a party, be marked for identifi-
ducted in bad faith or in such manner as unrea- cation and annexed to and returned with the depo-
sonably to annoy, embarrass, or oppress the sition, and may be inspected and copied by any
deponent or party, the court in which the action party, except that (1) the person producing the
is pending may order the officer conducting the materials may substitute copies to be marked for
examination forthwith to cease taking the deposi- identification, if the person affords to all parties
tion, or may limit the scope and manner of the fair opportunity to verify the copies by comparison
taking of the deposition as provided in Section 13- with the originals, and (2) if the person producing
5. If the order made terminates the examination, the materials requests their return, the officer shall
it shall be resumed thereafter only upon the order mark them, give each party an opportunity to
of the court in which the action is pending. inspect and copy them, and return them to the
(d) If requested by the deponent or any party, person producing them, and the materials may
when the testimony is fully transcribed the deposi- then be used in the same manner as if annexed
tion shall be submitted to the deponent for exami- to and returned with the deposition to the court,
nation and shall be read to or by the deponent. pending final disposition of the case.
Any changes in form or substance which the (g) The parties may stipulate in writing and file
deponent desires to make shall be entered upon with the court, or the court may upon motion order,
the deposition by the officer with a statement of
that a deposition be taken by telephone, video-
the reasons given by the deponent for making
conference, or other remote electronic means.
them. The deposition shall then be signed by the
For the purposes of Sections 13-26 through 13-
deponent certifying that the deposition is a true
29 and this section, such a deposition is deemed
record of the deponent’s testimony, unless the
taken at the place where the deponent is to
parties by stipulation waive the signing or the wit-
answer questions. Except as otherwise provided
ness is ill or cannot be found or refuses to sign.
in this subsection, the rules governing the prac-
If the deposition is not signed by the deponent
within thirty days after its submission to the depo- tice, procedures and use of depositions shall
nent, the officer shall sign it and state on the apply to remote electronic means depositions.
record the fact of the waiver or of the illness or The following additional rules, unless otherwise
absence of the deponent or the fact of the refusal agreed in writing by the parties or ordered by the
or failure to sign together with the reason, if any, court, shall apply to depositions taken by remote
given therefor; and the deposition may then be electronic means:
used as fully as though signed unless, on a motion (1) The deponent shall be in the presence of
to suppress under Section 13-31 (c) (4), the judi- the officer administering the oath and recording
cial authority holds that the reasons given for the the deposition.
refusal or failure to sign require rejection of the (2) Any exhibits or other demonstrative evi-
deposition in whole or in part. dence to be presented to the deponent by any
(e) The person recording the testimony shall party at the deposition shall be provided to the
certify on the deposition that the witness was duly officer administering the oath and all other parties
sworn by the person, that the deposition is a true prior to the deposition.
record of the testimony given by the deponent, (3) Nothing in subsection (g) shall prohibit any
whether each adverse party or his agent was pres- party from being with the deponent during the
ent, and whether each adverse party or his agent deposition, at that party’s expense; provided,
was notified, and such person shall also certify however, that a party attending a deposition shall
the reason for taking the deposition. The person give written notice of that party’s intention to
shall then securely seal the deposition in an enve- appear at the deposition to all other parties within
lope endorsed with the title of the action, the a reasonable time prior to the deposition.
address of the court where it is to be used and (4) The party at whose instance the remote
marked ‘‘Deposition of (here insert the name of electronic means deposition is taken shall pay all
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Sec. 13-30 SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS
costs of the remote electronic means deposi- (1) Any deposition may be used by any party
tion for the transmission from the ___location of the for the purpose of contradicting or impeaching the
deponent and one site for participation of counsel testimony of the deponent as a witness.
located in the judicial district where the case is (2) The deposition of any physician, psycholo-
pending together with the cost of the steno- gist, chiropractor, natureopathic physician, osteo-
graphic, video or other electronic record. The cost pathic physician or dentist licensed under the pro-
of participation in a remote electronic means visions of the General Statutes may be received
deposition from any other ___location shall be paid in evidence in lieu of the appearance of such wit-
by the party or parties participating from such ness at the trial or hearing whether or not the
other ___location. person is available to testify in person at the trial
(h) Notwithstanding this section, a deposition or hearing.
may be attended by any party by remote electronic (3) The deposition of a party or of anyone who
means even if the party noticing the deposition at the time of the taking of the deposition was an
officer, director, or managing agent or employee
does not elect to use remote electronic means if
or a person designated under Section 13-27 (h)
(1) a party desiring to attend by remote electronic to testify on behalf of a public or private corpora-
means provides written notice of such intention tion, partnership or association or governmental
to all parties in either the notice of deposition or agency which is a party may be used by an
a notice served in the same manner as a notice adverse party for any purpose.
of deposition and (2) if the party electing to partici- (4) The deposition of a witness other than a
pate by remote electronic means is not the party person falling within the scope of subdivision (2)
noticing the deposition, such party pays all costs hereof, whether or not a party, may be used by
associated with implementing such remote elec- any party for any purpose if the judicial authority
tronic participation by that party. finds: (A) that the witness is dead; (B) that the
(i) Nothing contained in any provision providing witness is at a greater distance than thirty miles
for the use of remote electronic means deposi- from the place of trial or hearing, or is out of the
tions shall prohibit any party from securing a rep- state and will not return before the termination
resentative to be present at the ___location where of the trial or hearing, unless it appears that the
the deponent is located to report on the record any absence of the witness was procured by the party
events which occur in that ___location which might offering the deposition; (C) that the witness is
not otherwise be transmitted and/or recorded by unable to attend or testify because of age, illness,
the electronic means utilized. infirmity, or imprisonment; (D) that the party offer-
(j) The party on whose behalf a deposition is ing the deposition has been unable to procure the
taken shall bear the cost of the original transcript, attendance of the witness by subpoena; (E) that
and any permanent electronic record including the parties have agreed that the deposition may
audio or videotape. Any party or the deponent be so used; (F) upon application and notice, that
such exceptional circumstances exist as to make
may obtain a copy of the deposition transcript and it desirable, in the interest of justice and with due
permanent electronic record including audio or regard to the importance of presenting the testi-
videotape at its own expense. mony of witnesses orally in open court, to allow
(P.B. 1978-1997, Sec. 247.) (Amended June 26, 2000, to
take effect Jan. 1, 2001; amended June 30, 2003, to take
the deposition to be used.
effect Jan. 1, 2004; amended June 21, 2004, to take effect
(5) If only part of a deposition is offered in evi-
Jan. 1, 2005; amended June 30, 2008, to take effect Jan. 1, dence by a party, an adverse party may require
2009; amended June 20, 2011, to take effect Jan. 1, 2012.) the party to introduce any other part which ought in
fairness to be considered with the part introduced,
Sec. 13-31. —Use of Depositions in Court and any party may introduce any other parts.
Proceedings (6) Substitution of parties does not affect the
(a) Use of Depositions. right to use depositions previously taken; and
when an action in any court of the United States
At the trial of a civil action, probate proceeding
or of any state has been dismissed and another
or administrative appeal, or upon the hearing of action involving the same subject matter is after-
a motion or an interlocutory proceeding, any part ward brought between the same parties or their
or all of a deposition, so far as admissible under representatives or successors in interest, all
the rules of evidence applied as though the wit- depositions lawfully taken and duly filed in the
ness were there present and testifying, may be former action may be used in the latter as if origi-
used against any party who was present or repre- nally taken therefor.
sented at the taking of the deposition or who had (b) Objections to Admissibility.
reasonable notice thereof, in accordance with any Subject to the provisions of subsection (c) of
of the following provisions: this section, objection may be made at the trial or
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SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 13-33
hearing to receiving in evidence any deposition the deposition or some part thereof is made with
or part thereof for any reason which would require reasonable promptness after such defect is, or
the exclusion of the evidence if the witness were with due diligence might have been, ascertained.
then present and testifying. (P.B. 1978-1997, Sec. 248.)
(c) Effect of Errors and Irregularities in Sec. 13-32. Stipulations regarding Discov-
Depositions. ery and Deposition Procedure
(1) As to notice: All errors and irregularities in
the notice for taking a deposition are waived Unless the court orders otherwise, the parties
unless written objection is promptly served upon may by written stipulation (1) provide that deposi-
the party giving the notice. tions may be taken before any person, at any time
(2) As to disqualification of officer: Objection to or place, upon any notice, and in any manner,
taking a deposition because of disqualification of and when so taken may be used as other deposi-
the officer before whom it is to be taken is waived tions, and (2) modify the procedures provided by
unless made before the taking of the deposition this chapter for other methods of discovery.
(P.B. 1978-1997, Sec. 249.)
begins or as soon thereafter as the disqualification
becomes known or could be discovered with rea- Sec. 13-33. Claim of Privilege or Protection
sonable diligence. after Production
(3) As to taking of deposition: (A) Objections to (a) If papers, books, documents or electroni-
the competency of a witness or to the compe- cally stored information produced in discovery are
tency, relevancy or materiality of testimony are subject to a claim of privilege or of protection as
not waived by failure to make them before or dur- trial preparation material, the party making the
ing the taking of the deposition, unless the ground claim may notify any party that received the infor-
of the objection is one which might have been mation of the claim and the basis for the claim.
obviated or removed if presented at that time. (b) After being notified of a claim of privilege or
(B) Errors and irregularities occurring at the oral of protection under subsection (a), a party shall
examination in the manner of taking the depo- immediately sequester the specified information
sition, in the form of the questions or answers, in and any copies it has and: (1) return or destroy
the oath or affirmation, or in the conduct of parties, the information and all copies and not use or dis-
and errors of any kind which might be obviated, close the information until the claim is resolved; or
removed, or cured if promptly presented, are (2) present the information to the judicial authority
waived unless seasonable objection thereto is under seal for a determination of the claim and
made at the taking of the deposition. not otherwise use or disclose the information until
(4) As to completion and return of deposition: the claim is resolved.
Errors and irregularities in the manner in which (c) If a party that received notice under subsec-
the testimony is transcribed or the deposition is tion (b) disclosed the information subject to the
prepared, signed, certified, sealed, endorsed, notice before being notified, the party shall take
transmitted, filed or otherwise dealt with by the reasonable steps to retrieve the information.
officer are waived unless a motion to suppress (Adopted June 20, 2011, to take effect Jan. 1, 2012.)
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Sec. 14-1 SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS
CHAPTER 14
DOCKETS, TRIAL LISTS, PRETRIALS AND ASSIGNMENT LISTS
Sec. Sec.
14-1. Claim for Statutory Exemption or Stay by Reason 14-10. Claims for Jury
of Bankruptcy 14-11. Pretrial; Assignment for Pretrial
14-2. Claim for Exemption from Docket Management 14-12. —When Case Not Disposed of at Pretrial
Program by Reason of Bankruptcy 14-13. —Pretrial Procedure
14-3. Dismissal for Lack of Diligence 14-14. —Orders at Pretrial
14-4. Maintenance of Case Records 14-15. Assignments for Trial in General
14-5. Definition of Administrative Appeals 14-16. Methods of Assigning Cases for Trial
14-6. Administrative Appeals Are Civil Actions 14-17. Immediate Trial
14-18. Cases Reached for Trial
14-7. Administrative Appeals; Exceptions
14-19. Cases Marked Settled
14-7A. —Administrative Appeals Brought Pursuant to 14-20. Order of Trial
General Statutes § 4-183 et seq.; Appearances; 14-21. Clerk To Communicate with Counsel in Cases
Records, Briefs and Scheduling Assigned for Week Certain
14-7B. Administrative Appeals from Municipal Land Use, 14-22. Assignment for Trial on Motion of Garnishee
Historic and Resource Protection Agencies; 14-23. Motions To Continue or Postpone Case Assigned
Records, Briefs and Scheduling; Withdrawal or for Trial
Settlement 14-24. Motion To Postpone; Absent Witness; Missing
14-8. Certifying That Pleadings Are Closed Evidence
14-9. Privileged Cases in Assignment for Trial 14-25. Availability of Counsel for Trial
For previous Histories and Commentaries see the editions of the Practice Book
corresponding to the years of the previous amendments.
Sec. 14-1. Claim for Statutory Exemption or Sec. 14-3. Dismissal for Lack of Diligence
Stay by Reason of Bankruptcy (a) If a party shall fail to prosecute an action
When a claim for a statutory exemption or stay with reasonable diligence, the judicial authority
by reason of bankruptcy is filed, it shall be accom- may, after hearing, on motion by any party to the
panied by an affidavit setting forth the date the action pursuant to Section 11-1, or on its own
bankruptcy petition was filed, the district of the motion, render a judgment dismissing the action
bankruptcy court in which it was filed and the with costs. At least two weeks’ notice shall be
address, the name of the bankruptcy debtor and
the number of the bankruptcy case. required except in cases appearing on an assign-
When the stay has been relieved or terminated, ment list for final adjudication. Judgment files shall
the plaintiff, the person filing the petition, or any not be drawn except where an appeal is taken or
other interested party shall file with the court a where any party so requests.
copy of the relief or termination of stay issued by (b) If a case appears on a docket management
the bankruptcy court. calendar pursuant to the docket management pro-
(P.B. 1978-1997, Sec. 250A.) (Amended June 21, 2004, gram administered under the direction of the chief
to take effect Jan. 1, 2005.) court administrator, and a motion for default for
Sec. 14-2. Claim for Exemption from Docket failure to plead is filed pursuant to Section 10-18,
Management Program by Reason of Bank- only those papers which close the pleadings by
ruptcy joining issues, or raise a special defense, may be
(Amended June 24, 2002, to take effect Jan. 1, 2003.) filed by any party, unless the judicial authority
When a claim for an exemption from the docket otherwise orders.
management program by reason of bankruptcy is (P.B. 1978-1997, Sec. 251.) (Amended June 24, 2002, to
filed, it shall be accompanied by an affidavit set- take effect Jan. 1, 2003; amended June 20, 2011, to take
ting forth the date the bankruptcy petition was effect Jan. 1, 2012.)
filed, the district of the bankruptcy court in which
it was filed and the address, the name of the Sec. 14-4. Maintenance of Case Records
bankruptcy debtor and the number of the bank- The clerk in each judicial district and geographi-
ruptcy case and shall be sworn to by the party cal area shall maintain and have available for
claiming the exemption or that party’s attorney. inspection during office hours a record concerning
An updated affidavit shall be filed every six months each civil case and administrative appeal. Such
by that claimant.
(P.B. 1978-1997, Sec. 250B.) (Amended June 24, 2002, record shall designate whether the pleadings are
to take effect Jan. 1, 2003.) closed and shall distinguish those cases in which
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SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 14-7A
the amount, legal interest or property in demand, the filing of the appeal, follow the same course of
is less than $15,000, exclusive of interest and pleading as that followed in ordinary civil actions.
costs, from cases in which the amount, legal inter- (d) Administrative appeals are not subject to
est or property in demand, is $15,000 or more, the pretrial rules, except as otherwise provided in
exclusive of interest and costs. Sections 14-7A and 14-7B.
(P.B. 1978-1997, Sec. 254.) (P.B. 1978-1997, Sec. 257.) (Amended June 21, 2004, to
take effect Jan. 1, 2005; amended June 20, 2011, to take
Sec. 14-5. Definition of Administrative effect Jan. 1, 2012; amended June 14, 2013, to take effect
Appeals Jan. 1, 2014.)
TECHNICAL CHANGE: In subsection (a), a technical
For the purposes of these rules, administrative change was made to capitalize ‘‘Chapter.’’
appeals are those appeals taken pursuant to stat-
ute from decisions of officers, boards, commis- Sec. 14-7A. —Administrative Appeals
sions or agencies of the state or of any political Brought Pursuant to General Statutes § 4-
subdivision of the state, and include specifically 183 et seq.; Appearances; Records, Briefs
appeals taken pursuant to: and Scheduling
(1) chapter 54 of the General Statutes; (Amended June 14, 2013, to take effect Jan. 1, 2014.)
(2) chapters 124 through 134 of the General (a) Administrative appeals brought pursuant to
Statutes; or General Statutes § 4-183 et seq. shall be served
(3) other enabling legislation. in accordance with applicable law either by certi-
(P.B. 1978-1997, Sec. 255.) fied or registered mail of the appeal, and a notice
Sec. 14-6. Administrative Appeals Are Civil of filing on a form substantially in compliance with
Actions Form JD-CV-137 or by personal service of the
appeal, and a citation on a form substantially in
For purposes of these rules, administrative compliance with Form JD-CV-138. The appeal
appeals are civil actions subject to the provisions shall be filed with the court in accordance with
and exclusions of General Statutes § 4-183 et General Statutes § 4-183 (c).
seq. and the Practice Book. Whenever these rules (b) In administrative appeals brought pursuant
refer to civil actions, actions, civil causes, causes to General Statutes § 4-183 et seq., the defendant
or cases, the reference shall include administra- shall file an appearance within thirty days of ser-
tive appeals except that an administrative appeal vice made pursuant to General Statutes § 4-183
shall not be deemed an action for purposes of (c). Within thirty days of the filing of the defend-
Section 10-8 of these rules or for General Statutes ant’s appearance, or if a motion to dismiss is filed,
§§ 52-48, 52-591, 52-592 or 52-593. within forty-five days of the denial of a motion to
(P.B. 1978-1997, Sec. 256.) (Amended June 20, 2011, to
take effect Jan. 1, 2012; amended June 14, 2013, to take dismiss, the agency shall file with the court and
effect Jan. 1, 2014.) transmit to all parties a certified list of the papers
in the record as set forth in General Statutes § 4-
Sec. 14-7. Administrative Appeals; Excep- 183 (g), and, unless otherwise excluded by law
tions or subject to a pending motion by either party,
(Amended June 14, 2013, to take effect Jan. 1, 2014.) shall make the existing listed papers available for
(a) Appeals from the Employment Security inspection by the parties.
Board of Review shall follow the procedure set (c) Except as provided in Section 14-7, or except
forth in Chapter 22 of these rules. as otherwise permitted by the judicial authority in
(b) Workers’ compensation appeals taken to its discretion, in an administrative appeal brought
the Appellate Court shall follow the procedure set pursuant to General Statutes § 4-183 et seq., the
forth in the Rules of Appellate Procedure. record shall be transmitted and filed in accordance
(c) Appeals in which the parties are entitled to with this section. For the purposes of this section,
a trial de novo, including but not limited to: (1) the term ‘‘papers’’ shall include any and all docu-
appeals from municipal boards of tax review or ments, transcripts, exhibits, plans, minutes, agendas,
boards of assessment appeals taken pursuant to correspondence, or other materials, regardless of
General Statutes §§ 12-117a and 12-119; (2) format, which are part of the entire record of the
appeals from municipal assessors taken pursuant proceeding appealed from described in General
to General Statutes § 12-103; (3) appeals from Statutes §§ 4-183 (g) and 4-177 (d), including addi-
the Commissioner of Revenue Services; and (4) tions to the record pursuant to General Statutes
appeals from the insurance commissioner taken § 4-183 (h).
pursuant to General Statutes § 38a-139, are (d) No less than thirty days after the filing of
excluded from the procedures prescribed in Sec- the certified list of papers in the record under sub-
tion 14-7A and 14-7B, and shall, subsequent to section (b), the court and the parties will set up a
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Sec. 14-7A SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS
conference to establish which of the contents of Sec. 14-7B. Administrative Appeals from
the record are to be transmitted and will set up a Municipal Land Use, Historic and Resource
scheduling order, including dates for the filing of Protection Agencies; Records, Briefs and
the designated contents of the record, for the filing Scheduling; Withdrawal or Settlement
of appropriate pleading and briefs, and for con- (Amended June 14, 2013, to take effect Jan. 1, 2014.)
ducting appropriate conferences and hearings. (a) Except as provided in Section 14-7 or 14-
No brief shall exceed thirty-five pages without per- 7A, for appeals from municipal land use, historic,
mission of the judicial authority. At the conference, and resource protection agencies, the board or
the court shall also determine which, if any, of agency shall transmit and file the record in accord-
the designated contents of the record shall be ance with this section. For the purposes of this
transmitted to the parties and/or the court in paper Section 14-7B, the term ‘‘papers’’ shall include
format because such papers are either difficult to any and all documents, transcripts, exhibits, plans,
reproduce electronically or difficult to review in minutes, agendas, correspondence, or other mater-
electronic format. ials, regardless of format, which are part of the return
(e) The agency shall transmit to the court certi- of record described in General Statutes § 8-8 (i),
fied copies of the designated contents of the rec- including additions to the record per § 8-8 (k).
ord established in accordance with subsection (d). (b) Within thirty days of the return date, the
board or agency shall transmit a certified list of
(f) If any party seeks to include in such party’s the papers in the record to all parties and shall
brief or appendices, papers the party deems make the existing listed papers available for
material to its claim or position, which were not inspection by the parties.
part of the designated contents of the record (c) The first time that the appeal appears on
determined under subsection (d), but were on the the administrative appeals calendar, the court and
certified list filed in accordance with subsection the parties will establish, or will set up a confer-
(b), such party shall file an amendment to the ence to establish, which of the contents of the
record as of right attaching such papers. In the record are to be transmitted, and will set up a
event such an amendment to the record as of scheduling order, which will include dates for the
right is filed, the scheduling order may be adjusted filing of the designated contents of the record, for
to provide either party with additional time to file the filing of appropriate pleading and briefs, and
a brief or reply brief. for conducting appropriate conferences and hear-
(g) No party shall include in such party’s brief ings. No brief shall exceed thirty-five pages with-
or appendices, papers that were neither part of out permission of the judicial authority. At the
the designated contents of the record under sub- conference, the court shall also determine which,
section (d), nor on the certified list filed in accord- if any, of the designated contents of the record
ance with subsection (b), unless the court requires shall be transmitted to the parties and/or the court
or permits subsequent corrections of additions to in paper format because such papers are either
the record under General Statutes § 4-183 (g) or difficult to reproduce electronically or difficult to
unless an application for leave to present addi- review in electronic format.
tional evidence is filed and granted under General (d) The board or agency shall transmit to the
Statutes § 4-183 (h) or (i). court and all parties: (1) the certified list of papers
in the record that was transmitted to the parties
(h) Disputes about the contents of the record under subsection (b) of this section; and (2) certi-
or other motion, application or objection will be fied copies of the designated contents of the rec-
heard as otherwise scheduled by the court. ord established in accordance with subsection (c).
(i) If a party is not in compliance with the sched- (e) If any party seeks to include in such party’s
uling order, the judicial authority may, on its own brief or appendices papers the party deems mate-
motion or on motion of one of the parties, and after rial to its claim or position, which were not part of
hearing, make such order, including sanctions, as the designated contents of the record determined
the ends of justice require. under subsection (c) but were on the certified list
(j) Any hearings to consider the taxation of costs filed in accordance with subsection (b), such party
in accordance with General Statutes § 4-183 (g) shall file an amendment to the record as of right
shall be conducted after the court renders its deci- attaching such papers. In the event such an
sion on the appeal. amendment to the record as of right is filed, the
(Adopted June 26, 2006, to take effect Jan. 1, 2007; scheduling order may be adjusted to provide
amended June 14, 2013, to take effect Jan. 1, 2014; amended either party with additional time to file a brief or
June 24, 2016, to take effect Jan. 1, 2017.) reply brief.
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SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 14-9
(f) No party shall include in such party’s brief may file the certificate. Upon the filing of the certifi-
or appendices, papers that were neither part of cate of closed pleadings, the case shall be sched-
the designated contents of the record under sub- uled for a trial as soon as the court’s docket
section (c), nor on the certified list filed in accord- permits if it has not already been scheduled for
ance with subsection (b), unless the court grants a trial.
permission to supplement the records with such (b) If the case is claimed as privileged, the
papers pursuant to General Statutes § 8-8 (k). ground of privilege as defined in Section 14-9
(g) Disputes about the contents of the records shall be stated. If the privilege claimed arises from
or other motions, applications or objections will some other statute or rule giving a matter prece-
be heard on the administrative appeals calendar dence for trial, the applicable provisions shall be
or as otherwise scheduled by the court. cited with specificity.
(h) If a party is not in compliance with the sched- (c) An administrative appeal may be placed on
uling order, the judicial authority may, on its own the administrative appeal trial list at the direction
motion or on motion of one of the parties, and after of the judicial authority, pursuant to Section 14-
hearing, make such order, including sanctions, as 7A or 14-7B or in accordance with subsections
the ends of justice require. (a) and (b) of this section.
(i) Any hearings to consider taxation of costs in (d) This section shall not apply to summary pro-
accordance with General Statutes § 8-8 (i) shall cess matters.
be conducted after the court renders its decision (P.B. 1978-1997, Sec. 258.) (Amended June 14, 2013, to
on the appeal. take effect Jan. 1, 2014.)
(j) No appeal under General Statutes §§ 8-8 Sec. 14-9. Privileged Cases in Assignment
or 22a-43 shall be withdrawn and no settlement for Trial
between the parties to any such appeal shall be
effective unless and until a hearing has been held The following classes of cases shall be privi-
before the Superior Court and such court has leged in respect to assignment for trial: (1) hear-
approved such proposed withdrawal or settle- ings under the Fair Employment Practices Act and
ment. No decision that is appealed under General the Labor Relations Act; (2) all actions, except
Statutes §§ 8-8 or 22a-43 shall be modified by actions upon probate bonds, brought by or on
settlement or stipulated judgment unless the behalf of the state, including informations on the
terms of the settlement or stipulated judgment relation of a private individual; (3) appeals from
have been approved at a public meeting of the the Employment Security Board of Review; (4)
municipal agency that issued the decision. The appeals from probate and from the doings of com-
proposed settlement shall be identified on the missioners appointed by courts of probate; (5)
agenda of such meeting, which agenda shall be actions brought by receivers of insolvent corpora-
posted in accordance with the applicable require- tions by order of court; (6) actions by or against
ments of General Statutes § 1-210 et seq., and any person sixty-five years of age or older or who
the reasons for such approval shall be stated on reaches such age during the pendency of the
the record during such public meeting of such action; (7) appeals from findings, orders or other
agency and before the court. The court may actions of the Public Utilities Regulatory Authority;
inquire about the procedure followed by the (8) equitable actions tried to the court wherein
agency, inquire of the parties whether settlement the essential claim asserted is for a permanent
was reached by coercion or intimidation, and injunction and any claim for damages or other
consider any other factors that the court deems relief, legal or equitable, is merely in lieu of, or sup-
appropriate. No notice of the court proceeding plemental to, the claim for injunction; (9) habeas
other than normal publication of the calendar and corpus proceedings; (10) motions to dissolve tem-
notice to the parties is required unless otherwise porary injunctions; (11) motions for temporary
ordered by the court. injunctions; (12) writs of ne exeat, prohibition and
(Adopted June 20, 2011, to take effect Jan. 1, 2012; mandamus; (13) applications for appointment of
amended June 14, 2013, to take effect Jan. 1, 2014.) receivers; (14) disclosures by garnishees; (15)
actions by or against executors, administrators,
Sec. 14-8. Certifying That Pleadings Are or trustees in bankruptcy or insolvency; (16) hear-
Closed ings to the court in damages on default or cases
(a) A case may be scheduled for trial at any where there is an issue as to damages after the
time by order of the court. When the pleadings judicial authority has granted a summary judg-
are closed on the issue or issues in the case ment on the issue of liability; (17) cases remanded
as to all parties, an accurate certificate of closed by the Supreme and Appellate Courts for a new
pleadings shall be filed within ten days. Any party trial and cases in which a verdict has been set
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Sec. 14-9 SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS
aside, a new trial granted or a mistrial declared; as the ends of justice require, which may include
(18) any other actions given precedence by stat- the entry of a nonsuit or default against the party
ute or rule. failing to comply and an award to the complying
(P.B. 1978-1997, Sec. 259.) party of reasonable attorney’s fees. Each party
claiming damages or seeking relief of any kind,
Sec. 14-10. Claims for Jury or such party’s attorney, shall obtain from the court
All claims of cases for the jury shall be made clerk a pretrial memo form, shall complete the
in writing, served on all other parties and filed form before the pretrial session and shall, at the
with the clerk within the time allowed by General commencement of the pretrial session, distribute
Statutes § 52-215. The jury claim fee shall be paid copies of the completed form to the judge and to
at the time the jury claim is filed. each other party. Such pretrial memoranda shall
(P.B. 1978-1997, Sec. 260.) not be placed in the court file unless otherwise
Sec. 14-11. Pretrial; Assignment for Pretrial ordered by the judicial authority who conducted
the pretrial.
(a) Cases in which the pleadings are closed The following matters shall be considered at
may be assigned by the caseflow coordinator or the pretrial session:
clerk in consultation with the presiding judge for (1) A discussion of the possibility of settlement.
pretrial. (2) Simplification of the issues.
(b) If there are reasons why a case scheduled (3) Amendments to pleadings.
for pretrial cannot be pretried effectively, for exam- (4) Admissions of fact, including stipulations of
ple in cases in which the extent of the injuries are the parties concerning any material matter and
unknown or discovery has not been completed, admissibility of evidence, particularly photo-
then the judicial authority shall continue the case graphs, maps, drawings and documents, in order
to a date certain for pretrial and may limit the time to minimize the time required for trial.
for the completion of discovery. (5) The limitation of number of expert witnesses.
(P.B. 1978-1997, Sec. 263.)
(6) Inspection of hospital records and X ray
Sec. 14-12. —When Case Not Disposed of films.
at Pretrial (7) Exchange of all medical reports, bills and
If the pretrial does not result in the disposition evidences of special damage which have come
of the case by settlement, judgment by stipula- into possession of the parties or of counsel since
tion, or withdrawal, then the judicial authority may compliance with previous motions for disclosure
(1) continue the matter for a reasonable period and production for inspection.
if the parties agree to participate in any form of (8) Scheduling of a trial management confer-
alternative dispute resolution, (2) enter appro- ence and issuance of a trial management order
priate orders to assure that the case is readied by the judicial authority with reference thereto.
for trial, (3) order the case assigned for trial on a (9) Consideration of alternative dispute resolu-
date certain or a week certain in the future or, (4) tion options to trial.
(10) Such other procedures as may aid in the
assign the case to a specific judge for trial on a
disposition of the case, including the exchange of
date certain. The date designated for trial shall,
medical reports, and the like, which come into
if possible, be agreeable to the parties.
(P.B. 1978-1997, Sec. 264.)
possession of counsel subsequent to the pre-
trial session.
Sec. 14-13. —Pretrial Procedure (P.B. 1978-1997, Sec. 265.) (Amended June 20, 2005, to
take effect Jan. 1, 2006.)
The chief court administrator or the presiding
judge with the consent of the chief court adminis- Sec. 14-14. —Orders at Pretrial
trator may designate one or more available judges The judicial authority may make any appro-
or judge trial referees to hold pretrial sessions. priate order at pretrial, including the issuance of
Parties and their attorneys shall attend the pretrial a trial management order, and such order shall
session; provided, that when a party against control the subsequent conduct of the case unless
whom a claim is made is insured, an insurance modified at the trial to prevent manifest injustice.
adjuster for such insurance company shall be If any party fails to abide by any such order the
available by telephone at the time of such pretrial judicial authority may make such order as the
session unless the judge or judge referee, in his ends of justice require, which may include the
or her discretion, requires the attendance of the entry of a nonsuit or default against the offending
adjuster at the pretrial. If any person fails to attend party and an award to a complying party of rea-
or to be available by telephone pursuant to this sonable attorney’s fees.
rule, the judicial authority may make such order (P.B. 1978-1997, Sec. 268.)
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SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 14-24
Sec. 14-15. Assignments for Trial in General by the judicial authority. The day specified shall
Each week a sufficient number of cases shall be during the week certain selected by counsel.
be assigned to provide business for each trial day (P.B. 1978-1997, Sec. 276.)
of that week. Cases may be assigned for differ- Sec. 14-21. Clerk To Communicate with
ent days and different times of the same day. In Counsel in Cases Assigned for Week
determining the number of cases to be assigned, Certain
the caseflow coordinator or clerk, in consultation
with the presiding judge, will schedule only the The caseflow coordinator or clerk, at the direc-
number of cases that can reasonably be expected tion of the presiding judge, shall communicate
to be tried that week. Cases not reached for trial with counsel for the parties in the cases assigned
on the day certain or during the week certain to for each week certain for trial to keep the court
which they were assigned shall be assigned with provided with sufficient business for each day the
priority to a new date, which shall, if possible, be court is in session. Cases shall not be assigned
agreeable to the parties. for trial prior to the week certain that has been
(P.B. 1978-1997, Sec. 270.) assigned unless the parties consent.
(P.B. 1978-1997, Sec. 277.)
Sec. 14-16. Methods of Assigning Cases
for Trial Sec. 14-22. Assignment for Trial on Motion
(a) In each court ___location the presiding judge, of Garnishee
subject to the approval of the chief court adminis- When, in an action commenced by process of
trator, shall assign to trial judges for trial those foreign attachment, the defendant does not
cases not resolved at pretrial in accordance with appear, if the plaintiff does not take a default in
Section 14-12. such action within four months after the day on
(b) The presiding judge may, if circumstances which the process is returnable to such court, the
require, assign for trial a case that has not been judicial authority may, at any time thereafter, upon
pretried. motion of any garnishee in such action, assign
(c) Upon request of a party and for good cause the same for trial.
shown, the presiding judge may postpone a case (P.B. 1978-1997, Sec. 278.)
or reassign it to another judge.
(P.B. 1978-1997, Sec. 271.) Sec. 14-23. Motions To Continue or Post-
pone Case Assigned for Trial
Sec. 14-17. Immediate Trial
Whenever a motion for a postponement or con-
The judicial authority may, on its own motion tinuance of a case assigned for trial is made by
or on the motion of a party and upon a showing either party and such motion is granted, the court
of extraordinary circumstances, order a case to may require the party making the same to pay to
be assigned for immediate trial. the adverse party such sum by way of indemnity
(P.B. 1978-1997, Sec. 273.)
as it deems reasonable. (See General Statutes
Sec. 14-18. Cases Reached for Trial § 52-196.)
When a case is reached on a day or week (P.B. 1978-1997, Sec. 279.)
certain it shall be tried, defaulted, dismissed pur-
suant to Section 17-19 or nonsuited, unless for Sec. 14-24. Motion To Postpone; Absent
good cause shown the judicial authority may Witness; Missing Evidence
assign it for trial on a future date. Such reschedul- (a) Whenever a motion is made for the post-
ing shall not displace cases already assigned ponement or continuance of a cause assigned
for trial. for trial on account of the absence of a material
(P.B. 1978-1997, Sec. 274.) witness, such motion, if the adverse party or the
judicial authority requires it, shall be supported by
Sec. 14-19. Cases Marked Settled
an affidavit stating the name of the absent wit-
Any case that does not proceed to trial because ness, if known, and the particular facts which, it
it has been reported to the judicial authority as is believed, may be proved by him or her, with
having been settled shall be withdrawn within the grounds of such belief. The judicial authority
thirty days or shall be dismissed thereafter unless may refuse to continue such cause if there is no
the judicial authority, for good cause shown, good reason why the party making the request did
extends the time for a withdrawal. not make proper preparation to have the witness
(P.B. 1978-1997, Sec. 274A.)
present or if the adverse party will admit that the
Sec. 14-20. Order of Trial absent witness would, if present, testify to the
Parties and counsel shall be present and ready facts stated in the affidavit, and will agree that the
to proceed to trial on the day and time specified same shall be received as evidence on the trial,
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Sec. 14-24 SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS
in like manner as if the witness were present and Sec. 14-25. Availability of Counsel for Trial
had testified thereto. Such agreement shall be Whenever an attorney has cases assigned
made in writing at the foot of the affidavit and simultaneously before the court and jury, the jury
signed by the party or attorney. assignment shall take precedence over the court
(b) The same rule shall apply where the motion assignment unless the attorney is actually
is grounded on the want of any material document engaged in the court trial.
or other evidence that might be used on the trial. (P.B. 1978-1997, Sec. 281.) (Amended June 24, 2002, to
(P.B. 1978-1997, Sec. 280.) take effect Jan. 1, 2003.)
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SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 15-6
CHAPTER 15
TRIALS IN GENERAL; ARGUMENT BY COUNSEL
Sec. Sec.
15-1. Order of Trial 15-6. Opening Argument
15-2. Separate Trials 15-7. Time Limit on Argument
15-3. Motion in Limine 15-8. Dismissal in Court Cases for Failure To Make Out a
15-4. Medical Evidence Prima Facie Case
15-5. Order of Parties Proceeding at Trial
For previous Histories and Commentaries see the editions of the Practice Book
corresponding to the years of the previous amendments.
Sec. 15-1. Order of Trial twenty-four hours prior to trial. The judge holding
In all cases, whether entered upon the docket the civil jury shall, at the opening session, order
as jury cases or court cases, the judicial authority that all such records be available for inspection
may order that one or more of the issues joined in the clerk’s office to any counsel of record under
be tried before the others. Where the pleadings the supervision of the clerk. Counsel must recog-
in an action present issues both of law and of fact, nize their responsibility to have medical testimony
the issues of law must be tried first, unless the available when needed and shall, when neces-
judicial authority otherwise directs. If some, but sary, subpoena medical witnesses to that end.
not all, of the issues in a cause are put to the jury, (P.B. 1978-1997, Sec. 290.)
the remaining issue or issues shall be tried first,
unless the judicial authority otherwise directs. Sec. 15-5. Order of Parties Proceeding at
(See General Statutes § 52-205 and annotations.) Trial
(P.B. 1978-1997, Sec. 283.) (a) Unless the judicial authority for cause per-
Sec. 15-2. Separate Trials mits otherwise, the parties shall proceed with the
trial and argument in the following order:
The judicial authority may, upon motion, for (1) The plaintiff shall present a case-in-chief.
good cause shown, order a separate trial between
any parties. (2) The defendant may present a case-in-chief.
(P.B. 1978-1997, Sec. 284.) (3) The plaintiff and the defendant may present
rebuttal evidence in successive rebuttals, as
Sec. 15-3. Motion in Limine required. The judicial authority for cause may per-
The judicial authority to whom a case has been mit a party to present evidence not of a rebuttal
assigned for trial may in its discretion entertain a nature, and if the plaintiff is permitted to present
motion in limine made by any party regarding the further evidence in chief, the defendant may
admission or exclusion of anticipated evidence. If respond with further evidence in chief.
a case has not yet been assigned for trial, a judicial (4) The plaintiff shall be entitled to make the
authority may, for good cause shown, entertain opening and final closing arguments.
the motion. Such motion shall be in writing and (5) The defendant may make a single closing
shall describe the anticipated evidence and the argument following the opening argument of the
prejudice which may result therefrom. All inter- plaintiff.
ested parties shall be afforded an opportunity to (b) If there are two or more plaintiffs or two or
be heard regarding the motion and the relief
more defendants and they do not agree as to their
requested. The judicial authority may grant the
order of proceeding, the judicial authority shall
relief sought in the motion or such other relief as
it may deem appropriate, may deny the motion determine their order.
(P.B. 1978-1997, Sec. 295.)
with or without prejudice to its later renewal, or
may reserve decision thereon until a later time in Sec. 15-6. Opening Argument
the proceeding.
(P.B. 1978-1997, Sec. 284A.) Instead of reading the pleadings, counsel for
any party shall be permitted to make a brief open-
Sec. 15-4. Medical Evidence ing statement to the jury in jury cases, or in a
A party who plans to offer a hospital record in court case at the discretion of the presiding judge,
evidence shall have the record in the clerk’s office to apprise the trier in general terms as to the
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Sec. 15-6 SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS
nature of the case being presented for trial. The Sec. 15-8. Dismissal in Court Cases for Fail-
presiding judge shall have discretion as to the ure To Make Out a Prima Facie Case
latitude of the statements of counsel. If, on the trial of any issue of fact in a civil
(P.B. 1978-1997, Sec. 296.) matter tried to the court, the plaintiff has produced
evidence and rested, a defendant may move for
Sec. 15-7. Time Limit on Argument judgment of dismissal, and the judicial authority
The argument on behalf of any party shall not may grant such motion if the plaintiff has failed to
occupy more than one hour, unless the judicial make out a prima facie case. The defendant may
authority, on motion for special cause, before the offer evidence in the event the motion is not
granted, without having reserved the right to do
commencement of such argument, allows a so and to the same extent as if the motion had
longer time. (See General Statutes § 52-209 and not been made.
annotations.) (P.B. 1978-1997, Sec. 302.) (Amended June 30, 2008, to
(P.B. 1978-1997, Sec. 297.) take effect Jan. 1, 2009.)
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SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 16-4
CHAPTER 16
JURY TRIALS
Sec. Sec.
16-1. Jurors Who Are Deaf or Hard of Hearing 16-21. —Requests To Charge on Specific Claims
16-2. Challenge to Array 16-22. —Filing Requests
16-3. Preliminary Proceedings in Jury Selection 16-23. —Form and Contents of Requests To Charge
16-4. Disqualification of Jurors and Selection of Panel 16-24. —Charge Conference
16-5. Peremptory Challenges 16-25. Modification of Instructions for Correction or Clarifi-
16-6. Voir Dire Examination cation
16-7. Juror Questions and Note Taking 16-26. Other Instructions after Additional Instructions
16-8. Oath and Admonitions to Trial Jurors 16-27. Jury Request for Review of Testimony
16-9. Questions of Law and Fact 16-28. Jury Request for Additional Instructions
16-10. Order by Judicial Authority for Jury Trial of Factual 16-29. Deadlocked Jury
Issues in Equitable Actions 16-30. Verdict; Return of Verdict
16-31. —Acceptance of Verdict
16-11. Cases Presenting Both Legal and Equitable Issues
16-32. —Poll of Jury after Verdict
16-12. View by Jury of Place or Thing Involved in Case
16-33. —Discharge of Jury
16-13. Judgment of the Court 16-34. —Impeachment of Verdict
16-14. Communications between Parties and Jurors 16-35. Motions after Verdict: Motions in Arrest of Judg-
16-15. Materials To Be Submitted to Jury ment, To Set Aside Verdict, for Additur or Remitti-
16-16. Jury Deliberations tur, for New Trial, or for Collateral Source
16-17. Jury Returned for Reconsideration Reduction
16-18. Interrogatories to the Jury 16-36. Motions To Reduce Verdict [Repealed] (Trans-
16-19. Reading of Statement of Amount in Demand or ferred to Section 17-2A.)
Statement of Claim; Arguing Amount Recov- 16-37. Reservation of Decision on Motion for Directed
erable Verdict
16-20. Requests To Charge and Exceptions; Necessity for 16-38. Memorandum on Setting Verdict Aside
For previous Histories and Commentaries see the editions of the Practice Book
corresponding to the years of the previous amendments.
Sec. 16-1. Jurors Who Are Deaf or Hard of authority shall require counsel to make a prelim-
Hearing inary statement as to the names of other counsel
(Amended June 15, 2018, to take effect Jan. 1, 2019.) with whom he or she is affiliated and other relevant
At the request of a juror who is deaf or hard of facts, and shall require counsel to disclose the
hearing or the judicial authority, an interpreter or names, and if ordered by the judicial authority,
interpreters provided by the Judicial Branch and the addresses of all witnesses counsel intends to
qualified under General Statutes § 46a-33a shall call at trial. The judicial authority may excuse any
assist such juror during the juror orientation pro- prospective juror for cause.
gram and all subsequent proceedings, and when (See Sec. 303C, P.B. 1978-1997.)(P.B. 1998.)
the jury assembles for deliberation. Sec. 16-4. Disqualification of Jurors and
(P.B. 1978-1997, Sec. 303A.) (Amended June 15, 2018, Selection of Panel
to take effect Jan. 1, 2019.)
(a) A person shall be disqualified to serve as a
Sec. 16-2. Challenge to Array juror if such person is found by the judicial author-
Any party may challenge an array on the ground ity to exhibit any quality which will impair this per-
that there has been a material departure from the son’s capacity to serve as a juror, except that
requirements of law governing the selection and no person shall be disqualified on the basis of
summoning of an array. Such challenge shall be deafness or being hard of hearing.
made within five days after notification of the hear- (b) The clerks shall keep a list of all persons
ing or trial date, unless the defect claimed has disqualified under this section and shall send a
arisen subsequent to the time required to make copy of that list to the jury administrator at such
such motion. time as the jury administrator may direct.
(P.B. 1998.) (c) The clerk of the court, in impaneling the jury
Sec. 16-3. Preliminary Proceedings in Jury for the trial of each cause, shall, when more jurors
Selection are in attendance than are required of the panel,
designate by lot those who shall compose the
The judicial authority shall cause prospective panel.
jurors to be sworn or affirmed in accordance with (P.B. 1978-1997, Sec. 303, 304.) (Amended June 13, 2019,
General Statutes §§ 1-23 and 1-25. The judicial to take effect Jan. 1, 2020.)
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Sec. 16-5 SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS
Sec. 16-5. Peremptory Challenges writing and submitted in advance of the com-
(a) Each party may challenge peremptorily the mencement of the trial.
(P.B. 1978-1997, Sec. 305.)
number of jurors which each is entitled to chal-
lenge by law. Where the judicial authority deter- Sec. 16-7. Juror Questions and Note Taking
mines a unity of interests exists, several plaintiffs The members of the jury may, in the discretion
or several defendants may be considered as a of the judicial authority, take notes and submit
single party for the purpose of making challenges, questions to be asked of witnesses during the trial
or the judicial authority may allow additional of a civil action.
peremptory challenges and permit them to be (P.B. 1978-1997, Sec. 305A.)
exercised separately or jointly. For the purposes
Sec. 16-8. Oath and Admonitions to Trial
of this section, a ‘‘unity of interest’’ means that
Jurors
the interests of the several plaintiffs or the several
defendants are substantially similar. A unity of (a) The judicial authority shall cause the jurors
interest shall be found to exist among parties who selected for the trial to be sworn or affirmed in
are represented by the same attorney or law firm. accordance with General Statutes §§ 1-23 and 1-
In addition, there shall be a presumption that a 25. The judicial authority shall admonish the jurors
not to read, listen to or view news reports of the
unity of interest exists among parties where no
case or to discuss with each other or with any
cross claims or apportionment complaints have person not a member of the jury the cause under
been filed against one another. In all civil actions, consideration, except that after the case has been
the total number of peremptory challenges submitted to the jury for deliberation the jurors
allowed to the plaintiff or plaintiffs shall not exceed shall discuss it among themselves in the jury
twice the number of peremptory challenges room.
allowed to the defendant or defendants, and the (b) In the presence of the jury, the judicial
total number of peremptory challenges allowed to authority shall instruct any interpreter for a juror
the defendant or defendants shall not exceed who is deaf or hard of hearing to refrain from
twice the number of peremptory challenges participating in any manner in the deliberations of
allowed to the plaintiff or plaintiffs. the jury and to refrain from having any communi-
(b) Pursuant to the provisions of Section 5-12, cations, oral or visual, with any member of the jury
a party or the court on its own may object to the except for the literal translation of jurors’ remarks
use of a peremptory challenge to raise a claim of made during deliberations.
improper bias. (P.B. 1998.) (Amended June 13, 2019, to take effect Jan.
(P.B. 1998.) (Amended June 21, 2004, to take effect Jan. 1, 2020.)
1, 2005; amended June 10, 2022, to take effect Jan. 1, 2023.)
Sec. 16-9. Questions of Law and Fact
HISTORY—2023: ‘‘(a)’’ was added before the first sen-
tence. In addition, what is now subsection (b) was added. The judicial authority shall decide all issues of
COMMENTARY—2023: The change to this section law and all questions of law arising in the trial of
includes a reference to the procedure to object to peremptory any issue of fact, and, in committing the cause to
challenges under new Section 5-12, to eliminate the unfair the jury, shall direct it to find accordingly, and shall
exclusion of potential jurors based upon race or ethnicity. submit all questions of fact to the jury, with such
observations on the evidence, for the jury’s infor-
Sec. 16-6. Voir Dire Examination mation, as it thinks proper, without any direction
Each party shall have the right to examine, per- how the jury shall find the facts. After the cause
sonally or by counsel, each juror outside the pres- has been committed to the jury, no pleas, argu-
ence of other prospective jurors as to quali- ments or evidence shall be received before the
fications to sit as a juror in the action, or as to the verdict is returned into court and recorded. (See
person’s interest, if any, in the subject matter of General Statutes § 52-216 and annotations.)
(P.B. 1978-1997, Sec. 306.)
the action, or as to the person’s relations with
the parties thereto. If the judicial authority before Sec. 16-10. Order by Judicial Authority for
whom such examination is held is of the opinion Jury Trial of Factual Issues in Equitable
from such examination that any juror would be Actions
unable to render a fair and impartial verdict, such No issues of fact in an equitable action shall be
juror shall be excused by the judicial authority tried to the jury except upon order of the judicial
from any further service upon the panel, or in such authority. Upon the application of any party, the
action, as the judicial authority determines. The judicial authority may order any issue or issues
right of such examination shall not be abridged of fact in any action demanding equitable relief to
by requiring questions to be put to any juror in be tried by a jury, and such application shall be
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SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 16-16
deemed to be a request for a jury of six. (See or equitable relief or both, not inconsistent with
General Statutes § 52-218 and annotations.) the verdict.
(P.B. 1978-1997, Sec. 307.) (b) When an issue or issues of fact are deter-
Sec. 16-11. Cases Presenting Both Legal mined by the verdict, the judge presiding at the
and Equitable Issues trial shall, if possible, upon the evidence produced
and after hearing the claims and arguments of
A case presenting issues both in equity and law counsel, determine the other issues in the case
may be claimed for the jury list, but, unless the and render final judgment at the session at which
judicial authority otherwise orders, only the issues the verdict is rendered.
at law shall be assigned for trial by the jury. When- (c) If additional evidence is required, the judge
ever such an action has been placed upon the presiding at the trial shall, if possible, hear this
docket as a jury case, no determination of the and render final judgment at said session.
equitable issues raised by the pleadings shall pre- (P.B. 1978-1997, Sec. 309.)
vent a jury trial of the claim for damages, unless
both parties agree in writing to waive a jury, or Sec. 16-14. Communications between Par-
unless the determination of the equitable issues ties and Jurors
has necessarily adjudicated all the facts upon No party, and no attorney, employee, represen-
which the claim for damages rests. (See General tative or agent of any party or attorney, shall con-
Statutes § 52-219 and annotations.) tact, communicate with or interview any juror or
(P.B. 1978-1997, Sec. 308.)
alternate juror, or any relative, friend or associate
Sec. 16-12. View by Jury of Place or Thing of any juror or alternate juror concerning the delib-
Involved in Case erations or verdict of the jury or of any individual
When the judicial authority is of the opinion that juror or alternate juror in any action during trial
a viewing by the jury of the place or thing involved until the jury has returned a verdict and/or the
in the case will be helpful to the jury in determining jury has been dismissed by the judicial authority,
any material factual issue, it may in its discretion, except upon leave of the judicial authority, which
at any time before the closing arguments, order shall be granted only upon the showing of good
that the jury be conducted to such place or ___location cause. A violation of this section may be treated
of such thing. During the viewing, the jury must as a contempt of court, and may be punished
be kept together under the supervision of a proper accordingly.
officer appointed by the judicial authority. The judi- (P.B. 1978-1997, Sec. 309A.)
cial authority and an official court reporter or court Sec. 16-15. Materials To Be Submitted to
recording monitor must be present, and, with the Jury
judicial authority’s permission, any other person
may be present. Counsel and self-represented (a) The judicial authority shall submit to the jury
parties may as a matter of right be present, but all exhibits received in evidence.
the right may be waived. The purpose of viewing (b) The judicial authority may, in its discretion,
shall be solely to permit visual observation by the submit to the jury:
jury of the place or thing in question and to permit (1) The complaint, counterclaim and cross com-
a brief description of the site or thing being viewed plaint, and responsive pleadings thereto;
by the judicial authority or by any witness or wit- (2) A copy or audio recording of the judicial
nesses as allowed by the judicial authority. Any authority’s instructions to the jury;
proceedings at the ___location, including examination (3) In response to an inquiry by the jury, a copy
of witnesses, shall be at the discretion of the judi- or audio recording of an appropriate portion of the
cial authority. Neither the parties nor counsel nor judicial authority’s instructions to the jury.
the jurors while viewing the place or thing may (P.B. 1978-1997, Sec. 309B.) (Amended June 20, 2011,
engage in discussion of the significance or the to take effect Jan. 1, 2012; amended June 24, 2016, to take
effect Jan. 1, 2017.)
implications of anything under observation or of
any issue in the case. Sec. 16-16. Jury Deliberations
(See Sec. 844, P.B. 1978-1997.) (P.B.1998.) (Amended
June 26, 2020, to take effect Jan. 1, 2021.) After the case has been submitted to the jury,
the jurors shall be in the custody of an officer who
Sec. 16-13. Judgment of the Court shall permit no person to be present with them or
(a) Where a complaint embracing matters call- to speak to them when assembled for delibera-
ing for both legal and equitable relief is by order tions except a qualified interpreter assisting a juror
of the judicial authority tried to the jury, the judicial who is deaf or hard of hearing. The jurors shall
authority may render judgment, either for legal be kept together for deliberations as the judicial
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Sec. 16-16 SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS
authority reasonably directs. If the judicial author- judicial authority shall issue cautionary instruc-
ity permits the jury to recess its deliberations, the tions pursuant to General Statutes § 52-216b.
judicial authority shall admonish the jurors not to (P.B. 1978-1997, Sec. 313.)
discuss the case until they reconvene in the jury
room. The judicial authority shall direct the jurors Sec. 16-20. Requests To Charge and Excep-
to select one of their members to preside over the tions; Necessity for
deliberations and to deliver any verdict agreed An appellate court shall not be bound to con-
upon, and the judicial authority shall admonish sider error as to the giving of, or the failure to give,
the jurors that until they are discharged in the case an instruction unless the matter is covered by a
they may communicate upon subjects connected written request to charge or exception has been
with the trial only while they are convened in the taken by the party appealing immediately after the
jury room. If written forms of verdict are submitted charge is delivered. Counsel taking the exception
to the jury, the member of the jury selected to shall state distinctly the matter objected to and
deliver the verdict shall sign any verdict agreed the ground of objection. The exception shall be
upon. taken out of the hearing of the jury.
(See Sec. 856, P.B. 1978-1997.)(P.B. 1998.) (Amended (P.B. 1978-1997, Sec. 315.)
June 13, 2019, to take effect Jan. 1, 2020.)
Sec. 16-21. —Requests To Charge on Spe-
Sec. 16-17. Jury Returned for Reconsid- cific Claims
eration Any party intending to claim the benefit of the
The judicial authority may, if it determines that doctrines of supervening negligence, superseding
the jury has mistaken the evidence in the cause cause, intervening cause, assumption of risk, or
and has brought in a verdict contrary to it, or has the provisions of any specific statute shall file a
brought in a verdict contrary to the direction of written request to charge on the legal principle
the judicial authority in a matter of law, return the involved.
jury to a second consideration, and for like reason (P.B. 1978-1997, Sec. 316.)
may return it to a third consideration, and no more.
(See General Statutes § 52-223 and annotations.) Sec. 16-22. —Filing Requests
(P.B. 1978-1997, Sec. 311.) Written requests to charge the jury and written
requests for jury interrogatories must be filed with
Sec. 16-18. Interrogatories to the Jury the clerk before the beginning of arguments or
The judicial authority may submit to the jury writ- at such an earlier time as the judicial authority
ten interrogatories for the purpose of explaining or directs, and the clerk shall file them and forthwith
limiting a general verdict, which shall be answered hand one copy to the judicial authority and one
and delivered to the clerk as a part of the verdict. to opposing counsel. A party’s request to charge
The clerk will take the verdict and then the answers may be amended in writing as a matter of right
to the several interrogatories, and thereafter the at any time prior to the beginning of the charge
clerk will take the judicial authority’s acceptance of conference.
the verdict returned and the questions as answered, (P.B. 1978-1997, Sec. 317.)
and proceed according to the usual practice. The
judicial authority will not accept a verdict until the Sec. 16-23. —Form and Contents of Re-
interrogatories which are essential to the verdict quests To Charge
have been answered. (a) When there are several requests, they shall
(P.B. 1978-1997, Sec. 312.) be in separate and numbered paragraphs, each
containing a single proposition of law clearly and
Sec. 16-19. Reading of Statement of Amount concisely stated with the citation of authority upon
in Demand or Statement of Claim; Arguing which it is based, and the evidence to which the
Amount Recoverable proposition would apply. Requests to charge
In any action seeking damages for injury to the should not exceed fifteen in number unless, for
person, the amount demanded in the complaint good cause shown, the judicial authority permits
shall not be disclosed to the jury. In the event that the filing of an additional number. If the request
the jury shall return a verdict which exceeds the is granted, the judicial authority shall apply the
amount demanded, the judicial authority shall proposition of law to the facts of the case.
reduce the award to, and render judgment in, the (b) A principle of law should be stated in but one
amount demanded. Counsel for any party to the request and in but one way. Requests attempting
action may articulate to the jury during closing to state in different forms the same principle of
argument a lump sum or mathematical formula law as applied to a single issue are improper.
as to damages claimed to be recoverable. The (P.B. 1978-1997, Sec. 318.)
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SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 16-35
Sec. 16-24. —Charge Conference deliberate for an unreasonable length of time or
After the close of evidence but before argu- for unreasonable intervals. It may also instruct
ments to the jury, the judicial authority shall, if the jury as to disagreements in accordance with
requested, inform counsel out of the presence of the law.
the jury of the substance of its proposed instruc- (See Sec. 865, P.B. 1978-1997.)(P.B. 1998.)
tions. Sec. 16-30. Verdict; Return of Verdict
(P.B. 1978-1997, Sec. 318A.)
The verdict shall be unanimous and shall be
Sec. 16-25. Modification of Instructions for announced by the jury in open court.
Correction or Clarification (See Sec. 867, P.B. 1978-1997.)(P.B. 1998.)
The judicial authority, after exceptions to the Sec. 16-31. —Acceptance of Verdict
charge, or upon its own motion, may recall the Subject to the provisions of Section 16-17, the
jury to the courtroom and give it additional instruc- judicial authority shall, if the verdict is in order and
tions in order to: is technically correct, accept it without comment.
(1) Correct or withdraw an erroneous instruc- (See Sec. 868, P.B. 1978-1997.)(P.B. 1998; amended June
tion; 29, 1998, to take effect Jan.1, 1999.)
(2) Clarify an ambiguous instruction; or
(3) Instruct the jury on any matter which should Sec. 16-32. —Poll of Jury after Verdict
have been covered in the original instructions. Subject to the provisions of Section 16-17, after
(P.B. 1998; see Sec. 860.) a verdict has been returned and before the jury
has been discharged, the jury shall be polled
Sec. 16-26. Other Instructions after Addi-
at the request of any party or upon the judicial
tional Instructions
authority’s own motion. The poll shall be con-
If the judicial authority gives additional instruc- ducted by the clerk of the court by asking each
tions, it also may give or repeat other instructions juror individually whether the verdict announced
in order to avoid undue emphasis on the additional is such juror’s verdict. If upon the poll there is not
instructions. Additional instructions shall be gov- unanimous concurrence, the jury may be directed
erned by the procedures set forth in Section 16- to retire for further deliberations or it may be dis-
25 concerning exceptions. charged.
(See Sec. 861, P.B. 1978-1997.)(P.B. 1998.) (See Sec. 869, P.B. 1978-1997.)(P.B. 1998; amended June
29, 1998, to take effect Jan. 1, 1999.)
Sec. 16-27. Jury Request for Review of Tes-
timony Sec. 16-33. —Discharge of Jury
If the jury after retiring for deliberations requests Subject to the provisions of Section 16-17, the
a review of certain testimony, the jury shall be judicial authority shall discharge the jury after it
conducted to the courtroom. Whenever the jury’s has rendered its verdict or after a mistrial has
request is reasonable, the judicial authority, after been declared.
notice to and consultation with counsel, shall have (See Sec. 870, P.B. 1978-1997.)(P.B. 1998; amended June
the requested parts of the testimony read to the 29, 1998, to take effect Jan. 1, 1999.)
jury. Sec. 16-34. —Impeachment of Verdict
(See Sec. 863, P.B. 1978-1997.)(P.B. 1998.)
Upon an inquiry into the validity of a verdict, no
Sec. 16-28. Jury Request for Additional evidence shall be received to show the effect of
Instructions any statement, conduct, event or condition upon
If the jury, after retiring for deliberations, the mind of a juror nor any evidence concerning
requests additional instructions, the judicial mental processes by which the verdict was deter-
authority, after providing notice to the parties and mined. Subject to these limitations, a juror’s testi-
an opportunity for suggestions by counsel, shall mony or affidavit shall be received when it con-
recall the jury to the courtroom and give additional cerns any misconduct which by law permits a jury
instructions necessary to respond properly to the to be impeached.
request or to direct the jury’s attention to a portion (See Sec. 871, P.B. 1978-1997.)(P.B. 1998.)
of the original instructions. Sec. 16-35. Motions after Verdict: Motions in
(See Sec. 864, P.B. 1978-1997.)(P.B. 1998.)
Arrest of Judgment, To Set Aside Verdict,
Sec. 16-29. Deadlocked Jury for Additur or Remittitur, for New Trial, or
If it appears to the judicial authority that the jury for Collateral Source Reduction
has been unable to agree, it may require the jury Motions in arrest of judgment, whether for
to continue its deliberations. The judicial authority extrinsic causes or causes apparent on the rec-
shall not require or threaten to require the jury to ord, motions to set aside a verdict, motions for
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Sec. 16-35 SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS
remittitur, motions for additur, motions for new motion had not been made. After the acceptance
trials, unless brought by petition served on the of a verdict and within the time stated in Section
adverse party or parties, and motions pursuant to 16-35 for filing a motion to set a verdict aside, a
General Statutes § 52-225a for reduction of the party who has moved for a directed verdict may
verdict due to collateral source payments must move to have the verdict and any judgment ren-
be filed with the clerk within ten days after the day dered thereon set aside and have judgment ren-
the verdict is accepted; provided that for good dered in accordance with his or her motion for a
cause the judicial authority may extend this time. directed verdict; or if a verdict was not returned
The clerk shall notify the trial judge of such filing. such party may move for judgment in accordance
Such motions shall state the specific grounds with his or her motion for a directed verdict within
upon which counsel relies. the aforesaid time after the jury has been dis-
(P.B. 1978-1997, Sec. 320.) charged from consideration of the case. If a ver-
dict was returned, the judicial authority may allow
Sec. 16-36. Motions To Reduce Verdict the judgment to stand or may set the verdict aside
[Transferred as of Jan. 1, 2012, to Section 17-2A.] and either order a new trial or direct the entry of
judgment as if the requested verdict had been
Sec. 16-37. Reservation of Decision on directed. If no verdict was returned, the judicial
Motion for Directed Verdict authority may direct the entry of judgment as if
Whenever a motion for a directed verdict made the requested verdict had been directed or may
at any time after the close of the plaintiff’s case- order a new trial.
in-chief is denied or for any reason is not granted, (P.B. 1978-1997, Sec. 321.)
the judicial authority is deemed to have submitted Sec. 16-38. Memorandum on Setting Ver-
the action to the jury subject to a later determina- dict Aside
tion of the legal questions raised by the motion. When the judicial authority grants a motion to
The defendant may offer evidence in the event set a verdict aside, it shall file a memorandum
the motion is not granted, without having reserved stating the grounds of its decision.
the right to do so and to the same extent as if the (P.B. 1978-1997, Sec. 322.)
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SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 17-2
CHAPTER 17
JUDGMENTS
Sec. Sec.
17-1. Judgments in General 17-26. —Order for Weekly Payments
17-2. Judgment on Verdict and Otherwise 17-27. —Entry of Judgment
17-2A. Motions To Reduce Verdict 17-28. —Enforcement of Judgment
17-3. Remittitur where Judgment Too Large 17-29. —Default Motion Not on Short Calendar
17-4. Setting Aside or Opening Judgments 17-30. Summary Process; Default and Judgment for Fail-
17-4A. Motions for New Trial ure To Appear or Plead
17-5. Record of Proceeding; Facts Supporting Judgment 17-31. Procedure where Party Is in Default
To Appear on Record 17-32. Where Defendant Is in Default for Failure To Plead
17-6. Form of Finding 17-33. When Judgment May Be Rendered after a Default
17-7. Special Finding; Request 17-33A. Motions for Judgment of Foreclosure
17-8. —Functions of Special Finding 17-34. Hearings in Damages; Notice of Defenses
17-9. —Form and Contents of Special Finding 17-35. —Requirements of Notice; Time
17-10. Modifying Judgment after Appeal 17-36. —Notice by Clerk
17-11. Offer of Compromise by Defendant; How Made 17-37. —Notice of Defense To Be Specific
17-12. —Acceptance of Defendant’s Offer 17-38. —Amending Notice of Defense
17-13. —Defendant’s Offer Not Accepted 17-39. —No Reply Allowed
17-14. Offer of Compromise by Plaintiff; How Made 17-40. —Evidence To Reduce Damages
17-14A. —Alleged Negligence of Health Care Provider 17-41. Relief Permissible on Default
17-15. —Acceptance of Plaintiff’s Offer 17-42. Opening Defaults where Judgment Has Not Been
17-16. —Plaintiff’s Offer Not Accepted Rendered
17-17. —Offer of Compromise and Acceptance Included 17-43. Opening Judgment upon Default or Nonsuit
in Record 17-44. Summary Judgments; Scope of Remedy
17-18. —Judgment where Plaintiff Recovers an Amount 17-45. —Proceedings upon Motion for Summary Judg-
Equal to or Greater than Offer ment
17-19. Procedure where Party Fails To Comply with Order 17-46. —Form of Affidavits
of Judicial Authority or To Appear for Trial 17-47. —When Appropriate Documents Are Unavailable
17-20. Motion for Default and Nonsuit for Failure To 17-48. —Affidavits Made in Bad Faith
Appear 17-49. —Judgment
17-21. Defaults under Servicemembers Civil Relief Act 17-50. —Triable Issue as to Damages Only
17-22. Notice of Judgments of Nonsuit and Default for 17-51. —Judgment for Part of Claim
Failure To Enter an Appearance 17-52. Executions
17-23. Contract Actions To Pay a Definite Sum where 17-53. Summary Process Executions
There Is a Default for Failure To Appear; Limi- 17-54. Declaratory Judgment; Scope
tations 17-55. —Conditions for Declaratory Judgment
17-24. —Promise To Pay Liquidated Sum 17-56. —Procedure for Declaratory Judgment
17-25. —Motion for Default and Judgment; Affidavit of 17-57. —Costs in Declaratory Judgment
Debt; Military Affidavit; Bill of Costs; Debt 17-58. —Declaratory Judgment Appealable
Instrument 17-59. —Order of Priorities in Declaratory Judgment
For previous Histories and Commentaries see the editions of the Practice Book
corresponding to the years of the previous amendments.
Sec. 17-1. Judgments in General Sec. 17-2. Judgment on Verdict and Other-
In all actions, whether the relief sought be legal wise
or equitable in its nature, judgment may be given The judicial authority shall render judgment on
for or against one or more of several plaintiffs, all verdicts of the jury, according to the jury’s find-
and for or against one or more of several defend- ing, subject to statutory adjustments, with costs,
ants; and the judicial authority may grant to a unless the verdict is set aside; and in all cases
defendant any affirmative relief to which the where judgment is rendered otherwise than on a
defendant may be entitled, and may determine verdict, in favor of the plaintiff, the court shall
the rights of the parties on each side as between assess the damages which the plaintiff shall
themselves insofar as a consideration of the recover. If no motions under Section 16-35 or
issues between them is necessary to a full adjudi- 17-2A are filed, upon the expiration of the time
cation as regards the claim stated in the com- provided for the filing of such motions, judgment
plaint. (See General Statutes § 52-227.) on the verdict shall be rendered in accordance
(P.B. 1978-1997, Sec. 323.) with the verdict, and the date of the judgment shall
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Sec. 17-2 SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS
be the date the verdict was accepted. If motions (c) The expedited procedures set forth in this
are filed pursuant to Section 16-35 or 17-2A, judg- subsection may be followed with regard to a
ment shall be rendered at the time of and in motion to open a judgment of foreclosure filed
accordance with the decision on such motions. by a plaintiff in which the filing fee has been paid,
Whenever a judgment is rendered in a civil jury the motion has been filed prior to the vesting of
case, the clerk shall send notice of such judgment title or the sale date, the plaintiff states in the
to all attorneys and self-represented parties of motion that the committee and appraisal fees
record. (See General Statutes § 52-225 and anno- have been paid or will be paid within thirty days
tations.) of court approval, and the motion has been served
(P.B. 1978-1997, Sec. 324.) on each party as provided by Sections 10-12
through 10-17 and with proof of service endorsed
Sec. 17-2A. Motions To Reduce Verdict thereon.
Motions to reduce the amount of a verdict or (1) Parties shall have five days from the filing
award pursuant to General Statutes §§ 52-225a of the motion to file an objection with the court.
or 52-216a shall be filed within ten days after the Unless otherwise ordered by the judicial author-
day the verdict or award is accepted and shall be ity, the motion shall be heard not less than seven
heard by the judge who conducted the trial. In days after the date the motion was filed. If the
matters referred to an arbitrator under the provi- plaintiff states in the motion that all appearing par-
sions of Section 23-61, motions to reduce the ties have received actual notice of the motion and
amount of an award shall be filed within ten days are in agreement with it, the judicial authority may
after the decision of the arbitrator becomes a judg- grant the motion without a hearing.
ment of the court pursuant to subsection (a) of (2) When a motion to open judgment is filed
Section 23-66. pursuant to this subsection, the court will retain
(P.B. 1978-1997, Sec. 320A.) (Amended June 28, 1999, jurisdiction over the action to award committee
on an interim basis pursuant to the provisions of Sec. 1-9 (c) fees and expenses and appraisal fees, if neces-
to take effect Jan. 1, 2000, and amendment adopted June 26, sary. If judgment is not entered or the case has not
2000, to take effect Jan. 1, 2001; transferred June 20, 2011, been withdrawn within 120 days of the granting
to take effect Jan. 1, 2012.)
of the motion, the judicial authority shall forthwith
Sec. 17-3. Remittitur where Judgment Too enter a judgment of dismissal.
Large (P.B. 1978-1997, Sec. 326.) (Amended June 22, 2009, to
take effect Jan. 1, 2010; amended June 21, 2010, to take
If any judgment is rendered, by mistake or cleri- effect Jan. 1, 2011.)
cal error, for a larger sum than is due, the excess
Sec. 17-4A. Motions for New Trial
may be remitted by the party recovering the judg-
ment, at any time, reasonable notice being first Motions for new trials in cases tried to the court,
given to the adverse party or that party’s attorney; unless brought by petition served on the adverse
and the judicial authority may thereupon order party or parties, must be filed with the clerk within
ten days after the day the judgment is rendered;
the record of such judgment to be corrected, and
provided that for good cause the judicial authority
affirm the same for the amount to which it has may extend this time. The clerk shall notify the
been remitted. (See General Statutes § 52-228 trial judge of such filing. Such motions shall state
and annotations.) the specific grounds upon which counsel relies.
(P.B. 1978-1997, Sec. 325.) (Adopted June 26, 2000, to take effect Jan. 1, 2001.)
Sec. 17-4. Setting Aside or Opening Sec. 17-5. Record of Proceeding; Facts Sup-
Judgments porting Judgment To Appear on Record
(a) Unless otherwise provided by law and Each judicial authority shall keep a record of its
except in such cases in which the court has contin- proceedings and cause the facts on which it found
uing jurisdiction, any civil judgment or decree ren- its final judgments and decrees to appear on the
dered in the Superior Court may not be opened record; and any such finding if requested by any
or set aside unless a motion to open or set aside party shall specially set forth such facts. (See
is filed within four months succeeding the date on General Statutes § 52-231 and annotations.)
which notice was sent. The parties may waive the (P.B. 1978-1997, Sec. 327.)
provisions of this subsection or otherwise submit Sec. 17-6. Form of Finding
to the jurisdiction of the court. When all the material allegations put in issue
(b) Upon the filing of a motion to open or set in any action, whether brought for legal or for
aside a civil judgment, except a judgment in a equitable relief, are found for either plaintiff or
juvenile matter, the moving party shall pay to the defendant, the finding of the issue or issues for
clerk the filing fee prescribed by statute unless the plaintiff or defendant, as the case may be, will
such fee has been waived by the judicial authority. be deemed equivalent to a finding that all material
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SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 17-13
allegations which were put in issue are true, and Supreme Court and such time has elapsed pend-
will be a sufficient compliance with Section 17-5. ing the appeal, the judicial authority which ren-
Where only a part of the material allegations put in dered the judgment appealed from may, on
issue by the pleadings are found for the prevailing motion and after due notice, modify it by extending
party the judgment must indicate the particular the time.
facts that are found. (P.B. 1978-1997, Sec. 340.)
(P.B. 1978-1997, Sec. 328.)
Sec. 17-11. Offer of Compromise by Defend-
Sec. 17-7. Special Finding; Request ant; How Made
A request for a special finding of facts under (Amended June 26, 2006, to take effect Jan. 1, 2007.)
General Statutes § 52-226 shall be by written In any action on contract, or seeking the recov-
motion filed within fourteen days after the entry ery of money damages, whether or not other relief
of judgment. is sought, the defendant may not later than thirty
(P.B. 1978-1997, Sec. 332.) (Amended June 20, 2011, to
take effect Jan. 1, 2012.)
days before the commencement of jury selection
in a jury trial or before the commencement of evi-
Sec. 17-8. —Functions of Special Finding dence in a court trial file with the clerk of the
A special finding of facts under Section 17-5 court a written offer of compromise signed by the
should rarely be requested or made but when defendant or the defendant’s attorney, directed to
made it becomes a part of the record with the the plaintiff or the plaintiff’s attorney, offering to
same effect as though the facts were included in settle the claim underlying the action for a sum
the judgment and claims of error may be based certain. (See General Statutes § 52-193 and
upon it as appearing of record. If the special find- annotations.)
ing is insufficient to support the judgment, the (P.B. 1978-1997, Sec. 342.) (Amended June 24, 2002, to
error is one upon the record. The purpose of a take effect Jan. 1, 2003; amended June 26, 2006, to take
special finding is to place upon the record the effect Jan. 1, 2007.)
material facts upon which the judgment is based; Sec. 17-12. —Acceptance of Defendant’s
other matters have no place in it and can only be Offer
presented in a finding made for the purpose of
an appeal. A special finding is an incident to the The plaintiff may, within sixty days after being
judgment, and interlocutory rulings should not be notified by the defendant of the filing of an offer
included in it. The rules as to seeking corrections of compromise, file with the clerk of the court a
in a finding for an appeal have no application to written acceptance of the offer signed by the plain-
a special finding. tiff or the plaintiff’s attorney agreeing to settle the
(P.B. 1978-1997, Sec. 333.) underlying action for the sum certain specified in
the defendant’s offer of compromise. Upon the
Sec. 17-9. —Form and Contents of Special filing of the written acceptance and receipt by the
Finding
plaintiff of such sum certain, the plaintiff shall file
The special findings of fact required by Section a withdrawal of the action with the clerk of the
17-5 to be made, if requested, as an incident to court and the clerk shall record the withdrawal of
the judgment should ordinarily form a part of the the action against the defendant accordingly. No
judgment file. It should contain only facts mater- trial shall be postponed because the period within
ial to the issues tried. When any fact upon which
which the plaintiff may accept such offer has not
final judgment is founded is simply a bare con-
expired, except at the discretion of the judicial
clusion of law from more detailed and subordin-
ate facts, as, for instance, in cases of constructive authority. (See General Statutes § 52-194 and
fraud, the finding, if a special one be requested, annotations.)
(P.B. 1978-1997, Sec. 343.) (Amended June 26, 2006, to
must specially set forth the subordinate facts from take effect Jan. 1, 2007.)
which, as such conclusion of law, the judicial
authority finds the principal fact. In such cases Sec. 17-13. —Defendant’s Offer Not
the finding should be such as distinctly to show Accepted
any conclusion of law thus drawn. When a mate- If the plaintiff does not, within the time allowed
rial fact is found from more detailed or subordinate for acceptance of the offer of compromise and
facts, not as a conclusion of law but as a conclu- before any evidence is offered at the trial, file the
sion of fact, only the main or resulting fact should plaintiff’s notice of acceptance, the offer shall be
be set forth in the finding. deemed to be withdrawn and shall not be given
(P.B. 1978-1997, Sec. 334.)
in evidence; and the plaintiff, unless recovering
Sec. 17-10. Modifying Judgment after more than the sum specified in the offer, with
Appeal interest from its date, shall recover no costs accru-
If a judgment fixing a set time for the perfor- ing after the plaintiff received notice of the filing
mance of an act is affirmed on appeal by the of such offer, but shall pay the defendant’s costs
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Sec. 17-13 SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS
accruing after said time. Such costs may include judicial authority, the defendant or the defendant’s
reasonable attorney’s fees in an amount not to attorney may file with the clerk of the court a writ-
exceed $350. Nothing in this section shall be inter- ten acceptance of the offer of compromise agree-
preted to abrogate the contractual rights of any ing to settle the claim underlying the action for
party concerning the recovery of attorney’s fees the sum certain specified in the plaintiff’s offer.
in accordance with the provisions of any written Upon such filing and the receipt by the plaintiff of
contract between the parties to the action. The such sum certain, the plaintiff shall file a with-
provisions of this section shall not apply to cases drawal of the action with the clerk and the clerk
in which nominal damages have been assessed shall record the withdrawal of the action against
upon a hearing after a default or after a motion the defendant accordingly.
to strike has been denied. (See General Statutes (P.B. 1978-1997, Sec. 347.) (Amended June 24, 2002, to
§ 52-195 and annotations.) take effect Jan. 1, 2003; amended June 26, 2006, to take
(P.B. 1978-1997, Sec. 344.) (Amended June 26, 2006, to effect Jan. 1, 2007.)
take effect Jan. 1, 2007.)
Sec. 17-14. Offer of Compromise by Plain- Sec. 17-16. —Plaintiff’s Offer Not Accepted
tiff; How Made If such offer of compromise is not accepted
(Amended June 26, 2006, to take effect Jan. 1, 2007.)
After commencement of any civil action based within thirty days and prior to the rendering of a
upon contract or seeking the recovery of money verdict by the jury or an award by the judicial
damages, whether or not other relief is sought, authority, such offer of compromise shall be con-
the plaintiff may, not earlier than one hundred sidered rejected and not subject to acceptance
eighty days after service of process is made upon unless refiled.
the defendant in such action but not later than (P.B. 1978-1997, Sec. 348.) (Amended June 24, 2002, to
thirty days before the commencement of jury take effect Jan. 1, 2003; amended June 26, 2006, to take
effect, Jan. 1, 2007.)
selection in a jury trial or the commencement of
evidence in a court trial, file with the clerk of the Sec. 17-17. —Offer of Compromise and
court a written offer of compromise signed by the Acceptance Included in Record
plaintiff or the plaintiff’s attorney, directed to the (Amended June 26, 2006, to take effect Jan. 1, 2007.)
defendant or the defendant’s attorney, offering to Any such offer of compromise and any accep-
settle the claim underlying the action for a sum
certain. For the purposes of this section, such tance of the offer of compromise shall be included
plaintiff includes a counterclaim plaintiff under by the clerk in the record of the case.
(P.B. 1978-1997, Sec. 349.) (Amended June 26, 2006, to
General Statutes § 8-132. The plaintiff shall give take effect Jan. 1, 2007.)
notice of such offer of compromise to the defend-
ant’s attorney, or if the defendant is not repre- Sec. 17-18. —Judgment where Plaintiff
sented by an attorney, to the defendant. Recovers an Amount Equal to or Greater
(P.B. 1978-1997, Sec. 346.) (Amended June 24, 2002, to
take effect Jan. 1, 2003; amended June 26, 2006, to take than Offer
effect Jan. 1, 2007; amended June 30, 2008, to take effect After trial the judicial authority shall examine
Jan. 1, 2009.) the record to determine whether the plaintiff made
Sec. 17-14A. —Alleged Negligence of Health an offer of compromise which the defendant failed
Care Provider to accept. If the judicial authority ascertains from
In the case of any action to recover damages the record that the plaintiff has recovered an
resulting from personal injury or wrongful death, amount equal to or greater than the sum certain
whether in tort or in contract, in which it is alleged specified in that plaintiff’s offer of compromise,
that such injury or death resulted from the negli- the judicial authority shall add to the amount so
gence of a health care provider, an offer of com- recovered 8 percent annual interest on said amount.
promise pursuant to Section 17-14 may be filed In the case of a counterclaim plaintiff under Gen-
not earlier than 365 days after service of process eral Statutes § 8-132, the judicial authority shall
is made on the defendant in such action and, if add to the amount so recovered 8 percent annual
the offer of compromise is not accepted within
sixty days and prior to the rendering of a verdict interest on the difference between the amount so
by the jury or an award by the court, the offer of recovered and the sum certain specified in the
compromise shall be considered rejected and not counterclaim plaintiff’s offer of compromise. Any
subject to acceptance unless refiled. such interest shall be computed as provided in
(Adopted June 26, 2006, to take effect Jan. 1, 2007; General Statutes § 52-192a. The judicial author-
amended June 15, 2012, to take effect Jan. 1, 2013.) ity may award reasonable attorney’s fees in an
Sec. 17-15. —Acceptance of Plaintiff’s Offer amount not to exceed $350 and shall render judg-
Within thirty days after being notified of the filing ment accordingly. Nothing in this section shall be
of such offer of compromise and prior to the ren- interpreted to abrogate the contractual rights of
dering of a verdict by the jury or an award by the any party concerning the recovery of attorney’s
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SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 17-21
fees in accordance with the provisions of any writ- default. If the defaulted party files an appearance
ten contract between the parties to the action. in the action prior to the entry of judgment after
(P.B. 1978-1997, Sec. 350.) (Amended June 26, 2006, to default, the default shall automatically be set aside
take effect Jan. 1, 2007; amended June 30, 2008, to take by operation of law. A claim for a hearing in dam-
effect Jan. 1, 2009.) ages shall not be filed before the expiration of
Sec. 17-19. Procedure where Party Fails To fifteen days from the entry of a default under this
Comply with Order of Judicial Authority or subsection, except as provided in Sections 17-23
To Appear for Trial through 17-30.
(e) A motion for nonsuit for failure to appear
If a party fails to comply with an order of a shall be placed on the short calendar. If it is proper
judicial authority or a citation to appear or fails to grant the motion, the judicial authority shall
without proper excuse to appear in person or by grant it without the need for the moving party to
counsel for trial, the party may be nonsuited or appear at the short calendar.
defaulted by the judicial authority. (f) The granting of a motion for nonsuit for failure
(P.B. 1978-1997, Sec. 351.) to appear or a motion for judgment after default
Sec. 17-20. Motion for Default and Nonsuit for failure to appear shall be subject to the provi-
for Failure To Appear sions of Sections 9-1 and 17-21. Such motion
shall contain either (1) a statement that a military
(a) Except as provided in subsection (b), if no affidavit is attached thereto or (2) a statement,
appearance has been entered for any party to any with reasons therefor, that it is not necessary to
action on or before the second day following the attach a military affidavit to the motion.
return day, any other party to the action may make (P.B. 1978-1997, Sec. 352.) (Amended June 21, 2004, to
a motion that a nonsuit or default be entered for take effect Jan. 1, 2005; amended June 22, 2009, to take
failure to appear. effect Jan. 1, 2010; amended June 21, 2010, to take effect
Jan. 1, 2011; amended June 20, 2011, to take effect Jan. 1,
(b) In an action commenced by a mortgagee 2012; amended June 15, 2012, to take effect Jan. 1, 2013.)
prior to July 1, 2014, for the foreclosure of (1) a
mortgage on residential real property consisting Sec. 17-21. Defaults under Servicemembers
of a one to four-family dwelling occupied as the Civil Relief Act
primary residence of the mortgagor, with a return (a) An affidavit must be filed in every case in
date on or after July 1, 2008, or (2) a mortgage which there is a nonappearing defendant, either
on real property owned by a religious organization (1) stating that such defendant is in military ser-
with a return date during the period from October vice, within the meaning of the Servicemembers
1, 2011, to June 30, 2014, inclusive, if no appear- Civil Relief Act, or that the plaintiff is unable to
ance has been entered for the mortgagor on or determine whether or not such defendant is in
before the fifteenth day after the return day or, such service, or (2) setting forth facts showing
if the court has extended the time for filing an that such defendant is not in such service.
appearance and no appearance has been entered (b) If it appears that the defendant is in such
on or before the date ordered by the court, any service the judicial authority shall, and if it is unde-
other party to the action may make a motion that termined whether the defendant is in such service
a default be entered for failure to appear. or not the judicial authority may, appoint an attor-
(c) It shall be the responsibility of counsel filing ney to represent such defendant before judgment
a motion for default for failure to appear to serve is rendered. No such attorney shall have the
the defaulting party with a copy of the motion. power to waive any right of the person for whom
Service and proof thereof may be made in accord- he or she is appointed or to bind such person by
ance with Sections 10-12, 10-13 and 10-14. Upon his or her acts.
(c) Unless it appears that the defendant is not
good cause shown, the judicial authority may dis- in such service, the judicial authority may require
pense with this requirement when judgment is as a condition before judgment is rendered that
rendered. the plaintiff file a bond approved by the judicial
(d) Except as provided in Sections 17-23 through authority conditioned to indemnify the defendant,
17-30, motions for default for failure to appear if in military service, against any loss or damage
shall be acted on by the clerk not less than seven that such defendant may suffer by reason of any
days from the filing of the motion and shall not be judgment should the judgment be thereafter set
printed on the short calendar. The motion shall aside in whole or in part.
be granted by the clerk if the party who is the (d) If it appears that the defendant is in military
subject of the motion has not filed an appearance. service, the judicial authority shall grant a stay of
The provisions of Section 17-21 shall not apply proceedings for a minimum period of ninety days
to such motions, but such provisions shall be com- upon application of counsel or on the judicial
plied with before a judgment may be entered after authority’s own motion, if the judicial authority
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Sec. 17-21 SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS
determines that: (1) there may be a defense to Sec. 17-23. Contract Actions To Pay a Defi-
the action which cannot be presented without the nite Sum where There Is a Default for Failure
defendant’s presence, or (2) counsel has been To Appear; Limitations
unable to contact the defendant or otherwise Sections 17-24 through 17-27 shall not be appli-
determine if a meritorious defense exists. cable to: (1) any action wherein any defendant
(e) If the defendant is in military service or is against whom judgment is sought is in the military
within ninety days after termination of or release or naval service of the United States when judg-
from such service and has received notice of the ment is rendered; or (2) any action brought under
proceedings, the following provisions apply. At the small claims rules.
any stage before final judgment the judicial (P.B. 1978-1997, Sec. 356.)
authority may on its own motion and shall, upon Sec. 17-24. —Promise To Pay Liquidated
application by the defendant, stay the action for Sum
a period of not less than ninety days if the applica- (a) In any action based upon an express or
tion includes (1) a letter or other communication implied promise to pay a definite sum and claiming
containing facts stating how current military duty only liquidated damages, which may include inter-
requirements materially affect the defendant’s est, a reasonable attorney’s fee and other lawful
ability to appear and stating a date when the charges, the procedure set forth in Section 17-
defendant will be able to appear, and (2) a letter 20 and in Sections 17-25 through 17-28 shall be
or other communication from the defendant’s followed, if there is a default of appearance. A
commanding officer stating that current military certificate of closed pleadings shall not be filed in
duty prevents appearance and that military leave matters which fall within the scope of these rules
is not authorized at the time of the letter. because such matters shall not proceed on the
(f) (1) A defendant who is granted a stay under inventory of pending cases requiring a hearing
subsection (e) may apply for an additional stay in damages.
based on the continuing material effect of military (b) When moving for default and judgment pur-
duty on the defendant’s ability to appear. The suant to Sections 17-25 through 17-28, a party
application may be made at the time of the initial shall move for default and judgment on forms pre-
application or when it appears that the defendant scribed by the Office of the Chief Court Adminis-
is unable to appear to defend the action. The trator.
application shall include the same information (P.B. 1978-1997, Sec. 357.) (Amended June 29, 1998, to
required under subparagraphs (1) and (2) of sub- take effect Jan. 1, 1999.)
section (e). Sec. 17-25. —Motion for Default and Judg-
(2) If the judicial authority denies the application ment; Affidavit of Debt; Military Affidavit;
for an additional stay, the judicial authority shall Bill of Costs; Debt Instrument
appoint counsel to represent the defendant. (a) The plaintiff shall file a motion for default for
(g) The findings made under the six preceding failure to appear and judgment, a bill of costs, a
subsections shall be recited in the judgment. proposed judgment and notice to all parties and,
(h) An application for a stay under this section if applicable, a request for an order of weekly
does not constitute an appearance for jurisdic- payments pursuant to Section 17-26.
tional purposes and does not constitute a waiver (b) The motion shall have attached to it the
of any substantive or procedural defense. following affidavits:
(P.B. 1978-1997, Sec. 353.) (Amended June 20, 2005, to
take effect Jan. 1, 2006.)
(1) An affidavit of debt signed by the plaintiff or
by an authorized representative of the plaintiff who
Sec. 17-22. Notice of Judgments of Nonsuit is not the plaintiff’s attorney. The affidavit shall
and Default for Failure To Enter an state the amount due or the principal owed and
Appearance contain an itemization of interest, attorney’s fees
A notice of every nonsuit for failure to enter an and other lawful charges claimed. The affidavit
appearance or judgment after default for failure shall contain a statement that any documents
to enter an appearance, which notice includes the attached to it are true copies of the originals. Any
terms of the judgment, shall be sent by mail or plaintiff claiming interest shall separately state the
electronic delivery within ten days of the entry of interest and shall specify the dates from which
judgment by counsel of the prevailing party to the and to which interest is computed, the rate of
party against whom it is directed and a copy of interest, the manner in which it was calculated
such notice shall be filed with the clerk’s office. and the authority upon which the claim for interest
Proof of service shall be in accordance with Sec- is based.
tion 10-14. (A) If the instrument on which the contract is
(P.B. 1978-1997, Sec. 354.) (Amended June 20, 2011, to based is a negotiable instrument or assigned con-
take effect Jan. 1, 2012.) tract, the affidavit shall state that the instrument
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SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 17-30
or contract is now owned by the plaintiff, and a authority. If the judicial authority orders judgment
copy of the executed instrument or contract shall entered, the clerk shall complete the proposed
be attached to the affidavit. If the plaintiff is not judgment and notice to all parties in accordance
the original party with whom the instrument or with the terms of the judgment. The clerk shall
contract was made, the plaintiff shall either (i) immediately mail or electronically deliver one copy
attach all bills of sale back to the original creditor of the judgment and notice to all parties to the
and swear to its purchase of the debt from the last plaintiff or plaintiff’s attorney.
owner in its affidavit of debt or (ii) in the affidavit (P.B. 1978-1997, Sec. 360.) (Amended June 20, 2011, to
take effect Jan. 1, 2012.)
of debt, recite the names of all prior owners of
the debt with the date of each prior sale and also Sec. 17-28. —Enforcement of Judgment
include the most recent bill of sale from the plain- Execution upon such judgment shall be stayed
tiff’s seller and swear to its purchase of the debt until twenty days after the clerk receives from the
from its seller in the affidavit of debt. plaintiff, or plaintiff’s attorney, one copy of the
(B) If the plaintiff claims any lawful fees or judgment and notice to all parties, with a certifica-
charges other than interest, including a reason- tion that one copy thereof was served upon each
able attorney’s fee, the plaintiff shall attach to the judgment debtor. Service and proof thereof must
affidavit of debt a copy of the portion of the con- be made in accordance with Sections 10-12
tract containing the terms of the contract providing through 10-14.
for such fees or charges and the amount claimed. (P.B. 1978-1997, Sec. 361.)
(C) If a claim for a reasonable attorney’s fee Sec. 17-29. —Default Motion Not on Short
is made, the plaintiff shall include in the affidavit Calendar
of debt the reasons for the specific amount No motion for default and judgment filed under
requested in order that the judicial authority may Sections 17-24 through 17-28 shall be placed on
determine the relationship between the fee the short calendar, unless the judicial authority
requested and the actual and reasonable costs shall so order. No short calendar claim shall be
which are incurred by counsel. filed with this motion. Other than as provided for
(2) A military affidavit as required by Section in those sections and in Section 17-20 no notice
17-21. of a default or of a judgment after default shall be
(c) Nothing contained in this section shall pre- required in connection with any such motion.
vent the judicial authority from requiring the sub- (P.B. 1978-1997, Sec. 362.) (Amended June 20, 2011, to
mission of additional written documentation or take effect Jan. 1, 2012.)
the presence of the plaintiff, the authorized repre- Sec. 17-30. Summary Process; Default and
sentative of the plaintiff or other affiants, as well Judgment for Failure To Appear or Plead
as counsel, before the court prior to rendering (Amended June 26, 2000, to take effect Jan. 1, 2001.)
judgment if it appears to the judicial authority that (a) If the defendant in a summary process action
additional information or evidence is required in does not appear within two days after the return
order to enter judgment. day and a motion for judgment for failure to appear
(P.B. 1978-1997, Sec. 358.) (Amended June 20, 2011, to and the notice to quit signed by the plaintiff or
take effect Jan. 1, 2012; amended June 14, 2013, to take
effect Jan. 1, 2014.)
plaintiff’s attorney and endorsed, with his or her
doings thereon, by the proper officer or indifferent
Sec. 17-26. —Order for Weekly Payments person who served such notice to quit is filed with
If the moving party seeks and is entitled to an the clerk, the judicial authority shall, not later than
order for payments under the General Statutes in the first court day after the filing of such motion,
excess of a nominal amount, the judicial authority enter judgment that the plaintiff recover posses-
may make, as part of the judgment, an order for sion or occupancy of the premises with costs, and
weekly payment of such sums as shall appear execution shall issue subject to the statutory pro-
to the judicial authority to be reasonable. If such visions.
order is sought, the proposed notice and form of (b) If the defendant in a summary process action
judgment shall contain substantially the following appears but does not plead within two days after
language: It is further adjudged that the defendant the return day or within three days after the filing
make weekly payments of $ on this judgment of the preceding pleading or motion, the plaintiff
to commencing on . may file a motion for judgment for failure to plead,
(P.B. 1978-1997, Sec. 359.) served in accordance with Sections 10-12 through
10-17. If the defendant fails to plead within three
Sec. 17-27. —Entry of Judgment days after receipt of such motion by the clerk, the
Not less than seven days from receipt of the judicial authority shall forthwith enter judgment
motion and affidavits, the clerk shall bring the that the plaintiff recover possession or occupancy
motion and affidavits to the attention of the judicial with costs.
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Sec. 17-30 SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS
(c) In summary process actions, a motion for Sec. 17-33. When Judgment May Be Ren-
judgment by default that is sent to the court either dered after a Default
electronically or is hand-delivered to the court (a) If a defendant is defaulted for failure to
shall be deemed to be filed on the third business appear for trial, evidence may be introduced and
day following such delivery unless the party filing judgment rendered without notice to the defen-
the motion for judgment by default certifies that dant.
the motion has also been sent electronically or (b) Since the effect of a default is to preclude
hand-delivered on the same day to all opposing the defendant from making any further defense
parties or their counsel. in the case so far as liability is concerned, the
(P.B. 1978-1997, Sec. 362A.) (Amended June 26, 2000,
to take effect Jan. 1, 2001; amended June 20, 2005, to take
judicial authority, at or after the time it renders
effect Jan. 1, 2006; amended June 12, 2015, to take effect the default, notwithstanding Section 17-32 (b),
Jan. 1, 2016.) may also render judgment in foreclosure cases,
in actions similar thereto and in summary process
Sec. 17-31. Procedure where Party Is in actions, provided the plaintiff has also made a
Default motion for judgment and provided further that any
Where either party is in default by reason of necessary affidavits of debt or accounts or state-
failure to comply with Sections 10-8, 10-35, 13-6 ments verified by oath, in proper form, are submit-
through 13-8, 13-9 through 13-11, the adverse ted to the judicial authority. The judicial authority
party may file a written motion for a nonsuit or may render judgment in any contract action where
default or, where applicable, an order pursuant to the damages are liquidated provided that the
Section 13-14. Except as otherwise provided in plaintiff has made a motion for judgment and sub-
Sections 17-30 and 17-32, any such motion, after mitted the affidavits and attachments specified in
service upon each adverse party as provided by Section 17-25 (b) (1).
Sections 10-12 through 10-17 and with proof of (c) If the taking of testimony is required, the
service endorsed thereon, shall be filed with the procedures in Section 17-34 shall be followed
clerk of the court in which the action is pending, before judgment is rendered.
and, unless the pleading in default be filed or the (P.B. 1978-1997, Sec. 364.) (Amended June 24, 2002, to
disclosure be made within ten days thereafter, the take effect Jan. 1, 2003; amended June 14, 2013, to take
clerk shall, upon the filing of a short calendar claim effect Jan. 1, 2014.)
by the moving party, place the motion on the next
available short calendar list. Sec. 17-33A. Motions for Judgment of Fore-
(P.B. 1978-1997, Sec. 363.) closure
In all foreclosure actions, motions for judgment
Sec. 17-32. Where Defendant Is in Default
for Failure To Plead shall not be filed prior to the expiration of 30 days
after the return date.
(a) Where a defendant is in default for fail- (Adopted June 22, 2009, to take effect Jan. 1, 2010.)
ure to plead pursuant to Section 10-8, the plaintiff
may file a written motion for default which shall Sec. 17-34. Hearings in Damages; Notice
be acted on by the clerk not less than seven days of Defenses
from the filing of the motion, without placement (a) In any hearing in damages upon default, the
on the short calendar. defendant shall not be permitted to offer evidence
(b) If a party who has been defaulted under this to contradict any allegations in the plaintiff’s
section files an answer before a judgment after complaint, except such as relate to the amount
default has been rendered by the judicial author- of damages, unless notice has been given to the
ity, the default shall automatically be set aside by plaintiff of the intention to contradict such allega-
operation of law unless a claim for a hearing in tions and of the subject matter which the defend-
damages or a motion for judgment has been filed. ant intends to contradict, nor shall the defendant
If a claim for a hearing in damages or a motion be permitted to deny the right of the plaintiff to
for judgment has been filed, the default may be maintain such action, nor shall the defendant be
set aside only by the judicial authority. A claim for permitted to prove any matter of defense, unless
a hearing in damages or motion for judgment shall written notice has been given to the plaintiff of the
not be filed before the expiration of fifteen days intention to deny such right or to prove such matter
from the date of notice of issuance of the default of defense.
under this subsection. (b) This notice shall apply to defaults entered
(P.B. 1978-1997, Sec. 363A.) (Amended June 21, 2010,
to take effect Jan. 1, 2011; amended on an interim basis on all claims, counterclaims, cross claims, and
pursuant to Section 1-9 (c) on June 12, 2015, to take effect other claims for affirmative relief. (See General
Aug. 1, 2015; amended June 24, 2016, to take effect Jan. Statutes § 52-221 and annotations.)
1, 2017.) (P.B. 1978-1997, Sec. 367.)
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SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 17-44
Sec. 17-35. —Requirements of Notice; Time any other case the judicial authority may, upon a
(a) The notices required by Section 17-34 shall proper amendment, grant the plaintiff any other
be given in the manner provided in Sections 10- relief consistent with the case made on the trial
12 through 10-14, the original with proof of service and embraced within the issues.
being filed with the clerk. (P.B. 1978-1997, Sec. 375.)
(b) In all actions in which there may be a hearing Sec. 17-42. Opening Defaults where Judg-
in damages, notice of defenses must be filed ment Has Not Been Rendered
within ten days after notice from the clerk to the
defendant that a default has been entered. A motion to set aside a default where no judg-
(P.B. 1978-1997, Sec. 368.) ment has been rendered may be granted by the
judicial authority for good cause shown upon such
Sec. 17-36. —Notice by Clerk terms as it may impose. As part of its order, the
The clerk shall give notice of entry of a default, judicial authority may extend the time for filing
in the case of a defendant who has filed an pleadings or disclosure in favor of a party who has
appearance, in person to the defendant or the not been negligent. Certain defaults may be set
defendant’s attorney, by mail, or by electronic aside by the clerk pursuant to Sections 17-20 and
notice, and in the case of a nonappearing defend- 17-32.
ant, by mailing such notice to the defendant at (P.B. 1978-1997, Sec. 376.)
his or her last known address. The clerk shall
enter on the docket the date when the clerk gives, Sec. 17-43. Opening Judgment upon Default
mails or sends the notice, and said period of ten or Nonsuit
days shall run from said date. (a) Any judgment rendered or decree passed
(P.B. 1978-1997, Sec. 369.) (Amended June 29, 1998, to upon a default or nonsuit may be set aside within
take effect Jan. 1, 1999.)
four months succeeding the date on which notice
Sec. 17-37. —Notice of Defense To Be was sent, and the case reinstated on the docket
Specific on such terms in respect to costs as the judi-
The notice shall not contain a general denial, cial authority deems reasonable, upon the written
but shall specify which, if any, of the allegations, motion of any party or person prejudiced thereby,
or parts thereof, of the complaint will be contro- showing reasonable cause, or that a good cause
verted; and only those allegations should be spec- of action or defense in whole or in part existed at
ified which it is intended to controvert by proof. the time of the rendition of such judgment or the
The denial of the right of the plaintiff to maintain passage of such decree, and that the plaintiff or
the action must go to the plaintiff’s right to maintain the defendant was prevented by mistake, accident
it in the capacity in which the plaintiff sues, and or other reasonable cause from prosecuting or
not otherwise controvert the right of action. Any appearing to make the same. Such written motion
new matter by way of confession and avoidance shall be verified by the oath of the complainant or
must be specified. The defense of contributory the complainant’s attorney, shall state in general
negligence must be specified and the grounds terms the nature of the claim or defense and shall
stated. Partial defenses must be specified in the particularly set forth the reason why the plaintiff
same manner as complete defenses. or the defendant failed to appear. The judicial
(P.B. 1978-1997, Sec. 371.)
authority shall order reasonable notice of the pen-
Sec. 17-38. —Amending Notice of Defense dency of such written motion to be given to the
The judicial authority may, for cause shown, adverse party, and may enjoin that party against
and upon such terms as it may impose, permit enforcing such judgment or decree until the deci-
such notice to be filed or amended at any time. sion upon such written motion.
(P.B. 1978-1997, Sec. 372.)
(b) If the judicial authority opens a nonsuit
Sec. 17-39. —No Reply Allowed entered pursuant to Section 17-31, the judicial
The plaintiff shall file no pleading to such notice, authority as part of its order may extend the time
but may meet the facts set up therein by any for filing pleadings or disclosure. (See General
proper evidence. Statutes § 52-212.)
(P.B. 1978-1997, Sec. 373.) (P.B. 1978-1997, Sec. 377.)
Sec. 17-40. —Evidence To Reduce Damages Sec. 17-44. Summary Judgments; Scope of
The defendant may, without notice, offer evi- Remedy
dence to reduce the amount of damages claimed. In any action, including administrative appeals
(P.B. 1978-1997, Sec. 374.)
which are enumerated in Section 14-7 (c), any
Sec. 17-41. Relief Permissible on Default party may move for a summary judgment as to
Upon a default, the plaintiff can have no greater any claim or defense as a matter of right at any
relief than that demanded in the complaint; but in time if no scheduling order exists and the case
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Sec. 17-44 SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS
has not been assigned for trial. If a scheduling opposition, the judicial authority may deny the
order has been entered by the court, either party motion for judgment or may order a continuance
may move for summary judgment as to any claim to permit affidavits to be obtained or discovery to
or defense as a matter of right by the time speci- be had or may make such other order as is just.
fied in the scheduling order. If no scheduling order (P.B. 1978-1997, Sec. 382.)
exists but the case has been assigned for trial, a Sec. 17-48. —Affidavits Made in Bad Faith
party must move for permission of the judicial Should it appear to the satisfaction of the judicial
authority to file a motion for summary judgment. authority at any time that any affidavit is made or
These rules shall be applicable to counterclaims presented in bad faith or solely for the purpose
and cross complaints, so that any party may move of delay, the judicial authority shall forthwith order
for summary judgment upon any counterclaim the offending party to pay to the other party the
or cross complaint as if it were an independent reasonable expenses which the filing of the affi-
action. The pendency of a motion for summary davit caused that party to incur, including attor-
judgment shall delay trial only at the discretion of ney’s fees. Any offending party or attorney may
the trial judge. be adjudged guilty of contempt, and any offending
(P.B. 1978-1997, Sec. 379.) (Amended June 14, 2013, to attorney may also be disciplined by the judicial
take effect Jan. 1, 2014; amended June 23, 2017, to take authority.
effect Jan. 1, 2018.) (P.B. 1978-1997, Sec. 383.)
Sec. 17-45. —Proceedings upon Motion for Sec. 17-49. —Judgment
Summary Judgment The judgment sought shall be rendered forth-
(Amended June 30, 2003, to take effect Jan. 1, 2004;
amended June 11, 2021, to take effect Jan. 1, 2022.)
with if the pleadings, affidavits and any other proof
submitted show that there is no genuine issue as
(a) A motion for summary judgment shall be
to any material fact and that the moving party is
supported by appropriate documents, including
entitled to judgment as a matter of law.
but not limited to affidavits, certified transcripts of (P.B. 1978-1997, Sec. 384.)
testimony under oath, disclosures, written admis-
sions and other supporting documents. Sec. 17-50. —Triable Issue as to Damages
(b) Unless otherwise ordered by the judicial Only
authority, any adverse party shall file and serve A summary judgment, interlocutory in charac-
a response to the motion for summary judgment ter, may be rendered on the issue of liability alone,
within forty-five days of the filing of the motion, although there is a genuine issue as to damages.
including opposing affidavits and other available In such case the judicial authority shall order an
documentary evidence. immediate hearing before a judge trial referee,
(c) Unless otherwise ordered by the judicial before the court, or before a jury, whichever may
authority, the moving party shall not claim the be proper, to determine the amount of the dam-
motion for summary judgment to the short calen- ages. If the determination is by a jury, the usual
dar less than forty-five days after the filing of the procedure for setting aside the verdict shall be
motion for summary judgment. applicable. Upon the conclusion of these proceed-
(P.B. 1978-1997, Sec. 380.) (Amended June 26, 2000, to ings, the judicial authority shall forthwith render
take effect Jan. 1, 2001; amended June 30, 2003, to take the appropriate summary judgment.
effect Jan. 1, 2004; amended June 21, 2004, to take effect (P.B. 1978-1997, Sec. 385.)
Jan. 1, 2005; amended June 24, 2016, to take effect Jan. 1, Sec. 17-51. —Judgment for Part of Claim
2017; amended June 11, 2021, to take effect Jan. 1, 2022.)
If it appears that the defense applies to only
Sec. 17-46. —Form of Affidavits part of the claim, or that any part is admitted, the
Supporting and opposing affidavits shall be moving party may have final judgment forthwith
made on personal knowledge, shall set forth such for so much of the claim as the defense does not
facts as would be admissible in evidence, and apply to, or as is admitted, on such terms as may
shall show affirmatively that the affiant is compe- be just; and the action may be severed and pro-
tent to testify to the matters stated therein. Sworn ceeded with as respects the remainder of the
or certified copies of all papers or parts thereof claim.
(P.B. 1978-1997, Sec. 386.)
referred to in an affidavit shall be attached thereto.
(P.B. 1978-1997, Sec. 381.) Sec. 17-52. Executions
Pursuant to the General Statutes, the judgment
Sec. 17-47. —When Appropriate Documents creditor or the attorney for the judgment credi-
Are Unavailable tor may file a written application with the court for
Should it appear from the affidavits of a party an execution to collect an unsatisfied money judg-
opposing the motion that such party cannot, for ment.
reasons stated, present facts essential to justify (P.B. 1978-1997, Sec. 387.)
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SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 17-56
Sec. 17-53. Summary Process Executions Sec. 17-56. —Procedure for Declaratory
Whenever a summary process execution is Judgment
requested because of a violation of a term in a (a) Procedure in actions seeking a declaratory
judgment by stipulation or a judgment with a stay judgment shall be as follows:
of execution beyond the statutory stay, a hearing (1) The form and practice prescribed for civil
shall be required. If the violation consists of non- actions shall be followed.
payment of a sum certain, an affidavit with service (2) The prayer for relief shall state with precision
certified in accordance with Sections 10-12 the declaratory judgment desired and no claim for
through 10-17 shall be accepted in lieu of a hear- consequential relief need be made.
ing unless an objection to the execution is filed (3) Actions claiming coercive relief may also be
by the defendant prior to the issuance of the exe- accompanied by a claim for a declaratory judg-
cution. The execution shall issue on the third busi- ment, either as an alternative remedy or as an
ness day after the filing of the affidavit. independent remedy.
An affidavit asserting nonpayment of a sum cer- (4) Subject to the provisions of Sections 10-21
tain that is sent to the court either electronically through 10-24, causes of action for other relief
or is hand-delivered to the court shall be deemed may be joined in complaints seeking declara-
to be filed on the third business day following such tory judgments.
delivery unless the party filing the affidavit certifies (5) The defendant in any appropriate action may
that the affidavit has also been sent electronically seek a declaratory judgment by a counterclaim.
or hand-delivered on the same day to all opposing (6) Issues of fact necessary to the determination
parties or their counsel. of the cause may be submitted to the jury as in
(P.B. 1978-1997, Sec. 387A.) (Amended June 26, 2000,
to take effect Jan. 1, 2001; amended June 25, 2001, to take
other actions.
effect Jan. 1, 2002; amended June 12, 2015, to take effect (b) All persons who have an interest in the sub-
Jan. 1, 2016.) ject matter of the requested declaratory judgment
that is direct, immediate and adverse to the inter-
Sec. 17-54. Declaratory Judgment; Scope est of one or more of the plaintiffs or defendants
The judicial authority will, in cases not herein in the action shall be made parties to the action
excepted, render declaratory judgments as to the or shall be given reasonable notice thereof. If the
existence or nonexistence (1) of any right, power, proceeding involves the validity of a municipal
privilege or immunity; or (2) of any fact upon which ordinance, persons interested in the subject mat-
the existence or nonexistence of such right, ter of the declaratory judgment shall include such
power, privilege or immunity does or may depend, municipality, and if the proceeding involves the
whether such right, power, privilege or immunity validity of a state statute, such persons shall
now exists or will arise in the future. include the attorney general.
(P.B. 1978-1997, Sec. 389.) The party seeking the declaratory judgment
Sec. 17-55. —Conditions for Declaratory shall append to its complaint or counterclaim a
Judgment certificate stating that all such interested persons
A declaratory judgment action may be main- have been joined as parties to the action or have
tained if all of the following conditions have been been given reasonable notice thereof. If notice
met: was given, the certificate shall list the names, if
(1) The party seeking the declaratory judgment known, of all such persons, the nature of their
has an interest, legal or equitable, by reason of interest and the manner of notice.
danger of loss or of uncertainty as to the party’s (c) Except as provided in Sections 10-39 and
rights or other jural relations; 10-44, no declaratory judgment action shall be
(2) There is an actual bona fide and substantial defeated by the nonjoinder of parties or the failure
question or issue in dispute or substantial uncer- to give notice to interested persons. The exclusive
tainty of legal relations which requires settlement remedy for nonjoinder or failure to give notice
between the parties; and to interested persons is by motion to strike as
(3) In the event that there is another form of provided in Sections 10-39 and 10-44.
proceeding that can provide the party seeking the (d) Except as otherwise provided by law, no
declaratory judgment immediate redress, the declaration shall be binding against any persons
court is of the opinion that such party should be not joined as parties. If it appears to the court that
allowed to proceed with the claim for declaratory the rights of nonparties will be prejudiced by its
judgment despite the existence of such alternate declaration, it shall order entry of judgment in such
procedure. form as to affect only the parties to the action.
(P.B. 1978-1997, Sec. 390.) (Amended June 28, 1999, to (P.B. 1978-1997, Sec. 391.) (Amended June 28, 1999, to
take effect Jan. 1, 2000.) take effect Jan. 1, 2000.)
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Sec. 17-57 SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS
Sec. 17-57. —Costs in Declaratory Judg- question or issue determined, and shall be subject
ment to review by appeal as in other causes.
(P.B. 1978-1997, Sec. 393.)
Costs shall be discretionary and may be
granted to or against any party to the action. Sec. 17-59. —Order of Priorities in Declara-
(P.B. 1978-1997, Sec. 392.) tory Judgment
In any action in which order of priorities could
Sec. 17-58. —Declaratory Judgment Appeal- be determined under scire facias proceedings,
able such order of priorities may be determined by
declaratory judgment proceedings. (See General
The decision of the judicial authority shall be Statutes § 52-235a.)
final between the parties to the action as to the (P.B. 1978-1997, Sec. 394.)
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SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 18-6
CHAPTER 18
FEES AND COSTS
Sec. Sec.
18-1. Vouchers for Court Expenses 18-11. Witness Not Called; Fees
18-2. Costs on Appeal from Commissioners 18-12. Costs where Several Issues
18-3. Costs on Creditor’s Appeal 18-13. Several Defendants; Costs
18-4. Eminent Domain; Clerk’s Fees 18-14. Fees and Costs where Plaintiffs Join or Actions
18-5. Taxation of Costs; Appeal Are Consolidated
18-6. Costs on Writ of Error 18-15. Costs where Both Legal and Equitable Issues
18-7. Costs on Interlocutory Proceedings 18-16. Costs on Complaint and Counterclaim
18-8. Jury Fee where More than One Trial 18-17. Costs on Counterclaim
18-9. Nonresident Witnesses; Fees 18-18. Costs for Exhibits
18-10. Witness Fees in Several Suits 18-19. Proceedings before Judge; No Costs
For previous Histories and Commentaries see the editions of the Practice Book
corresponding to the years of the previous amendments.
Sec. 18-1. Vouchers for Court Expenses Sec. 18-4. Eminent Domain; Clerk’s Fees
No costs shall be taxed for court expenses If, by the provisions of the charter of any railroad
unless each item of payment of over $50 shall be company, canal company, bridge company, or the
accompanied by a proper voucher. No part of the like, it shall be made the duty of the judicial author-
clerk’s bill or fees shall be included for taxation in ity to appoint appraisers, assessors, commission-
the state marshal’s bill, or in any bill of a commu- ers, etc., the clerk’s fees must be paid as in other
nity correctional center. causes.
(P.B. 1978-1997, Sec. 407.) (Amended June 25, 2001, to
take effect Jan. 1, 2002.) (P.B. 1978-1997, Sec. 411.)
Sec. 18-2. Costs on Appeal from Commis- Sec. 18-5. Taxation of Costs; Appeal
sioners (a) Except as otherwise provided in this section,
If an executor, administrator or trustee upon an costs may be taxed by the clerk in civil cases four-
estate shall appeal from the report of the commis- teen days after the filing of a written bill of costs
sioners in allowing a claim to a creditor and such provided that no objection is filed. If a written
claim is disallowed upon the appeal, or if a credi- objection is filed within the fourteen day period,
tor shall appeal from the disallowance of claim in notice shall be given by the clerk to all appearing
whole or in part and shall recover no more than parties of record of the date and time of the clerk’s
was allowed by the commissioners, judgment for
taxation. The parties may appear at such taxation
costs shall be rendered against the creditor. If
upon an appeal by an executor, administrator or and have the right to be heard by the clerk.
trustee the creditor shall recover as large a sum (b) Either party may move the judicial authority
as, or a larger sum than, was allowed to the credi- for a review of the taxation by the clerk by filing
tor by the commissioners, or if upon the creditor’s a motion for review of taxation of costs within
own appeal from the disallowance of claim in twenty days of the issuance of the notice of taxa-
whole or in part, a creditor shall recover a greater tion by the clerk.
sum than was allowed by the commissioners, (c) Notwithstanding the provisions of subsec-
costs will be taxed in the creditor’s favor against tion (a), the costs paid as an application fee for any
the estate. In any other case, costs shall be discre- execution on a money judgment shall be taxed
tionary with the judicial authority. by the clerk upon the issuance of the execution.
(P.B. 1978-1997, Sec. 409.) (P.B. 1978-1997, Sec. 412.) (Amended June 20, 2005, to
Sec. 18-3. Costs on Creditor’s Appeal take effect Jan. 1, 2006.)
If any creditor of such an estate shall appeal Sec. 18-6. Costs on Writ of Error
from the doings or report of the commissioners in
allowing the claim of any other creditor, costs, at No copy of a record upon which a writ of error
the discretion of the judicial authority, may be shall be pending shall be taxed in the bill of costs
taxed in favor of the prevailing party against the on such writ, unless such copy shall become nec-
other. No costs shall be allowed against the estate. essary by reason of a defense of nul tiel record.
(P.B. 1978-1997, Sec. 410.) (P.B. 1978-1997, Sec. 413.)
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Sec. 18-7 SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS
Sec. 18-7. Costs on Interlocutory Proceed- Sec. 18-13. Several Defendants; Costs
ings In all cases where there are several defendants,
Costs taxed on any interlocutory proceedings the judicial authority may make such order as it
must be paid before any further pleading may be may deem just to prevent any defendant from
filed or other step taken in the cause by the party being embarrassed or put to expense by being
against whom they were awarded, unless the judi- required to attend upon any proceedings in the
cial authority specially directs otherwise or the action in which such defendant may have no inter-
written consent of the adverse party is given. est; and no costs shall be taxed against any
(P.B. 1978-1997, Sec. 414.) defendant with which that defendant is not justly
Sec. 18-8. Jury Fee where More than One chargeable.
(P.B. 1978-1997, Sec. 420.)
Trial
If more than one trial to the jury of a case is Sec. 18-14. Fees and Costs where Plaintiffs
had, no more than one jury fee shall be required Join or Actions Are Consolidated
to be paid. (a) Where plaintiffs join under Section 9-4, or
(P.B. 1978-1997, Sec. 415.) actions are consolidated, and the case is claimed
for the jury, there shall be but one jury fee, except
Sec. 18-9. Nonresident Witnesses; Fees that if separate jury trials are ordered, a jury fee
The mileage or travel of witnesses residing out shall be paid for each such trial.
of the state will be computed and taxed from the (b) Each party who prevails shall be entitled to
state line, on the usual course of travel. recover from the losing party or parties indemnity,
(P.B. 1978-1997, Sec. 416.) trial and witness fees to the same extent as though
Sec. 18-10. Witness Fees in Several Suits the plaintiffs who have several rights had brought
If a witness be in attendance in more cases separate actions.
(P.B. 1978-1997, Sec. 421.)
than one, between the same parties, at the same
time, and on behalf of the same party, the fees Sec. 18-15. Costs where Both Legal and
of the witness for travel and attendance will be Equitable Issues
taxed for one case only. Where legal and equitable matters or claims
(P.B. 1978-1997, Sec. 417.) for relief arising out of the same transaction or
Sec. 18-11. Witness Not Called; Fees transactions connected with the same subject of
If witnesses, having been duly summoned, action are joined in the same complaint, or where
attend as witnesses, but are not called to testify, any pleading setting forth a matter which, before
their fees shall be taxed in the bill of costs, if it January 1, 1980, would have been cognizable
appears to the judicial authority that they were only at law is met by setting up some equitable
summoned in good faith and with the expectation matter, either by itself or in connection with a legal
of using them, and if their testimony would have defense, the costs upon the whole case shall be
been admissible. at the discretion of the judicial authority; but where
(P.B. 1978-1997, Sec. 418.) legal and equitable causes of action which are
wholly unconnected with each other are joined in
Sec. 18-12. Costs where Several Issues the same complaint, the costs upon the judgment
(a) Whenever in any action there shall be two on the equitable causes of action only shall be dis-
or more issues joined on material allegations, and cretionary.
a part of such issues shall be found for the defend- (P.B. 1978-1997, Sec. 422.)
ant and the remainder for the plaintiff, the defend- Sec. 18-16. Costs on Complaint and Coun-
ant shall recover such costs as were incurred terclaim
upon the issues found in defendant’s favor, includ-
ing fees of witnesses and the expense of sum- When judgment shall be for the defendant on
moning them. If several distinct claims shall be the complaint and for the plaintiff on a counter-
made under one count, and the plaintiff shall claim, costs shall be taxed for the defendant as
recover upon some and not upon others, plain- the prevailing party under General Statutes § 52-
tiff shall not recover costs incurred in attempting 257, unless the judicial authority shall direct
to support the claims which plaintiff shall fail to otherwise.
(P.B. 1978-1997, Sec. 423.)
establish.
(b) When costs are awarded to both parties, Sec. 18-17. Costs on Counterclaim
the judicial authority upon motion of either party No costs shall be taxed in favor of a defendant
may order a setoff of the same, and execution recovering judgment on a counterclaim or setoff,
will then issue only for the balance. which were incurred before the same was filed.
(P.B. 1978-1997, Sec. 419.) (P.B. 1978-1997, Sec. 424.)
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SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 18-19
Sec. 18-18. Costs for Exhibits Sec. 18-19. Proceedings before Judge; No
The sum to be taxed to the prevailing party Costs
under General Statutes § 52-257, for maps, plans, In proceedings before a judge no costs shall
mechanical drawings, and photographs shall be be taxed in favor of either party unless otherwise
determined by the judicial authority. provided by statute.
(P.B. 1978-1997, Sec. 425.) (P.B. 1978-1997, Sec. 427.)
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Sec. 19-1 SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS
CHAPTER 19
REFERENCES
Sec. Sec.
19-1. Application of Chapter 19-9. Request for Finding
19-2. Reference to Committee 19-10. Alternative Report
19-2A. Reference to Attorney Trial Referee 19-11. Amending Report
19-3. Reference to Judge Trial Referee 19-12. Motion To Correct [Repealed]
19-3A. Reference to Special Assignment Probate Judge 19-13. Exceptions to Report or Finding [Repealed]
19-4. Attorney Trial Referees and Special Assignment 19-14. Objections to Acceptance of Report
Probate Judges; Time To File Report 19-15. Time To File Objections
19-5. Appointment of Committee or Referee 19-16. Judgment on the Report
19-6. Effect of Reference 19-17. Function of the Court
19-7. Pleadings 19-18. Extensions of Time
19-8. Report 19-19. Reference to Accountant
For previous Histories and Commentaries see the editions of the Practice Book
corresponding to the years of the previous amendments.
Sec. 19-1. Application of Chapter required to be referred to a judge trial referee, the
The provisions of this chapter shall govern the judicial authority may refer any civil nonjury case
procedure in matters, except dissolution of mar- or, with the written consent of the parties or their
riage or civil union, legal separation, annulment, attorneys, any civil jury case, pending before such
and juvenile matters, referred to committees, state court, in which the issues have been closed, to a
referees and senior judges, attorney trial referees, judge trial referee, who shall have and exercise
special assignment probate judges, and, so far the powers of the Superior Court in respect to
as applicable, to auditors, appraisers or other per- trial, judgment and appeal in such case, and any
sons designated to make reports to the court. proceeding resulting from a demand for a trial
(P.B. 1978-1997, Sec. 428.) (Amended June 28, 1999, to de novo pursuant to subsection (e) of General
take effect Jan. 1, 2000; amended June 26, 2006, to take Statutes § 52-549z, may be referred without the
effect Jan. 1, 2007; amended June 20, 2011, to take effect consent of the parties to a judge trial referee who
Jan. 1, 2012.) has been specifically designated to hear such
Sec. 19-2. Reference to Committee proceedings pursuant to subsection (b) of General
Statutes § 52-434. Any case referred to a judge
The court or any judge thereof may send to a trial referee shall be deemed to have been
committee for a finding of facts any case wherein referred for all further proceedings and judgment,
the parties are not, as a matter of right, entitled to including matters pertaining to any appeal there-
a trial by jury. A committee shall not be appointed from, unless otherwise ordered before or after the
without the consent of all parties appearing, reference. The court may also refer to a judge
unless the court, after a hearing upon motion for trial referee any motion for summary judgment
appointment of a committee, is of the opinion that and any other pretrial matter in any civil nonjury
the questions involved are such as clearly ought or civil jury case.
to be sent to a committee. (P.B. 1978-1997, Sec. 430.) (Amended June 24, 2002, to
(P.B. 1978-1997, Sec. 429.) take effect Jan. 1, 2003.)
Sec. 19-2A. Reference to Attorney Trial Sec. 19-3A. Reference to Special Assign-
Referee ment Probate Judge
The court or judicial authority may refer to an The court may refer any appeal filed under Gen-
attorney trial referee any civil nonjury case in eral Statutes § 45a-186, except those matters
which the issues have been closed, provided that described in subdivision (l) (3) of that statute, to
the appearing parties or their counsel consent to a special assignment probate judge appointed in
the referral. accordance with General Statutes § 45a-79b who
(Adopted June 28, 1999, to take effect Jan. 1, 2000.) is assigned by the Probate Court Administrator
for the purposes of such appeal, except that such
Sec. 19-3. Reference to Judge Trial Referee appeal shall be heard by the court if any party
(Amended June 28, 1999, to take effect Jan. 1, 2000.) files a demand for such hearing in writing with the
The clerk shall give notice to each referee of a court not later than twenty days after service of
reference and note in the court file the date of the appeal.
the issuance of the notice. In addition to matters (Adopted June 20, 2011, to take effect Jan. 1, 2012.)
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SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 19-9
TECHNICAL CHANGE: A technical change was made to to that effect has been filed pursuant to Section
update the reference to subdivision (l) (3) of General Statutes 14-8. Thereafter no pleadings may be filed except
§ 45a-186.
by agreement of all parties or order of the court
Sec. 19-4. Attorney Trial Referees and Spe- or the attorney trial referee or special assignment
cial Assignment Probate Judges; Time To probate judge. Such pleadings shall be filed with
File Report the clerk and a copy filed with the committee, the
(Amended June 20, 2011, to take effect Jan. 1, 2012.) attorney trial referee or the special assignment
An attorney trial referee or special assignment probate judge.
(P.B. 1978-1997, Sec. 433.) (Amended June 29, 1998, to
probate judge to whom a case has been referred take effect Jan. 1, 1999; amended June 28, 1999, to take
shall file a report with the clerk of the court, with effect Jan. 1, 2000; amended June 20, 2011, to take effect
sufficient copies for all counsel, within one hun- Jan. 1, 2012.)
dred and twenty days of the completion of the
trial before such referee or special assignment Sec. 19-8. Report
probate judge. (a) The report of a committee, attorney trial ref-
(P.B. 1978-1997, Sec. 430A.) (Amended June 20, 2011, eree or special assignment probate judge shall
to take effect Jan. 1, 2012.) state, in separate and consecutively numbered
Sec. 19-5. Appointment of Committee or paragraphs, the facts found and the conclusions
Referee drawn therefrom. It should not contain statements
of evidence or excerpts from the evidence. The
It is the function of the court or judge to deter- report should ordinarily state only the ultimate
mine and appoint the person or persons who shall facts found; but if the committee, attorney trial
constitute a committee, or the referee to whom referee or special assignment probate judge has
a case shall be referred. Recommendations by reason to believe that the conclusions as to such
counsel shall be made only at the request of the facts from subordinate facts will be questioned, it
court or judge. If more than one person shall con- may also state the subordinate facts found pro-
stitute the committee, the first person named by ven; and any committee, attorney trial referee or
the court shall be the chair of the committee. special assignment probate judge having reason
(P.B. 1978-1997, Sec. 431.)
to believe that the rulings will be questioned may
Sec. 19-6. Effect of Reference state them with a brief summary of such facts as
(a) When any case shall be referred, no trial are necessary to explain them; and the commit-
will be had by the court unless the reference be tee, attorney trial referee or special assignment
revoked upon stipulation of the parties or order probate judge should state such claims as were
of the court. Any reference shall continue in force made by the parties and which either party requests
until the duties thereunder have been performed be stated.
or the order revoked. (b) The committee, attorney trial referee or spe-
(b) In making a reference in any eminent cial assignment probate judge may accompany
___domain proceeding, the court shall fix a date not the report with a memorandum of decision includ-
more than sixty days thereafter, unless for good ing such matters as it may deem helpful in the
cause shown a longer period is required, on decision of the case, and, in any case in which
which the parties shall exchange copies of their appraisal fees may be awarded by the court, shall
appraisal reports. Such reports shall set forth the make a finding and recommendation as to such
valuation placed upon the property in issue and appraisal fees as it deems reasonable.
(P.B. 1978-1997, Sec. 434.) (Amended June 28, 1999, to
the details of the items of, or the basis for, such take effect Jan. 1, 2000; amended June 20, 2011, to take
valuation. The court may, in its discretion and effect Jan. 1, 2012.)
under such conditions as it deems proper, and
after notice and hearing, grant a further extension Sec. 19-9. Request for Finding
of time, beyond that originally fixed, to any party Either party may request a committee, attorney
confronted with unusual and special circum- trial referee or special assignment probate judge
stances requiring additional time for the exchange to make a finding of subordinate facts or of its
of appraisal reports. rulings, and of the claims made, and shall include
(P.B. 1978-1997, Sec. 432.) (Amended June 28, 1999, to in or annex to such request a statement of the
take effect Jan. 1, 2000.) facts, or rulings, or claims, the party desires the
Sec. 19-7. Pleadings committee, attorney trial referee or special assign-
ment probate judge to incorporate in the report.
No case shall be referred to a committee, attor- (P.B. 1978-1997, Sec. 435.) (Amended June 28, 1999, to
ney trial referee or special assignment probate take effect Jan. 1, 2000; amended June 20, 2011, to take
judge until the issues are closed and a certification effect Jan. 1, 2012.)
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Sec. 19-10 SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS
Sec. 19-10. Alternative Report for the short calendar for judgment on the report
If alternative claims are made before the com- of the committee, attorney trial referee or special
mittee, attorney trial referee or special assignment assignment probate judge, provided, if the parties
probate judge, or the committee, attorney trial ref- file a stipulation that no objections will be filed,
eree or special assignment probate judge deems the case may be so claimed at any time thereafter.
it advisable, it may report all the facts bearing The court may, on its own motion and with
upon such claims and make its conclusions in notice thereof, schedule the matter for judgment
the alternative, so that the judgment rendered will on the report and/or hearing on any objections
depend upon which of the alternative conclusions thereto, anytime after the expiration of twenty-one
the facts are found legally to support. days from the mailing or electronic delivery of the
(P.B. 1978-1997, Sec. 436.) (Amended June 28, 1999, to report to the parties or their counsel by the clerk.
take effect Jan. 1, 2000; amended June 20, 2011, to take (P.B. 1978-1997, Sec. 442.) (Amended June 28, 1999, to
effect Jan. 1, 2011.) take effect Jan. 1, 2000; amended June 20, 2011, to take
Sec. 19-11. Amending Report effect, Jan. 1, 2012.)
A committee, attorney trial referee or special Sec. 19-17. Function of the Court
assignment probate judge may, at any time before
a report is accepted, file an amendment to it or (a) The court shall render such judgment as the
an amended report. law requires upon the facts in the report. If the
(P.B. 1978-1997, Sec. 437.) (Amended June 28, 1999, to court finds that the committee, attorney trial ref-
take effect Jan. 1, 2000; amended June 20, 2011, to take eree or special assignment probate judge has
effect Jan. 1, 2012.) materially erred in its rulings or that there are other
Sec. 19-12. Motion To Correct sufficient reasons why the report should not be
accepted, the court shall reject the report and
[Repealed as of Jan. 1, 2000.]
refer the matter to the same or another committee,
Sec. 19-13. Exceptions to Report or Finding attorney trial referee or special assignment pro-
[Repealed as of Jan. 1, 2000.] bate judge, as the case may be, for a new trial or
revoke the reference and leave the case to be
Sec. 19-14. Objections to Acceptance of disposed of in court.
Report
(b) The court may correct a report at any time
A party may file objections to the acceptance before judgment upon the written stipulation of
of a report on the ground that conclusions of fact the parties or it may upon its own motion add a
stated in it were not properly reached on the basis fact which is admitted or undisputed or strike out
of the subordinate facts found, or that the commit- a fact improperly found.
tee, attorney trial referee or special assignment (P.B. 1978-1997, Sec. 443.) (Amended June 28, 1999, to
probate judge erred in rulings on evidence or other take effect Jan. 1, 2000; amended June 20, 2011, to take
rulings or that there are other reasons why the effect Jan. 1, 2012.)
report should not be accepted. A party objecting
on these grounds must file with the party’s objec- Sec. 19-18. Extensions of Time
tions a transcript of the evidence taken before the Any judge of the court in which the report is
committee, except such portions as the parties filed may for good cause shown allow extensions
may stipulate to omit. of time for taking any of the steps herein provided.
(P.B. 1978-1997, Sec. 440.) (Amended June 28, 1999, to (P.B. 1978-1997, Sec. 444.) (Amended June 28, 1999, to
take effect Jan. 1, 2000; amended June 26, 2000, to take take effect Jan. 1, 2000.)
effect Jan. 1, 2001; amended June 20, 2011, to take effect
Jan. 1, 2012.)
Sec. 19-19. Reference to Accountant
Sec. 19-15. Time To File Objections The court or any judge thereof may refer any
Objections to the acceptance of a report shall pending matter to an accountant for an examina-
be filed within twenty-one days after the mailing tion of any account or books. The accountant shall
or electronic delivery of the report to the parties have authority to make such examination and
or their counsel by the clerk. shall file a report with comments with the court or
(P.B. 1978-1997, Sec. 441.) (Amended June 28, 1999, to judge. The fees and expenses of the accountant,
take effect Jan. 1, 2000; amended June 20, 2011, to take
effect Jan. 1, 2012.) as fixed and allowed by the court or judge, shall
be paid by the estate or the parties, as the court
Sec. 19-16. Judgment on the Report or judge may determine. The other provisions of
After the expiration of twenty-one days from the this chapter shall not be applicable to reports by
mailing or electronic delivery of the report, either accountants under this section.
party may, without written motion, claim the case (P.B. 1978-1997, Sec. 445.)
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SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 20-6
CHAPTER 20
HEARINGS IN CHAMBERS
Sec. Sec.
20-1. Procedure in Contested Matters 20-4. Trial before Judge; Lodging File and Papers
20-2. Certifying Proceedings to Court 20-5. Lodging Papers in Cause Affecting Land
20-3. Transfer of Hearings before Judges 20-6. Clerk Designated by Judge To Take Papers
For previous Histories and Commentaries see the editions of the Practice Book
corresponding to the years of the previous amendments.
Sec. 20-1. Procedure in Contested Matters to such judge or had theretofore been pending
Where any matter in a proceeding which has before him or her. (See General Statutes § 51-
or might have been made returnable to the court 189.)
in any judicial district is brought, pursuant to stat- (P.B. 1978-1997, Sec. 448.)
ute before a judge, and is contested, and it may Sec. 20-4. Trial before Judge; Lodging File
become necessary to take oral testimony, the and Papers
judge may, at his or her discretion and by agree- In all trials of causes before a judge that might
ment of the parties, repair to the courthouse, open have been brought to the court, the judge, when
a special session of the court, certify such pro- a decision has been reached, shall lodge the file
ceedings to said court, and go forward with the and papers in such cause, and a memorandum
hearing as a court. of the judge’s decision, with the clerk of the court
(P.B. 1978-1997, Sec. 446.)
who would have been the custodian thereof had
Sec. 20-2. Certifying Proceedings to Court the cause been tried by the court in such judicial
Each application or petition made to any judge district, and such clerk shall thereupon become
in connection with any cause then pending in or their lawful custodian. (See General Statutes
returnable to any court and the proceedings § 51-190a.)
(P.B. 1978-1997, Sec. 449.)
thereon shall be certified to the said court by said
judge. (See General Statutes § 52-504.) Sec. 20-5. Lodging Papers in Cause Affect-
(P.B. 1978-1997, Sec. 447.) (Amended June 25, 2001, to ing Land
take effect Jan. 1, 2002.)
In all causes relating to an interest in land, tried
Sec. 20-3. Transfer of Hearings before by a judge, the judge shall lodge the file and
Judges papers in the cause, with a memorandum of the
When, upon any application, petition or matter judge’s decision, with a clerk of the court in the
presented to any judge of the court for a hearing judicial district in which the land affected is
by him or her as a judge, notice to the adverse located, who shall thereupon become their law-
party of the hearing thereon is required, either by ful custodian.
(P.B. 1978-1997, Sec. 450.)
statute or in the discretion of the judge, the judge
to whom such application, petition or matter has Sec. 20-6. Clerk Designated by Judge To
been presented may, in the order of notice issued Take Papers
by the judge, designate any other judge of the When a cause other than one mentioned in
court to hear the same, the consent thereto of Sections 20-4 and 20-5 is tried by a judge, and
such other judge having first been obtained, and it is not otherwise provided by law where the file
when any application, petition or matter is pending and papers shall be lodged, the judge, when a
before any judge of the court, such application, decision has been reached, shall designate a
petition or matter may be by the judge transferred clerk of the Superior Court with whom the same
to any other judge of the court, upon like consent shall be lodged, and shall thereupon lodge the
first obtained; and in either case such other judge same with such clerk with a memorandum of the
shall thereupon proceed with such application, judge’s decision, and such clerk shall thereupon
petition or matter with the same authority as become the lawful custodian thereof.
though the same had originally been presented (P.B. 1978-1997, Sec. 451.)
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Sec. 21-1 SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS
CHAPTER 21
RECEIVERS
Sec. Sec.
21-1. Appointment of Temporary Receiver in Chambers 21-13. Semiannual Summary of Orders
21-2. Permanent Receiver 21-14. Semiannual Accounts
21-3. Appointments by Court 21-15. Orders in Chambers
21-4. Receiver To Give Bond 21-16. Duty of Clerks
21-5. Inventory 21-17. Removal of Receivers
21-6. Insolvent Estates To Be Liquidated 21-18. Ancillary Receivers
21-7. Presentation and Allowance of Claims; Presen- 21-19. Receiver of Rents; Applicability of Previous
tation Sections
21-8. —Allowance; Hearing 21-20. —Appointment
21-9. —Extensions of Time 21-21. —Bond
21-10. —Hearing before Action on Allowance 21-22. —Discharge
21-11. Continuance of Business 21-23. —Orders
21-12. Reports where Business Continued 21-24. —Reports
For previous Histories and Commentaries see the editions of the Practice Book
corresponding to the years of the previous amendments.
Sec. 21-1. Appointment of Temporary Re- the temporary receiver, on or before such open-
ceiver in Chambers ing, shall make and place upon the short calendar
All applications for the appointment of a receiver list an application therefor.
shall be made in a civil action, and at any time (P.B. 1978-1997, Sec. 486.)
after the writ and complaint has been signed. As Sec. 21-3. Appointments by Court
ancillary thereto, an application may be made, (a) All appointments of receivers shall be tem-
when the court before which such action is pend- porary appointments, unless made by the court
ing is not in actual session, to a judge in chambers after the return day of the action, and upon full
for the appointment of a temporary receiver, after notice and opportunity to be heard to all con-
notice to the parties in interest, unless the exigen- cerned. If made after the return day the appoint-
cies of the case require otherwise; and said judge
ment shall be upon written motion addressed to
may appoint a temporary receiver, and upon such
the court. If made before the return day the party
appointment shall fix a time for a hearing upon
desiring the appointment shall file a written appli-
the confirmation of such temporary receiver and
cation as is required where the appointment is by
the appointment of appraisers, and cause not less
than six days’ notice thereof to be given to all a judge in chambers.
(b) In either case the court making a temporary
parties in interest by mail and otherwise if deemed
appointment shall forthwith make an order for a
necessary. Upon such hearing or an adjourn-
hearing upon the confirmation of such temporary
ment thereof, the judge may appoint two or more
appraisers and either confirm the temporary appointment and the appointment of two or more
receiver or make a new appointment of a tempo- appraisers, and direct the temporary receiver to
rary receiver. The appointment of a temporary give notice of such hearing and of the time and
receiver shall continue until a permanent receiver place thereof to all parties concerned by public
shall be appointed or until the further order of advertisement if it seems advisable and by caus-
the court. ing a written or printed notice thereof to be mailed,
(P.B. 1978-1997, Sec. 485.) postpaid, to all known creditors and to all stock-
holders of record of the corporation, if the defend-
Sec. 21-2. Permanent Receiver ant be a corporation, at least six days before
The temporary receiver shall cause the case to such hearing.
be duly assigned for trial in the court at the earliest (c) At said hearing, if after the return day, the
practicable day after the return day of the action, court may appoint a permanent receiver, who may
for the appointment of a permanent receiver, and be either the temporary receiver or a new appoin-
in cases where the day for such hearing has not tee. If said hearing is before the return day, then
been fixed before the opening of the session of such appointment shall be temporary only, and
the court to which said proceeding is returnable, such temporary receiver shall cause the matter
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SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 21-13
of his or her confirmation as permanent receiver with it, and within a like time after the expiration
or the appointment of some other person as per- of the limitation file a list of claims presented,
manent receiver to be brought before the court separately stating those in which a preference is
as provided in the case of temporary receivers claimed, and make application for an order of the
appointed by a judge in chambers. court thereon.
(P.B. 1978-1997, Sec. 487.) (b) The court shall thereupon by its order allow
Sec. 21-4. Receiver To Give Bond or disallow, in whole or in part, the claims so
Every receiver, temporary or permanent, before returned and any preferences claimed and order
assuming to act as such, shall file with the clerk the receiver forthwith to give written notice to
of the court by which, or by a judge of which, he each claimant whose claim has been disallowed
or she was appointed, a bond with such surety or in whole or in part that unless the claimant shall
sureties, and for such an amount as such court within two weeks from the giving of such notice
or judge may order and approve, payable to the by the receiver bring an application to the court
state and conditioned for the faithful performance for the allowance of the claim, the same shall be
of the receiver’s official duties. (See General Stat- barred; and any such application shall be speedily
utes § 52-506 and annotations.) heard and the decision thereon shall, subject to
(P.B. 1978-1997, Sec. 488.) (Amended June 25, 2001, to appeal, be final. Any creditor may intervene in the
take effect Jan. 1, 2002.) proceeding.
Sec. 21-5. Inventory (P.B. 1978-1997, Sec. 493.)
Every receiver, upon confirmation or permanent Sec. 21-9. —Extensions of Time
appointment, shall forthwith, and without any The court, for good cause shown, may extend
order therefor, prepare and file a sworn inventory the time for presenting a claim or claims to the
of the assets of the estate, which shall contain receiver, and may extend the time for making
an appraisal of each item therein, made by the application for the allowance of a claim or claims
appraisers appointed for such purpose. Every tem- disallowed in whole or in part.
porary receiver, upon original appointment, shall (P.B. 1978-1997, Sec. 494.)
make an inventory, unless otherwise ordered.
(P.B. 1978-1997, Sec. 489.) Sec. 21-10. —Hearing before Action on
Sec. 21-6. Insolvent Estates To Be Liq- Allowance
uidated The court may, upon due notice to a claimant,
At the time of the appointment or of the confir- hear the claimant’s claim before allowing or disal-
mation of a temporary receiver or the appointment lowing the same and, subject to appeal, the deci-
of a permanent receiver, such inquiry as is practi- sion thereon shall be final.
cable shall be made by the judge or court relative (P.B. 1978-1997, Sec. 495.)
to the solvency of the estate. When, upon such Sec. 21-11. Continuance of Business
inquiry or thereafter, it appears to the judge or No order for the continuance of a business shall
court that the estate is insolvent, the estate shall be made for a greater period of time than four
be promptly liquidated and no further continuance months, except for special cause shown. For
of the business, except for the purpose of liq- cause shown, such orders may be renewed from
uidation, shall be permitted, unless, because of time to time, as the exigencies of the case may
exceptional circumstances, it shall be otherwise require.
ordered. (P.B. 1978-1997, Sec. 496.)
(P.B. 1978-1997, Sec. 490.)
Sec. 21-7. Presentation and Allowance of Sec. 21-12. Reports where Business Con-
Claims; Presentation tinued
The court shall, in the judgment appointing a When a receiver is continuing business under
permanent receiver, limit a time for the presenta- the order of a judge or the court, the receiver shall,
tion of claims against the estate and direct that during the first ten days of each month, file a report
the receiver forthwith give notice thereof, and that showing the results of operating the business dur-
all claims not exhibited within said time will be ing the preceding month. The receiver shall fur-
barred, to all known creditors, by mailing a written nish supplemental schedules and information if
or printed copy of such order. The court may pro- required by the court.
vide for further notice if it deems the same advis- (P.B. 1978-1997, Sec. 497.) (Amended June 25, 2001, to
take effect Jan. 1, 2002.)
able.
(P.B. 1978-1997, Sec. 492.) Sec. 21-13. Semiannual Summary of Orders
Sec. 21-8. —Allowance; Hearing Every receiver shall, on the first Tuesdays of
(a) The receiver shall, within two weeks after April and October of each year, file a summary
the order of notice, make a return of compliance statement of all orders made in said cause during
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Sec. 21-13 SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS
the six months preceding, and the doings there- Sec. 21-19. Receiver of Rents; Applicability
under. The clerk shall refer the statement to the of Previous Sections
judge holding the term or session then pending, Sections 21-1 through 21-15 shall not apply to
or held next thereafter, who shall, upon examina- receivers of rents.
tion of the same, make such further orders in said (P.B. 1978-1997, Sec. 505.)
cause as are deemed necessary, and may direct Sec. 21-20. —Appointment
that the cause be placed on the short calendar
Every application for the appointment of a
for an order approving the statement.
(P.B. 1978-1997, Sec. 498.) (Amended June 20, 2011, to
receiver of rents shall be made in or ancillary to
take effect Jan. 1, 2012.) a civil action and may be made either to the court
before which such action is pending or, when the
Sec. 21-14. Semiannual Accounts court is not in actual session, to a judge in cham-
Every receiver upon an estate which has been bers. The court or judge may examine the plaintiff
in process of settlement more than four months or plaintiff’s attorney and may thereupon appoint
(except receivers of state banks and trust compa- a receiver of rents. Notice of the hearing should
nies) shall during the first week of April and Octo- be given when practical but such appointment
ber of each year sign, swear to and file with the may be made without notice if sufficient cause
court a full and detailed account of the condition appears.
(P.B. 1978-1997, Sec. 506.)
and prospects of the estate as of the close of the
next preceding month, including therein a state- Sec. 21-21. —Bond
ment of realization and liquidation. The receiver No such appointment shall become effective
shall furnish supplemental schedules and infor- until the receiver shall have filed a bond in such
mation if required by the court. The receiver shall amount as shall have been fixed at the time of
cause a motion for the approval of the report to appointment or until said bond shall have been
be placed on the short calendar. approved by the judge or clerk of the court in
(P.B. 1978-1997, Sec. 499.) (Amended June 25, 2001, to which the action is pending; provided that no bond
take effect Jan. 1, 2002.) need be required of a bank or trust company.
The condition of bonds of such receivers shall be
Sec. 21-15. Orders in Chambers substantially in the following form:
Whenever any judge shall have appointed a The condition of this obligation is such that,
receiver in chambers, all applications for orders whereas the above named A has by (court or
in said proceeding made out of court shall, except judge) been appointed, in an action brought by X
in the case of such judge’s absence from the state, against Y, to be receiver of rents of property
the judge’s disability or a request in writing to the located in the town of
contrary, be made to such judge. and described as (describe generally, e.g., No.
(P.B. 1978-1997, Sec. 500.) 93 Maple Street):
Now, therefore, if said A shall well and truly
Sec. 21-16. Duty of Clerks perform his or her duties under such appointment,
The clerks shall see that these rules are then this obligation shall be void, otherwise in full
enforced and shall promptly report any violations force and effect.
thereof to the court. (P.B. 1978-1997, Sec. 507.)
(P.B. 1978-1997, Sec. 501.) Sec. 21-22. —Discharge
Sec. 21-17. Removal of Receivers Any party in interest may at any time move for
the discharge of the receiver.
Receivers may be removed at any time, at (P.B. 1978-1997, Sec. 508.)
the pleasure of the court by which they were
appointed or, if such court is not in session, by a Sec. 21-23. —Orders
judge thereof; and, if any receiver is removed or The court in which the action is pending, or the
declines to act or dies, the court that appointed appointing judge, may make such orders for the
the receiver, or, if such court is not in session, a governance of the receiver as circumstances
judge thereof, may fill the vacancy. (See General require. The judge shall certify any order passed
Statutes § 52-513 and annotations.) by the judge in chambers to the court in which
(P.B. 1978-1997, Sec. 502.) the action may be pending.
(P.B. 1978-1997, Sec. 509.)
Sec. 21-18. Ancillary Receivers Sec. 21-24. —Reports
These rules, so far as applicable, shall govern Such receivers shall file written reports quar-
the appointment and duties of ancillary receivers. terly and at such other times as may be required.
(P.B. 1978-1997, Sec. 503.) (P.B. 1978-1997, Sec. 510.)
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SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 22-4
CHAPTER 22
UNEMPLOYMENT COMPENSATION
Sec. Sec.
22-1. Appeal 22-6. —Motion To Correct by Appellee
22-2. Assignment for Hearing 22-7. —Duty of Board on Motion To Correct
22-3. Finding 22-8. —Claiming Error on Board’s Decision on Motion
22-4. Correction of Finding; Motion To Correct Finding To Correct
22-5. —Evidence To Be Filed by Appellee 22-9. Function of the Court
For previous Histories and Commentaries see the editions of the Practice Book
corresponding to the years of the previous amendments.
Sec. 22-1. Appeal Sec. 22-2. Assignment for Hearing
(a) A decision of the Employment Security (a) Appeals from decisions of the Employment
Board of Review may be appealed, within the time Security Board of Review are privileged with
limited by statute, to the Superior Court for the respect to their assignment for trial, but they shall
judicial district of Hartford or for the judicial district be claimed for the short calendar. The judicial
wherein the appellant resides. The appeal shall authority, however, may order the appeal placed
be in the form of a petition which shall state the on the administrative appeal trial list.
grounds on which a review is sought. The appel- (b) In any appeal in which one of the parties is
lant shall file the original and five copies of the not represented by counsel and in which the party
petition in the Office of the Employment Security taking the appeal does not claim the case for the
Board of Review. The chair of the board shall, short calendar or trial within a reasonable time
within the third business day after such filing, after the return day, the judicial authority may of
cause the original petition or petitions to be mailed its own motion dismiss the appeal, or the party
to the clerk of the Superior Court and, copy or ready to proceed may move for nonsuit or default
copies thereof to be mailed to the administrator as appropriate.
and to each other party to the proceeding in which (P.B. 1978-1997, Sec. 511B.)
the appeal was taken. The clerk shall docket the
appeal as returned to the next return day after Sec. 22-3. Finding
the receipt of the petition or petitions. No appeal The finding of the board should contain only the
bond shall be required. ultimate, relevant and material facts essential to
(b) At the time the petition is mailed to the clerk, the case in hand and found by it, together with a
or as soon thereafter as practicable, the chair of statement of its conclusions and the claims of law
the board shall cause to be mailed to the clerk a made by the parties. It should not contain excerpts
certified copy of the record, which shall consist of from evidence or merely evidential facts, nor the
the notice of appeal to the referee and the board, opinions or beliefs of the board, nor the reasons
the notices of hearing before them, the referee’s for its conclusions. The opinions, beliefs, reasons
findings of fact and decision, the findings and deci- and argument of the board should be expressed
sion of the board, all documents admitted into
evidence before the referee and the board or both, in the memorandum of decision, if any be filed,
and all other evidentiary material accepted by so far as they may be helpful in the decision of
them. the case.
(P.B. 1978-1997, Sec. 514.)
(c) The judicial authority may, on request of a
party to the action or on its own motion, order the Sec. 22-4. Correction of Finding; Motion To
board to prepare and verify to the court a transcript Correct Finding
of the hearing before the referee in cases in which If the appellant desires to have the finding of
the board’s decision was rendered on the record the board corrected, he or she must, within two
of such hearing, or a transcript of the hearing weeks after the record has been filed in the Supe-
before the board in cases in which the board’s rior Court, unless the time is extended for cause
decision was rendered on the record of its own by the board, file with the board a motion for the
evidentiary hearing. correction of the finding and with it such portions
(P.B. 1978-1997, Sec. 511A.) (Amended June 29, 1998,
to take effect Sept. 1, 1998; amended June 25, 2001, to take of the evidence as he or she deems relevant and
effect Jan. 1, 2002.) material to the corrections asked for, certified by
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Sec. 22-4 SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS
the stenographer who took it; but if the appellant board’s decision on the motion to correct was
claims that substantially all the evidence is rele- mailed to the party making the claim, and shall
vant and material to the corrections sought, he or contain a certification that a copy thereof has been
she may file all of it, so certified, indicating in the served on the board and on each other party to the
motion so far as possible the portion applicable to appeal in accordance with Sections 10-12 through
each correction sought. The board shall forthwith 10-17.
upon the filing of the motion and of the transcript (b) The appellant shall include his or her claims
of the evidence, give notice to the adverse party of error in the appeal petition unless they are filed
or parties. subsequent to the filing of that petition, in which
(P.B. 1978-1997, Sec. 515A.)
case they shall be set forth in an amended petition.
Sec. 22-5. —Evidence To Be Filed by Ap- (P.B. 1978-1997, Sec. 518A.)
pellee
The appellee should, if he or she deems that Sec. 22-9. Function of the Court
additional evidence is relevant and material to (a) Such appeals are heard by the court upon
the motion to correct, within one week after the the certified copy of the record filed by the board.
appellant has filed the transcript of evidence, so The court does not retry the facts or hear evi-
notify the board, and, at the earliest time, he or dence. It considers no evidence other than that
she can procure it file with the board such addi- certified to it by the board, and then for the limited
tional evidence. purpose of determining whether the finding should
(P.B. 1978-1997, Sec. 516.) be corrected, or whether there was any evidence
Sec. 22-6. —Motion To Correct by Appellee to support in law the conclusions reached. It can-
If the appellee desires to file a motion to correct, not review the conclusions of the board when
the procedure to be followed shall be the same these depend upon the weight of the evidence
as that set forth in Sections 22-4 and 22-5 above. and the credibility of witnesses. In addition to ren-
(P.B. 1978-1997, Sec. 516A.) dering judgment on the appeal, the court may
Sec. 22-7. —Duty of Board on Motion To order the board to remand the case to a referee
Correct for any further proceedings deemed necessary by
The board shall file with the court, within a rea- the court. The court may remand the case to the
sonable time, such motions to correct together board for proceedings de novo, or for further pro-
with its decision thereon. If the motions are denied ceedings on the record, or for such limited pur-
in whole or in part and such denial is made a poses as the court may prescribe. The court may
ground of appeal to the court, the board shall, retain jurisdiction by ordering a return to the court
within a reasonable time thereafter, file in the court of the proceedings conducted in accordance with
the transcripts of evidence filed by the appellant the order of the court, or may order final disposi-
and the appellee, together with such additional tion. A party aggrieved by a final disposition made
evidence as may have been taken before the in compliance with an order of the Superior Court
board in the form of testimony, or taken by it in may, by the filing of an appropriate motion, request
other ways, and deemed by it relevant and mate- the court to review the disposition of the case.
rial to these corrections. (b) Corrections by the court of the board’s find-
(P.B. 1978-1997, Sec. 518.) ing will only be made upon the refusal to find a
Sec. 22-8. —Claiming Error on Board’s Deci- material fact which was an admitted or undisputed
sion on Motion To Correct fact, upon the finding of a fact in language of
(a) Any party to the appeal may file claims of doubtful meaning so that its real significance may
error concerning the board’s decision on a motion not clearly appear, or upon the finding of a material
to correct the finding. Such claims shall be filed fact without evidence.
with the court within two weeks from the date the (P.B. 1978-1997, Sec. 519.)
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SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 23-3
CHAPTER 23
MISCELLANEOUS REMEDIES AND PROCEDURES
Sec. Sec.
23-1. Arbitration; Confirming, Correcting or Vacating Award 23-33. —Request for a More Specific Statement
23-2. Expedited Process Cases [Repealed] 23-34. —Summary Procedures for Habeas Corpus Peti-
23-3. —Placement on the Expedited Process Track tions
[Repealed] 23-35. —Schedule for Filing Pleadings
23-4. —Pleadings Allowed in Expedited Process Track 23-36. —The Expanded Record
Cases [Repealed] 23-37. —Summary Judgment in Habeas Corpus
23-5. —Motions Allowed [Repealed] 23-38. —Discovery in Habeas Corpus
23-6. —Discovery Allowed [Repealed] 23-39. —Depositions in Habeas Corpus
23-7. —Discovery Procedure for Expedited Process 23-40. —Court Appearance in Habeas Corpus
Cases [Repealed] 23-41. —Motion for Leave To Withdraw Appearance of
23-8. —Certification That Pleadings Are Closed [Repealed] Appointed Counsel
23-9. —Case Management Conference for Expedited 23-42. —Judicial Action on Motion for Permission To With-
Process Track Cases [Repealed] draw Appearance
23-10. —Transfer to Regular Docket [Repealed] 23-43. Interpleader; Pleadings
23-11. —Offers of Judgment [Repealed] 23-44. —Procedure in Interpleader
23-12. —Trial of Cases on Expedited Process Track 23-45. Mandamus; Parties Plaintiff; Complaint
[Repealed] 23-46. —Mandamus Complaint [Repealed]
23-13. Granting of Complex Litigation Status and Assign- 23-47. —Mandamus Order in a Pending Action
ment 23-48. —Temporary Order of Mandamus
23-14. —Powers of Judge Assigned in Complex Litiga- 23-49. —Pleadings in Mandamus
tion Cases 23-50. Writs of Error
23-15. —Request for Complex Litigation Status 23-51. Petition To Open Parking or Citation Assessment
23-16. Foreclosure of Mortgages 23-52. Fact-Finding; Approval of Fact Finders
23-17. —Listing of Law Days 23-53. —Referral of Cases to Fact Finders
23-18. —Proof of Debt in Foreclosures 23-54. —Selection of Fact Finders; Disqualification
23-19. —Motion for Deficiency Judgment 23-55. —Hearing in Fact-Finding
23-56. —Finding of Facts
23-20. Review of Civil Contempt
23-57. —Objections to Acceptance of Finding of Facts
23-21. Habeas Corpus
23-58. —Action by Judicial Authority
23-22. —The Petition 23-59. —Failure To Appear at Hearing
23-23. —Return of Noncomplying Petition 23-60. Arbitration; Approval of Arbitrators
23-24. —Preliminary Consideration of Judicial Authority 23-61. —Referral of Cases to Arbitrators
23-25. —Waiver of Filing Fees and Costs of Service 23-62. —Selection of Arbitrators; Disqualification
23-26. —Appointment of Counsel 23-63. —Hearing in Arbitration
23-27. —Venue for Habeas Corpus 23-64. —Decision of Arbitrator
23-28. —Transfer of Habeas Corpus 23-65. —Failure To Appear at Hearing before Arbitrator
23-29. —Dismissal 23-66. —Claim for Trial De Novo in Arbitration; Judgment
23-30. —The Return 23-67. Alternative Dispute Resolution
23-31. —Reply to the Return 23-68. Where Presence of Person May Be by Means of
23-32. —Amendments an Interactive Audiovisual Device
For previous Histories and Commentaries see the editions of the Practice Book
corresponding to the years of the previous amendments.
Sec. 23-1. Arbitration; Confirming, Correct- HISTORY—2023: ‘‘General Statutes §§ 52-417, 52-418 or
ing or Vacating Award 52-419’’ was deleted following ‘‘award under’’ and was
replaced with ‘‘chapters 862 and 909 of the General Statutes.’’
In proceedings brought for confirming, vacating COMMENTARY—2023: The changes to this section are
or correcting an arbitration award under chapters intended to ensure that consistent standard procedures will
862 and 909 of the General Statutes, the court or be used in proceedings brought for confirming, vacating or
judge to whom the application is made shall cause correcting an arbitration award.
to be issued a citation directing the adverse party Sec. 23-2. Expedited Process Cases
or parties in the arbitration proceeding to appear [Repealed as of Jan. 1, 2015.]
on a day certain and show cause, if any there be,
why the application should not be granted. Sec. 23-3. —Placement on the Expedited
(P.B. 1978-1997, Sec. 525.) (Amended June 10, 2022, to Process Track
take effect Jan. 1, 2023.) [Repealed as of Jan. 1, 2015.]
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Sec. 23-4 SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS
Sec. 23-4. —Pleadings Allowed in Expedited an assignment pursuant to Section 23-13. The
Process Track Cases request shall be submitted in writing on a form
[Repealed as of Jan. 1, 2015.] prescribed by the chief court administrator. When
an attorney or self-represented party makes such
Sec. 23-5. —Motions Allowed a request, a copy of the request shall be served
[Repealed as of Jan. 1, 2015.] on other parties pursuant to Sections 10-12
through 10-17. Should the chief court administra-
Sec. 23-6. —Discovery Allowed
tor deem it appropriate to do so, the chief court
[Repealed as of Jan. 1, 2015.] administrator may solicit comments on the request
Sec. 23-7. —Discovery Procedure for Expe- by causing a notice to be published in the Con-
dited Process Cases necticut Law Journal.
(P.B. 1998.) (Amended June 15, 2018, to take effect Jan.
[Repealed as of Jan. 1, 2015.] 1, 2019.)
Sec. 23-8. —Certification That Pleadings
Sec. 23-16. Foreclosure of Mortgages
Are Closed
[Repealed as of Jan. 1, 2015.] At the time the plaintiff files a motion for judg-
ment of foreclosure, the plaintiff shall serve on
Sec. 23-9. —Case Management Conference each appearing defendant, in accordance with
for Expedited Process Track Cases Sections 10-12 through 10-17, a copy of the
[Repealed as of Jan. 1, 2015.] appraisal report of the property being foreclosed.
The motion for judgment shall contain a certifica-
Sec. 23-10. —Transfer to Regular Docket tion that such service was made.
[Repealed as of Jan. 1, 2015.] (P.B. 1978-1997, Sec. 526.)
Sec. 23-11. —Offers of Judgment Sec. 23-17. —Listing of Law Days
[Repealed as of Jan. 1, 2015.] (a) In any action to foreclose a mortgage or lien,
Sec. 23-12. —Trial of Cases on Expedited any party seeking a judgment of strict foreclosure
Process Track shall file, with the motion for judgment, a list indi-
cating the order in which law days should be
[Repealed as of Jan. 1, 2015.]
assigned to the parties to the action. The order
Sec. 23-13. Granting of Complex Litigation of the law days so indicated shall reflect the infor-
Status and Assignment mation contained in the plaintiff’s complaint, as
The chief court administrator or the chief admin- that information may have been modified by the
istrative judge of the civil division may designate pleadings. Objections to the order of law days
a group of cases that have many parties and com- indicated on said list shall only be considered in
mon questions of law or fact as complex litigation the context of a motion for determination of priorit-
cases and assign the cases to a single judge ies, which motion must be filed prior to the entry
for pretrial, trial, or both and, if appropriate, may of judgment.
assign the cases to another judge or court officer (b) Unless otherwise ordered by the judicial
for settlement or mediation discussions. authority at the time it renders the judgment of
(P.B. 1998.) strict foreclosure, the following provisions shall be
deemed to be part of every such judgment:
Sec. 23-14. —Powers of Judge Assigned in
Complex Litigation Cases (1) That, upon the payment of all of the sums
found by the judicial authority to be due the plain-
The judge to whom complex litigation cases tiff, including all costs as allowed by the judicial
have been assigned may stay any or all further authority and taxed by the clerk, by any defendant,
proceedings in the cases, may transfer any or all after all subsequent parties in interest have been
further proceedings in the cases to the judicial foreclosed, the title to the premises shall vest
district where the judge is sitting, may hear all absolutely in the defendant making such payment,
pretrial motions, and may enter any appropriate subject to such unpaid encumbrances, if any, as
order which facilitates the management of the
precede the interest of the redeeming defendant.
complex litigation cases.
(P.B. 1998.) (2) That the defendants, and all persons claim-
ing possession of the premises through any of the
Sec. 23-15. —Request for Complex Litiga- defendants under any conveyance or instrument
tion Status executed or recorded subsequent to the date of
An attorney, judge or self-represented party the lis pendens or whose interest shall have been
may request the chief court administrator to make thereafter obtained by descent or otherwise,
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SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 23-23
deliver up possession of the premises to the plain- claims as to the value. If any party intends to offer
tiff or the defendant redeeming in accordance with evidence contradicting the debt or the valuation
this decree, with stay of execution of ejectment of the property, such party shall file an objection
in favor of the redeeming defendant until one day five days before the hearing on the motion and
after the time herein limited to redeem, and if all shall disclose the name of any person who will
parties fail to redeem, then until the day following testify as to the value of the property.
the last assigned law day. (P.B. 1978-1997, Sec. 528.)
(P.B. 1978-1997, Sec. 526A.)
Sec. 23-20. Review of Civil Contempt
Sec. 23-18. —Proof of Debt in Foreclosures No person shall continue to be detained in a
(a) In any action to foreclose a mortgage where correctional facility pursuant to an order of civil
no defense as to the amount of the mortgage contempt for longer than thirty days, unless at
debt is interposed, such debt may be proved by the expiration of such thirty days such person is
presenting to the judicial authority the original note presented to the judicial authority. On each such
and mortgage, together with the affidavit of the presentment, the contemnor shall be given an
plaintiff or other person familiar with the indebted- opportunity to purge himself or herself of the con-
ness, stating what amount, including interest to tempt by compliance with the order of the judicial
the date of the hearing, is due, and that there is authority. If the contemnor does not so act, the
no setoff or counterclaim thereto. judicial authority may direct that the contemnor
(b) No less than five days before the hearing remain in custody under the terms of the order of
on the motion for judgment of foreclosure, the the judicial authority then in effect, or may modify
plaintiff shall file with the clerk of the court and
the order if the interests of justice so dictate.
serve on each appearing party, in accordance (P.B. 1978-1997, Sec. 528A.)
with Sections 10-12 through 10-17, a preliminary
statement of the plaintiff’s monetary claim. Sec. 23-21. Habeas Corpus
(P.B. 1978-1997, Sec. 527.)
Except as otherwise provided herein, the proce-
Sec. 23-19. —Motion for Deficiency Judg- dures set forth in Sections 23-22 through 23-42
ment shall apply to any petition for a writ of habeas
(a) Whenever a deficiency judgment is claimed corpus which sets forth a claim of illegal confine-
in a foreclosure action, the party claiming such ment. Such procedures shall not apply to any
judgment shall file with the clerk of the court within petition for a writ of habeas corpus brought to
the time limited by statute a written motion setting determine the custody and visitation of children
forth the facts relied on as the basis for the judg- or brought by or on behalf of a person confined
ment, which motion shall be placed on the short in a hospital for mental illness.
calendar for an evidentiary hearing. Such hear- (P.B. 1978-1997, Sec. 529.)
ing shall be held not less than fifteen days follow-
Sec. 23-22. —The Petition
ing the filing of the motion, except as the judicial
authority may otherwise order. At such hearing A petition for a writ of habeas corpus shall be
the judicial authority shall hear the evidence, under oath and shall state:
establish a valuation for the mortgaged property (1) the specific facts upon which each specific
and shall render judgment for the plaintiff for the claim of illegal confinement is based and the
difference, if any, between such valuation and the relief requested;
plaintiff’s claim. The plaintiff in any further action (2) any previous petitions for the writ of habeas
upon the debt, note or obligation, shall recover corpus challenging the same confinement and the
only the amount of such judgment. dispositions taken thereon; and
(b) Upon the motion of any party and for good (3) whether the legal grounds upon which the
cause shown, the court may refer such motion to petition is based were previously asserted at the
a judge trial referee for hearing and judgment. criminal trial, on direct appeal or in any previous
(c) Not less than fifteen days prior to the hearing petition.
on the motion for deficiency judgment, the party (P.B. 1978-1997, Sec. 529A.) (Amended June 25, 2001,
claiming the deficiency judgment shall file with the to take effect Jan. 1, 2002.)
clerk of the court and serve on each appearing
party, in accordance with Sections 10-12 through Sec. 23-23. —Return of Noncomplying
10-17, a preliminary computation of the debt, the Petition
name of any expert on whose opinion the party The court may return any petition not in sub-
will rely to prove the value of the property on the stantial compliance with the requirements of Sec-
date of vesting, and a statement of the party’s tion 23-22 with a description of how the petition
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Sec. 23-23 SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS
fails to comply with filing requirements and a state- (3) the petition presents the same ground as a
ment indicating that a corrected petition may be prior petition previously denied and fails to state
resubmitted. new facts or to proffer new evidence not reason-
(P.B. 1978-1997, Sec. 529B.) ably available at the time of the prior petition;
Sec. 23-24. —Preliminary Consideration of (4) the claims asserted in the petition are moot
Judicial Authority or premature;
(a) The judicial authority shall promptly review (5) any other legally sufficient ground for dis-
any petition for a writ of habeas corpus to deter- missal of the petition exists.
mine whether the writ should issue. The judicial (P.B. 1978-1997, Sec. 529H.)
authority shall issue the writ unless it appears that: Sec. 23-30. —The Return
(1) the court lacks jurisdiction;
(2) the petition is wholly frivolous on its face; or (a) The respondent shall file a return to the
(3) the relief sought is not available. petition setting forth the facts claimed to justify
(b) The judicial authority shall notify the peti- the detention and attaching any commitment
tioner if it declines to issue the writ pursuant to order upon which custody is based.
this rule. (b) The return shall respond to the allegations
(P.B. 1978-1997, Sec. 529C.) of the petition and shall allege any facts in support
of any claim of procedural default, abuse of the
Sec. 23-25. —Waiver of Filing Fees and
writ, or any other claim that the petitioner is not
Costs of Service
entitled to relief.
The judicial authority may waive the filing fee (P.B. 1978-1997, Sec. 529I.)
and costs of service in accordance with Section
8-2. Sec. 23-31. —Reply to the Return
(P.B. 1978-1997, Sec. 529D.)
(a) If the return alleges any defense or claim
Sec. 23-26. —Appointment of Counsel that the petitioner is not entitled to relief, and such
In petitions arising from criminal matters, extra- allegations are not put in dispute by the petition,
dition proceedings or delinquency matters, if the the petitioner shall file a reply.
petitioner has requested counsel, the judicial author- (b) The reply shall admit or deny any allegations
ity shall refer the matter to the public defender for that the petitioner is not entitled to relief.
an investigation of indigence. If, after such inves- (c) The reply shall allege any facts and assert
tigation, the judicial authority determines that the any cause and prejudice claimed to permit review
petitioner is eligible for public defender services, of any issue despite any claimed procedural
the judicial authority shall appoint counsel in accor- default. The reply shall not restate the claims of
dance with the provisions of General Statutes the petition.
§ 51-296. (P.B. 1978-1997, Sec. 529J.)
(P.B. 1978-1997, Sec. 529E.)
Sec. 23-32. —Amendments
Sec. 23-27. —Venue for Habeas Corpus
The petitioner may amend the petition at any
The venue for habeas corpus matters shall be time prior to the filing of the return. Following the
in accordance with the General Statutes. Transfer return, any pleading may be amended with leave
or removal of the subject of the petition to another of the judicial authority for good cause shown.
___location shall not affect venue, provided that the (P.B. 1978-1997, Sec. 529K.)
subject of the petition remains in the custody of
the respondent. Sec. 23-33. —Request for a More Specific
(P.B. 1978-1997, Sec. 529F.) Statement
Sec. 23-28. —Transfer of Habeas Corpus Any party may request a more specific state-
The petition may be transferred to another judi- ment regarding a preceding pleading to obtain
cial district for good cause shown. a more complete and particular statement of the
(P.B. 1978-1997, Sec. 529G.) facts supporting each legal claim or to obtain
Sec. 23-29. —Dismissal any other appropriate correction in the preceding
The judicial authority may, at any time, upon its pleading. Such request shall be deemed to have
own motion or upon motion of the respondent, been granted by the judicial authority on the date
dismiss the petition, or any count thereof, if it of the filing and shall be complied with by the party
determines that: to whom it is directed within thirty days of filing,
(1) the court lacks jurisdiction; unless within thirty days of filing the party to whom
(2) the petition, or a count thereof, fails to state it is directed objects, setting forth, in concise fash-
a claim upon which habeas corpus relief can be ion, the basis for the objection. A request for a
granted; more specific statement, and objection, may be
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SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 23-40
ruled upon by the judicial authority without oral shall be rendered if the pleadings, affidavits and
argument, unless the judicial authority determines any other evidence submitted show that there is
that oral argument is necessary. no genuine issue of material fact between the
(P.B. 1978-1997, Sec. 529L.) parties requiring a trial and the moving party is
Sec. 23-34. —Summary Procedures for entitled to judgment as a matter of law.
Habeas Corpus Petitions (P.B. 1978-1997, Sec. 529P.)
The judicial authority may establish such addi- Sec. 23-38. —Discovery in Habeas Corpus
tional procedures as it determines will aid in the
fair and summary disposition of habeas corpus (a) Discovery, as of right, is limited to:
petitions, including, but not limited to, schedul- (1) A list of witnesses;
ing orders. (2) A statement of the subject matter upon
(P.B. 1978-1997, Sec. 529M.) which any expert witness is expected to testify;
Sec. 23-35. —Schedule for Filing Pleadings (3) A statement of the opinions the expert is
expected to render and the ground for each
Unless the judicial authority issues specific
opinion.
scheduling orders, the following schedule shall
apply: (b) The parties may cooperatively engage in
(a) Amended Petition. informal discovery. The provisions of Chapter 13,
(1) Transcript Necessary. If a transcript of prior Discovery and Depositions of the rules of practice,
proceedings is necessary to pursue the petition, do not apply to habeas corpus proceedings.
within thirty days after notice that the writ has (c) Upon motion, the judicial authority may order
issued, or notice of appointment of counsel, such other limited discovery as the judicial author-
whichever is later, the petitioner shall file a state- ity determines will enhance the fair and summary
ment describing any transcript(s) ordered. Upon disposal of the case.
receipt of the transcript(s), the petitioner shall file (P.B. 1978-1997, Sec. 529Q.)
a notice of transcript receipt. Within sixty days of TECHNICAL CHANGE: In subsection (b), ‘‘Chapter’’ was
capitalized for consistency purposes.
receipt of the transcript(s), the petitioner shall file
an amended petition, or notice that the petition Sec. 23-39. —Depositions in Habeas Corpus
will not be amended.
(2) Transcript not Necessary. If a transcript is (a) Upon leave of the judicial authority, the testi-
not necessary to pursue the petition, within thirty mony of any person may be taken by deposition
days after notice that the writ has issued, or notice if the testimony will be required at an evidentiary
of appointment of counsel, whichever is later, the hearing and it appears:
petitioner shall file an amended petition or a notice (1) the testimony may not be available at the
that the petition will not be amended. required evidentiary hearing because of physical
(b) Return or Responsive Pleading. The return or mental illness or infirmity of the witness; or
or responsive pleading shall be filed within thirty (2) the witness resides out of this state and
days of the filing of the amended petition or the cannot be compelled to attend and give testi-
notice that the petition will not be amended. mony; or
(c) Reply. Any reply to the return shall be filed (3) the witness may otherwise be unavailable
within thirty days after the filing of the return. to testify at the required evidentiary hearing.
(d) The judicial authority may alter the time for (b) The admissibility of deposition testimony
filing any pleading. shall be governed by the rules of evidence.
(P.B. 1978-1997, Sec. 529N.) (P.B. 1978-1997, Sec. 529R.)
Sec. 23-36. —The Expanded Record
Sec. 23-40. —Court Appearance in Habeas
A party may, consistent with the rules of evi-
dence, offer as an exhibit, or the habeas court Corpus
may take judicial notice of, the transcript and any (a) The petitioner and, if they are not the same,
portion of the Superior Court, Appellate Court or the subject of the petition, shall have the right to
Supreme Court record or clerk’s file from the peti- be present at any evidentiary hearing and at any
tioner’s criminal matter which is the subject of the hearing or oral argument on a question of law
habeas proceeding. which may be dispositive of the case, unless the
(P.B. 1978-1997, Sec. 529O.) (Amended June 12, 2015, petitioner, or the subject of the petition, as the
to take effect Jan. 1, 2016.)
case may be, waives such right or is excused by
Sec. 23-37. —Summary Judgment in Habeas the judicial authority for good cause shown. If the
Corpus petitioner is represented by counsel, the judicial
At any time after the pleadings are closed, any authority may, but is not required to, permit the
party may move for summary judgment, which petitioner to be present at any other proceeding.
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Sec. 23-40 SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS
(b) Notwithstanding any other provision of these withdraw and permit the petitioner to proceed as
rules, in a petition arising from a claim regarding a self-represented party. A memorandum shall be
conditions of confinement the physical appear- filed under seal setting forth the basis for granting
ance in court of the petitioner or the subject of any motion under Section 23-41.
the petition may, in the discretion of the judicial (b) If, after the examination required in subsec-
authority, be made by means of an interactive tion (a), the presiding judge does not conclude
audiovisual device. Such audiovisual device must that the petitioner’s case is wholly frivolous, such
operate so that the petitioner, or the subject of judge may deny the motion to withdraw, may
the petition, his or her attorney, if any, and the appoint substitute counsel for further proceedings
judicial authority can see and communicate with under Section 23-41, or may allow the withdrawal
each other simultaneously. In addition, a proce- on other grounds and appoint new counsel to rep-
dure by which the petitioner and his or her attorney resent the petitioner.
can confer in private must be provided. (P.B. 1978-1997, Sec. 529U.) (Amended June 22, 2009,
(P.B. 1978-1997, Sec. 529S.) (Amended June 28, 1999, to take effect Jan. 1, 2010; amended June 13, 2019, to take
to take effect Jan. 1, 2000.) effect Jan. 1, 2020.)
Sec. 23-41. —Motion for Leave To Withdraw Sec. 23-43. Interpleader; Pleadings
Appearance of Appointed Counsel The complaint in an interpleader action shall
(a) When counsel has been appointed pursuant allege only such facts as show that there are
to Section 23-26, and counsel, after conscientious adverse claims to the fund or property.
(P.B. 1978-1997, Sec. 538.)
investigation and examination of the case, con-
cludes that the case is wholly frivolous, counsel Sec. 23-44. —Procedure in Interpleader
shall so advise the judicial authority by filing a No trial on the merits of an interpleader action
motion for leave to withdraw from the case. shall be had until (1) an interlocutory judgment of
(b) At the time such motion is filed, counsel for interpleader shall have been entered; and (2) all
the petitioner shall also file all relevant portions defendants shall have filed statements of claim,
of the record of the criminal case, direct appeal been defaulted or filed waivers. Issues shall be
and any postconviction proceedings not already closed on the claims as in other cases.
filed together with a memorandum of law outlining: (P.B. 1978-1997, Sec. 539.) (Amended June 25, 2001, to
(1) the claims raised by the petitioner and any take effect Jan. 1, 2002.)
other potential claims apparent in the case;
Sec. 23-45. Mandamus; Parties Plaintiff;
(2) the efforts undertaken to investigate the fac-
Complaint
tual basis and legal merit of each claim;
(Amended June 24, 2016, to take effect Jan. 1, 2017.)
(3) the factual and legal basis for the conclusion
that the case is wholly frivolous. (a) An action of mandamus may be brought
in an individual right by any person who claims
(c) Any motion for leave to withdraw and sup-
entitlement to that remedy to enforce a private
porting memorandum of law shall be filed under
duty owed to that person, or by any state’s attor-
seal and provided to the petitioner. Counsel shall
ney to enforce a public duty.
serve opposing counsel with notice that a motion
(b) The plaintiff shall commence the action by
for leave to withdraw has been filed but shall not
serving and filing a writ and complaint that con-
serve opposing counsel with a copy of the motion
forms to the requirements of Section 8-1 of these
or any supporting memorandum of law. The peti-
rules. The prayer for relief shall include asking
tioner shall have thirty days from the date the
that an order in the nature of a mandamus be
motion and supporting memorandum are filed to
granted. No affidavit to the truth of the allegation
file a response with the court.
(P.B. 1978-1997, Sec. 529T.) (Amended June 22, 2009, to of the complaint is required.
take effect Jan. 1, 2010.) (P.B. 1978-1997, Sec. 541.) (Amended June 24, 2016, to
take effect Jan. 1, 2017.)
Sec. 23-42. —Judicial Action on Motion for Sec. 23-46. —Mandamus Complaint
Permission To Withdraw Appearance
[Repealed as of Jan. 1, 2017.]
(a) The presiding judge shall fully examine the
memoranda of law filed by counsel and the peti- Sec. 23-47. —Mandamus Order in a Pend-
tioner, together with any relevant portions of the ing Action
records of prior trial court, appellate and postcon- (Amended June 24, 2016, to take effect Jan. 1, 2017.)
viction proceedings. If, after such examination, the Any party may move for an order in the nature
presiding judge concludes that the submissions of a mandamus in a pending action. Any person
establish that the petitioner’s case is wholly frivo- claimed to be charged with the duty of performing
lous, such judge shall grant counsel’s motion to the act in question may be summoned before the
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SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 23-54
court by the service upon that person of a rule to annexed shall be sent by the petitioner by certified
show cause. mail to the town, city, borough or municipality
(P.B. 1978-1997, Sec. 543.) (Amended June 24, 2016, to involved.
take effect Jan. 1, 2017.) (b) Upon receipt of the petition, the clerk of the
Sec. 23-48. —Temporary Order of Manda- court, after consultation with the presiding judge,
mus shall set a hearing date on the petition and shall
notify the parties thereof. There shall be no plead-
The plaintiff may attach to the complaint or sub-
ings subsequent to the petition.
sequently file a motion under oath for a temporary (c) The hearing on the petition shall be de novo.
order of mandamus to be effective until the final There shall be no right to a hearing before a jury.
disposition of the cause. Such a motion shall be (P.B. 1978-1997, Sec. 546A.)
addressed to the court to which the action is
returnable. The judicial authority may, if it appears Sec. 23-52. Fact-Finding; Approval of Fact
upon hearing that the plaintiff will otherwise suffer Finders
irreparable injury, forthwith issue such an order (a) Upon publication of notice requesting appli-
or it may issue a rule to show cause why it should cations, any Commissioner of the Superior Court
not be issued; but no such temporary order shall admitted to practice in this state for at least five
issue in any case, except where the state’s attor- years may submit his or her name to the Office
ney is the plaintiff, until the plaintiff has given to of the Chief Court Administrator for approval to
the opposing party a bond with surety, approved be placed on a list of fact finders for one or more
by the judicial authority, that the plaintiff will judicial districts.
answer all damages should the plaintiff fail to pros- (b) The chief court administrator shall have the
ecute the action to effect, unless the judicial power to designate fact finders for such term as
authority shall find that the giving of such bond is the chief court administrator may fix and, in his
unnecessary. Any party may at any time make a or her discretion, to revoke such designation at
motion to the court that any such temporary order any time.
be dissolved. (c) Applicants and fact finders must satisfacto-
(P.B. 1978-1997, Sec. 544.) rily complete such training programs as may be
required by the chief court administrator.
Sec. 23-49. —Pleadings in Mandamus (P.B. 1978-1997, Sec. 546C.)
The defendant may file any proper motion Sec. 23-53. —Referral of Cases to Fact
directed to the allegations of the complaint, or, Finders
desiring to attack their legal sufficiency in law, a The court, on its own motion, may refer to a fact
motion to strike, or a return in the form of an finder any contract action pending in the Superior
answer, and further pleadings shall continue as Court, except claims under insurance contracts
in civil actions until issues are joined, provided for uninsured and or underinsured motorist cover-
that, where an application for an order is made in age, in which money damages only are claimed,
a pending action, the extent to which and the time which is based upon an express or implied prom-
in which the respondent may plead shall be as ise to pay a definite sum, and in which the amount,
directed by the judicial authority. legal interest or property in controversy is less
(P.B. 1978-1997, Sec. 545.) than $50,000, exclusive of interest and costs.
Sec. 23-50. Writs of Error Such cases may be referred to a fact finder only
In every writ of error there must be a special after the pleadings have been closed, a certificate
assignment of errors, in which the precise matters of closed pleadings has been filed, and the time
of error in the proceedings in the Superior Court prescribed for filing a jury trial claim has expired.
(P.B. 1978-1997, Sec. 546D.) (Amended June 29, 1998,
relied upon as grounds of relief must be set forth. to take effect Jan. 1, 1999.)
No others will be heard or considered by the judi-
cial authority. Sec. 23-54. —Selection of Fact Finders; Dis-
(P.B. 1978-1997, Sec. 546.) qualification
(a) The fact finder shall be selected by the pre-
Sec. 23-51. Petition To Open Parking or Cita- siding civil judge for the court ___location where the
tion Assessment case is pending.
(a) Any aggrieved person who wishes to appeal (b) A fact finder may disqualify himself or herself
a parking or citation assessment issued by a town, upon his or her own application or upon appli-
city, borough or other municipality shall file with cation of a party. Should a party object to a fact
the clerk of the court within the time limited by finder’s refusal to disqualify himself or herself for
statute a petition to open assessment with a copy cause, such party may file an application for dis-
of the notice of assessment annexed thereto. A qualification with the presiding civil judge in the
copy of the petition with the notice of assessment court ___location where the case is pending.
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Sec. 23-54 SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS
(c) Should a fact finder disqualify himself or original finding of facts; or (6) take any other action
herself, the fact finder shall inform in writing the the judicial authority may deem appropriate.
presiding civil judge in the court ___location where (b) The judicial authority may correct a finding
the case is pending. of facts at any time before accepting it, upon the
(P.B. 1978-1997, Sec. 546E.) written stipulation of the parties.
Sec. 23-55. —Hearing in Fact-Finding (c) The fact finder shall not be called as a wit-
ness, nor shall the decision of the fact finder be
In matters submitted to fact-finding, a record admitted into evidence at another proceeding
shall be made of the proceedings and the Con- ordered by a judicial authority.
necticut Code of Evidence shall apply. (P.B. 1978-1997, Sec. 546J.)
(P.B. 1978-1997, Sec. 546F.) (Amended June 26, 2020, to
take effect Jan. 1, 2021.) Sec. 23-59. —Failure To Appear at Hearing
Sec. 23-56. —Finding of Facts (a) Where a party fails to appear at the hearing,
(a) The findings of facts shall be in writing, and the fact finder shall nonetheless proceed with the
in accordance with Section 19-8. The fact finder hearing and shall make a finding of facts, as may
shall include in the finding of facts the number of be just and proper under the facts and circum-
days on which hearings concerning that case stances of the action, which shall be filed with the
were held. It shall be signed by the fact finder and clerk of the court pursuant to Section 23-56 for
should include an award of damages, if applic- consideration by the judicial authority pursuant to
able. Section 23-58. If, pursuant to Section 23-57, the
(b) The fact finder may accompany the finding party who failed to appear files an objection to
of facts with a memorandum of decision including the acceptance of the finding of facts and the
such matters as the fact finder may deem helpful objection is sustained by the judicial authority, the
in the decision of the case. judicial authority may require that party to pay to
(c) Within 120 days of the completion of the fact the court an amount not greater than the total
finder’s hearing the fact finder shall file the finding fees then payable to the fact finder for services
of facts with the clerk of the court with sufficient in the case.
copies for all counsel. (b) If all parties fail to appear at the hearing,
(P.B. 1978-1997, Sec. 546G.) the fact finder shall file a request with the court
to dismiss the action. If the judicial authority does
Sec. 23-57. —Objections to Acceptance of not dismiss the action it may be heard by the fact
Finding of Facts finder upon further order of the judicial authority.
(a) A party may file objections to the acceptance Such order may provide for the payment by any
of a finding of facts on the ground that conclusions party to the court of an amount not greater than
of fact stated in it were not properly reached on $100.
the basis of the subordinate facts found, or that (P.B. 1978-1997, Sec. 546K.)
the fact finder erred in rulings on evidence or in
Sec. 23-60. Arbitration; Approval of Arbi-
other rulings, or that there are other reasons why
trators
the finding of facts should not be accepted.
(b) Objections must be filed within fourteen days (a) Upon publication of notice requesting appli-
after the filing of the finding of facts. cations, any Commissioner of the Superior Court
(P.B. 1978-1997, Sec. 546H.) admitted to practice in this state for at least five
years, and who possesses civil litigation experi-
Sec. 23-58. —Action by Judicial Authority ence may submit his or her name to the Office of
(a) After review of the finding of facts and hear- the Chief Court Administrator for approval to be
ing on any objections thereto, the judicial authority placed on a list of arbitrators for one or more
may take the following action: (1) render judgment judicial districts.
in accordance with the finding of facts; (2) reject (b) The chief court administrator shall have the
the finding of facts and remand the case to the power to designate arbitrators for such term as
fact finder who originally heard the matter for a the chief court administrator may fix and, in his
rehearing on all or part of the finding of facts; (3) or her discretion, to revoke such designation at
reject the finding of facts and remand the matter any time.
to another fact finder for rehearing; (4) reject the (c) Applicants and arbitrators must satisfactor-
finding of facts and revoke the reference; (5) ily complete such training programs as may be
remand the case to the fact finder who originally required by the chief court administrator.
heard the matter for a finding on an issue raised (P.B. 1978-1997, Sec. 546M.) (Amended June 29, 1998,
in an objection which was not addressed in the to take effect Jan. 1, 1999.)
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SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 23-66
Sec. 23-61. —Referral of Cases to Arbi- be rendered as a judgment by the court. Such
trators judgment may not be opened or set aside unless
The court, on its own motion, may refer to an a motion to open or set aside is filed within four
arbitrator any civil action in which, in the discretion months succeeding the date on which notice was
of the court, the reasonable expectation of a judg- sent. If the judicial authority opens or sets aside
ment is less than $50,000, exclusive of interest the judgment, it may resubmit the action to the
and costs and in which a claim for a trial by jury arbitrator. Any order opening or setting aside the
and a certificate of closed pleadings have been judgment may be upon condition that the moving
filed. An award under this section shall not exceed party pay to the court an amount not greater than
$50,000, exclusive of legal interest and costs. Any the total fees then payable to the arbitrator for
party may petition the court to participate in the services in the case.
arbitration process hereunder. (b) If all parties fail to appear at the hearing,
(P.B. 1978-1997, Sec. 546N.) (Amended June 29, 1998, the arbitrator shall file a request with the court to
to take effect Jan. 1, 1999.) dismiss the action. If the judicial authority does
Sec. 23-62. —Selection of Arbitrators; Dis- not dismiss the action, it may be heard by the
qualification arbitrator upon further order of the judicial author-
(a) The arbitrator shall be selected by the pre- ity. Such order may provide for the payment by
siding civil judge for the court ___location in which any party to the court of an amount not greater
the case is pending. than $100.
(P.B. 1978-1997, Sec. 546R.) (Amended June 29, 1998,
(b) An arbitrator may disqualify himself or to take effect Jan. 1, 1999.)
herself upon his or her own application or upon
application of a party. Should a party object to an Sec. 23-66. —Claim for Trial De Novo in Arbi-
arbitrator’s refusal to disqualify himself or herself tration; Judgment
for cause, such party may file an application for
disqualification with the presiding civil judge in the (a) A decision of the arbitrator shall become a
court ___location where the case is pending. judgment of the court if no claim for a trial de novo
(c) Should an arbitrator disqualify himself or is filed in accordance with subsection (c).
herself, the arbitrator shall inform in writing the (b) A decision of the arbitrator shall become
presiding civil judge in the court ___location where null and void if a claim for a trial de novo is filed
the case is pending. in accordance with subsection (c).
(P.B. 1978-1997, Sec. 546O.) (c) A claim for a trial de novo must be filed with
the court clerk within twenty days after the deposit
Sec. 23-63. —Hearing in Arbitration of the arbitrator’s decision in the United States
In matters submitted to arbitration, no record mail, as evidenced by the postmark. Thirty days
shall be made of the proceedings and the strict after the filing of a timely claim for a trial de novo
adherence to the Connecticut Code of Evidence the court may, in its discretion, schedule the mat-
shall not be required. ter for a trial within thirty days thereafter. Only a
(P.B. 1978-1997, Sec. 546P.) (Amended June 29, 1998,
to take effect Jan. 1, 1999; amended June 26, 2020, to take
party who appeared at the arbitration hearing may
effect Jan. 1, 2021.) file a claim for a trial de novo. The decision of the
arbitrator shall not be admissible in any proceed-
Sec. 23-64. —Decision of Arbitrator ing resulting after a claim for a trial de novo pursu-
(a) The arbitrator shall state in writing the deci- ant to this section or from a setting aside of an
sion on the issues in the case and the factual award pursuant to General Statutes § 52-549aa.
basis of the decision. The arbitrator shall include (d) The judicial authority may refer any proceed-
in the decision the number of days on which hear- ing resulting from the filing of a demand for a trial
ings concerning that case were held. de novo under subsection (c) of this section to a
(b) Within 120 days of the completion of the judge trial referee without the consent of the par-
arbitration hearing the arbitrator shall file the deci- ties, and said judge trial referee shall have and
sion with the clerk of the court together with suffi- exercise the powers of the Superior Court in
cient copies for all counsel. respect to trial, judgment and appeal in the case,
(P.B. 1978-1997, Sec. 546Q.)
including a judgment of $50,000 or more.
Sec. 23-65. —Failure To Appear at Hearing (P.B. 1978-1997, Sec. 546S.) (Amended June 29, 1998,
before Arbitrator to take effect Jan. 1, 1999; subsection (c) was amended June
29, 1998, on an interim basis, pursuant to the provisions of
(a) Where a party fails to appear at the hearing, Section 1-9 (c), to take effect Jan. 1, 1999; amended June
the arbitrator shall nonetheless proceed with the 28, 1999, to take effect Jan. 1, 2000; amended June 24, 2002,
hearing and shall render a decision, which shall to take effect Jan. 1, 2003.)
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Sec. 23-67 SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS
Sec. 23-67. Alternative Dispute Resolution interactive audiovisual device pursuant to a court
The judicial authority may, upon stipulation of order under this section can see and communi-
the parties, refer a civil action to a program of cate with each other simultaneously. In addition,
alternative dispute resolution agreed to by the par- a procedure by which an incarcerated individual
ties. The judicial authority shall set a time limit on and his or her counsel can confer in private must
the duration of the referral, which shall not exceed be provided.
ninety days. The referral of an action to such a (d) Unless otherwise required by law or unless
program will stay the time periods within which otherwise ordered by the judicial authority, prior
all further pleadings, motions, requests, discovery to any proceeding in which a person appears by
and other procedures must be filed or undertaken means of an interactive audiovisual device, copies
until such time as the alternative dispute resolu- of all documents which may be offered at the
tion process is completed or the time period set proceeding shall be provided to all counsel and
by the judicial authority has elapsed, whichever self-represented parties in advance of the pro-
occurs sooner. Such referred action shall be ceeding.
exempt from the docket management program (e) An officer, as identified in General Statutes
during the time of the referral. § 1-24, may administer an oath by means of an
(P.B. 1978-1997, Sec. 546T.) (Amended June 24, 2002, to interactive audiovisual device to any party, wit-
take effect Jan. 1, 2003.) ness or other participant in a proceeding who
appears pursuant to this section, provided such
Sec. 23-68. Where Presence of Person May officer can see, hear and clearly identify the partic-
Be by Means of an Interactive Audiovisual ipant to whom the oath is to be administered via
Device the audiovisual device.
(a) Upon motion of any party, and at the discre- (f) Nothing contained in this section shall be
tion of the judicial authority, any party, counsel, construed to limit the discretion of the judicial
witness, or other participant in any proceeding authority to deny a request to appear by means
may appear by means of an interactive audiovi- of an interactive audiovisual device where, in the
sual device at any proceeding scheduled to be judicial authority’s judgment, the interest of justice
heard in person in any civil matter, including all or the presentation of the case require that the
proceedings within the jurisdiction of the small party, counsel, witness, or other participant in the
claims section, or any family matter, including all proceeding appear in person.
proceedings within the jurisdiction of the family (g) Nothing contained in this section shall be
support magistrate division. construed to preclude the Judicial Branch, at the
discretion of the chief court administrator, from
(b) At the discretion of the judicial authority, any
handling any matter remotely.
party, counsel, witness or other participant in a
(h) For purposes of this section, judicial author-
proceeding may be required to appear by means ity includes family support magistrates and magis-
of an interactive audiovisual device in any civil trates appointed by the chief court administrator
matter, including all proceedings within the juris- pursuant to General Statutes § 51-193l.
diction of the small claims section, or any family (Adopted Dec. 19, 2006, to take effect March 12, 2007;
matter, including all proceedings within the juris- amended June 24, 2016, to take effect Jan. 1, 2017; amended
diction of the family support magistrate. June 13, 2019, to take effect Jan. 1, 2020; amended June 26,
(c) For purposes of this section, an interactive 2020, on an interim basis pursuant to Section 1-9 (c), to take
effect July 14, 2020, and amendment adopted June 11, 2021,
audiovisual device must operate so that the judi- to take effect Jan. 1, 2022.)
cial authority; any party and his or her counsel, if TECHNICAL CHANGE: In subsection (a), ‘‘in-person’’ was
any; and any person appearing by means of an deleted and replaced with ‘‘in person.’’
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SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 24-4
CHAPTER 24
SMALL CLAIMS
Sec. Sec.
24-1. In General 24-19. —Claim of Setoff or Counterclaim
24-2. Allowable Actions 24-20. —Amendment of Claim or Answer, Setoff or Coun-
24-3. Institution of Actions; Electronic Filing terclaim; Motion To Dismiss
24-4. Where Claims Shall Be Filed 24-20A. —Request for Documents; Depositions
24-5. Venue 24-21. Transfer to Regular Docket
24-6. Definition of ‘‘Plaintiff’’ and ‘‘Representative’’ 24-22. Hearings in Small Claims Actions; Subpoenas
24-7. What Constitutes File 24-23. —Procedure
24-8. Institution of Small Claims Actions; Beginning of 24-24. Judgments in Small Claims; When Presence of the
Action Plaintiff or Representative Is Not Required for
24-9. —Preparation of Writ Entry of Judgment
24-10. —Service of Small Claims Writ and Notice of Suit 24-25. —Failure of the Defendant To Answer
24-11. —Further Service of Claim [Repealed] 24-26. —Failure of a Party To Appear before the Court
24-12. —Answer Date when Required
24-13. —Alternative Method of Commencing Action 24-27. —Dismissal for Failure To Obtain Judgment
[Repealed] 24-28. —Finality of Judgments and Decisions
24-14. —Notice of Time and Place of Hearing 24-29. —Decision in Small Claims; Time Limit
24-15. —Scheduling of Hearings; Continuances 24-30. —Satisfying Judgment
24-16. Answers; Requests for Time To Pay 24-31. —Opening Judgment; Costs
24-17. —Prohibition of Certain Filings 24-32. Execution in Small Claims Actions
24-18. —Plaintiff To Inquire as to Answer Filed [Repealed] 24-33. Costs in Small Claims
For previous Histories and Commentaries see the editions of the Practice Book
corresponding to the years of the previous amendments.
Sec. 24-1. In General Sec. 24-3. Institution of Actions; Electronic
(a) The general purpose of these rules is to Filing
secure the prompt and inexpensive hearing and (Amended June 21, 2010, to take effect Jan. 1, 2011.)
determination of small claims by simplified proce- Actions may be instituted at the option of the
dure designed to allow the public maximum claimant by the procedure herein provided for, or
access to and use of the court in connection with by writ and complaint returnable to the regular
civil docket of the Superior Court. Actions may
such claims. Any comments as to the operation
also be instituted and papers filed, signed or veri-
of the small claims court should be directed to the fied by electronic means in the manner prescribed
Office of the Chief Court Administrator. in Section 4-4.
(b) All proceedings shall be simple and informal. (P.B. 1978-1997, Sec. 549.) (Amended June 21, 2010, to
The services of an attorney at law are permissible take effect Jan. 1, 2011.)
but not obligatory. Notice to the representative for Sec. 24-4. Where Claims Shall Be Filed
a party shall be equivalent to notice to such party. Claims shall be filed in the clerk’s office serving
(P.B. 1978-1997, Sec. 547.) (Amended June 26, 2000, to
take effect Jan. 1, 2001.) the small claims area designated by the chief court
administrator where venue exists, as set forth in
Sec. 24-2. Allowable Actions General Statutes §§ 51-345, 51-346 and 51-347,
(Amended June 26, 2000, to take effect Jan. 1, 2001.) except that claims concerning housing matters,
These rules shall apply to actions claiming as defined by General Statutes § 47a-68, which
money damages only, including actions against are filed in a judicial district in which a housing
a nonresident defendant if he or she owns real or session has been established, shall be filed with
personal property in this state and actions against the clerk of the housing session for that judicial
in-state and out-of-state corporations. Actions of district. Claims may be filed electronically pursu-
libel and slander are not permitted under these ant to Section 24-3. The plaintiff shall include in
the statement of the claim a statement of facts
rules. In no case shall the damages claimed that provides the basis for venue in accordance
exceed the jurisdictional monetary limit fixed by with General Statutes § 51-345 (d) and (g) and
statute, including attorney’s fees and other costs such other statutes as are applicable.
of collection, but exclusive of interest and costs. (P.B. 1978-1997, Sec. 550.) (Amended June 29, 1998, to
(P.B. 1978-1997, Sec. 548.) (Amended June 26, 2000, to take effect Jan. 1, 1999; amended June 21, 2010, to take
take effect Jan. 1, 2001.) effect Jan. 1, 2011.)
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Sec. 24-5 SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS
Sec. 24-5. Venue Court Administrator. The plaintiff, or representa-
The venue for small claims shall be in accord- tive, shall state the nature and amount of the claim
ance with the General Statutes. on the writ in concise, untechnical form and, if the
(P.B. 1978-1997, Sec. 551.) claim seeks collection of a consumer debt, shall
state the basis upon which the plaintiff claims that
Sec. 24-6. Definition of ‘‘Plaintiff’’ and ‘‘Rep- the statute of limitations has not expired. The writ
resentative’’ is to be signed by either the plaintiff, or representa-
(Amended June 21, 2010, to take effect Jan. 1, 2011.) tive, under oath. The oath shall provide that the
(a) Except as hereinafter limited, the word ‘‘rep- signer has read the claim, and that to the best
resentative’’ as used in this chapter shall mean: of the signer’s knowledge, information and belief
an attorney at law; one of a number of partners; there is good ground to support it. If the claim is
one of a number of joint plaintiffs acting for all; more than a convenient length for entry on the
an officer, manager or local manager of a corpora- writ in full, the plaintiff, or representative, shall
tion; an employee of an unincorporated business attach additional pages as needed. The plaintiff,
which is not a partnership; the Commissioner of or representative, shall also state on the writ the
Administrative Services or his or her authorized plaintiff’s and the defendant’s place of residence
representative while acting in an official capac- or other address. At the time of filing any writ, the
ity; the chief court administrator or his or her plaintiff, or attorney shall verify the defendant’s
authorized representative while acting in an offi- address. Such verification shall include confirma-
cial capacity. The word ‘‘representative’’ shall not tion by at least one of the following methods made
mean a consumer collection agency as defined during the six months prior to the filing of the
in chapter 669 of the General Statutes or an indi- writ: (1) municipal record verification (e.g., from
vidual acting pursuant to a power of attorney. a street list or tax records); (2) verification from
(b) The word ‘‘plaintiff’’ as used in this chapter the Department of Motor Vehicles; (3) receipt of
shall include ‘‘representative’’ as defined in sub- correspondence from the defendant with that
section (a), except where otherwise indicated. return address; (4) other verification, specifically
(c) It is prohibited for one who is not an attorney described by the plaintiff, from the defendant that
at law to receive a fee for the representation of the address is current; (5) the mailing by first class
any party. mail, at least four weeks prior to the filing of the
(P.B. 1978-1997, Sec. 552.) (Amended June 26, 2000, to small claims action, of a letter to the defendant
take effect Jan. 1, 2001; amended June 21, 2010, to take
effect Jan. 1, 2011.)
at such address, which letter has not been
returned by the United States Postal Service. The
Sec. 24-7. What Constitutes File plaintiff shall state under oath in the writ which
(Amended June 26, 2000, to take effect Jan. 1, 2001.) method of verification was employed within the
The file shall consist of the small claims writ and last six months, the date of verification, and that
notice of suit, documents relating to the service the method confirmed the accuracy of the address
of the writ, allowable pleadings and motions, and submitted. No default judgment shall enter in the
documents relating to postjudgment proceedings. absence of such verification or if it is apparent
All continuances granted pursuant to Section 24- that the defendant did not reside at the address
15 shall be documented. at the time of service.
(P.B. 1978-1997, Sec. 553.) (Amended June 26, 2000, to (P.B. 1978-1997, Sec. 557.) (Amended June 26, 2000, to
take effect Jan. 1, 2001.) take effect Jan. 1, 2001; amended June 21, 2010, to take
effect Jan. 1, 2011.)
Sec. 24-8. Institution of Small Claims
Actions; Beginning of Action Sec. 24-10. —Service of Small Claims Writ
The signature by the plaintiff, or representative, and Notice of Suit
(Amended June 26, 2000, to take effect Jan. 1, 2001.)
on the small claims writ and notice of suit, and
the filing of the writ with the clerk, together with (a) The plaintiff, or representative, shall cause
the payment of all required fees, shall be deemed service of the writ and notice of suit separately
on each defendant by priority mail with delivery
the beginning of the action. Any plaintiff or repre-
confirmation, by certified mail with return receipt
sentative who wishes to obtain a judgment pursu-
requested or with electronic delivery confirmation,
ant to the provisions of Section 24-24 shall also by a nationally recognized courier service provid-
file the affidavits required by that section. ing delivery confirmation, or by a proper officer in
(P.B. 1978-1997, Sec. 556.) (Amended June 26, 2000, to
take effect Jan. 1, 2001.) the manner in which a writ of summons is served
in a civil action. The plaintiff, or representative,
Sec. 24-9. —Preparation of Writ shall include any information required by the
The small claims writ and notice of suit shall be Office of the Chief Court Administrator. A state-
on a form prescribed by the Office of the Chief ment of how service has been made, together
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SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 24-16
with the delivery confirmation or return receipt or therefor, the judicial authority may postpone the
electronic delivery confirmation and the original hearing of any claim upon such terms as the judi-
writ and notice of suit shall be filed with the clerk. cial authority may order.
The writ and notice of suit and the statement of (2) A new hearing shall be scheduled within
service shall be returned to the court not later than ninety days of the date set for the hearing which
one month after the date of service. was postponed.
(b) For each defendant which is an out-of-state (3) Requests for continuances shall be made
business entity, the plaintiff shall cause service in writing to the clerk and shall state the reasons
of the writ and notice of suit and answer form to therefor. The party requesting the continuance shall
be made in accordance with the General Statutes. first attempt to notify the other party of the request
The officer lawfully empowered to make service and shall include in the request when such notice
shall make return of service to the court. The clerk was given and whether the other party agreed to
shall document the return of service. the request. Requests for a continuance made
(c) Upon receipt of the writ and accompanying prior to the scheduled hearing date shall be decided
documents, the clerk shall set an answer date by the clerk. Requests for a continuance made on
and send notice to all plaintiffs or their representa- the scheduled date shall be decided by the judicial
tives of the docket number and answer date. The authority. All requests shall be acted on as soon as
clerk will send an answer form that includes the possible. Oral requests for continuance shall be
docket number and answer date to each defend-
permitted by the clerk only in extraordinary circum-
ant at the address provided by the plaintiff.
(P.B. 1978-1997, Sec. 559.) (Amended June 26, 2000, to stances.
take effect Jan. 1, 2001; amended June 29, 2007, to take (4) The clerk shall notify all parties of the deci-
effect Jan. 1, 2008; amended June 21, 2010, to take effect sion on any request for continuance and of the
Jan. 1, 2011; amended June 14, 2013, to take effect Jan. new hearing date.
1, 2014.) (P.B. 1978-1997, Sec. 565.) (Amended June 26, 2000, to
Sec. 24-11. —Further Service of Claim take effect Jan. 1, 2001.)
[Repealed as of Jan. 1, 2011.] Sec. 24-16. Answers; Requests for Time To
Sec. 24-12. —Answer Date Pay
The answer date shall not be less than fifteen (Amended June 26, 2000, to take effect Jan. 1, 2001.)
nor more than forty-five days after the writ and (a) A defendant, unless the judicial authority
accompanying documents are filed in the court. shall otherwise order, shall be defaulted and judg-
(P.B. 1978-1997, Sec. 562.) (Amended June 21, 2010, to ment shall enter in accordance with the provisions
take effect Jan. 1, 2011.)
of Section 24-24, unless such defendant shall,
Sec. 24-13. —Alternative Method of Com- personally or by representative, not later than the
mencing Action answer date, file an answer or file a motion to
[Repealed as of Jan. 1, 2011.] transfer pursuant to Section 24-21. The answer
should state fully and specifically, but in concise
Sec. 24-14. —Notice of Time and Place of
and untechnical form, such parts of the claim as
Hearing
are contested, and the grounds thereof, provided
Whenever a hearing is scheduled, the clerk that an answer of general denial shall be sufficient
shall send to each party or representative a notice for purposes of this section. Each defendant shall
of the time and place set for hearing. This shall send a copy of the answer to each plaintiff and
include the street address of the court, a tele-
shall certify on the answer form that the defendant
phone number for inquiries, and the room number
or other information sufficient to describe the has done so, including the address(es) to which
place where the hearing will be held. a copy has been mailed. Upon the filing of an
(P.B. 1978-1997, Sec. 564.) (Amended June 26, 2000, to answer, the clerk shall set the matter down for
take effect Jan. 1, 2001; amended June 21, 2010, to take hearing by the judicial authority.
effect Jan. 1, 2011.) (b) A defendant who admits the claim but
Sec. 24-15. —Scheduling of Hearings; Con- desires time in which to pay may state that fact
tinuances in the answer, with reasons to support this
(a) A hearing shall be scheduled not less than six request, on or before the time set for answering,
and not more than forty-five days after the answer and may suggest a method of payment which he
date. or she can afford. The request for a proposed
(b) Continuances method of payment shall be considered by the
(1) In any case where the plaintiff claims preju- judicial authority in determining whether there
dice because of an unexpected defense or coun- shall be a stay of execution to permit deferred
terclaim or where either party shows good cause payment or an order of payment. The judicial
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Sec. 24-16 SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS
authority in its discretion may require that a hear- for a decision. No deposition shall be taken except
ing be held concerning such request. by order of the judicial authority.
(P.B. 1978-1997, Sec. 567.) (Amended June 26, 2000, to (Adopted June 26, 2000, to take effect Jan. 1, 2001;
take effect Jan. 1, 2001; amended June 21, 2010, to take amended June 21, 2010, to take effect Jan. 1, 2011.)
effect Jan. 1, 2011.)
Sec. 24-21. Transfer to Regular Docket
Sec. 24-17. —Prohibition of Certain Filings (a) A case duly entered on the small claims
(Amended June 21, 2010, to take effect Jan. 1, 2011.) docket of a small claims area or housing session
No filings other than those provided for in this court ___location shall be transferred to the regular
chapter shall be permitted without permission of docket of the Superior Court or to the regular
the judicial authority. housing docket, respectively, if the following con-
(P.B. 1978-1997, Sec. 568.) (Amended June 26, 2000, to ditions are met:
take effect Jan. 1, 2001; amended June 21, 2010, to take
effect Jan. 1, 2011.) (1) The defendant, or the plaintiff if the defend-
ant has filed a counterclaim, shall file a motion
Sec. 24-18. —Plaintiff To Inquire as to to transfer the case to the regular docket. This
Answer Filed motion must be filed on or before the answer date
[Repealed as of Jan. 1, 2001.] with certification of service pursuant to Section
10-12 et seq. If a motion to open claiming lack of
Sec. 24-19. —Claim of Setoff or Coun- actual notice is granted, the motion to transfer
terclaim with accompanying documents and fees must be
The defendant, or representative may claim any filed within fifteen days after the notice granting
setoff or counterclaim within the jurisdiction of the the motion to open was sent.
small claims court. Such written setoff or counter- (2) The motion to transfer must be accompanied
claim may be filed at any time on or before the by (A) a counterclaim in an amount greater than
answer date or upon the granting of a motion the jurisdiction of the small claims court; or (B) an
to open. Upon the making of such claim by the affidavit stating that a good defense exists to the
defendant, the clerk shall give notice to the plain- claim and setting forth with specificity the nature
tiff by first class mail, of the setoff or counterclaim of the defense, or stating that the case has been
and shall notify the parties of the new answer properly claimed for trial by jury.
date. The defendant’s claim shall be answered (3) The moving party shall pay all necessary
within the time and in the manner provided by statutory fees at the time the motion to transfer
Section 24-16. The original claim, and the claim of is filed, including any jury fees if a claim for trial
setoff or counterclaim, shall be deemed one case. by jury is filed.
(P.B. 1978-1997, Sec. 570.) (Amended June 26, 2000, to (b) When a defendant or plaintiff on a counter-
take effect Jan. 1, 2001.) claim has satisfied one of the conditions of sub-
Sec. 24-20. —Amendment of Claim or section (a) (2) herein, the motion to transfer to
Answer, Setoff or Counterclaim; Motion the regular docket shall be granted by the judicial
To Dismiss authority, without the need for a hearing.
(Amended June 26, 2000, to take effect Jan. 1, 2001.)
(c) A case which has been properly transferred
The judicial authority may at any time allow shall be transferred to the docket of the judicial
any claim or answer, setoff or counterclaim to be district which corresponds to the venue of the
amended. A party may challenge jurisdiction by small claims matter, except that a housing case
way of a motion to dismiss. properly transferred shall remain in or be trans-
(P.B. 1978-1997, Sec. 571.) (Amended June 26, 2000, to ferred to the housing session and be placed upon
take effect Jan. 1, 2001.) the regular housing docket. A case may be consol-
idated with a case pending in any other clerk’s
Sec. 24-20A. —Request for Documents; office of the Superior Court.
Depositions (d) When a case is transferred from the small
A party may request from the opposing party claims docket to the regular docket of the Supe-
documents, or copies thereof, that are neces- rior Court or to the regular housing docket, the
sary or desirable for the full presentation of the appearance entered in the small claims case of
case. The party requesting such documents, or an attorney at law and of a self-represented party
copies thereof, shall make the request directly to as an individual shall be entered on the appro-
the opposing party or the party’s representative. priate docket of the Superior Court. Unless other-
When a party refuses to honor such request, the wise ordered, when a case is transferred from the
requesting party may bring the request to the judi- small claims docket to the regular docket of the
cial authority’s attention, either orally or in writing, Superior Court or to the regular housing docket,
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SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 24-24
the appearance of any representative that was stipulation or other method, the following affidavits
recognized in the small claims case, other than must have been filed by the plaintiff:
an attorney at law or a self-represented party as (1) An affidavit of debt signed by the plaintiff or
an individual, shall be entered on the appropriate representative who is not the plaintiff’s attorney.
docket of the Superior Court for notice purposes A small claims writ and notice of suit signed and
only and not as a representative of any party in sworn to by the plaintiff or representative who is
the case. not the plaintiff’s attorney shall be considered an
(P.B. 1978-1997, Sec. 572.) (Amended June 29, 1998, to affidavit of debt for purposes of this section only
take effect Jan. 1, 1999; amended June 26, 2000, to take if it sets forth either the amount due or the principal
effect Jan. 1, 2001; amended June 21, 2010, to take effect
Jan. 1, 2011; amended June 24, 2016, to take effect Jan.
owed as of the date of the writ and contains an
1, 2017.) itemization of interest, attorney’s fees and other
lawful charges. Any plaintiff claiming interest shall
Sec. 24-22. Hearings in Small Claims separately state the interest and shall specify the
Actions; Subpoenas dates from which and to which interest is com-
Subpoenas, if requested, shall be issued by the puted, the rate of interest, the manner in which it
clerk without fee, and may be issued upon the was calculated and the authority upon which the
clerk’s own motion or by order of the judicial claim for interest is based. In those matters involv-
authority. The party requesting the subpoena shall ing the collection of credit card and other debt
pay the fees for service and witness fees. An owed to a financial institution and subject to fed-
application for issuance of subpoena shall not be eral requirements for the charging off of accounts,
required in small claims matters. the federally recognized charge-off balance may
(P.B. 1978-1997, Sec. 574.) (Amended June 26, 2000, to be treated as the ‘‘principal’’ for purposes of this
take effect Jan. 1, 2001.) section and itemization regarding such debt is
Sec. 24-23. —Procedure required only from the date of the charge-off bal-
ance. Nothing in this section shall prohibit a mag-
Witnesses shall be sworn; but the judicial istrate from requiring further documentation.
authority shall conduct the hearing in such order (A) If the instrument on which the contract is
and form and with such methods of proof as it based is a negotiable instrument or assigned con-
deems best suited to discover the facts and to tract, the affidavit shall state that the instrument
determine the justice of the case in accordance or contract is now owned by the plaintiff and a
with substantive law. copy of the executed instrument shall be attached
(P.B. 1978-1997, Sec. 575.)
to the affidavit. If the plaintiff is not the original
Sec. 24-24. Judgments in Small Claims; party with whom the instrument or contract was
When Presence of the Plaintiff or Represen- made, the plaintiff shall either (i) attach all bills
tative Is Not Required for Entry of Judgment of sale back to the original creditor and swear
(a) In any action based on an express or implied to its purchase of the debt from the last owner
promise to pay a definite sum and claiming only in its affidavit of debt while also referencing the
liquidated damages, which may include interest attached chain of title in the affidavit of debt or (ii)
and reasonable attorney’s fees, if the defendant in the affidavit of debt, recite the names of all prior
has not filed an answer by the answer date and the owners of the debt with the date of each prior
judicial authority has not required that a hearing sale, and also include the most recent bill of sale
be held concerning any request by the defendant from the plaintiff’s seller and swear to its purchase
for more time to pay, the judicial authority may of the debt from its seller in the affidavit of debt.
render judgment in favor of the plaintiff without If applicable, the allegations shall comply with
requiring the presence of the plaintiff or represen- General Statutes § 52-118.
tative before the court, provided the plaintiff has (B) The affidavit shall simply state the basis
complied with the provisions of this section and upon which the plaintiff claims the statute of limita-
Section 24-8. Nothing contained in this section tions has not expired.
shall prevent the judicial authority from requiring (C) If the plaintiff has claimed any lawful fees
the presence of the plaintiff or representative or charges based on a provision of the contract,
before the court prior to rendering any such default the plaintiff shall attach to the affidavit of debt a
and judgment if it appears to the judicial authority copy of a portion of the contract containing the
that additional information or evidence is required terms of the contract providing for such fees or
prior to the entry of judgment. charges and the amount claimed.
(b) In order for the judicial authority to render (D) If a claim for a reasonable fee for an attorney
any judgment pursuant to this section at the time at law is made, the plaintiff shall include in the
set for entering a judgment whether by default, affidavit the reasons for the specific amount
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Sec. 24-24 SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS
requested. Any claim for reasonable fees for an Sec. 24-28. —Finality of Judgments and
attorney at law must be referred to the judicial Decisions
authority for approval prior to its inclusion in any Except as provided in Section 24-31, the judg-
default judgment. ments and decisions rendered in the small claims
(2) A military affidavit as required by Section session are final and conclusive. (See General
17-21. Statutes § 51-197a.)
(P.B. 1978-1997, Sec. 577.) (Amended June 26, 2000, to (P.B. 1978-1997, Sec. 581.)
take effect Jan. 1, 2001; amended June 21, 2010, to take
effect Jan. 1, 2011; amended June 13, 2014, to take effect Sec. 24-29. —Decision in Small Claims;
Jan. 1, 2015.) Time Limit
Sec. 24-25. —Failure of the Defendant To (Amended June 26, 2000, to take effect Jan. 1, 2001.)
Answer (a) A written decision stating the reasons for
If the defendant does not file an answer by the the decision shall be required in matters in which
answer date, a notice of default shall be sent to a contested hearing is held, in which a counter-
all parties or their representatives and if the case claim is filed or in which a judgment is entered in
does not come within the purview of Section 24- an amount other than the amount claimed. Noth-
24, the clerk shall set a date for hearing, and the ing in this section precludes the judicial authority
judicial authority shall require the presence of the from filing a written decision in any matter when
plaintiff or representative. Notice of the hearing such judicial authority deems it appropriate.
shall be sent to all parties or their representatives. (b) Judgments shall be rendered no later than
If a defendant files an answer at any time before forty-five days from the completion of the proceed-
a default judgment has been entered, including ings unless such time limit is waived in writing by
at the time of a scheduled hearing in damages, the parties or their representatives. The judgment
the default shall be vacated automatically. If the of the judicial authority shall be recorded by the
answer is filed at the time of a hearing in damages, clerk and notice of the judgment and written deci-
the judicial authority shall allow the plaintiff a con- sion shall be sent by mail or electronic delivery
tinuance if requested by the plaintiff, or represen- to each party or representative, if any.
(P.B. 1978-1997, Sec. 582.) (Amended June 26, 2000, to
tative. take effect Jan. 1, 2001; amended June 21, 2010, to take
(P.B. 1978-1997, Sec. 578.) (Amended June 21, 2010, to
effect Jan. 1, 2011; amended June 20, 2011, to take effect
take effect Jan. 1, 2011.)
Jan. 1, 2012.)
Sec. 24-26. —Failure of a Party To Appear
before the Court when Required Sec. 24-30. —Satisfying Judgment
(a) If the plaintiff or representative fails to (a) The judicial authority may order that the
appear before the court on the hearing date, the judgment shall be paid to the prevailing party at
judicial authority may dismiss the claim for want a certain date or by specified installments. Unless
of prosecution, render a finding on the merits for otherwise ordered, the issue of execution and
the defendant or make such other disposition as other supplementary process shall be stayed dur-
may be proper. ing compliance with such order. Such stay may
(b) If the defendant fails to appear before be modified and vacated at any time for good
the court at any time set for hearing, the judicial cause. The stay is automatically lifted by a default
authority may render judgment in favor of the in postjudgment court-ordered payments by the
plaintiff based on such proofs as it deems neces- judgment debtor.
sary to establish the amount due under the claim, (b) When the judgment is satisfied in a small
or make such other disposition as may be proper, claims action, the party recovering the judgment
provided that the plaintiff has appeared at the shall file a written notice thereof within ninety days
hearing. with the clerk who shall record the judgment as
(P.B. 1978-1997, Sec. 579.) satisfied, identifying the name of the party and the
date. An execution returned fully satisfied shall
Sec. 24-27. —Dismissal for Failure To be deemed a satisfaction of judgment and the
Obtain Judgment notice required in this section shall not be filed.
During the months of January and July of each The judicial authority may, upon motion, make a
year, small claims cases which, within one year determination that the judgment has been sat-
from the date of the institution of the action, have isfied.
not gone to judgment may be dismissed upon the (P.B. 1978-1997, Sec. 583.) (Amended June 26, 2000, to
order of the chief court administrator. take effect Jan. 1, 2001; amended June 25, 2001, to take
(P.B. 1978-1997, Sec. 580.) (Amended June 26, 2000, to effect Jan. 1, 2002; amended June 30, 2003, to take effect
take effect Jan. 1, 2001; amended June 21, 2010, to take Jan. 1, 2004; amended June 21, 2010, to take effect Jan.
effect Jan. 1, 2011.) 1, 2011.)
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SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 24-33
Sec. 24-31. —Opening Judgment; Costs (b) Service of an initial set of interrogatories,
(a) The judicial authority may, upon motion, and on forms prescribed by the Office of the Chief
after such notice by mail, or otherwise as it may Court Administrator relevant to obtaining satisfac-
order, open any judgment rendered under this tion of a small claims money judgment shall be
procedure for lack of actual notice to a party, or, made by sending the interrogatories by certified
within four months from the date thereof, for any mail, with return receipt requested or with elec-
other cause that the judicial authority may deem tronic delivery confirmation, to the person from
whom discovery is sought.
sufficient, and may stay and supersede execution; (P.B. 1978-1997, Sec. 585.) (Amended June 26, 2000, to
except that the judicial authority may, for the rea- take effect Jan. 1, 2001; amended June 24, 2002, to take
sons indicated above, open any judgment ren- effect Jan. 1, 2003; amended June 14, 2013, to take effect
dered by default at any time within four months Jan. 1, 2014.)
succeeding the date upon which an execution was Sec. 24-33. Costs in Small Claims
levied. The judicial authority may also order the The actual legal disbursements of the prevailing
repayment of any sum collected under such judg- party for entry fee, witness’ fees, fees for copies,
ment and may render judgment and issue execu- officers’ fees, and costs for service shall be
tion therefor. Costs in an amount fixed by the allowed as costs, including any statutory costs.
judicial authority and not exceeding $100 may be The recording fee paid for filing a judgment lien
awarded, in the discretion of the judicial authority, shall also be added to the judgment amount. The
for or against either party to a motion to open the costs paid as an application fee for any execution
judgment, and judgment may be rendered and on a money judgment shall be taxed by the clerk
execution may be issued therefor; and any action upon the issuance of an execution. No other costs
by the judicial authority may be conditioned upon shall be allowed either party except by special
the payment of such costs or the performance of order of the judicial authority. The judicial authority
any proper condition. shall have power in its discretion to award costs, in
(b) When a judgment has been rendered after a sum fixed by the judicial authority, not exceeding
a contested hearing on the merits, a motion to $100 (exclusive of such cash disbursements, or
open shall be scheduled for hearing only upon in addition thereto) against any party, whether the
order of the judicial authority. prevailing party or not, who has set up a frivolous
(P.B. 1978-1997, Sec. 584.) (Amended June 26, 2000, to
or vexatious claim, defense or counterclaim, or
take effect Jan. 1, 2001; amended June 21, 2010, to take has made an unfair, insufficient or misleading
effect Jan. 1, 2011.) answer, or has negligently failed to be ready for
trial, or has otherwise sought to hamper a party
Sec. 24-32. Execution in Small Claims or the judicial authority in securing a speedy deter-
Actions mination of the claim upon its merits, and it may
(a) Pursuant to the General Statutes, the judg- render judgment and issue execution therefor, or
ment creditor or the representative of the judg- set off such costs against damages or costs, as
ment creditor may file with the court a written justice may require. In no case shall costs exceed
application on forms prescribed by the Office of the amount of the judgment.
(P.B. 1978-1997, Sec. 590.) (Amended June 26, 2000, to
the Chief Court Administrator for an execution to take effect Jan. 1, 2001; amended June 21, 2010, to take
collect an unsatisfied money judgment. effect Jan. 1, 2011.)
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Sec. 25-1 SUPERIOR COURT—PROCEDURE IN FAMILY MATTERS
SUPERIOR COURT—PROCEDURE IN FAMILY MATTERS
CHAPTER 25
GENERAL PROVISIONS
Sec. Sec.
25-1. Definitions Applicable to Proceedings on Family 25-35. Disclosure of Conference Recommendation
Matters 25-36. Motion for Decree Finally Dissolving Marriage or
25-2. Complaints for Dissolution of Marriage or Civil Civil Union after Decree of Legal Separation
Union, Legal Separation, or Annulment 25-37. —Notice and Hearing
25-2A. Premarital and Postnuptial Agreements 25-38. Judgment Files
25-3. Action for Custody of Minor Child 25-39. Miscellaneous Rules
25-4. Action for Visitation of Minor Child 25-40. Habeas Corpus in Family Matters; the Petition
25-5. Automatic Orders upon Service of Complaint or 25-41. —Preliminary Consideration
Application 25-42. —Dismissal
25-5A. Automatic Orders upon Service of Petition for 25-43. —The Return
Child Support 25-44. —Reply to the Return
25-5B. Automatic Orders upon Filing of Joint Petition— 25-45. —Schedule for Filing Pleadings
Nonadversarial Divorce 25-46. —Summary Judgment as to Writ of Habeas
25-6. Parties and Appearances Corpus
25-6A. Appearance by Self-Represented Party in Addi- 25-47. —Discovery
tion to Appearance of Attorney 25-48. Dockets, Pretrials and Assignment for Disposition
25-7. Pleadings in General; Amendments to Complaint 25-49. Definitions
or Application 25-50. Case Management
25-8. —Amendment; New Ground for Dissolution of 25-51. When Motion for Default for Failure To Appear
Marriage or Civil Union Does Not Apply
25-9. —Answer, Cross Complaint, Claims for Relief 25-52. Failure To Appear for Scheduled Disposition
by Defendant 25-53. Reference of Family Matters
25-10. —Answer to Cross Complaint 25-54. Order of Trial; Argument by Counsel
25-11. —Order of Pleadings 25-55. Medical Evidence
25-12. Motion To Dismiss 25-56. Production of Documents at Hearing or Trial
25-13. —Grounds on Motion To Dismiss 25-57. Affidavit concerning Children
25-14. —Waiver and Subject Matter Jurisdiction 25-58. Reports of Dissolution of Marriage or Civil Union
25-15. —Further Pleading by Defendant and Annulment
25-16. Motion To Strike; In General 25-59. Closure of Courtroom in Family Matters
25-17. —Date for Hearing 25-59A. Sealing Files or Limiting Disclosure of Documents
25-18. —Reasons in Family Matters
25-19. —Memorandum of Law 25-59B. —Documents Containing Personal Identifying
25-20. —When Memorandum of Decision Required Information
25-21. —Substitute Pleading; Judgment 25-60. Evaluations, Studies, Family Services Mediation
25-22. —Stricken Pleading Part of Another Cause or Reports and Family Services Conflict Resolu-
Defense tion Reports
25-23. Motions, Requests, Orders of Notice and Short 25-60A. Court-Ordered Private Evaluations
Calendar 25-61. Family Division
25-24. Motions 25-61A. Standing Committee on Guardians Ad Litem and
25-25. Motion for Exclusive Possession Attorneys for the Minor Child in Family Matters
25-26. Modification of Custody, Alimony or Support 25-62. Appointment of Guardian Ad Litem
25-27. Motion for Contempt 25-62A. Appointment of Attorney for a Minor Child
25-28. Order of Notice 25-63. Right to Counsel in Family Civil Contempt Pro-
25-29. Notice of Orders for Support or Alimony ceedings
25-30. Statements To Be Filed 25-64. —Waiver
25-31. Discovery and Depositions 25-65. Family Support Magistrates; Procedure [Repealed]
25-32. Mandatory Disclosure and Production 25-66. Appeal from Decision of Family Support Magis-
25-32A. Discovery Noncompliance trate [Repealed]
25-32B. Discovery—Special Master 25-67. Support Enforcement Services [Repealed]
25-33. Judicial Appointment of Expert Witnesses 25-68. Right to Counsel in State Initiated Paternity Actions
25-34. Procedure for Short Calendar 25-69. Social Services; Additional Duties
For previous Histories and Commentaries see the editions of the Practice Book
corresponding to the years of the previous amendments.
Sec. 25-1. Definitions Applicable to Pro- suant to General Statutes § 46b-1, including, but
ceedings on Family Matters not limited to, dissolution of marriage or civil union,
The following shall be ‘‘family matters’’ within legal separation, dissolution of marriage or civil
the scope of these rules: Any actions brought pur- union after legal separation, annulment of mar-
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SUPERIOR COURT—PROCEDURE IN FAMILY MATTERS Sec. 25-4
riage or civil union, alimony, support, custody, and Jan. 1, 2008; amended June 30, 2008, to take effect Jan.
change of name incident to dissolution of marriage 1, 2009.)
or civil union, habeas corpus and other proceed- Sec. 25-2A. Premarital and Postnuptial Agree-
ings to determine the custody and visitation of
ments
children except those which are properly filed in
the Superior Court as juvenile matters, the estab- (a) If a party seeks enforcement of a premarital
lishing of paternity, enforcement of foreign matri- agreement or postnuptial agreement, he or she
monial or civil union judgments, actions related shall specifically demand the enforcement of that
to prenuptial or pre-civil union and separation agreement, including its date, within the party’s
agreements and to matrimonial or civil union claim for relief. The defendant shall file said claim
decrees of a foreign jurisdiction, actions brought for relief within sixty days of the return date unless
pursuant to General Statutes § 46b-15, custody otherwise permitted by the court.
proceedings brought under the provisions of the (b) If a party seeks to avoid the premarital
Uniform Child Custody Jurisdiction and Enforce- agreement or postnuptial agreement claimed by
ment Act and proceedings for enforcement of sup- the other party, he or she shall, within sixty days of
port brought under the provisions of the Uniform the claim seeking enforcement of the agreement,
Interstate Family Support Act. unless otherwise permitted by the court, file a
(P.B. 1998.) (Amended June 28, 1999, to take effect Jan. reply specifically demanding avoidance of the
1, 2000; amended June 26, 2006, to take effect Jan. 1, 2007;
amended June 12, 2015, to take effect Jan. 1, 2016.)
agreement and stating the grounds thereof.
(Adopted June 20, 2011, to take effect Aug. 15, 2011.)
Sec. 25-2. Complaints for Dissolution of
Marriage or Civil Union, Legal Separation, Sec. 25-3. Action for Custody of Minor Child*
or Annulment Every application in an action for custody of a
(Amended June 26, 2006, to take effect Jan. 1, 2007.) minor child, other than actions for dissolution of mar-
(a) Every complaint in a dissolution of marriage riage or civil union, legal separation or annulment,
or civil union, legal separation or annulment action shall state the name and date of birth of such
shall state the date and place, including the city minor child or children, the names of the parents
or town, of the marriage or civil union and the and legal guardian of such minor child or children,
facts necessary to give the court jurisdiction. and the facts necessary to give the court jurisdic-
(b) Every such complaint shall also state tion. The application shall comply with Section 25-
whether there are minor children issue of the 5. Such application shall be commenced by an
marriage or minor children of the civil union and order to show cause. Upon presentation of the
whether there are any other minor children born
application and an affidavit concerning children,
to the wife since the date of marriage of the par-
ties, or born to a party to the civil union since the the judicial authority shall cause an order to be
date of the civil union, the name and date of birth issued requiring the adverse party or parties to
of each, and the name of any individual or agency appear on a day certain and show cause, if any
presently responsible by virtue of judicial award there be, why the relief requested in the applica-
for the custody or support of any child. These tion should not be granted. The application, order
requirements shall be met whether a child is issue and affidavit shall be served on the adverse party
of the marriage or not, whether a child is born to not less than twelve days before the date of the
a party of the civil union or not, and whether cus- hearing, which shall not be held more than thirty
tody of children is sought in the action or not. In days from the filing of the application.
every case in which the state of Connecticut or (P.B. 1998.) (Amended June 28, 1999, to take effect Jan.
1, 2000; amended June 26, 2000, to take effect Jan. 1, 2001;
any town thereof is contributing or has contributed amended June 26, 2006, to take effect Jan. 1, 2007.)
to the support or maintenance of a party or child *APPENDIX NOTE: The Rules Committee of the Superior
of said party, such fact shall be stated in the com- Court enacted, and the judges of the Superior Court subse-
plaint and a copy thereof served on the attorney quently adopted, certain changes to the provisions of this
general or town clerk in accordance with the provi- rule in response to the public health and civil preparedness
sions of Sections 10-12 through 10-17. Although emergencies declared on March 10, 2020, and renewed on
the attorney general or town clerk shall be a party September 1, 2020, and January 26, 2021. The public health
to such cases, he or she need not be named in emergency was renewed on June 28, 2022, and is scheduled
the writ of summons or summoned to appear. to expire on December 28, 2022, or when the federal public
health emergency ends. See Appendix of Section 1-9B
(c) The complaint shall also set forth the plain- Changes.
tiff’s demand for relief and the automatic orders
as required by Section 25-5. Sec. 25-4. Action for Visitation of Minor Child*
(P.B. 1978-1997, Sec. 453.) (Amended June 25, 2001, to
take effect Jan. 1, 2002; amended June 26, 2006, to take Every application or verified petition in an action
effect Jan. 1, 2007; amended June 29, 2007, to take effect for visitation of a minor child, other than actions
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Sec. 25-4 SUPERIOR COURT—PROCEDURE IN FAMILY MATTERS
for dissolution of marriage or civil union, legal sep- (1) Neither party shall permanently remove the
aration or annulment, shall state the name and minor child or children from the state of Connecti-
date of birth of such minor child or children, the cut, without written consent of the other or order
names of the parents and legal guardian of such of a judicial authority.
minor child or children, and the facts necessary to (2) A party vacating the family residence shall
give the court jurisdiction. An application brought notify the other party or the other party’s attorney,
under this section shall comply with Section 25- in writing, within forty-eight hours of such move, of
5. Any application or verified petition brought under an address where the relocated party can receive
this Section shall be commenced by an order to communication. This provision shall not apply if
show cause. Upon presentation of the application and to the extent there is a prior, contradictory
or verified petition and an affidavit concerning chil- order of a judicial authority.
dren, the judicial authority shall cause an order (3) If the parents of minor children live apart
to be issued requiring the adverse party or parties during this proceeding, they shall assist their chil-
to appear on a day certain and show cause, if any dren in having contact with both parties, which is
there be, why the relief requested in the applica- consistent with the habits of the family, personally,
tion or verified petition should not be granted. The by telephone, and in writing. This provision shall
application or verified petition, order and affidavit not apply if and to the extent there is a prior,
shall be served on the adverse party not less than contradictory order of a judicial authority.
twelve days before the date of the hearing, which (4) Neither party shall cause the children of the
shall not be held more than thirty days from the marriage or the civil union to be removed from any
filing of the application or verified petition. medical, hospital and dental insurance coverage,
(P.B. 1998.) (Amended June 28, 1999, to take effect Jan. and each party shall maintain the existing medical,
1, 2000; amended June 26, 2000, to take effect Jan. 1, 2001; hospital and dental insurance coverage in full
amended June 26, 2006, to take effect Jan. 1, 2007; amended force and effect.
June 13, 2014, to take effect Jan. 1, 2015.) (5) The parties shall participate in the parenting
*APPENDIX NOTE: The Rules Committee of the Superior education program within sixty days of the return
Court enacted, and the judges of the Superior Court subse- day or within sixty days from the filing of the appli-
quently adopted, certain changes to the provisions of this
rule in response to the public health and civil preparedness
cation.
emergencies declared on March 10, 2020, and renewed on (6) These orders do not change or replace any
September 1, 2020, and January 26, 2021. The public health existing court orders, including criminal protective
emergency was renewed on June 28, 2022, and is scheduled and civil restraining orders.
to expire on December 28, 2022, or when the federal public (b) In all cases involving a marriage or civil
health emergency ends. See Appendix of Section 1-9B union, whether or not there are children:
Changes. (1) Neither party shall sell, transfer, exchange,
Sec. 25-5. Automatic Orders upon Service assign, remove, or in any way dispose of, without
of Complaint or Application the consent of the other party in writing, or an
order of a judicial authority, any property, except
(Amended June 28, 1999, to take effect Jan. 1, 2000.)
in the usual course of business or for customary
The following automatic orders shall apply to and usual household expenses or for reasonable
both parties, with service of the automatic orders attorney’s fees in connection with this action.
to be made with service of process of a complaint (A) Nothing in subsection (b) (1) shall be con-
for dissolution of marriage or civil union, legal strued to preclude a party from purchasing or sell-
separation, or annulment, or of an application for ing securities, in the usual course of the parties’
custody or visitation. An automatic order shall not investment decisions, whether held in an individ-
apply if there is a prior, contradictory order of a ual or jointly held investment account, provided
judicial authority. The automatic orders shall be that the purchase or sale is: (i) intended to pre-
effective with regard to the plaintiff or the applicant serve the estate of the parties, (ii) transacted
upon the signing of the complaint or the appli- either on an open and public market or at an arm’s
cation and with regard to the defendant or the length on a private market, and (iii) completed in
respondent upon service and shall remain in place such manner that the purchased securities or
during the pendency of the action, unless termi- sales proceeds resulting from a sale remain, sub-
nated, modified, or amended by further order of ject to the provisions and exceptions recited in
a judicial authority upon motion of either of the subsection (b) (1), in the account in which the
parties: securities or cash were maintained immediately
(a) In all cases involving a child or children, prior to the transaction. Nothing contained in this
whether or not the parties are married or in a subsection shall be construed to apply to a party’s
civil union: purchase or sale on a private market of an interest
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in an entity that conducts a business in which the provision shall not apply if there is a prior, contra-
party is or intends to become an active participant. dictory order of a judicial authority.
(B) Notwithstanding the requirement of subpar- (c) In all cases:
agraph (A) of subsection (b) (1) that the transac- (1) The parties shall each complete and
tion be made in the usual course of the parties’ exchange sworn financial statements substan-
investment decisions, if historically the parties’ tially in accordance with a form prescribed by the
usual course of investment decisions involves chief court administrator within thirty days of the
their discussion of proposed transactions with return day. The parties may thereafter enter and
each other before they are made, but a sale pro- submit to the court a stipulated interim order allo-
posed by one party is a matter of such urgency cating income and expenses, including, if applica-
as to timing that the party proposing the sale has ble, proposed orders in accordance with the
a good faith belief that the delay occasioned by uniform child support guidelines.
such discussion would result in loss to the estate (2) The case management date for this case
of the parties, then the party proposing the sale is . The parties shall comply
may proceed with the transaction without such with Section 25-50 to determine if their actual
prior discussion, but shall notify the other party of presence at the court is required on that date.
the transaction immediately upon its execution; (d) The automatic orders of a judicial authority
provided, that a sale permitted by this subpara- as enumerated above shall be set forth immedi-
graph (B) shall be subject to all other conditions ately following the party’s requested relief in any
and provisions of subparagraph (A) of subsection complaint for dissolution of marriage or civil union,
(b) (1), so long as the transaction is intended to legal separation, or annulment, or in any applica-
preserve the estate of the parties. tion for custody or visitation, and shall set forth
(2) Neither party shall conceal any property. the following language in bold letters:
(3) Neither party shall encumber (except for the Failure to obey these orders may be punish-
filing of a lis pendens) without the consent of the able by contempt of court. If you object to or
other party, in writing, or an order of a judicial seek modification of these orders during the
authority, any property except in the usual course pendency of the action, you have the right to
of business or for customary and usual household a hearing before a judge within a reasonable
expenses or for reasonable attorney’s fees in con- time.
nection with this action. The clerk shall not accept for filing any com-
(4) Neither party shall cause any asset, or por- plaint for dissolution of marriage or civil union,
tion thereof, co-owned or held in joint name, to legal separation, or annulment, or any application
become held in his or her name solely without the for custody or visitation, that does not comply with
consent of the other party, in writing, or an order this subsection.
of the judicial authority. (P.B. 1998.) (Amended June 29, 1998, to take effect Jan.
(5) Neither party shall incur unreasonable debts 1, 1999; subdivision (a) (1) was amended on an interim basis,
hereafter, including, but not limited to, further bor- pursuant to the provisions of Section 1-9 (c), to take effect
rowing against any credit line secured by the fam- Jan. 1, 1999; amended June 28, 1999, to take effect Jan. 1,
2000; amended August 22, 2001, to take effect Jan. 1, 2002;
ily residence, further encumbrancing any assets, amended June 26, 2006, to take effect Jan. 1, 2007; amended
or unreasonably using credit cards or cash June 29, 2007, to take effect Jan. 1, 2008; amended June 20,
advances against credit cards. 2011, to take effect Jan. 1, 2012; amended June 13, 2019,
(6) Neither party shall cause the other party to to take effect Jan. 1, 2020.)
be removed from any medical, hospital and dental
insurance coverage, and each party shall main- Sec. 25-5A. Automatic Orders upon Service
tain the existing medical, hospital and dental of Petition for Child Support
insurance coverage in full force and effect. (a) The following automatic orders shall apply
(7) Neither party shall change the beneficiaries to both parties, with service of the automatic
of any existing life insurance policies, and each orders to be made with service of process of a
party shall maintain the existing life insurance, petition for child support. An automatic order shall
automobile insurance, homeowners or renters not apply if there is a prior, contradictory order
insurance policies in full force and effect. of a judicial authority. The automatic orders shall
(8) If the parties are living together on the date be effective with regard to the petitioner or the
of service of these orders, neither party may deny applicant upon the signing of the document initiat-
the other party use of the current primary resi- ing the action (whether it be complaint, petition or
dence of the parties, whether it be owned or rented application), and with regard to the respondent,
property, without order of a judicial authority. This upon service and shall remain in place during the
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Sec. 25-5A SUPERIOR COURT—PROCEDURE IN FAMILY MATTERS
pendency of the action, unless terminated, modi- (5) Neither petitioner shall incur unreasonable
fied, or amended by further order of a judicial debts hereafter, including, but not limited to, fur-
authority upon motion of either of the parties: ther encumbrancing any assets, or unreason-
Neither party shall cause the other party or the ably using credit cards or cash advances against
children who are the subject of the complaint, credit cards.
application or petition to be removed from any (6) Neither petitioner shall cause the other peti-
medical, hospital and dental insurance coverage, tioner to be removed from any medical, hospital
and each party shall maintain the existing medical, and dental insurance coverage, and each peti-
hospital and dental insurance coverage in full tioner shall maintain the existing medical, hospital
force and effect. and dental insurance coverage in full force and
(b) The automatic orders of a judicial authority effect.
as enumerated in subsection (a) shall be set forth (7) Neither petitioner shall change the benefici-
immediately following the party’s requested relief aries of any existing life insurance policies, and
in any complaint, petition or application, and shall each petitioner shall maintain the existing life
set forth the following language in bold letters: If insurance, automobile insurance, or renters insur-
you do not follow or obey these orders, you ance policies in full force and effect.
may be punished by contempt of court. If you (8) If the petitioners are living together on the
object to these orders or would like to have date of these orders, neither petitioner may deny
them changed or modified while your case is the other petitioner use of the current primary resi-
pending, you have the right to a hearing by a dence of the petitioners, without order of a judicial
judicial authority within a reasonable time. The authority. This provision shall not apply if there is
clerk shall not accept for filing any complaint, peti- a prior, contradictory order of a judicial authority.
tion or application that does not comply with (9) The petitioners shall each complete and
this subsection. exchange sworn financial statements substan-
(Adopted June 20, 2011, to take effect Jan. 1, 2012.) tially in accordance with a form prescribed by the
chief court administrator and file the financial
Sec. 25-5B. Automatic Orders upon Filing of statement with the joint petition. The petitioners
Joint Petition—Nonadversarial Divorce may thereafter enter and submit to the court a
(a) The following automatic orders shall apply stipulated interim order allocating income and
to both petitioners, upon the filing of the joint peti- expenses.
tion for nonadversarial divorce. An automatic (b) The automatic orders of a judicial authority
order shall not apply if there is a prior, contradic- as enumerated above shall be attached immedi-
tory order of a judicial authority. The automatic ately following the petitioners’ joint petition for
orders shall be effective with regard to the petition- nonadversarial divorce and shall set forth the fol-
ers upon filing of the joint petition and shall remain lowing language in bold letters:
in place until further order of a judicial authority: Failure to obey these orders may be punish-
(1) Neither petitioner shall sell, transfer, able by contempt of court. If you object to or
exchange, assign, remove, or in any way dispose seek modification of these orders during the
of, without the consent of the other petitioner in pendency of the action, you have the right to
writing, or an order of a judicial authority, any a hearing before a judge within a reasonable
property, except in the usual course of business time.
or for customary and usual household expenses The clerk shall not accept for filing any joint
or for reasonable attorney’s fees in connection petition for nonadversarial divorce that does not
with this action. comply with this subsection.
(Adopted June 24, 2016, to take effect Jan. 1, 2017.)
(2) Neither petitioner shall conceal any prop-
erty. Sec. 25-6. Parties and Appearances
(3) Neither petitioner shall encumber without The provisions of Sections 8-1, 8-2, 9-1, 9-3
the consent of the other petitioner, in writing, or through 9-6, inclusive, 9-18, 9-19, 9-22, 9-24 and
an order of a judicial authority, any property except 10-12 through 10-17 of the rules of practice shall
in the usual course of business or for customary apply to family matters as defined in Section 25-1.
and usual household expenses or for reasonable (P.B. 1998.)
attorney’s fees in connection with this action.
(4) Neither petitioner shall cause any asset, or Sec. 25-6A. Appearance by Self-Repre-
portion thereof, co-owned or held in joint name, sented Party in Addition to Appearance of
to become held in his or her name solely without Attorney
the consent of the other petitioner, in writing, or (a) A party may file an appearance as a self-
an order of the judicial authority. represented party without prior approval of the
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SUPERIOR COURT—PROCEDURE IN FAMILY MATTERS Sec. 25-8
court even though there is an existing appearance COMMENTARY—2022: The above rule is intended to clar-
of one or more attorneys on file for that party. ify the procedures to be followed when parties in family matters
file appearances on their own behalf even though they may
For purposes of this section, a ‘‘party with dual
also have, or intend to have, an attorney who has filed an
representation’’ is a party for whom one or more appearance. The rule recognizes that filing a self-representa-
attorneys have current appearances on file and tion appearance may be desirable in order to receive notices
who also has a current appearance on file as a from the court. However, the rule is not intended to supersede
self-represented party. the requirement of Section 4-2 that a pleading or other paper
(b) Pursuant to Section 4-2, any pleading or filed on behalf of a party who is represented by an attorney
other paper filed by or on behalf of a party with be signed by the attorney. The rule also acknowledges the
dual representation must be signed by an attorney possibility that a party will nevertheless file a motion without
the attorney’s signature. In that event, it is intended to provide
of record for the party. guidance to the parties, attorneys, and the court about how
(c) If a party with dual representation files a to proceed. In exercising its discretion to stay proceedings on
motion that is not signed by an attorney of record, a motion filed by a party without the attorney’s signature, the
the court may, upon its own motion or upon the court may consider any relevant circumstances, including, but
motion of any party, order that proceedings on not limited to, the emergency nature, if any, of the motion;
the motion be stayed until an attorney of record any time limits imposed by statute or rule on the court’s hearing
adopts said motion as if it were signed by that on the motion; the pendency of another motion filed on behalf
of the party which has been signed or adopted by the party’s
attorney. The attorney may adopt the motion
attorney, or by another party, which concerns the same facts
either by filing a notice of such adoption with the or legal issues; and the likelihood that action by the court on
court or by making an oral statement to that effect the motion that has not been signed or adopted by the attorney
in court on the record. Alternatively, if the party will substantially impact the adjudication of other issues in
with dual representation affirms to the court that the case.
no attorney is actively representing the party with
respect to any matters in the case in which the Sec. 25-7. Pleadings in General; Amend-
motion was filed, the court may in its discretion ments to Complaint or Application
order that proceedings on the motion be stayed (Amended June 28, 1999, to take effect Jan. 1, 2000.)
until the party with dual representation files a new If Section 25-2, 25-3 or 25-4 is not complied
appearance as a self-represented party in lieu of with, the judicial authority, whenever its attention
the appearances of any and all attorneys of record is called to the matter, shall order that the com-
for the party. plaint or the application, as the case may be, be
(d) Unless and until a motion filed by a party amended upon such terms and conditions as it
with dual representation without the signature of may direct. Where an amendment is filed concern-
the party’s attorney is adopted by the attorney, ing support or maintenance contributed by the
disposed of, or withdrawn: state of Connecticut, no further action shall be
(1) The party with dual representation shall be taken by the judicial authority until such amend-
solely responsible for the prosecution or litigation ment shall be served upon the attorney general
of the motion; and and opportunity given him or her to be heard upon
(2) An attorney of record for any other party in the matter. Nothing in this section shall be con-
the case may communicate directly with the party strued to affect the automatic orders in Section
with dual representation, but only with respect to 25-5 above.
the subject matter of the motion. (P.B. 1978-1997, Sec. 454.) (Amended June 28, 1999, to
(e) If two motions of a party with dual represen- take effect Jan. 1, 2000.)
tation are scheduled for hearing at the same time,
with one or more having been signed or adopted Sec. 25-8. —Amendment; New Ground for
by the party’s attorney and one or more not having Dissolution of Marriage or Civil Union
been so signed or adopted, the court in its discre- (Amended June 26, 2006, to take effect Jan. 1, 2007.)
tion may determine the most appropriate method (a) In any action for a dissolution of marriage or
of proceeding with the hearing of the multiple civil union an amendment to the complaint which
motions. states a ground for dissolution of marriage or civil
(f) If a party with dual representation files a union alleged to have arisen since the commence-
pleading or paper, other than a motion, which is ment of the action may be filed with permission
not signed by the party’s attorney, the court may of the judicial authority.
treat such filing in the same manner as it may (b) The provisions of Sections 10-59, 10-60 and
treat a motion under this section or in such other 10-61 of the rules of practice shall apply to family
manner as in its discretion it deems appropriate matters as defined in Section 25-1.
under the circumstances. (P.B. 1978-1997, Sec. 455.) (Amended June 26, 2006, to
(Adopted June 11, 2021, to take effect Jan. 1, 2022.) take effect Jan. 1, 2007.)
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Sec. 25-9 SUPERIOR COURT—PROCEDURE IN FAMILY MATTERS
Sec. 25-9. —Answer, Cross Complaint, (3) or (4) must do so by filing a motion to dismiss
Claims for Relief by Defendant within thirty days of the filing of an appearance.
The defendant in a dissolution of marriage or (b) Any claim based on Section 25-13 (a) (2),
civil union, legal separation, or annulment matter (3) or (4) is waived if not raised by a motion to
may file, in addition to the above mentioned plead- dismiss filed in the sequence provided in Section
ings, one of the following pleadings which shall 25-11, within the time provided in this section.
comply with Sections 10-1, 10-3, 10-5, 10-7, 10- (P.B. 1998.) (Amended June 23, 2017, to take effect Jan.
1, 2018.)
8 and 10-12 through 10-17, 10-18 and 10-19
inclusive: Sec. 25-13. —Grounds on Motion To
(1) An answer may be filed which denies or Dismiss
admits the allegations of the complaint, or which (a) The motion to dismiss shall be used to assert
states that the defendant has insufficient informa- (1) lack of jurisdiction over the subject matter, (2)
tion to form a belief and leaves the pleader to his or lack of jurisdiction over the person, (3) insuffi-
her proof, and which may set forth the defendant’s ciency of process and (4) insufficiency of service
claims for relief. of process. This motion shall always be filed with
(2) An answer and cross complaint may be filed a supporting memorandum of law and, where
which denies or admits the allegations of the com- appropriate, with supporting affidavits as to facts
plaint, or which states that the defendant has not apparent on the record.
insufficient information to form a belief and leaves (b) If an adverse party objects to this motion he
the pleader to his or her proof, and which alleges or she shall, at least five days before the motion
the grounds upon which a dissolution, legal sepa- is to be considered on the short calendar, file and
ration or annulment is sought by the defendant serve in accordance with Sections 10-12 through
and specifies therein the claims for relief. 10-17 a memorandum of law and, where appro-
(P.B. 1978-1997, Sec. 456.) (Amended June 28, 1999, to priate, supporting affidavits as to facts not appar-
take effect Jan. 1, 2000; amended June 26, 2006, to take
effect Jan. 1, 2007.) ent on the record.
(P.B. 1998.) (Amended June 23, 2017, to take effect Jan.
Sec. 25-10. —Answer to Cross Complaint 1, 2018.)
A plaintiff in a dissolution of marriage or civil Sec. 25-14. —Waiver and Subject Matter
union, legal separation, or annulment matter Jurisdiction
seeking to contest the grounds of a cross com- Any claim of lack of jurisdiction over the subject
plaint shall file an answer admitting or denying matter cannot be waived; and whenever it is found
the allegations of such cross complaint or leav- after suggestion of the parties or otherwise that
ing the pleader to his or her proof. If a decree the court lacks jurisdiction of the subject matter,
is rendered on the cross complaint, the judicial the judicial authority shall dismiss the action.
authority may award to the plaintiff such relief as (P.B. 1998.)
is claimed in the complaint.
(P.B. 1978-1997, Sec. 457.) (Amended June 28, 1999, to Sec. 25-15. —Further Pleading by Defend-
take effect Jan. 1, 2000; amended June 26, 2006, to take ant
effect Jan. 1, 2007.) If any motion to dismiss is denied with respect to
Sec. 25-11. —Order of Pleadings any jurisdictional issue, the defendant may plead
further without waiving his or her right to contest
The order of pleadings shall be: jurisdiction further.
(1) the plaintiff’s complaint; (P.B. 1998.)
(2) the defendant’s motion to dismiss the com-
plaint; Sec. 25-16. Motion To Strike; In General
(3) the defendant’s motion to strike the com- (a) Whenever any party wishes to contest (1)
plaint or claims for relief; the legal sufficiency of the allegations of any
(4) the defendant’s answer, cross complaint complaint or cross complaint, or of any one or
and claims for relief; more counts thereof, to state a claim upon which
(5) the plaintiff’s motion to strike the defendant’s relief can be granted, or (2) the legal sufficiency
answer, cross complaint, or claims for relief; of any claim for relief in any such complaint or
(6) the plaintiff’s answer. cross complaint, or (3) the legal sufficiency of any
(P.B. 1998.) such complaint or cross complaint, or any count
thereof, because of the absence of any necessary
Sec. 25-12. Motion To Dismiss party, or (4) the joining of two or more causes of
(a) Any defendant, wishing to assert grounds action which cannot properly be united in one
to dismiss the action under Section 25-13 (a) (2), complaint or cross complaint, whether the same
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SUPERIOR COURT—PROCEDURE IN FAMILY MATTERS Sec. 25-25
be stated in one or more counts, or (5) the legal Sec. 25-21. —Substitute Pleading; Judg-
sufficiency of any answer to any complaint or ment
cross complaint, or any part of that answer con- Within fifteen days after the granting of any
tained therein, that party may do so by filing a motion to strike, the party whose pleading has
motion to strike the contested pleading or part been stricken may file a new pleading; provided
thereof. that in those instances where an entire complaint
(b) A motion to strike on the ground of the non- or cross complaint has been stricken, and the
joinder of a necessary party must give the name party whose pleading has been so stricken fails
and residence of the missing party or such infor- to file a new pleading within that fifteen day period,
mation as the moving party has as to his or her the judicial authority may upon motion enter judg-
identity and residence and must state his or her ment against said party on said stricken complaint
interest in the cause of action. or cross complaint.
(P.B. 1998.) (P.B. 1998.)
Sec. 25-17. —Date for Hearing* Sec. 25-22. —Stricken Pleading Part of
The motion shall be placed on the short calen- Another Cause or Defense
dar to be held not less than fifteen days following Whenever the judicial authority grants a motion
the filing of the motion, unless the judicial authority to strike the whole or any portion of any pleading
otherwise directs. or count which purports to state an entire cause
(P.B. 1998.) of action, and such pleading or portion thereof
*APPENDIX NOTE: The Rules Committee of the Superior states or constitutes a part of another cause of
Court enacted, and the judges of the Superior Court subse- action, the granting of that motion shall remove
quently adopted, certain changes to the provisions of this
rule in response to the public health and civil preparedness
from the case only the cause of action which was
emergencies declared on March 10, 2020, and renewed on the subject of the granting of that motion, and it
September 1, 2020, and January 26, 2021. The public health shall not remove such pleading or count or any
emergency was renewed on June 28, 2022, and is scheduled portion thereof so far as the same is applicable
to expire on December 28, 2022, or when the federal public to any other cause of action.
health emergency ends. See Appendix of Section 1-9B (P.B. 1998.)
Changes.
Sec. 25-23. Motions, Requests, Orders of
Sec. 25-18. —Reasons Notice and Short Calendar
Each motion to strike raising any of the claims The provisions of Sections 11-1, 11-2, 11-4, 11-
of legal insufficiency enumerated in Sections 25- 5, 11-6, 11-8, 11-10, 11-11, 11-12, 11-19, 12-1,
12, 25-13 and 25-16 shall separately set forth 12-2 and 12-3 of the rules of practice shall apply
each such claim of insufficiency and shall dis- to family matters as defined in Section 25-1.
tinctly specify the reason or reasons for each such (P.B. 1998.) (Amended May 14, 2003, to take effect July
claimed insufficiency. 1, 2003.)
(P.B. 1998.) TECHNICAL CHANGE: Technical changes were made for
consistency in punctuation.
Sec. 25-19. —Memorandum of Law
Sec. 25-24. Motions
(a) Each motion to strike must be accompanied (a) Any appropriate party may move for ali-
by an appropriate memorandum of law citing the mony, child support, custody, visitation, appoint-
legal authorities upon which the motion relies. ment or removal of counsel for the minor child,
(b) If an adverse party objects to this motion appointment or removal of a guardian ad litem for
such party shall, at least five days before the date the minor child, counsel fees, or for an order with
the motion is to be considered on the short calen- respect to the maintenance of the family or for
dar, file and serve in accordance with Sections any other equitable relief.
10-12 through 10-17 a memorandum of law. (b) Each such motion shall state clearly, in the
(P.B. 1998.)
caption of the motion, whether it is a pendente
Sec. 25-20. —When Memorandum of Deci- lite or a postjudgment motion.
(P.B. 1998.) (Amended June 12, 2015, to take effect Jan.
sion Required 1, 2016.)
Whenever a motion to strike is filed and more
than one ground of decision is set up therein, Sec. 25-25. Motion for Exclusive Pos-
the judicial authority, in rendering the decision session
thereon, shall specify in writing the grounds upon Each motion for exclusive possession shall
which that decision is based. state the nature of the property, whether it is rental
(P.B. 1998.) property or owned by the parties or one of them,
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Sec. 25-25 SUPERIOR COURT—PROCEDURE IN FAMILY MATTERS
the length of tenancy or ownership of each party, other person having personal knowledge of the
the current family members residing therein and facts recited therein. If no objection to the request
the grounds upon which the moving party seeks has been filed by any party within ten days of the
exclusive possession. date of service of such request on the other party,
(P.B. 1998.) the request for leave may be determined by the
Sec. 25-26. Modification of Custody, Ali- judicial authority with or without hearing. If an
mony or Support objection is filed, the request shall be placed on
the next short calendar, unless the judicial author-
(a) Upon an application for a modification of an ity otherwise directs. At such hearing, the moving
award of alimony pendente lite, alimony or support party must demonstrate probable cause that
of minor children, filed by a person who is then grounds exist for the motion to be granted. If the
in arrears under the terms of such award, the judicial authority grants the request for leave, at
judicial authority shall, upon hearing, ascertain any time during the pendency of such a motion
whether such arrearage has accrued without to modify, the judicial authority may determine
sufficient excuse so as to constitute a contempt whether discovery or a study or evaluation pursu-
of court, and, in its discretion, may determine ant to Section 25-60 shall be permitted.
whether any modification of current alimony and (P.B. 1978-1997, Sec. 464.) (Amended June 20, 2005, to
support shall be ordered prior to the payment, in take effect Jan. 1, 2006; amended June 29, 2007, to take
whole or in part as the judicial authority may order, effect Oct. 1, 2007.)
of any arrearage found to exist.
(b) Either parent or both parents of minor chil- Sec. 25-27. Motion for Contempt
dren may be cited or summoned by any party to (a) Each motion for contempt must state (1) the
the action to appear and show cause, if any they date and specific language of the order of the
have, why orders of custody, visitation, support judicial authority on which the motion is based;
or alimony should not be entered or modified. (2) the specific acts alleged to constitute the con-
(c) If any applicant is proceeding without the tempt of that order, including the amount of any
assistance of counsel and citation of any other arrears claimed due as of the date of the motion
party is necessary, the applicant shall sign the or a date specifically identified in the motion; (3)
application and present the application, proposed the movant’s claims for relief for the contempt.
order and summons to the clerk; the clerk shall (b) Each motion for contempt must state clearly
review the proposed order and summons and, in the caption of the motion whether it is a pen-
unless it is defective as to form, shall sign the dente lite or a postjudgment motion, and the sub-
proposed order and summons and shall assign a ject matter and the type of order alleged to have
date for a hearing on the application. been violated.
(d) Each motion for modification of custody, visi- (P.B. 1998.) (Amended June 28, 1999, to take effect Jan.
tation, alimony or child support shall state clearly 1, 2000.)
in the caption of the motion whether it is a pen- Sec. 25-28. Order of Notice
dente lite or a postjudgment motion.
(e) Each motion for modification shall state the (a) On a complaint for dissolution of marriage
specific factual and legal basis for the claimed or civil union, legal separation, or annulment, or
modification and shall include the outstanding on an application for custody or visitation, when
order and date thereof to which the motion for the adverse party resides out of or is absent from
modification is addressed. the state or the whereabouts of the adverse party
(f) On motions addressed to financial issues, are unknown to the plaintiff or the applicant, any
the provisions of Section 25-30 shall be followed. judge or clerk of the court may make such order
(g) Upon or after entry of judgment of a dissolu- of notice as he or she deems reasonable. If such
tion of marriage, dissolution of civil union, legal notice is by publication, it shall not include the
separation or annulment, or upon or after entry automatic orders set forth in Section 25-5, but
of a judgment or final order of custody and/or shall instead include a statement that automatic
visitation for a petition or petitions filed pursuant orders have issued in the case pursuant to Section
to Section 25-3 and/or Section 25-4, the judicial 25-5 and that such orders are set forth in the
authority may order that any further motion for complaint or the application on file with the court.
modification of a final custody or visitation order Such notice having been given and proved, the
shall be appended with a request for leave to file judicial authority may hear the complaint or the
such motion and shall conform to the require- application if it finds that the adverse party has
ments of subsection (e) of this section. The spe- actually received notice that the complaint or
cific factual and legal basis for the claimed mod- the application is pending. If actual notice is not
ification shall be sworn to by the moving party or proved, the judicial authority in its discretion may
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SUPERIOR COURT—PROCEDURE IN FAMILY MATTERS Sec. 25-32
hear the case or continue it for compliance with with the court and serve on each appearing party
such further order of notice as it may direct. written proposed orders.
(b) With regard to any postjudgment motion for (c) The written proposed orders shall be com-
modification or for contempt or any other motion prehensive and shall set forth the party’s
requiring an order of notice, where the adverse requested relief including, where applicable, the
party resides out of or is absent from the state following:
any judge or clerk of the court may make such (1) a parenting plan;
order of notice as he or she deems reasonable. (2) alimony;
Such notice having been given and proved, the (3) child support;
court may hear the motion if it finds that the (4) property division;
adverse party has actually received notice that (5) counsel fees;
the motion is pending. (6) life insurance;
(P.B. 1978-1997, Sec. 461.) (Amended June 28, 1999, to
take effect Jan. 1, 2000; amended June 26, 2006, to take
(7) medical insurance; and
effect Jan. 1, 2007.) (8) division of liabilities.
(d) The proposed orders shall be neither factual
Sec. 25-29. Notice of Orders for Support or nor argumentative but shall, instead, only set forth
Alimony the party’s claims.
In all dissolution of marriage or civil union, legal (e) Where there is a minor child who requires
separation, annulment, custody or visitation support, the parties shall file a completed child
actions, such notice as the judicial authority shall support and arrearage guidelines worksheet at
direct shall be given to nonappearing parties of the time of any court hearing concerning child
any orders for support or alimony. No such order support; or at the time of a final hearing in an
shall be effective until the order of notice shall action for dissolution of marriage or civil union,
have been complied with or the nonappearing legal separation, annulment, custody or visitation.
party has actually received notice of such orders. (f) At the time of any hearing, including pen-
(P.B. 1978-1997, Sec. 462.) (Amended June 26, 2006, to dente lite and postjudgment proceedings, in which
take effect Jan. 1, 2007.) a moving party seeks a determination, modifica-
Sec. 25-30. Statements To Be Filed tion, or enforcement of any alimony or child sup-
port order, a party shall submit an Advisement of
(a) At least five days before the hearing date Rights Re: Wage Withholding Form (JD-FM-71).
of a motion or order to show cause concerning (P.B. 1978-1997, Sec. 463.) (Amended June 24, 2002, to
alimony, support, or counsel fees, or at the time take effect Jan. 1, 2003; amended June 26, 2006, to take
a dissolution of marriage or civil union, legal sepa- effect Jan. 1, 2007.)
ration or annulment action or action for custody
or visitation is scheduled for a hearing, each party Sec. 25-31. Discovery and Depositions
shall file, where applicable, a sworn statement Except as otherwise provided in Section 25-
substantially in accordance with a form prescribed 33, the provisions of Sections 13-1 through 13-
by the chief court administrator, of current income, 10 inclusive, 13-13 through 13-16 inclusive, and
expenses, assets and liabilities. When the attor- 13-17 through 13-32 of the rules of practice inclu-
ney general has appeared as a party in interest, sive, shall apply to family matters as defined in
a copy of the sworn statements shall be served Section 25-1.
upon him or her in accordance with Sections 10- (P.B. 1998.) (Amended June 20, 2011, to take effect Aug.
12 through 10-17. Unless otherwise ordered by 1, 2011; amended June 13, 2014, to take effect Jan. 1, 2015.)
the judicial authority, all appearing parties shall
file sworn statements within thirty days prior to Sec. 25-32. Mandatory Disclosure and Pro-
the date of the decree. Notwithstanding the above, duction
the court may render pendente lite and permanent (a) Unless otherwise ordered by the judicial
orders, including judgment, in the absence of the authority for good cause shown, upon request by
opposing party’s sworn statement. a party involved in an action for dissolution of
(b) At least ten days before the scheduled family marriage or civil union, legal separation, annul-
special masters session, alternative dispute reso- ment or support, or a postjudgment motion for
lution session, or judicial pretrial, the parties shall modification of alimony or support, opposing par-
serve on each appearing party, but not file with ties shall exchange the following documents
the court, written proposed orders, and, at least within sixty days of such request:
ten days prior to the date of the final limited con- (1) all federal and state income tax returns filed
tested or contested hearing, the parties shall file within the last three years, including personal
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Sec. 25-32 SUPERIOR COURT—PROCEDURE IN FAMILY MATTERS
returns and returns filed on behalf of any partner- Sec. 25-32B. Discovery—Special Master
ship or closely-held corporation of which a party The judicial authority may appoint a discovery
is a partner or shareholder; special master to assist in the resolution of discov-
(2) IRS forms W-2, 1099 and K-1 within the last ery disputes. When such an appointment is made,
three years including those for the past year if the the judicial authority shall specify the duties,
income tax returns for that year have not been authority and compensation of the discovery spe-
prepared; cial master and how that compensation shall be
(3) copies of all pay stubs or other evidence of allocated between the parties.
(Adopted June 20, 2011, to take effect Aug. 15, 2011.)
income for the current year and the last pay stub
from the past year; Sec. 25-33. Judicial Appointment of Expert
(4) statements for all accounts maintained with Witnesses
any financial institution, including banks, brokers Whenever the judicial authority deems it neces-
and financial managers, for the past 24 months; sary, it may appoint any expert witnesses of its
(5) the most recent statement showing any own selection. The judicial authority shall give
interest in any Keogh, IRA, profit sharing plan, notice of its intention to appoint such expert, and
deferred compensation plan, pension plan, or give the parties an opportunity to be heard con-
retirement account; cerning such appointment. An expert witness shall
(6) the most recent statement regarding any not be appointed by the judicial authority unless
insurance on the life of any party; the expert consents to act. An expert witness so
(7) a summary furnished by the employer of the appointed shall be informed of his or her duties
party’s medical insurance policy, coverage, cost by the judicial authority in writing, a copy of which
of coverage, spousal benefits and COBRA costs shall be filed with the clerk, or the witness shall
following dissolution; be informed of his or her duties at a conference
in which the parties shall have an opportunity to
(8) any written appraisal concerning any asset participate. Such expert witness shall advise the
owned by either party. parties of his or her findings, if any, and may
(b) Such duty to disclose shall continue during thereafter be called to testify by the judicial author-
the pendency of the action should a party appear. ity or by any party and shall be subject to cross-
This section shall not preclude discovery under examination by each party. The judicial authority
any other provisions of these rules. may determine the reasonable compensation for
(P.B. 1998.) (Amended June 29, 1998, to take effect Jan. such witness and direct payment out of such funds
1, 1999; amended June 26, 2006, to take effect Jan. 1, 2007; as may be provided by law or by the parties or
amended June 15, 2018, to take effect Jan. 1, 2019.) any of them as the judicial authority may direct.
TECHNICAL CHANGE: A technical change was made for Nothing in this section shall prohibit the parties
consistency in punctuation.
from retaining their own expert witnesses.
(P.B. 1998.) (Amended June 13, 2014, to take effect Jan.
Sec. 25-32A. Discovery Noncompliance 1, 2015.)
If a party fails to comply with a discovery request
or a discovery order in any manner set forth in Sec. 25-34. Procedure for Short Calendar
Section 13-14 (a), the party who requested such (a) With the exception of matters governed by
discovery or in whose favor the discovery order Chapter 13 or a motion to waive the statutory time
was made may move to compel compliance with period in an uncontested dissolution of marriage
the request or order. The moving party shall spec- or legal separation case under General Statutes
§ 46b-67 (b), oral argument on any motion or the
ify in a memorandum in support of his or her
presentation of testimony thereon shall be allowed
motion, the discovery sought and the remedy if the appearing parties have followed administra-
sought. The party to whom the discovery request tive policies for marking the motion ready and for
or order was directed shall, in a memorandum, screening with family services. Oral argument and
specify why the discovery has not been provided the presentation of testimony on motions made
or why such party has not complied with the dis- under Chapter 13 are at the discretion of the judi-
covery order. If the party to whom the discovery cial authority.
request or order was directed claims that the dis- (b) Any such motion filed to waive the statutory
covery has been provided or order has been com- time period in an uncontested dissolution of mar-
plied with, he or she shall detail with specificity riage or legal separation case will not be placed
what discovery was provided and how compliance on the short calendar. The clerk shall bring the
with the discovery order was made. motion as soon as practicable to either the judicial
(Adopted June 20, 2011, to take effect Aug. 15, 2011.) authority assigned to hear the case, or, if a judicial
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SUPERIOR COURT—PROCEDURE IN FAMILY MATTERS Sec. 25-40
authority has not yet been assigned, to the presid- decree of legal separation, shall state the number
ing judicial authority for a ruling on the papers. of the case in which the separation was granted,
If granted, the uncontested dissolution or legal the date of the decree of legal separation and
separation is to be scheduled in accordance with whether the parties have resumed relations relat-
the request of the parties to the degree that such ing to the marriage or civil union since the entry
request can be accommodated, including sched- of the decree, and it shall be accompanied by an
uling the matter on the same day that the motion application for an order of notice to the adverse
is granted. party.
(c) If the judicial authority has determined that (P.B. 1978-1997, Sec. 472.) (Amended June 30, 2008, to
oral argument or the presentation of testimony is take effect Jan. 1, 2009.)
necessary on a motion made under Chapter 13,
the judicial authority shall set the matter for oral Sec. 25-37. —Notice and Hearing
argument or testimony on a short calendar date or
Upon presentation of such motion to the judicial
other date as determined by the judicial authority.
(d) If the judicial authority has determined that authority it shall fix a time for hearing the same
oral argument or the presentation of testimony is and make an order of notice, by personal service
necessary on a motion made under Chapter 13 if the adverse party is within the state and that
and has not set it down on a hearing date, the party’s place of residence is known, otherwise in
movant may reclaim the motion within thirty days such manner as it shall deem reasonable.
of the date the motion appeared on the calendar. (P.B. 1978-1997, Sec. 473.)
(e) If the matter will require more than one hour
of court time, it may be specifically assigned for Sec. 25-38. Judgment Files
a date certain. The provisions of Sections 17-4, 17-9 and 17-
(f) Failure to appear and present argument on 43 shall apply to family matters as defined in Sec-
the date set by the judicial authority shall consti- tion 25-1. The provisions of Section 3-9 concern-
tute a waiver of the right to argue unless the judi- ing withdrawal of appearance of an attorney 180
cial authority orders otherwise. Unless for good days after the entry of judgment shall not apply
cause shown, no motion may be reclaimed after to family matters actions until the provisions of
a period of three months from the date of filing.
This subsection shall not apply to those motions this section concerning the filing of judgment files
where counsel appeared on the date set by the have been satisfied.
judicial authority and entered into a scheduling (P.B. 1998.)
order for discovery, depositions and a date certain
Sec. 25-39. Miscellaneous Rules
for hearing.
(P.B. 1998.) (Amended June 20, 2011, to take effect Aug. Except as otherwise provided in Section 25-51,
15, 2011; amended June 24, 2016, to take effect Jan. 1, 2017.) the provisions of Sections 7-19, 17-20, 18-5, 18-
Sec. 25-35. Disclosure of Conference Rec- 9, 20-1, 20-3, 23-67 and 23-68 of the rules of
ommendation practice shall apply to family matters as defined
In the event the parties or their counsel confer in Section 25-1.
with a family relations counselor on finances con- (P.B. 1998.) (Amended Dec. 19, 2006, to take effect March
cerning alimony and child support in connection 12, 2007.)
with either a pendente lite, postjudgment or disso-
lution hearing, the recommendations of the family Sec. 25-40. Habeas Corpus in Family Mat-
relations counselor concerning alimony and child ters; the Petition
support shall not be reported to the judicial author- A petition for a writ of habeas corpus shall be
ity by the parties or their counsel or the family under oath and shall state:
relations counselor unless, before such confer- (1) the specific facts upon which each claim of
ence, the parties or their counsel have stipulated
custody or visitation is based such that the judicial
that the recommendation of the family relations
counselor may be made known to the judicial authority would immediately order the child or chil-
authority. dren to be brought before the court;
(P.B. 1978-1997, Sec. 464A.) (2) any previous petitions for the writ of habeas
Sec. 25-36. Motion for Decree Finally Dis- corpus, and any existing custody or visitation
solving Marriage or Civil Union after Decree orders, involving the same child or children and
of Legal Separation the dispositions taken thereon; and
(Amended June 30, 2008, to take effect Jan. 1, 2009.) (3) the specific facts upon which the court
Every motion for a decree finally dissolving and has jurisdiction.
terminating the marriage or civil union, after a (P.B. 1998.)
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Sec. 25-41 SUPERIOR COURT—PROCEDURE IN FAMILY MATTERS
Sec. 25-41. —Preliminary Consideration shall be rendered if the pleadings, affidavits and
(a) The judicial authority shall promptly review any other evidence submitted, show that there is
any petition for a writ of habeas corpus to deter- no genuine issue of material fact between the
mine whether the writ should issue. The judicial parties requiring a trial and the moving party is
authority shall issue the writ if it appears that: entitled to judgment as a matter of law.
(1) the court has jurisdiction; (P.B. 1998.)
(2) the petition is meritorious; and Sec. 25-47. —Discovery
(3) another proceeding is not more appropriate.
Discovery shall be as in all other family matters.
(b) The judicial authority shall notify the peti- (P.B. 1998.)
tioner if it declines to issue the writ pursuant to
this section. Sec. 25-48. Dockets, Pretrials and Assign-
(P.B. 1998.) ment for Disposition
Sec. 25-42. —Dismissal The provisions of Sections 14-2, 14-3, 14-23
The judicial authority may, at any time, upon its and 14-25 of the rules of practice shall apply to
own motion or upon motion of the respondent, family matters as defined in Section 25-1.
(P.B. 1998.)
dismiss the petition, or any count thereof, if it TECHNICAL CHANGE: A technical change was made for
determines that: consistency in punctuation.
(1) the court lacks jurisdiction;
(2) the petition, or a count thereof, fails to state Sec. 25-49. Definitions
a claim upon which habeas corpus relief can be For purposes of these rules the following defini-
granted; tions shall apply:
(3) the petition presents the same ground as a (1) ‘‘Uncontested matter’’ means a case in
prior petition previously denied and fails to state which both parties are appearing and no aspect
new facts or proffer new evidence not reasonably of the matter is in dispute.
available at the time of the prior petition; (2) ‘‘Financial Disputes’’ means a case in which
(4) the claims asserted in the petition are moot monetary awards, real property or personal prop-
or premature; erty are in dispute.
(5) any other legally sufficient ground for dis- (3) ‘‘Parenting Disputes’’ means a case in which
missal of the petition exists. child custody, visitation rights, also called parent-
(P.B. 1998.) ing time or access, paternity or the grounds for
the action are in dispute.
Sec. 25-43. —The Return
A case may contain both financial and parent-
The return shall respond to the allegations of ing disputes.
the petition and shall allege any facts in support (P.B. 1998.) (Amended June 12, 2015, to take effect Jan.
of any claim of procedural default, abuse of the 1, 2016.)
writ, or any other claim that the petitioner is not
entitled to relief. Sec. 25-50. Case Management
(P.B. 1998.) (a) The presiding judge or a designee shall
determine by the case management date which
Sec. 25-44. —Reply to the Return track each case shall take and assign each case
(a) If the return alleges any defense or claim for disposition. That date shall be set on a sched-
that the petitioner is not entitled to relief, and such ule approved by the presiding judge.
allegations are put in dispute by the petition, the (b) In all cases, unless the party or parties
petitioner shall file a reply. appear and the case proceeds to judgment under
(b) The reply shall admit or deny any allegations subsection (c) or (d) on the case management
that the petitioner is not entitled to relief. date, the party or parties shall file on or before
(P.B. 1998.)
the case management date:
Sec. 25-45. —Schedule for Filing Pleadings (1) a case management agreement (JD-FM-
The return or responsive pleading and any reply 163);
to the return shall be filed as the judicial authority (2) sworn financial affidavits;
may order. (3) a proposed parenting plan, if there are
(P.B. 1998.) minor children.
If the parties or counsel have not filed these
Sec. 25-46. —Summary Judgment as to Writ documents on or before the case management
of Habeas Corpus date, or in a case with parenting disputes where
At any time after the pleadings are closed, any counsel or self-represented parties have not come
party may move for summary judgment, which to court on the case management date, the case
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SUPERIOR COURT—PROCEDURE IN FAMILY MATTERS Sec. 25-55
may be dismissed or other sanctions may be to judgment on the case management date with-
imposed. out further notice to such defendant. Section 17-
(c) If the defendant has not filed an appearance 20 concerning motions for default shall not apply
by the case management date, the plaintiff may to such cases.
appear and proceed to judgment on the case man- (b) If the defendant files an appearance by the
agement date without further notice to the defend- case management date, the presiding judge or a
ant, provided the plaintiff has complied with the designee shall determine which track the case
provisions of Section 25-30. Otherwise, the plain- shall take pursuant to Section 25-50.
tiff must file, on or before the case management (P.B. 1998.) (Amended June 26, 2006, to take effect Jan.
date, the documents listed in subsection (b) and 1, 2007; amended June 12, 2015, to take effect Jan. 1, 2016.)
the clerk shall assign the matter to a date certain
for disposition. Sec. 25-52. Failure To Appear for Sched-
(d) If the matter is uncontested, the parties may uled Disposition
appear and proceed to judgment on the case man- If a party fails to appear in person or by counsel
agement date, provided the plaintiff has complied for a scheduled disposition, the opposing party
with the provisions of Section 25-30. Otherwise,
may introduce evidence and the case may pro-
the parties must file, on or before the case man-
agement date, the documents listed in subsection ceed to judgment without further notice to such
(b) and the clerk shall assign the matter to a date party who failed to appear.
(P.B. 1998.)
certain for disposition.
(e) In cases where there are financial disputes, Sec. 25-53. Reference of Family Matters
the parties do not have to come to court on the
case management date, but must file on or before In any family matter the court may, upon its
the case management date the documents listed own motion or upon motion of a party, refer any
in subsection (b). Thereafter, the matter may be contested, limited contested, or uncontested mat-
directed to any alternative dispute resolution ter for hearing and decision to a judge trial referee
mechanism, private or court-annexed, including, who shall have been a judge of the referring court.
but not limited to, family special masters and judi- Such matters shall be deemed to have been
cial pretrial. If not resolved, the matter will be referred for all further proceedings and judgment,
assigned a date certain for trial. including matters pertaining to any appeal there-
(f) In cases where there are parenting disputes, from, except that the referring court may retain
the parties and counsel must appear for a case jurisdiction to hear and decide any pendente lite
management conference on the case manage- or contempt matters.
ment date. If parenting disputes require judicial (P.B. 1978-1997, Sec. 458.)
intervention, the appointment of counsel or a
guardian ad litem for the minor child, or case study Sec. 25-54. Order of Trial; Argument by
or evaluation by family services or by a private Counsel
provider of services, a target date shall be The provisions of Sections 15-5, 15-6 and 15-
assigned for completion of such study and the 7, shall apply to family matters as defined in Sec-
final conjoint thereon and, thereafter, a date cer- tion 25-1.
tain shall be assigned for disposition. (P.B. 1998.)
(g) With respect to subsections (e) and (f), if a
trial is required, such order may include a date Sec. 25-55. Medical Evidence
certain for a trial management conference bet- A party who plans to offer a hospital record in
ween counsel or self-represented parties for the
evidence shall have the record in the clerk’s office
purpose of premarking exhibits and complying
with other orders of the judicial authority to expe- twenty-four hours prior to trial. The judge shall
dite the trial process. order that all such records be available for inspec-
(P.B. 1998.) (Amended June 28, 1999, to take effect Jan. tion in the clerk’s office to any counsel of record
1, 2000; amended June 12, 2015, to take effect Jan. 1, 2016.) under the supervision of the clerk. Counsel must
recognize their responsibility to have medical tes-
Sec. 25-51. When Motion for Default for Fail- timony available when needed and shall, when
ure To Appear Does Not Apply necessary, subpoena medical witnesses to that
(a) If, in any case involving a dissolution of mar- end. Such records shall be submitted in accord-
riage or civil union, legal separation, or annulment, ance with the provisions of Section 7-18.
the defendant has not filed an appearance by the (P.B. 1998.) (Amended June 28, 1999, to take effect Jan.
case management date, the plaintiff may proceed 1, 2000.)
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Sec. 25-56 SUPERIOR COURT—PROCEDURE IN FAMILY MATTERS
Sec. 25-56. Production of Documents at their attorneys, shall provide, on forms prescribed
Hearing or Trial by the chief court administrator and furnished by
(a) At the trial management conference prior to the clerk, such information as is required by the
the commencement of an evidentiary hearing or judges of the Superior Court.
trial, but in no event later than five days before the (P.B. 1978-1997, Sec. 477.) (Amended June 28, 1999, to
take effect Jan. 1, 2000; amended June 26, 2006, to take
scheduled hearing date, either party may serve effect Jan. 1, 2007.)
on the other a request for production of documents
and tangible things, in a manner consistent with Sec. 25-59. Closure of Courtroom in Fam-
Sections 13-9 through 13-11. Service may be ily Matters
made in the same manner as a subpoena or con- (Amended May 14, 2003, to take effect July 1, 2003.)
sistent with Sections 10-12 through 10-14. (a) Except as otherwise provided by law, there
(b) If a party fails to produce the requested shall be a presumption that courtroom proceed-
documents and items, the party filing the request ings shall be open to the public.
shall be permitted to introduce into evidence such (b) Except as provided in this section and
copies as that party might have, without having except as otherwise provided by law, the judicial
to authenticate the copies offered. authority shall not order that the public be
(c) If a party fails to produce the requested doc- excluded from any portion of a courtroom pro-
uments and items and the requesting party does ceeding.
not have copies to offer into evidence, the judicial (c) Upon motion of any party, or upon its own
authority may impose such sanctions on the non- motion, the judicial authority may order that the
producing party as the judicial authority deems public be excluded from any portion of a court-
appropriate pursuant to Section 13-14 and as are room proceeding only if the judicial authority con-
available to the judicial authority for the enforce- cludes that such order is necessary to preserve
ment of subpoenas. an interest which is determined to override the
(P.B. 1998.) public’s interest in attending such proceeding. The
Sec. 25-57. Affidavit concerning Children judicial authority shall first consider reasonable
alternatives to any such order and any such order
Before the judicial authority renders any order in shall be no broader than necessary to protect
any matter pending before it involving the custody, such overriding interest. An agreement of the par-
visitation or support of a minor child or children, ties to close the courtroom shall not constitute a
an affidavit shall be filed with the judicial authority sufficient basis for the issuance of such an order.
averring (1) whether any of the parties is believed (d) In connection with any order issued pursuant
to be pregnant; (2) the name and date of birth of to subsection (c) of this section, the judicial
any minor child born since the date of the filing authority shall articulate the overriding interest
of the complaint or the application; (3) information being protected and shall specify its findings
which meets the requirements of the Uniform underlying such order. If any findings would reveal
Child Custody Jurisdiction and Enforcement Act, information entitled to remain confidential, those
General Statutes § 46b-115 et seq.; (4) that there findings may be set forth in a sealed portion of
is no other proceeding in which either party has the record. The time, date and scope of any such
participated as a party, witness, or otherwise, con- order shall be set forth in a writing signed by the
cerning custody of the child in any state; and (5) judicial authority which upon issuance the court
that no person not a party has physical custody clerk shall immediately enter in the court file. The
or claims custody or visitation rights with respect judicial authority shall order that a transcript of
to the child. This section shall not apply to modifi- its decision be included in the file or prepare a
cations of existing support orders or in situations memorandum setting forth the reasons for its
involving allegations of contempt of support order.
orders. (e) A motion to close a courtroom proceeding
(P.B. 1978-1997, Sec. 476.) (Amended June 28, 1999, to
take effect Jan. 1, 2000; amended August 24, 2001, to take
shall be filed not less than fourteen days before
effect Jan. 1, 2002; amended June 12, 2015, to take effect the proceeding is scheduled to be heard. Such
Jan. 1, 2016.) motion shall be placed on the short calendar so
that notice to the public is given of the time and
Sec. 25-58. Reports of Dissolution of Mar- place of the hearing on the motion and to afford
riage or Civil Union and Annulment the public an opportunity to be heard on the motion
(Amended June 26, 2006, to take effect Jan. 1, 2007.) under consideration. The motion itself may be filed
Before a hearing is commenced for a dissolu- under seal, where appropriate, by leave of the
tion of marriage or civil union or annulment of judicial authority. When placed on a short calen-
marriage or civil union, the parties concerned, or dar, motions filed under this rule shall be listed in
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SUPERIOR COURT—PROCEDURE IN FAMILY MATTERS Sec. 25-59A
a separate section titled ‘‘Motions to Seal or confusion or redundancy when applied to an electronic envi-
Close’’ and shall also be listed with the time, date ronment.
and place of the hearing on the Judicial Branch
Sec. 25-59A. Sealing Files or Limiting Dis-
website. A notice of such motion being placed on
closure of Documents in Family Matters*
the short calendar shall, upon issuance of the
short calendar, be posted on a bulletin board adja- (a) Except as otherwise provided by law, there
cent to the clerk’s office and accessible to the shall be a presumption that documents filed with
public. the court shall be available to the public.
(P.B. 1978-1997, Sec. 478.) (Amended May 14, 2003, to (b) Except as provided in this section and
take effect July 1, 2003; amended June 21, 2004, to take except as otherwise provided by law, including
effect Jan. 1, 2005; amended June 20, 2011, to take effect
Jan. 1, 2012.)
Section 13-5, the judicial authority shall not order
HISTORY—2003: Prior to 2003, when both the title and that any files, affidavits, documents, or other
text were amended, Section 25-59 read: ‘‘Closed Hearings materials on file with the court or filed in connec-
and Records tion with a court proceeding be sealed or their
‘‘Subject to the provision of Section 11-20, any family matter disclosure limited.
may be heard in chambers or in a courtroom from which the
public and press have been excluded, and the records and
(c) Upon written motion of any party, or upon
other papers in any family matter may be ordered by the court its own motion, the judicial authority may order
to be kept confidential and not to be open to inspection except that files, affidavits, documents, or other materials
under order of the court or a judge thereof.’’ on file or lodged with the court or in connection
COMMENTARY—2003: The public and press enjoy a right with a court proceeding be sealed or their disclo-
of access to attend trials in civil as well as criminal cases. sure limited only if the judicial authority concludes
Press-Enterprise Co. v. Superior Court, 478 U.S. 1, 10, 106
S. Ct. 2735, 92 L. Ed. 2d 1 (1986); Globe Newspaper Co. v. that such order is necessary to preserve an inter-
Superior Court, 457 U.S. 596, 606, 102 S. Ct. 2613, 73 L. est which is determined to override the public’s
Ed. 2d 248 (1982); Westmoreland v. Columbia Broadcasting interest in viewing such materials. The judicial
System, Inc., 752 F.2d 16, 22 (2d Cir. 1984). authority shall first consider reasonable alterna-
For a further discussion of court closure, see the Commen- tives to any such order and any such order shall
tary to Sections 11-20 and 42-49. It is intended that the above
rule also apply to family support magistrates. be no broader than necessary to protect such
HISTORY—2005: Prior to 2005, the third sentence of sub- overriding interest. An agreement of the parties
section (d) read: ‘‘The time, date and scope of any such order to seal or limit the disclosure of documents on file
shall be in writing and shall be signed by the judicial authority with the court or filed in connection with a court
and be entered by the court clerk in the court file.’’ proceeding shall not constitute a sufficient basis
COMMENTARY—2005: As used in subsection (a) above,
the words ‘‘Except as otherwise provided by law’’ are intended
for the issuance of such an order.
to exempt from the operation of this rule all established proce- (d) In connection with any order issued pursuant
dures for the closure of courtroom proceedings as required to subsection (c) of this section, the judicial
or permitted by statute; e.g., General Statutes §§ 19a-583 (a) authority shall articulate the overriding interest
(10) (D) (pertaining to court proceedings as to disclosure of being protected and shall specify its findings
confidential HIV-related information), 36a-21 (b) (pertaining to
court proceedings at which certain records of the Department
underlying such order and the duration of such
of Banking are disclosed), 46b-11 (pertaining to hearings in order. If any findings would reveal information
family relations matters), 54-86c (b) (pertaining to the disclo- entitled to remain confidential, those findings may
sure of exculpatory information or material), 54-86f (pertaining be set forth in a sealed portion of the record. The
to the admissibility of evidence of sexual conduct) and 54-86g time, date, scope and duration of any such order
(pertaining to the testimony of a victim of child abuse); other shall be set forth in a writing signed by the judicial
rules of practice; e.g., Practice Book Section 40-43; and/or
controlling state or federal case law. authority which upon issuance the court clerk shall
The above amendment to subsection (d) establishes a immediately enter in the court file. The judicial
mechanism by which the public and the press, who are empow- authority shall order that a transcript of its decision
ered by this rule to object to pending motions to close the be included in the file or prepare a memorandum
courtroom in family matters, will receive timely notice of the setting forth the reasons for its order.
court’s disposition of such motions.
HISTORY—2012: Prior to 2012, the last sentence of sub-
(e) Except as otherwise ordered by the judicial
section (e) read: ‘‘A copy of the short calendar page containing authority, a motion to seal or limit the disclosure
the aforesaid section shall, upon issuance of the short calen- of affidavits, documents, or other materials on file
dar, be posted on a bulletin board adjacent to the clerk’s office or lodged with the court or filed in connection with
and accessible to the public.’’ a court proceeding shall be calendared so that
COMMENTARY—2012: The above amendment is notice to the public is given of the time and place
intended to provide for the electronic filing and processing of
documents and orders, and the maintenance of court records, of the hearing on the motion and to afford the
where the present terminology, filing requirements or pro- public an opportunity to be heard on the motion
cesses that are applicable in a paper environment result in under consideration. The procedures set forth in
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Sec. 25-59A SUPERIOR COURT—PROCEDURE IN FAMILY MATTERS
Sections 7-4B and 7-4C shall be followed in con- signed form shall be retained for the court file
nection with a motion to file affidavits, documents and shall be under seal. Any such copy shall be
or other materials under seal or to limit their dis- disclosable only to the judicial authority, to court
closure. personnel, to the parties to the action and their
(f) (1) A motion to seal the contents of an entire attorneys, and to any individual or entity under
court file shall be placed on the short calendar to cooperative agreement with the Title IV-D agency
be held not less than fifteen days following the requesting disclosure of such form in the adminis-
filing of the motion, unless the judicial authority tration of the child support program. Any person
otherwise directs, so that notice to the public is may file a motion to unseal this document. A copy
given of the time and place of the hearing on the of the signed form with all Social Security numbers
motion and to afford the public an opportunity to and dates of birth redacted by the clerk shall be
be heard on the motion under consideration. The retained in the court file and be available for pub-
procedures set forth in Sections 7-4B and 7-4C lic inspection.
shall be followed in connection with such motion. (j) When placed on a short calendar, motions
(2) The judicial authority may issue an order filed under this rule shall be listed in a separate
sealing the contents of an entire court file only section titled "Motions to Seal or Close" and shall
upon a finding that there is not available a more also be listed with the time, date and place of the
narrowly tailored method of protecting the over- hearing on the Judicial Branch website. A notice
riding interest, such as redaction or sealing a por- of such motion being placed on the short calendar
tion of the file. The judicial authority shall state in shall, upon issuance of the short calendar, be
its decision or order each of the more narrowly posted on a bulletin board adjacent to the clerk’s
tailored methods that was considered and the office and accessible to the public.
reason each such method was unavailable or (Adopted May 14, 2003, to take effect July 1, 2003;
inadequate. amended June 21, 2004, to take effect Jan. 1, 2005; amended
June 20, 2011, to take effect Jan. 1, 2012; amended June 14,
(g) The provisions of this section shall not apply 2013, to take effect Jan. 1, 2014; amended June 12, 2015,
to settlement conferences or negotiations or to to take effect Jan. 1, 2016.)
documents submitted to the court in connection with COMMENTARY—2003: The public and press enjoy a right
such conferences or negotiations. The provisions of access to attend trials in civil as well as criminal cases. See
of this section shall apply to settlement agree- Nixon v. Warner Communications, Inc., 435 U.S. 589, 608,
ments which have been filed with the court or have 98 S. Ct. 1306, 55 L. Ed. 2d 570 (1978). The guarantee of
open public proceedings in civil trials applies as well to the
been incorporated into a judgment of the court. sealing of court documents. See Publicker Industries, Inc. v.
(h) Sworn statements of current income, Cohen, 733 F.2d 1059, 1070–71 (3d Cir. 1984).
expenses, assets and liabilities filed with the court See also the Commentary to Section 42-49A.
pursuant to Sections 25-30 and 25a-15 shall be Subsection (h) is intended to minimize the potential for
under seal and be disclosable only to the judicial abuse that can result when personal financial information is
authority, to court personnel, to the parties to the made available to persons who engage in identity theft or
other illegal activities.
action and their attorneys, and to any guardians It is intended that subsection (h) not apply retroactively to
ad litem and attorneys appointed for any minor sworn statements that have been filed before the effective
children involved in the matter, except as other- date of this rule.
wise ordered by the judicial authority. Any person It is intended that the above rule also apply to family sup-
may file a motion to unseal these documents. port magistrates.
When such motion is filed, the provisions of para- It is intended that the use of pseudonyms in place of the
name of a party or parties not be permitted in family cases.
graphs (a) through (e) of this section shall apply HISTORY—2005: Prior to 2005, the third sentence of sub-
and the party who filed the documents shall have section (d) read: ‘‘The time, date, scope and duration of any
the burden of proving that they should remain such order shall forthwith be reduced to writing and be signed
sealed. The judicial authority shall order that the by the judicial authority and entered by the court clerk in the
automatic sealing pursuant to this paragraph shall court file.’’ In 2005, in the first sentence of subsection (h), a
terminate with respect to all such sworn state- comma was substituted for ‘‘and’’ between ‘‘court personnel’’
and ‘‘to the parties’’ and the words ‘‘and to any guardians ad
ments then on file with the court when any hearing litem and attorneys appointed for any minor children involved
is held at which financial issues are in dispute. in the matter,’’ were inserted.
This shall not preclude a party from filing a motion COMMENTARY—2005: As used in subsection (a) above,
to seal or limit disclosure of such sworn state- the words ‘‘Except as otherwise provided by law’’ are intended
ments pursuant to this section. to exempt from the operation of this rule all established proce-
dures for the sealing or ex parte filing, in camera inspection
(i) Any Income Withholding for Support form and/or nondisclosure to the public of documents, records and
(JD-FM-1) filed with the clerk’s office, after being other materials, as required or permitted by statute; e.g., Gen-
signed by the clerk, shall be returned to the filer eral Statutes §§ 12-242vv (pertaining to taxpayer information),
for service on the payer of income. A copy of the 52-146c et seq. (pertaining to the disclosure of psychiatric
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SUPERIOR COURT—PROCEDURE IN FAMILY MATTERS Sec. 25-60
records) and 54-56g (pertaining to the pretrial alcohol educa- TECHNICAL CHANGE: In subsection (i) and the 2016
tion program); other rules of practice; e.g., Practice Book Sec- commentary, technical changes were made to capitalize
tions 7-18, 13-5 (6) through (8) and 40-13 (c); and/or controlling ‘‘Social Security.’’
state or federal case law; e.g., Matza v. Matza, 226 Conn. *APPENDIX NOTE: The Rules Committee of the Superior
166, 627 A.2d 414 (1993) (establishing a procedure whereby Court enacted, and the judges of the Superior Court subse-
an attorney seeking to withdraw from a case due to his client’s quently adopted, certain changes to the provisions of this
anticipated perjury at trial may support his motion to withdraw rule in response to the public health and civil preparedness
by filing a sealed affidavit for the court’s review). emergencies declared on March 10, 2020, and renewed on
The above amendment to subsection (d) establishes a September 1, 2020, and January 26, 2021. The public health
mechanism by which the public and the press, who are empow- emergency was renewed on June 28, 2022, and is scheduled
ered by this rule to object to pending motions to seal files or to expire on December 28, 2022, or when the federal public
limit the disclosure of documents in family matters, will receive health emergency ends. See Appendix of Section 1-9B
timely notice of the court’s disposition of such motions. Changes.
The above change to subsection (h) adds to those catego-
ries of individuals to whom financial affidavits filed with the
Sec. 25-59B. —Documents Containing Per-
court pursuant to Section 25-30 are disclosable the following: sonal Identifying Information
guardians ad litem and attorneys appointed for the minor (a) The requirements of Section 25-59A shall
children. not apply to ‘‘personal identifying information,’’ as
HISTORY—2012: Prior to 2012, the last sentence of sub- defined in Section 4-7, that may be found in docu-
section (i) read: ‘‘A copy of the short calendar page containing
ments filed with the court, with the exception of
the aforesaid section shall, upon issuance of the short calen-
dar, be posted on a bulletin board adjacent to the clerk’s office financial affidavits that are under seal. When a
and accessible to the public.’’ financial affidavit is unsealed, this section shall
COMMENTARY—2012: The above amendment is apply. If a document containing personal identi-
intended to provide for the electronic filing and processing of fying information is filed with the court, a party
documents and orders, and the maintenance of court records, or a person identified by the personal identifying
where the present terminology, filing requirements or pro- information may request that the document con-
cesses that are applicable in a paper environment result in taining the personal identifying information be
confusion or redundancy when applied to an electronic envi-
ronment.
sealed. In response to such request, or on its own
HISTORY—2014: In 2014, ‘‘and 25a-15’’ was added to motion, the court shall order that the document be
the first sentence of subsection (h), following ‘‘25-30,’’ and sealed and that the party who filed the document
‘‘Section’’ was made plural, before ‘‘25-30 and 25a-15.’’ submit a redacted copy of the document within
COMMENTARY—2014: The above change is made to ten days of such order.
make clear that the provisions of Section 25-59A (h) apply to (b) If the party who filed the document fails to
sworn statements filed under Section 25a-15 (a). submit a redacted copy of the document within
HISTORY—2016: In 2016, what had been the second and ten days of the order, the court may enter sanc-
third sentences of subsection (h) were deleted. Prior to 2016,
the second and third sentences of subsection (h) read: ‘‘When
tions, as appropriate, against said party for such
such sworn statements are filed, the clerk shall place them in failure upon the expiration of the ten day period.
a sealed envelope clearly identified with the words ‘Financial Upon the submission of a redacted copy of such
Affidavit.’ All such sworn statements that are filed in a case document, the original document containing the
may be placed in the same sealed envelope.’’ personal identifying information shall be retained
Also in 2016, what is now subsection (i) was added and as a sealed document in the court file, unless
what had been subsection (i) was designated subsection (j). otherwise ordered by the court.
COMMENTARY—2016: The language that has been (Adopted June 22, 2009, to take effect Jan. 1, 2010;
deleted in subsection (h) was applicable to a paper file. There amended June 21, 2010, to take effect Jan. 1, 2011.)
are, as of December 15, 2014, paperless family files for which
sealing financial affidavits in an envelope is not applicable. Sec. 25-60. Evaluations, Studies, Family
A comparable electronic process ‘‘seals’’ those affidavits in Services Mediation Reports and Family Ser-
accordance with the other provisions of this section. vices Conflict Resolution Reports
New subsection (i) concerns the Income Withholding for
Support form (JD-FM-1) which is a federally mandated form. (Amended June 20, 2011, to take effect Aug. 15, 2011;
The Social Security number and dates of birth are required amended June 13, 2014, to take effect Jan. 1, 2015.)
fields, and there is currently no law that protects this informa- (a) Whenever, in any family matter, an evalua-
tion from disclosure. Family files are now electronic and may tion or study has been ordered pursuant to Section
be viewed from any courthouse public access computer in the 25-60A or Section 25-61, or the court support
state, allowing for greater access to these documents without services division family services unit has been
the need to go to a clerk’s office. Therefore, the most secure ordered to conduct mediation or to hold a conflict
way of protecting the Social Security number and other per-
sonal identifying information on this form is to seal the copy
resolution conference pursuant to Section 25-61,
of the form that is retained in the court file. A provision has the case shall not be disposed of until the report
been included to allow any person to move to unseal the has been filed as hereinafter provided, and coun-
document. A redacted copy of the signed form will be retained sel and the parties have had a reasonable oppor-
in the court file for public inspection. tunity to examine it prior to the time the case is
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Sec. 25-60 SUPERIOR COURT—PROCEDURE IN FAMILY MATTERS
to be heard, unless the judicial authority orders Sec. 25-60A. Court-Ordered Private Evalu-
that the case be heard before the report is filed. ations
(b) Any report of an evaluation or study pursuant (Amended June 15, 2012, to take effect Jan. 1, 2013).
to Section 25-60A or Section 25-61, or any media- (a) If the court orders a private evaluation of
tion report or conflict resolution conference report any party or any child in a family proceeding where
filed by the family services unit as a result of a custody, visitation or parental access is at issue,
referral of the matter to such unit, shall be filed a qualified, licensed health care provider shall
with the clerk, who will seal such report, and shall conduct such evaluation.
be provided by the filer to counsel of record, (b) If the court has determined that an evalua-
guardians ad litem and self-represented parties tion can be undertaken and a qualified, licensed
unless otherwise ordered by the judicial authority. health care provider has been selected to perform
Any such report shall be available for inspection the evaluation, the court’s order for an evaluation
to counsel of record, guardians ad litem and the shall contain the name of the provider who is to
parties to the action, unless otherwise ordered by undertake the evaluation, the estimated cost of
the judicial authority. the evaluation, each party’s responsibility for the
(c) Any report of an evaluation or study pre- cost of the evaluation, the professional credentials
pared pursuant to Section 25-60A or Section 25- of the provider, the estimated deadline by which
61 shall be admissible in evidence provided the the evaluation shall be completed and submitted
author of the report is available for cross-exami- to the court, and the estimated fee of the provider
nation. for testifying in court. The estimated cost of the
(d) The file compiled by the family services unit evaluation shall include, separately stated, the
in the course of preparing any mediation report estimated fee of the provider for testifying in court.
or conflict resolution conference report shall not (c) Not later than thirty days after the date of
be available for inspection or copying unless the completion of the evaluation, the provider shall
otherwise ordered by the judicial authority. The file a report containing the results of the evaluation
file compiled by the family services unit in the with the clerk of the court, who shall seal such
course of preparing an evaluation or study con- report.
ducted pursuant to Section 25-61 that has been (d) Notice of any orders relating to the evalua-
completed and filed with the clerk in accordance tion ordered shall be communicated to the evalua-
with subsection (b) of this section shall be avail- tor by the guardian ad litem or, where there is no
able for inspection only to counsel of record, guardian ad litem, by court personnel.
guardians ad litem and the parties to the action (e) Until a court-ordered evaluation is filed with
to the extent permitted by any applicable authori- the clerk pursuant to Section 25-60 (b), counsel
zation for release of information; and further pro- for the parties shall not initiate contact with the
vided that copies of documents, notes, evaluator, unless otherwise ordered by the judi-
information or other material in the file shall only cial authority.
be provided to such individuals if they make the (f) The provisions of subsections (a) and (b) of
request in writing and certify that it is requested Section 25-60 shall apply to completed private
for legitimate purposes of trial preparation and/or court-ordered evaluations.
trial proceedings in the case in which the evalua- (Adopted June 20, 2011, to take effect Aug. 15, 2011;
tion or study was filed. For purposes of this sec- amended June 15, 2012, to take effect Jan. 1, 2013; amended
June 11, 2021, to take effect Jan. 1, 2022.)
tion, the word ‘‘file’’ shall include any documents,
notes, information or other material retained by Sec. 25-61. Family Division
the family services unit in any format.
The family services unit shall, at the request
(e) Any information or copies of the file dis-
of the judicial authority, provide assistance with
closed pursuant to this section shall not be further
regard to issues concerning custody, visitation,
disclosed unless otherwise ordered by the judicial
finances, mediation, case management and such
authority or as otherwise authorized in this section other matters as the judicial authority may direct,
or as otherwise required by law. including, but not limited to, an evaluation of any
(P.B. 1978-1997, Sec. 479.) (Amended June 20, 2011, to
take effect Aug. 15, 2011; amended June 13, 2014, to take
party or any child in a family proceeding. If an
effect Jan. 1, 2015; amended June 23, 2017, to take effect evaluation of a party or child is requested by the
Jan. 1, 2018.) judicial authority, counsel for the party or child
TECHNICAL CHANGE: In subsections (b) and (d), techni- shall not initiate contact with the evaluator, unless
cal changes were made for consistency in punctuation. otherwise ordered by the judicial authority, until
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SUPERIOR COURT—PROCEDURE IN FAMILY MATTERS Sec. 25-62
the evaluation is filed with the clerk pursuant to (c) The Office of Chief Public Defender shall
Section 25-60 (b). collaborate with the standing committee on guard-
(P.B. 1998.) (Amended June 14, 2013, to take effect Jan. ians ad litem and attorneys for the minor child in
1, 2014.) family matters to:
Sec. 25-61A. Standing Committee on Guard- (1) Administer the training of guardians ad litem
ians Ad Litem and Attorneys for the Minor and attorneys for the minor child in family matters;
Child in Family Matters (2) Promulgate and maintain an application for
individuals to be deemed eligible to be appointed
(a) There shall be a standing committee on as a guardian ad litem or attorney for the minor
guardians ad litem and attorneys for the minor child in family matters; and
child in family matters. The membership shall con- (3) Provide a list of qualified individuals to be
sist of nine individuals, appointed by the chief eligible for appointment as a guardian ad litem or
court administrator. The members shall serve at attorney for the minor child to the Judicial Branch
the pleasure of the chief court administrator, and at least once per year.
shall include: (d) The Office of Chief Public Defender may
(1) the chief public defender, or his or her promulgate and maintain an additional application
designee; process for eligible individuals wishing to contract
(2) a mental health professional, with experi- with the Office of Chief Public Defender to serve
ence in the fields of child and family matters; as a guardian ad litem or attorney for the minor
(3) the Commissioner of the Department of Pub- child at state rates.
lic Health, or his or her designee; (Adopted June 24, 2016, to take effect Jan. 1, 2017.)
(4) an attorney in good standing, licensed to
practice law in the State of Connecticut by the Sec. 25-62. Appointment of Guardian Ad
Judicial Branch, who focuses his or her practice Litem
in the area of family law, and who is not on the (a) The judicial authority may appoint a guard-
list of individuals qualified to be appointed as a ian ad litem for a minor involved in any family
guardian ad litem or an attorney for a minor child matter. Unless the judicial authority orders that
in a family matter; another person be appointed guardian ad litem,
(5) two judges of the Superior Court with experi- a family relations counselor shall be designated
ence presiding over family matters, one of whom as guardian ad litem. The guardian ad litem is not
shall be designated by the chief court administra- required to be an attorney.
tor to serve as chairperson; (b) With the exception of family relations coun-
(6) two members of the public; and selors, no person may be appointed as guardian
(7) a representative of a nonprofit legal services ad litem unless he or she:
organization who has experience in family law. (1) Is an attorney in good standing, licensed to
(b) In addition to any other powers and duties practice law in the State of Connecticut by the
set forth in this chapter, the standing committee Judicial Branch, or is a mental health professional,
on guardians ad litem and attorneys for the minor licensed by the Connecticut Department of Public
child in family matters shall: Health and in good standing, in the areas of clini-
(1) From time to time, establish additional quali- cal social work, marriage and family therapy, pro-
fications, not inconsistent with Sections 25-62 and fessional counseling, psychology or psychiatry;
25-62A, for an individual to be deemed eligible to (2) Provides proof that he or she does not have
be appointed as a guardian ad litem or attorney a criminal record;
for the minor child in family matters; (3) Provides proof that he or she does not
(2) Approve the curriculum for the training appear on the Department of Children and Fami-
required by Sections 25-62 and 25-62A as lies’ central registry of child abuse and neglect;
amended; (4) Completes a minimum of twenty hours of
(3) Establish and administer a process by which preservice training as determined by the standing
an individual may be removed from the list of committee on guardians ad litem and attorneys
those deemed eligible for appointment as a guard- for the minor child in family matters;
ian ad litem or attorney for the minor child in fam- (5) Meets any additional qualifications estab-
ily matters; lished by the standing committee on guardians
(4) Annually review and approve a list of individ- ad litem and attorneys for the minor child in family
uals deemed eligible for appointment as a guard- matters; and
ian ad litem or attorney for the minor child in family (6) Applies, provides proof of the foregoing
matters; and items and is approved as eligible to serve as a
(5) Adopt procedures to carry out its functions. guardian ad litem by the standing committee on
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Sec. 25-62 SUPERIOR COURT—PROCEDURE IN FAMILY MATTERS
guardians ad litem and attorneys for the minor (1) Certify that they have completed twelve
child in family matters. hours of relevant training within the past three
(c) The status of all individuals deemed eligible years, three hours of which must be in ethics;
to be appointed as a guardian ad litem in family (2) Disclose any changes to their criminal
matters shall be reviewed by the standing commit- history;
tee on guardians ad litem and attorneys for the (3) Certify that they do not appear on the
minor child in family matters every three years. Department of Children and Families’ central reg-
To maintain eligibility, individuals must: istry of child abuse and neglect; and
(1) Certify that they have completed twelve (4) Meet additional qualifications as determined
hours of relevant training within the past three by the standing committee on guardians ad litem
years, three hours of which must be in ethics; and attorneys for the minor child in family matters.
(2) Disclose any changes to their criminal (d) The judicial authority may order compensa-
history; tion for services rendered by a court-appointed
(3) Certify that they do not appear on the attorney for the minor child.
Department of Children and Families’ central reg- (Adopted June 20, 2011, to take effect Jan. 1, 2012;
istry of child abuse and neglect; and amended June 24, 2016, to take effect Jan. 1, 2017.)
(4) Meet additional qualifications as determined
by the standing committee on guardians ad litem Sec. 25-63. Right to Counsel in Family Civil
and attorneys for the minor child in family matters. Contempt Proceedings
(d) The judicial authority may order compensa- (a) A person who is before the court in a civil
tion for services rendered by a court-appointed contempt proceeding involving the failure to com-
guardian ad litem. ply with the order of a judicial authority in a family
(P.B. 1978-1997, Sec. 484.) (Amended June 20, 2011, to matter and who faces potential incarceration shall
take effect Jan. 1, 2012; amended June 24, 2016, to take
effect Jan. 1, 2017.)
be advised of his or her right to be represented
by counsel and his or her right to court-appointed
Sec. 25-62A. Appointment of Attorney for a counsel if he or she is indigent. If the person is
Minor Child unable to obtain counsel by reason of his or her
(a) The judicial authority may appoint an attor- indigency he or she shall have counsel appointed
ney for the minor child in any family matter. to represent him or her unless:
(b) No person may be appointed as an attorney (1) He or she waives such appointment pursu-
for the minor child unless he or she: ant to Section 25-64; or
(1) Is an attorney in good standing, licensed to (2) At the time of the application for the appoint-
practice law in the state of Connecticut. ment of counsel, the judicial authority eliminates
(2) Provides proof that he or she does not have incarceration as a possible result of the proceed-
a criminal record; ing and makes a statement to that effect on the
(3) Provides proof that he or she does not record.
appear on the Department of Children and Fami- (b) The person shall be further advised that no
lies’ central registry of child abuse and neglect; person shall continue to be detained in a correc-
(4) Completes a minimum of twenty hours of tional facility pursuant to an order of civil contempt
preservice training as determined by the standing for longer than thirty days, unless at the expiration
committee on guardians ad litem and attorneys of such thirty days he or she is presented to the
for the minor child in family matters; judicial authority. On each such presentment, the
(5) Meets any additional qualifications estab- contemnor shall be given an opportunity to purge
lished by the standing committee on guardians himself or herself of the contempt by compliance
ad litem and attorneys for the minor child in family with the order of the judicial authority. If the con-
matters; and temnor does not so act, the judicial authority may
(6) Applies, provides proof of the foregoing direct that the contemnor remain in custody under
items and is approved as eligible to serve as an the terms of the order of the judicial authority then
attorney for the minor child by the standing com- in effect, or may modify the order if the interests
mittee on guardians ad litem and attorneys for the of justice so dictate.
minor child in family matters. (c) Any attorney appointed to represent the con-
(c) The status of all individuals deemed eligible temnor shall represent such contemnor only on
to be appointed as an attorney for the minor child the contempt, and shall not be appointed for any
in family matters shall be reviewed by the standing other purpose.
committee on guardians ad litem and attorneys for (P.B. 1978-1997, Sec. 484A.)
the minor child in family matters every three years. TECHNICAL CHANGE: In subsection (a), a technical
To maintain eligibility, individuals must: change was made for consistency in punctuation.
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SUPERIOR COURT—PROCEDURE IN FAMILY MATTERS Sec. 25-69
Sec. 25-64. —Waiver (b) In cases under this section a copy of the
A person shall be permitted to waive his or her paternity petition shall be served on the attorney
right to counsel and shall be permitted to repre- general in accordance with the provisions of Sec-
sent himself or herself at any stage of the proceed- tions 10-12 through 10-17. The attorney general
ings, either prior to or following the appointment shall be a party to such cases, but he or she
of counsel. A waiver will be accepted only after need not be named in the petition or summoned
the judicial authority makes a thorough inquiry to appear.
and is satisfied that the person: (P.B. 1978-1997, Sec. 484C.)
TECHNICAL CHANGE: In subsection (a), a technical
(1) Has been clearly advised of his or her right change was made for consistency in punctuation.
to the assistance of counsel, including his or her
right to the assignment of counsel when he or she Sec. 25-69. Social Services; Additional
is so entitled; Duties
(2) Possesses the intelligence and capacity to (a) Under the supervision and direction of the
appreciate the consequences of the decision to judicial authority, a family relations counselor
represent himself or herself; shall, where there is a motion for change of cus-
(3) Comprehends the nature of the proceed- tody of a child, or where his or her knowledge of
ings, the range of permissible sanctions and any the family situation causes him or her to believe
additional facts essential to a broad understand- that the welfare of the child requires a hearing on
ing of the case; and a change of custody, upon direction of the judicial
(4) Has been made aware of the risks and dis- authority, be permitted to investigate the domestic
advantages of self-representation. and financial situation of the parties and report
(P.B. 1978-1997, Sec. 484B.) his or her findings. The judicial authority may
Sec. 25-65. Family Support Magistrates; thereafter, on its own motion if necessary, hold a
Procedure hearing thereon after such notice to the parties
as it deems proper.
[Repealed as of Aug. 1, 2010.] (b) Under the supervision and direction of the
Sec. 25-66. Appeal from Decision of Family judicial authority, the family relations counselor
Support Magistrate shall conduct such investigations or mediation
[Repealed as of Aug. 1, 2010.] conferences in domestic relations matters as may
be directed by the judicial authority.
Sec. 25-67. Support Enforcement Services (c) Under the supervision and direction of the
[Repealed as of Aug. 1, 2010.] judicial authority, the family relations counselor
may, where necessary, bring an application to the
Sec. 25-68. Right to Counsel in State Initi- court for a rule requiring a party to appear before
ated Paternity Actions the court to show cause why such party should
(a) A putative father named in a state initiated not be held in contempt for failure to comply with
paternity action shall be advised by the judicial an order of the judicial authority for visitation.
authority of his right to be represented by counsel (d) Family relations caseworkers, family rela-
and his right to court-appointed counsel if indigent. tions counselors and support enforcement officers
If he is unable to obtain counsel by reason of shall investigate all criminal matters involving fam-
his indigency he shall have counsel appointed to ily relations cases referred to them by the prose-
represent him unless he waives such appointment cuting attorney or by the judicial authority.
pursuant to Section 25-64. (P.B. 1978-1997, Sec. 481A.)
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Sec. 25a-1 SUPERIOR COURT—PROCEDURE IN FAMILY SUPPORT MAGISTRATE MATTERS
SUPERIOR COURT—PROCEDURE IN FAMILY SUPPORT
MAGISTRATE MATTERS
CHAPTER 25a
FAMILY SUPPORT MAGISTRATE MATTERS
Sec. Sec.
25a-1. Family Support Magistrate Matters; Procedure 25a-16. Opening Argument
25a-1A. Notice of Title IV-D Child Support 25a-17. Motion To Open Judgment of Paternity by
Enforcement Services Acknowledgment
25a-2. Prompt Filing of Appearance 25a-18. Modification of Alimony or Support
25a-3. Withdrawal of Appearance; Duration of 25a-19. Standard Disclosure and Production
Appearance 25a-20. Medical Evidence
25a-4. Telephonic Hearings 25a-21. Experts
25a-5. Signing of Pleading 25a-22. Interrogatories; In General
25a-6. Contents of Petition 25a-23. Answers to Interrogatories
25a-7. Automatic Orders upon Service of Petition 25a-24. Requests for Production, Inspection
25a-8. Order of Notice and Examination; In General
25a-9. Motions 25a-25. Order for Compliance; Failure To
25a-10. —Motion To Cite in New Parties Answer or Comply with Order
25a-11. Answer to Cross Petition 25a-26. Continuing Duty To Disclose
25a-12. Order of Pleadings 25a-27. Depositions; In General
25a-13. Reclaims 25a-28. —Place of Deposition
25a-14. —Continuances when Counsel’s Presence or 25a-29. Appeal from Decision of Family Support
Oral Argument Required Magistrate
25a-15. Statements To Be Filed 25a-30. Support Enforcement Services
COMMENTARY—August, 2010: This new chapter is intended to clarify what rules of practice are specifically incorporated in
the family support magistrate court rules and what rules are exclusive only to the family support magistrate court. They include
rules 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- (C) Chapter 10, Sections 10-1, 10-3 through
ters; Procedure 10-5, 10-7, 10-10, 10-12 through 10-14, 10-17,
(a) In addition to the specific procedures set 10-26, 10-28, subsections (a) and (c) of Section
out in this chapter, the following provisions shall 10-30, 10-31 through 10-34, subsection (b) of
govern the practice and procedure in all family Section 10-39, 10-40, 10-43 through 10-45 and
support magistrate matters, whether heard by a 10-59 through 10-68;
family support magistrate or any other judicial (D) Chapter 11, Sections 11-1 through 11-8,
authority. The term ‘‘judicial authority’’ and the 11-10 through 11-12 and 11-19;
word ‘‘judge’’ as used in the rules referenced in (E) Chapter 12, in its entirety;
this section shall include family support magis- (F) Chapter 13, Sections 13-1 through 13-3, 13-
trates where applicable, unless specifically other- 5, 13-8, 13-10 except subsection (c), 13-11A, 13-
wise designated. The word ‘‘complaint’’ as used 21 except subdivision (13) of subsection (a), sub-
in the rules referenced in this section shall include sections (a), (e), (f), (g) and (h) of Section 13-27,
petitions and applications filed in family support and Sections 13-28 and 13-30 through 13-32;
magistrate matters.
(G) Chapter 14, Sections 14-1 through 14-3,
(1) General Provisions:
14-9, 14-15, 14-17, 14-18, 14-24 and 14-25;
(A) Chapters 1, 2, 5, 6 and 7 in their entirety;
(B) Chapter 3, in its entirety except subsection (H) Chapter 15, Sections 15-3, 15-5, 15-7 and
(b) of Section 3-2 and Section 3-9; 15-8;
(C) Chapter 4, in its entirety except subsections (I) Chapter 17, Sections 17-1, 17-4, 17-5, 17-
(a) and (b) of Section 4-2; 19, 17-21, subsection (a) of Section 17-33 and
(2) Procedure in Civil Matters: Section 17-41;
(A) Chapter 8, Sections 8-1 and 8-2; (J) Chapter 18, Section 18-19;
(B) Chapter 9, Sections 9-1 and 9-18 through (K) Chapter 19, Section 19-19;
9-20; (L) Chapter 20, Sections 20-1 and 20-3;
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SUPERIOR COURT—PROCEDURE IN FAMILY SUPPORT MAGISTRATE MATTERS Sec. 25a-3
(M) Chapter 23, Sections 23-20, 23-67 and Sec. 25a-3. Withdrawal of Appearance; Dura-
23-68. tion of Appearance*
(3) Procedure in Family Matters: (a) An attorney or party whose appearance has
Chapter 25, Sections 25-1, 25-9, 25-12 through been filed shall be deemed to have withdrawn
25-22, 25-27, 25-33, 25-48, 25-54, 25-59, 25-59A, such appearance upon failure to file a written
25-61, 25-62 through 25-64 and 25-68. objection within ten days after written notice has
(b) Any pleading or motion filed in a family sup- been given or mailed to such attorney or party
port magistrate matter shall indicate, in the lower that a new appearance has been filed in place
right hand corner of the first page of the document, of the appearance of such attorney or party in
that it is a family support magistrate matter. accordance with Section 3-8.
(c) Family support magistrate matters shall be (b) An attorney may withdraw his or her appear-
placed on the family support magistrate matters ance for a party or parties in any action after the
list for hearing and determination. appearance of other counsel representing the
(d) Family support magistrate list matters shall same party or parties has been entered. An appli-
be assigned automatically by the clerk without the cation for withdrawal in accordance with this sub-
necessity of a written claim. No such matters shall
section shall state that such an appearance has
be so assigned unless filed at least five days
been entered and that such party or parties are
before the opening of court on the day the list is
being represented by such other counsel at the
to be called.
time of the application. Such an application may
(e) Family support magistrate list matters shall
not be continued except by order of a judicial be granted by the clerk as of course, if such an
authority. appearance by other counsel has been entered.
(Adopted June 21, 2010, to take effect Aug. 1, 2010; (c) In addition to the grounds set forth in subsec-
amended June 14, 2013, to take effect Oct. 1, 2013; amended tions (a), (b), and (d), a lawyer who represents a
June 23, 2017, to take effect Jan. 1, 2018.) party or parties on a limited basis in accordance
with Section 3-8 (b) and has completed his or her
Sec. 25a-1A. Notice of Title IV-D Child Sup-
representation as defined in the limited appear-
port Enforcement Services
ance, shall file a certificate of completion of limited
(a) In any Title IV-D support case as defined appearance on Judicial Branch form JD-CL-122.
by General Statutes § 46b-231, the Title IV-D The certificate shall constitute a full withdrawal of
agency, or one of its cooperative agencies, shall a limited appearance. Copies of the certificate
file a notice, on a form prescribed by the Office must be served in accordance with Sections 10-
of the Chief Court Administrator, that the parties 12 through 10-17 on the client, and all attorneys
or child are receiving child support enforcement and self-represented parties of record.
services. (d) All appearances of counsel shall be deemed
(b) Upon termination of child support enforce- to have been withdrawn 180 days after the entry
ment services, the Title IV-D agency, or one of
of judgment in any action seeking a dissolution of
its cooperative agencies, shall file a notice, on a
marriage or civil union, annulment, or legal separa-
form prescribed by the Office of the Chief Court
Administrator, that the Title IV-D support case is tion, provided no appeal shall have been taken. In
closed. the event of an appeal or the filing of a motion to
(Adopted June 24, 2016, to take effect Jan. 1, 2017.) open a judgment within such 180 days, all appear-
ances of counsel shall be deemed to have been
Sec. 25a-2. Prompt Filing of Appearance* withdrawn after final judgment on such appeal or
An appearance in Title IV-D child support mat- motion or within 180 days after the entry of the ori-
ters should be filed promptly but may be filed at ginal judgment, whichever is later. Nothing herein
any stage of the proceeding. shall preclude or prevent any attorney from filing a
(Adopted June 21, 2010, to take effect Aug. 1, 2010.) (Sec. motion to withdraw with leave of the court during
25a-2 was temporarily assigned the number 25a-1A in the that period subsequent to the entry of judgment. In
Connecticut Law Journal of July 13, 2010.)
the absence of a specific withdrawal, counsel will
*APPENDIX NOTE: The Rules Committee of the Superior
Court enacted, and the judges of the Superior Court subse- continue of record for all postjudgment purposes
quently adopted, certain changes to the provisions of this until 180 days have elapsed from the entry of judg-
rule in response to the public health and civil preparedness ment or, in the event an appeal or a motion to open
emergencies declared on March 10, 2020, and renewed on a judgment is filed within such 180 day period, until
September 1, 2020, and January 26, 2021. The public health final judgment on that appeal or determination of
emergency was renewed on June 28, 2022, and is scheduled
to expire on December 28, 2022, or when the federal public that motion, whichever is later.
health emergency ends. See Appendix of Section 1-9B (e) Except as provided in subsections (a), (b),
Changes. (c), and (d) no attorney shall withdraw his or her
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Sec. 25a-3 SUPERIOR COURT—PROCEDURE IN FAMILY SUPPORT MAGISTRATE MATTERS
appearance after it has been entered upon the rec- complied with the requirements of Section 4-7
ord of the court without the leave of the court. regarding personal identifying information. Each
(f) All appearances entered on behalf of parties pleading and every other court-filed document
for matters involving Title IV-D child support mat- shall set forth the signer’s telephone number and
ters shall be deemed to be for those matters only. mailing address.
(g) All appearances entered on behalf of parties (Adopted June 21, 2010, to take effect Aug. 1, 2010.) (Sec.
in the family division of the Superior Court shall 25a-5 was temporarily assigned the number 25a-2B in the
not be deemed appearances for any matter involv- Connecticut Law Journal of July 13, 2010.)
ing a Title IV-D child support matter unless specifi- Sec. 25a-6. Contents of Petition
cally so designated.
(Adopted June 21, 2010, to take effect Aug. 1, 2010.) (Sec. All petitions shall contain a concise statement
25a-3 was temporarily assigned the number 25a-2 in the Con- of the facts constituting the cause of action, a
necticut Law Journal of July 13, 2010; amended June 15, demand for relief and the basis on which relief
2012, to take effect Jan. 1, 2013; amended June 14, 2013, is sought.
to take effect Oct. 1, 2013.) (Adopted June 21, 2010, to take effect Aug. 1, 2010.) (Sec.
*APPENDIX NOTE: The Rules Committee of the Superior 25a-6 was temporarily assigned the number 25a-3 in the Con-
Court enacted, and the judges of the Superior Court subse- necticut Law Journal of July 13, 2010.)
quently adopted, certain changes to the provisions of this
rule in response to the public health and civil preparedness Sec. 25a-7. Automatic Orders upon Service
emergencies declared on March 10, 2020, and renewed on
September 1, 2020, and January 26, 2021. The public health
of Petition
emergency was renewed on June 28, 2022, and is scheduled (a) The following automatic orders shall apply
to expire on December 28, 2022, or when the federal public to both parties, with service of the automatic
health emergency ends. See Appendix of Section 1-9B orders to be made with service of process of a
Changes.
petition for child support. An automatic order shall
Sec. 25a-4. Telephonic Hearings not apply if there is a prior, contradictory order of
(a) In any case where mandated by law, the a judicial authority. The automatic orders shall
judicial authority shall upon written motion or on be effective with regard to the petitioner or the
its own motion permit an individual to testify by applicant upon the signing of the document initiat-
telephone or other audio electronic means. ing the action (whether it be complaint, petition or
(b) In any case where permitted by law, the application), and with regard to the respondent,
judicial authority may, upon written motion or on upon service and shall remain in place during the
its own motion, permit an individual to testify by pendency of the action, unless terminated, mod-
telephone or other audio electronic means. ified, or amended by further order of a judicial
(c) Upon an order for a telephonic hearing, the authority upon motion of either of the parties:
judicial authority shall set the date, time and place (1) Neither party shall cause the other party or
for such hearing and shall issue an order in con- the children who are the subject of the complaint,
nection therewith. application or petition to be removed from any
(Adopted June 21, 2010, to take effect Aug. 1, 2010.) (Sec. medical, hospital and dental insurance coverage,
25a-4 was temporarily assigned the number 25a-2A in the and each party shall maintain the existing medical,
Connecticut Law Journal of July 13, 2010.) hospital and dental insurance coverage in full
force and effect.
Sec. 25a-5. Signing of Pleading
(b) The automatic orders of a judicial authority
(a) Every pleading and other paper of a party as enumerated in subsection (a) shall be set forth
represented by an attorney shall be signed by immediately following the party’s requested relief
at least one attorney of record in the attorney’s in any complaint, petition or application, and shall
individual name. A party who is not represented set forth the following language in bold letters: If
by an attorney, and a support enforcement officer you do not follow or obey these orders you
where appropriate, shall sign the pleadings and may be punished by contempt of court. If you
other papers. The name of the attorney, party or object to these orders or would like to have
support enforcement officer who signs such docu- them changed or modified while your case is
ment shall be legibly typed or printed beneath the pending, you have the right to a hearing by a
signature. judicial authority within a reasonable time. The
(b) The signing of any pleading, motion, objec- clerk shall not accept for filing any complaint, peti-
tion or request shall constitute a certificate that tion or application that does not comply with
the signer has read such document, that to the this subsection.
best of the signer’s knowledge, information and (Adopted June 21, 2010, to take effect Aug. 1, 2010.) (Sec.
belief there is good ground to support it, that it is 25a-7 was temporarily assigned the number 25a-4 in the Con-
not interposed for delay, and that the signer has necticut Law Journal of July 13, 2010.)
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SUPERIOR COURT—PROCEDURE IN FAMILY SUPPORT MAGISTRATE MATTERS Sec. 25a-14
Sec. 25a-8. Order of Notice Sec. 25a-11. Answer to Cross Petition
(a) On a petition for support or the establish- A plaintiff in a family support magistrate matter
ment of paternity when the adverse party resides seeking to contest the grounds of a cross petition
out of or is absent from the state or the where- may file an answer admitting or denying the alle-
abouts of the adverse party are unknown to the gations of such cross petition or leaving the
plaintiff or the applicant, any judicial authority or pleader to his or her proof. If a decree is rendered
clerk of the court may make such order of notice on the cross petition, the judicial authority may
as he or she deems reasonable. If such notice is award to the plaintiff such relief as is claimed in
by publication, it shall not include the automa- the petition.
tic orders set forth in Section 25a-7, but shall, (Adopted June 21, 2010, to take effect Aug. 1, 2010.) (Sec.
instead, include a statement that automatic orders 25a-11 was temporarily assigned the number 25a-6 in the
have issued in the case pursuant to Section 25a- Connecticut Law Journal of July 13, 2010.)
7 and that such orders are set forth in the applica- Sec. 25a-12. Order of Pleadings
tion or petition on file with the court. Such notice
having been given and proved, the judicial author- The order of pleadings shall be:
ity may hear the application or petition if it finds (1) the petition for establishment of paternity
that the adverse party has actually received notice and/or a petition for support;
that the application or petition is pending. If actual (2) the defendant’s motion to dismiss the
notice is not proved, the judicial authority in its petition;
discretion may hear the case or continue it for (3) the defendant’s motion to strike the petition
compliance with such further order of notice as it or claims for relief;
may direct. (4) the defendant’s answer, cross petition and
(b) With regard to any motion for modification claims for relief;
or for contempt or any other motion requiring an (5) the plaintiff’s motion to strike the defendant’s
order of notice, where the adverse party resides answer, cross petition, or claims for relief;
out of or is absent from the state, any judicial (6) the plaintiff’s answer.
(Adopted June 21, 2010, to take effect Aug. 1, 2010.) (Sec.
authority or clerk of the court may make such 25a-12 was temporarily assigned the number 25a-7 in the
order of notice as he or she deems reasonable. Connecticut Law Journal of July 13, 2010.)
Such notice having been given and proved, the
court may hear the motion if it finds that the Sec. 25a-13. Reclaims
adverse party has actually received notice that If a motion has gone off the family support mag-
the motion is pending. istrate calendar without being adjudicated, any
(Adopted June 21, 2010, to take effect Aug. 1, 2010.) (Sec. party may claim the motion for adjudication. If an
25a-8 was temporarily assigned the number 25a-4A in the
Connecticut Law Journal of July 13, 2010.)
objection to a request has gone off the family sup-
port magistrate calendar without being adjudi-
Sec. 25a-9. Motions cated, the party who filed the request may claim
(a) Any appropriate party may move for child the objection to the request for adjudication. Any
support, appointment of counsel or guardian ad party may claim for adjudication any motion or
litem for the minor child, counsel fees, or for an request initiated by support enforcement services
order or enforcement of an order with respect to that has gone off without being adjudicated and
the maintenance of the family or for any other a support enforcement officer may claim any
statutorily authorized relief. motion or request initiated by support enforce-
(b) Each such motion shall state clearly, in the ment services that has gone off without being
caption of the motion, whether it is a pendente adjudicated.
lite or a postjudgment motion. (Adopted June 21, 2010, to take effect Aug. 1, 2010.) (Sec.
(Adopted June 21, 2010, to take effect Aug. 1, 2010.) (Sec. 25a-13 was temporarily assigned the number 25a-8 in the
25a-9 was temporarily assigned the number 25a-5 in the Con- Connecticut Law Journal of July 13, 2010.)
necticut Law Journal of July 13, 2010.)
Sec. 25a-14. —Continuances when Coun-
Sec. 25a-10. —Motion To Cite in New Parties sel’s Presence or Oral Argument Required*
Any motion to cite in or to admit new parties Matters upon the short calendar list requiring
must comply with Section 11-1 and state briefly oral argument or counsel’s presence shall not be
the grounds upon which it is made. In Title IV-D continued except for good cause shown; and no
child support matters, a motion to cite in or to
such matter in which adverse parties are inter-
admit new parties is limited to a parent, legal cus-
ested shall be continued unless the parties shall
todian or guardian.
(Adopted June 21, 2010, to take effect Aug. 1, 2010.) (Sec. agree thereto before the day of the short calen-
25a-10 was temporarily assigned the number 25a-5A in the dar session and notify the clerk, who shall make
Connecticut Law Journal of July 13, 2010.) note thereof on the list of the judicial authority; in
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Sec. 25a-14 SUPERIOR COURT—PROCEDURE IN FAMILY SUPPORT MAGISTRATE MATTERS
the absence of such agreement, unless the judi- emergencies declared on March 10, 2020, and renewed on
cial authority shall otherwise order, any counsel September 1, 2020, and January 26, 2021. The public health
emergency was renewed on June 28, 2022, and is scheduled
appearing may argue the matter and submit it for to expire on December 28, 2022, or when the federal public
decision or request that it be denied. health emergency ends. See Appendix of Section 1-9B
(Adopted June 21, 2010, to take effect Aug. 1, 2010.) (Sec. Changes.
25a-14 was temporarily assigned the number 25a-8A in the
Connecticut Law Journal of July 13, 2010.) Sec. 25a-16. Opening Argument
*APPENDIX NOTE: The Rules Committee of the Superior
Court enacted, and the judges of the Superior Court subse-
Instead of reading the pleadings, any party shall
quently adopted, certain changes to the provisions of this be permitted to make a brief opening statement
rule in response to the public health and civil preparedness at the discretion of the judicial authority, to apprise
emergencies declared on March 10, 2020, and renewed on the trier in general terms as to the nature of the
September 1, 2020, and January 26, 2021. The public health case being presented for trial. The judicial author-
emergency was renewed on June 28, 2022, and is scheduled ity shall have discretion as to the latitude of the
to expire on December 28, 2022, or when the federal public
health emergency ends. See Appendix of Section 1-9B
statements of the parties.
(Adopted June 21, 2010, to take effect Aug. 1, 2010.) (Sec.
Changes.
25a-16 was temporarily assigned the number 25a-10 in the
Sec. 25a-15. Statements To Be Filed* Connecticut Law Journal of July 13, 2010.)
(a) At least five days before the hearing date Sec. 25a-17. Motion To Open Judgment of
of a motion or order to show cause concerning Paternity by Acknowledgment*
alimony, support, or counsel fees, or at the time (a) Any mother or acknowledged father who
a dissolution of marriage or civil union, legal sepa- wishes to challenge an acknowledgment of pater-
ration or annulment action or action for custody nity pursuant to General Statutes § 46b-172 (a)
or visitation is scheduled for a hearing, each party (2) shall file a motion to open judgment, which
shall file, where applicable, a sworn statement shall state the statutory grounds upon which the
substantially in accordance with a form prescribed motion is based and shall append a certified copy
by the chief court administrator, of current income, of the document containing the acknowledgment
expenses, assets and liabilities. When the attor- of paternity to such motion.
ney general has appeared as a party in interest, (b) Upon receipt of such motion to open and
a copy of the sworn statements shall be served accompanying document, the clerk shall cause
upon him or her in accordance with Sections 10- the matter to be docketed.
12 through 10-14 and 10-17. Unless otherwise (c) Any action to challenge an acknowledg-
ordered by the judicial authority, all appearing par- ment of paternity for which there is no other fam-
ties shall file sworn statements within thirty days ily court file involving the same parties shall be
prior to the date of the decree. Notwithstanding commenced by an order to show cause accom-
the above, the court may render pendente lite panied by the motion to open judgment and the
and permanent orders, including judgment, in the document containing the acknowledgment of
absence of the opposing party’s sworn statement. paternity required by subsection (a) of this section.
The provisions of Section 25-59A (h) shall apply Upon presentation of the motion to open and the
to sworn statements filed under this subsection. acknowledgment of paternity, the judicial author-
(b) Where there is a minor child who requires ity shall cause an order to be issued requiring the
support, the parties shall file a completed child adverse party or parties to appear on a day certain
support and arrearage guidelines worksheet at and show cause, if any there be, why the relief
the time of any court hearing concerning child requested by the moving party should not be
support. granted. The motion to open, acknowledgment of
(c) At the time of any hearing, including pen- paternity and order shall be served on the adverse
dente lite and postjudgment proceedings, in which party not less than twelve days before the date
a moving party seeks a determination, modifica- of the hearing, which shall not be held more than
tion, or enforcement of any alimony or child sup- thirty days from the filing of the challenge.
port order, a party shall submit an Advisement of (d) Nothing in this section shall preclude an
Rights Re: Income Withholding form (JD-FM-71). individual from filing a special defense of a chal-
(Adopted June 21, 2010, to take effect Aug. 1, 2010; lenge to a paternity judgment, or a counterclaim
amended June 14, 2013, to take effect Jan. 1, 2014.) (Sec. in response to a petition for support.
25a-15 was temporarily assigned the number 25a-9 in the (Adopted June 21, 2010, to take effect Aug. 1, 2010.) (Sec.
Connecticut Law Journal of July 13, 2010.) 25a-17 was temporarily assigned the number 25a-11 in the
*APPENDIX NOTE: The Rules Committee of the Superior Connecticut Law Journal of July 13, 2010.)
Court enacted, and the judges of the Superior Court subse- *APPENDIX NOTE: The Rules Committee of the Superior
quently adopted, certain changes to the provisions of this Court enacted, and the judges of the Superior Court subse-
rule in response to the public health and civil preparedness quently adopted, certain changes to the provisions of this
322
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SUPERIOR COURT—PROCEDURE IN FAMILY SUPPORT MAGISTRATE MATTERS Sec. 25a-19
rule in response to the public health and civil preparedness sign the proposed order and summons and shall
emergencies declared on March 10, 2020, and renewed on assign a date for a hearing on the application.
September 1, 2020, and January 26, 2021. The public health
emergency was renewed on June 28, 2022, and is scheduled
(f) Each motion for modification shall state the
to expire on December 28, 2022, or when the federal public specific factual and statutory basis for the claimed
health emergency ends. See Appendix of Section 1-9B modification and shall include the outstanding
Changes. order and date thereof to which the motion for
modification is addressed.
Sec. 25a-18. Modification of Alimony or
(g) On motions addressed to financial issues,
Support
the provisions of Section 25-30 (a), (e) and (f)
(a) Upon an application for a modification of an shall be followed.
award of alimony or support of minor children, (Adopted June 21, 2010, to take effect Aug. 1, 2010.) (Sec.
filed by a person who is then in arrears under the 25a-18 was temporarily assigned the number 25a-12 in the
terms of such award, the judicial authority may, Connecticut Law Journal of July 13, 2010.)
upon hearing, ascertain whether such arrear-
Sec. 25a-19. Standard Disclosure and Pro-
age has accrued without sufficient excuse so as
duction*
to constitute a contempt of court and, in its discre-
tion, may determine whether any modification of (a) Upon request by a party or as ordered by the
current alimony and support shall be ordered prior judicial authority, opposing parties shall exchange
to the payment, in whole or in part as the judicial the following documents within thirty days of such
authority may order, of any arrearage found to request or such order:
exist. (1) all federal and state income tax returns filed
(b) In Title IV-D matters, upon any motion to within the last three years, including personal
modify support for minor children, where the returns and returns filed on behalf of any partner-
motion seeks to reduce the amount of support, ship or closely held corporation of which a party
the judicial authority may, upon hearing, ascertain is a partner or shareholder;
whether such arrearage has accrued without suffi- (2) IRS forms W-2, 1099 and K-1 within the last
cient excuse so as to constitute a contempt of three years including those for the past year if the
court and, in its discretion, may determine whether income tax returns for that year have not been
any modification of current alimony and support prepared;
shall be ordered prior to the payment, in whole or (3) copies of all pay stubs or other evidence of
in part as the judicial authority may order, of any income for the current year and the last pay stub
arrearage found to exist. from the past year;
(c) Either parent or both parents of minor chil- (4) statements for all accounts maintained with
dren, or any individual receiving Title IV-D ser- any financial institution, including banks, brokers
vices from the state of Connecticut may be cited and financial managers, for the past twenty-four
or summoned by any party to the action, or in Title months;
IV-D matters by support enforcement services of (5) the most recent statement showing any inter-
the Judicial Branch, to appear and show cause est in any Keogh, IRA, profit sharing plan, deferred
why orders of support or alimony should not be compensation plan, pension plan, or retirement
entered or modified. account;
(d) In matters where the parties, or other individ- (6) the most recent statement regarding any
uals pursuant to subsection (b) of this section, insurance on the life of any party;
to a child support order are receiving Title IV-D (7) a summary furnished by the employer of the
services from the state of Connecticut, support party’s medical insurance policy, coverage, cost
enforcement services of the Judicial Branch may of coverage, spousal benefits, and COBRA costs
initiate a motion to modify an existing child support following dissolution;
order pursuant to General Statutes § 46b-231 (s) (8) any written appraisal concerning any asset
(4) and, in connection with such motion, may issue owned by either party.
an order and summons and assign a date for a (b) Such duty to disclose shall continue during
hearing on such motion. the pendency of the action should a party appear.
(e) If any applicant, other than support enforce- This section shall not preclude discovery under
ment services of the Judicial Branch, is proceed- any other provisions of these rules.
ing without the assistance of counsel and citation (Adopted June 21, 2010, to take effect Aug. 1, 2010.) (Sec.
of any other party is necessary, the applicant shall 25a-19 was temporarily assigned the number 25a-13 in the
Connecticut Law Journal of July 13, 2010.)
sign the application and present the application, *APPENDIX NOTE: The Rules Committee of the Superior
proposed order and summons to the clerk; the Court enacted, and the judges of the Superior Court subse-
clerk shall review the proposed order and sum- quently adopted, certain changes to the provisions of this
mons and, unless it is defective as to form, shall rule in response to the public health and civil preparedness
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Sec. 25a-19 SUPERIOR COURT—PROCEDURE IN FAMILY SUPPORT MAGISTRATE MATTERS
emergencies declared on March 10, 2020, and renewed on certification of service, in accordance with Sec-
September 1, 2020, and January 26, 2021. The public health tions 10-12, 10-14 and 10-17, of the interrogato-
emergency was renewed on June 28, 2022, and is scheduled ries or, if applicable, the notice of interrogatories
to expire on December 28, 2022, or when the federal public
health emergency ends. See Appendix of Section 1-9B
on the answering party, unless:
Changes. (1) Counsel file with the court a written stipula-
tion extending the time within which answers or
Sec. 25a-20. Medical Evidence objections may be served; or
A party who plans to offer a hospital record in (2) The party to whom the interrogatories are
evidence shall have the record in the clerk’s office directed, after service in accordance with Sections
twenty-four hours prior to trial. Counsel must rec- 10-12, 10-14 and 10-17, files a request for exten-
sion of time, for not more than thirty days, within
ognize their responsibility to have medical testi-
the initial sixty day period. Such request shall con-
mony available when needed and shall, when tain a certification by the requesting party that the
necessary, subpoena medical witnesses to that case has not been assigned for trial. Such request
end. shall be deemed to have been automatically
(Adopted June 21, 2010, to take effect Aug. 1, 2010.) (Sec.
25a-20 was temporarily assigned the number 25a-14 in the
granted by the judicial authority on the date of
Connecticut Law Journal of July 13, 2010.) filing, unless within ten days of such filing the party
who has served the interrogatories or the notice
Sec. 25a-21. Experts of interrogatories shall file objection thereto. A
As soon as is practicable, if a party, including party shall be entitled to one such request for each
the state of Connecticut, is going to rely on in- set of interrogatories directed to that party; or
court expert testimony, that party shall provide (3) Upon motion, the judicial authority allows a
longer time.
notice to all opposing parties, but said notice shall (b) The party answering interrogatories shall
not be provided less than fourteen days before the attach a cover sheet to the answers. The cover
hearing. Discovery, facts unknown, and opinions sheet shall comply with Sections 4-1 and 4-2 and
held by experts may be ordered disclosed by the shall state that the party has answered all of the
judicial authority on such terms and conditions as interrogatories or shall set forth those interrog-
the judicial authority deems reasonable. atories to which the party objects and the rea-
(Adopted June 21, 2010, to take effect Aug. 1, 2010.) (Sec. sons for objection. The cover sheet and the
25a-21 was temporarily assigned the number 25a-15 in the
answers shall not be filed with the court unless
Connecticut Law Journal of July 13, 2010.)
the responding party objects to one or more inter-
Sec. 25a-22. Interrogatories; In General rogatories, in which case only the cover sheet
shall be so filed.
(a) In any action in the family support magistrate (c) All answers to interrogatories shall repeat
division to establish, enforce or modify a child immediately before each answer the interrogatory
support order, upon motion of any party and when being answered. Answers are to be signed by
the judicial authority deems it necessary, any the person making them. The party serving the
party may be required to answer all or part of the interrogatories or the notice of interrogatories may
interrogatories set forth in Form 207 of the rules move for an order under Section 25a-25 with
of practice, which is printed in the Appendix of respect to any failure to answer.
Forms in this volume. (Adopted June 21, 2010, to take effect Aug. 1, 2010.) (Sec.
25a-23 was temporarily assigned the number 25a-16 in the
(b) In any paternity action before the family sup- Connecticut Law Journal of July 13, 2010.) (Amended June
port magistrate division, interrogatories may only 23, 2017, to take effect Jan. 1, 2018.)
be served upon a party where the judicial authority *APPENDIX NOTE: The Rules Committee of the Superior
deems it necessary. Court enacted, and the judges of the Superior Court subse-
quently adopted, certain changes to the provisions of this
(c) For good cause shown, in postjudgment rule in response to the public health and civil preparedness
matters, the judicial authority may upon motion emergencies declared on March 10, 2020, and renewed on
authorize further discovery. September 1, 2020, and January 26, 2021. The public health
(Adopted June 21, 2010, to take effect Aug. 1, 2010.) (Sec. emergency was renewed on June 28, 2022, and is scheduled
25a-22 was temporarily assigned the number 25a-15A in the to expire on December 28, 2022, or when the federal public
Connecticut Law Journal of July 13, 2010.) health emergency ends. See Appendix of Section 1-9B
Changes.
Sec. 25a-23. Answers to Interrogatories* Sec. 25a-24. Requests for Production,
(a) Any such interrogatories shall be answered Inspection and Examination; In General
under oath by the party to whom directed and (a) Upon motion and by order of the judicial
such answers shall not be filed with the court but authority, requests for production may be served
shall be served within sixty days after the date of upon any party at any time after the return day.
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SUPERIOR COURT—PROCEDURE IN FAMILY SUPPORT MAGISTRATE MATTERS Sec. 25a-28
(b) If data has been electronically stored, the Sec. 25a-26. Continuing Duty To Disclose
judicial authority may for good cause shown order If, subsequent to compliance with any request
disclosure of the data in an alternative format pro- or order for discovery at any time the matter is
vided the data is otherwise discoverable. When before the court, a party discovers additional or
the judicial authority considers a request for a new material or information previously requested
particular format, the judicial authority may con- and ordered subject to discovery or inspection or
sider the cost of preparing the disclosure in the discovers that the prior compliance was totally or
requested format and may enter an order that one partially incorrect or, though correct when made,
or more parties shall pay the cost of preparing is no longer true and the circumstances are such
the disclosure. that a failure to amend the compliance is in sub-
(c) The party serving such request or notice of stance a knowing concealment, that party shall
requests for production shall not file it with the promptly notify the other party, or the other party’s
court. attorney, and file and serve in accordance with
(d) A party seeking the production of a written Sections 10-12, 10-14 and 10-17 a supplemental
authorization in compliance with the Health Insur- or corrected compliance.
ance Portability and Accountability Act to inspect (Adopted June 21, 2010, to take effect Aug. 1, 2010.) (Sec.
and make copies of protected health information, 25a-26 was temporarily assigned the number 25a-19 in the
or a written authorization in compliance with the Connecticut Law Journal of July 13, 2010.)
Public Health Service Act to inspect and make
copies of alcohol and drug records that are pro- Sec. 25a-27. Depositions; In General
tected by that act, shall file a motion pursuant to In addition to other provisions for discovery and
Section 13-11A. subject to the provisions of Sections 13-2, 13-3
(Adopted June 21, 2010, to take effect Aug. 1, 2010.) (Sec. and 13-5, any party who has appeared in any
25a-24 was temporarily assigned the number 25a-17 in the
Connecticut Law Journal of July 13, 2010.)
Title IV-D matter or in any matter under General
Statutes §§ 46b-301 through 46b-425 where the
Sec. 25a-25. Order for Compliance; Failure judicial authority finds it reasonably probable that
To Answer or Comply with Order evidence outside the record will be required, may,
(a) If any party has failed to answer interrogato- at any time after the commencement of the action
ries or to answer them fairly, or has intentionally or proceeding, in accordance with the procedures
answered them falsely or in a manner calculated set forth in this chapter, take the testimony of any
to mislead, or has failed to respond to requests person, including a party, by deposition upon oral
for production or has failed to comply with the examination. The attendance of witnesses may
provisions of Section 25a-26, or has failed to be compelled by subpoena as provided in Section
appear and to testify at a deposition duly noticed 13-28. The attendance of a party deponent or of
pursuant to this chapter, or has failed otherwise an officer, director, or managing agent of a party
substantially to comply with any other discovery may be compelled by notice to the named person
order made pursuant to Section 13-8, 13-10 except or such person’s attorney in accordance with the
subsection (c), 25a-22, 25a-23 or 25a-24, the judi- requirements of Section 13-27 (a). The deposition
cial authority may make such order as appro- of a person confined in prison may be taken only
priate. by leave of the judicial authority on such terms
(b) Such orders may include the following: as the judicial authority prescribes.
(1) The entry of a nonsuit or default against the Leave of the court for such a deposition is
party failing to comply;
(2) The award to the discovering party of the required. Motions for the taking of a deposition
costs of the motion, including a reasonable attor- shall include the proposed notice of the deposition
ney’s fee; and the identification of such documents or other
(3) The entry of an order that the matters regard- tangible evidence as may be sought to be subpoe-
ing which the discovery was sought or other desig- naed. Only those documents or other tangible evi-
nated facts shall be taken to be established for dence approved by the judicial authority shall be
the purposes of the action in accordance with the permitted to be subpoenaed from the deponent.
claim of the party obtaining the order; (Adopted June 21, 2010, to take effect Aug. 1, 2010.) (Sec.
25a-27 was temporarily assigned the number 25a-19A in the
(4) The entry of an order prohibiting the party Connecticut Law Journal of July 13, 2010.)
who has failed to comply from introducing desig-
nated matters in evidence; Sec. 25a-28. —Place of Deposition
(5) If the party failing to comply is the plaintiff, (a) Any party who is a resident of this state may
the entry of a judgment of dismissal. be compelled by notice as provided in Section 13-
(Adopted June 21, 2010, to take effect Aug. 1, 2010.) (Sec.
25a-25 was temporarily assigned the number 25a-18 in the 27 (a) to give a deposition at any place within the
Connecticut Law Journal of July 13, 2010.) county of such party’s residence, or within thirty
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Sec. 25a-28 SUPERIOR COURT—PROCEDURE IN FAMILY SUPPORT MAGISTRATE MATTERS
miles of such residence, or at such other place Sec. 25a-30. Support Enforcement Services
as is fixed by order of the judicial authority. A In cases where the payment of alimony and/or
plaintiff who is a resident of this state may also support has been ordered, a support enforcement
be compelled by like notice to give a deposition officer, where provided by statute, shall:
at any place within the county where the action (a) Whenever there is a default in any payment
is commenced or is pending. of alimony or support of children under judgments
(b) Except as otherwise required by law, a plain- of dissolution of marriage or civil union or separa-
tiff who is not a resident of this state may be tion, or of support under judgments of support,
compelled by notice under Section 13-27 (a) to where necessary, (1) initiate and facilitate, but not
attend at the plaintiff’s expense an examination advocate on behalf of either party, an application
in the county of this state where the action is to a family support magistrate and issue an order
commenced or is pending or at any place within requiring said party to appear before a family sup-
thirty miles of the plaintiff’s residence or within the port magistrate to show cause why such party
county of his or her residence or in such other should not be held in contempt, or (2) take such
place as is fixed by order of the judicial authority. other action as is provided by rule or statute.
(c) Except as otherwise required by law, a (b) Review child support orders (1) in non-TFA
defendant who is not a resident of this state may Title IV-D cases at the request of either parent or
be compelled:
custodial party subject to a support order, or upon
(1) By subpoena to give a deposition in any
county in this state in which the defendant is per- receipt of information indicating a substantial
sonally served, or change in circumstances of any party to the sup-
(2) By notice under Section 13-27 (a) to give a port order, (2) in TFA cases, at the request of the
deposition at any place within thirty miles of the office of child support services, (3) as necessary
defendant’s residence or within the county of his to comply with federal requirements for the child
or her residence or at such other place as is fixed support enforcement program mandated by Title
by order of the judicial authority. IV-D of the Social Security Act, and initiate and
(d) A nonparty deponent may be compelled by facilitate, but not advocate on behalf of either
subpoena served within this state to give a deposi- party, an action before a family support magistrate
tion at a place within the county of his or her to modify such support order if it is determined
residence or within thirty miles of the nonparty upon such review that the order substantially devi-
deponent’s residence, or if a nonresident of this ates from the child support guidelines established
state within any county in this state in which he pursuant to General Statutes § 46b-215a or
or she is personally served, or at such other place § 46b-215b. The requesting party shall have the
as is fixed by order of the judicial authority. right to such review every three years without
(e) In this section, the terms ‘‘plaintiff’’ and proving a substantial change in circumstances;
‘‘defendant’’ include officers, directors and man- more frequent reviews shall be made only if the
aging agents of corporate plaintiffs and corporate requesting party demonstrates a substantial
defendants or other persons designated under change in circumstances.
Section 13-27 (h) as appropriate. (c) In connection with subsection (a) or (b)
(f) If a deponent is an officer, director or man- above, or at any other time upon direction of a
aging agent of a corporate party, or other person family support magistrate, investigate (1) the
designated under Section 13-27 (h), the place of financial situation of the parties, using all appro-
examination shall be determined as if the resi- priate information and resources available to the
dence of the deponent were the residence of Title IV-D child support program, including infor-
the party. mation obtained through electronic means from
(Adopted June 21, 2010, to take effect Aug. 1, 2010.) (Sec. state and federal sources in the certified child
25a-28 was temporarily assigned the number 25a-19B in the
Connecticut Law Journal of July 13, 2010.) support system, or (2) information about the status
of participation in programs that increase the par-
Sec. 25a-29. Appeal from Decision of Family ty’s ability to fulfill the duty of support, and report
Support Magistrate his or her findings thereon to a family support
Any person who is aggrieved by a final decision magistrate and to the parties and upon direction of
of a family support magistrate may appeal such a family support magistrate facilitate agreements
decision in accordance with the provisions of Gen- between parties.
eral Statutes § 46b-231. The appeal shall be insti- (Adopted June 21, 2010, to take effect Aug. 1, 2010.) (Sec.
tuted by the filing of a petition which shall include 25a-30 was temporarily assigned the number 25a-21 in the
the reasons for the appeal. Connecticut Law Journal of July 13, 2010.)
(Adopted June 21, 2010, to take effect Aug. 1, 2010.) (Sec.
25a-29 was temporarily assigned the number 25a-20 in the
Connecticut Law Journal of July 13, 2010.)
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SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERS Sec. 26-1
SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERS
CHAPTER 26
GENERAL PROVISIONS
(Amended June 15, 2012, to take effect Jan. 1, 2013.)
Sec. Sec.
26-1. Definitions Applicable to Proceedings on Juvenile 26-2. Persons in Attendance at Hearings
Matters 26-3. Case Initiation; Electronic Filing
For previous Histories and Commentaries see the editions of the Practice Book
corresponding to the years of the previous amendments.
Sec. 26-1. Definitions Applicable to Pro- order of temporary custody’’ means a hearing on
ceedings on Juvenile Matters an ex parte order of temporary custody or an order
In these definitions and in the rules of practice to appear which is held not later than ten days
and procedure on juvenile matters, the singular from the day of a preliminary hearing on such
shall include the plural and the plural, the singular orders. Contested hearings shall be held on con-
where appropriate. secutive days except for compelling circum-
(a) The definitions of the terms ‘‘child,’’ stances or at the request of the respondent; (3)
‘‘abused,’’ ‘‘delinquent,’’ ‘‘delinquent act,’’ ‘‘Dispositive hearing’’: The judicial authority’s
‘‘neglected,’’ ‘‘uncared for,’’ ‘‘alcohol-dependent,’’ jurisdiction to adjudicate the matter which is the
‘‘drug-dependent,’’ ‘‘serious juvenile offense,’’ subject of the petition or information having been
‘‘serious juvenile offender,’’ ‘‘serious juvenile established, a court hearing in which the judicial
repeat offender,’’ ‘‘predispositional study,’’ and authority, after considering the social study or pre-
‘‘risk and needs assessment’’ shall be as set forth dispositional study and the total circumstances of
in General Statutes § 46b-120. The definition of the child, orders whatever action is in the best
‘‘victim’’ shall be as set forth in General Statutes interests of the child or family and, where applica-
§ 46b-122. ble, the community. In the discretion of the judicial
(b) ‘‘Commitment’’ means an order of the judi- authority, evidence concerning adjudication and
cial authority whereby custody and/or guardian- disposition may be presented in a single hearing;
ship of a child are transferred to the Commissioner (4) ‘‘Preliminary hearing’’ means a hearing on an
of the Department of Children and Families. ex parte order of temporary custody or an order
(c) ‘‘Complaint’’ means a written allegation or to appear or the first hearing on a petition alleging
statement presented to the judicial authority that that a child is uncared for, abused, or neglected.
a child’s conduct as a delinquent brings the child A preliminary hearing on any ex parte custody
within the jurisdiction of the judicial authority as order or order to appear shall be held not later
prescribed by General Statutes § 46b-121. than ten days from the issuance of the order; (5)
(d) ‘‘Guardian’’ means a person who has a judi- ‘‘Plea hearing’’ is a hearing at which (A) a parent or
cially created relationship with a child, which is guardian who is a named respondent in a neglect,
intended to be permanent and self-sustaining, as uncared for or dependency petition, upon being
evidenced by the transfer to the caretaker of the advised of his or her rights, admits, denies, or
following parental rights with respect to the child: pleads nolo contendere to allegations contained
protection, education, care and control of the per- in the petition; or (B) a child who is a named
son, custody of the person and decision making. respondent in a delinquency petition or informa-
(e) ‘‘Hearing’’ means an activity of the court on tion enters a plea of not guilty, guilty, or nolo con-
the record in the presence of a judicial authority tendere upon being advised of the charges
and shall include (1) ‘‘Adjudicatory hearing’’: A against him or her contained in the information
court hearing to determine the validity of the facts or petition; (6) ‘‘Probation status review hearing’’
alleged in a petition or information to establish means a hearing requested, ex parte, by a proba-
thereby the judicial authority’s jurisdiction to tion officer regardless of whether a new offense
decide the matter which is the subject of the peti- or violation has been filed. The court may grant
tion or information; (2) ‘‘Contested hearing on an the ex parte request, in the best interest of the
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Sec. 26-1 SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERS
child or the public, and convene a hearing on the (m) ‘‘Probation supervision with residential
request within seven days. placement’’ means a legal status whereby a juve-
(f) ‘‘Indian child’’ means an unmarried person nile who has been adjudicated delinquent is
under age eighteen who is either a member of a placed by the court under the supervision of juve-
federally recognized Indian tribe or is eligible for nile probation for a specified period of time, upon
membership in a federally recognized Indian tribe such terms as the court determines, that include
and is the biological child of a member of a feder- a period of placement in a secure or staff-secure
ally recognized Indian tribe, and is involved in residential treatment facility, as ordered by the
custody proceedings, excluding delinquency pro- court, and a period of supervision in the com-
ceedings. munity.
(g) ‘‘Juvenile residential center’’ means a hard- (n) ‘‘Respondent’’ means a person who is
ware-secured residential facility operated by the alleged to be a delinquent, or a parent or a guard-
court support services division of the Judicial ian of a child who is the subject of a petition alleg-
Branch that includes direct staff supervision, sur- ing that the child is uncared for, abused,
veillance enhancements and physical barriers neglected, or requesting termination of parental
that allow for close supervision and controlled rights.
movement in a treatment setting for preadjudi- (o) ‘‘Secure-residential facility’’ means a hard-
cated juveniles and juveniles adjudicated as ware-secured residential facility that includes
delinquent. direct staff supervision, surveillance enhance-
(h) ‘‘Parties’’ includes: (1) The child who is the ments and physical barriers that allow for close
subject of a proceeding and those additional per- supervision and controlled movement in a treat-
sons as defined herein; (2) ‘‘Legal party’’: Any ment setting.
person, including a parent, whose legal relation- (p) ‘‘Specific steps’’ means those judicially
ship to the matter pending before the judicial determined steps the parent or guardian and the
authority is of such a nature and kind as to man- Commissioner of the Department of Children and
date the receipt of proper legal notice as a condi- Families should take in order for the parent or
tion precedent to the establishment of the judicial guardian to retain or regain custody of a child.
authority’s jurisdiction to adjudicate the matter (q) ‘‘Staff-secure facility’’ means a residential
pending before it; and (3) ‘‘Intervening party’’: Any facility: (1) that does not include construction fea-
person who is permitted to intervene in accord- tures designed to physically restrict the move-
ance with Section 35a-4. ments and activities of juvenile residents who are
(i) ‘‘Permanency plan’’ means a plan developed placed therein; (2) that may establish reasonable
by the Commissioner of the Department of Chil- rules restricting entrance to and egress from the
dren and Families for the permanent placement facility; and (3) in which the movements and activi-
of a child in the commissioner’s care. Permanency ties of individual juvenile residents may, for treat-
plans shall be reviewed by the judicial authority ment purposes, be restricted or subject to control
as prescribed in General Statutes §§ 17a-110 (b), through the use of intensive staff supervision.
17a-111b (c), 46b-129 (k), and 46b-149 (h). (r) ‘‘Staff-secure residential facility’’ means a
(j) ‘‘Petition’’ means a formal pleading, executed residential facility that provides residential treat-
under oath, alleging that the respondent is within ment for children in a structured setting where the
the judicial authority’s jurisdiction to adjudicate children are monitored by staff.
the matter which is the subject of the petition by (s) ‘‘Supervision’’ includes: (1) ‘‘Nonjudicial
reason of cited statutory provisions and seeking supervision’’: A legal status without the filing of a
a disposition. Except for a petition for erasure of petition or a court conviction or adjudication but
record, such petitions invoke a judicial hearing following the child’s admission to a complaint
and shall be filed by any one of the parties author- wherein a probation officer exercises supervision
ized to do so by statute. over the child with the consent of the child and the
(k) ‘‘Information’’ means a formal pleading filed parent; (2) ‘‘Protective supervision’’: A disposition
by a prosecutor alleging that a child in a delin- following adjudication in neglected, abused or
quency matter is within the judicial authority’s uncared for cases created by an order of the judi-
jurisdiction. cial authority requesting a supervising agency
(l) ‘‘Probation supervision’’ means a legal status other than the court to assume the responsibility
whereby a juvenile who has been adjudicated of furthering the welfare of the family and best
delinquent is placed by the court under the super- interests of the child when the child’s place of
vision of juvenile probation for a specified period abode remains with the parent or any suitable or
of time and upon such terms as the court worthy person, or when the judicial authority vests
determines. custody or guardianship in another suitable and
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SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERS Sec. 26-3
worthy person, subject to the continuing jurisdic- Sec. 26-2. Persons in Attendance at
tion of the court; and (3) ‘‘Judicial supervision’’: A Hearings
legal status similar to probation for a child subject (a) Except as provided in subsection (b) of this
to supervision pursuant to an order of suspended section, any judge hearing a juvenile matter, may
proceedings under General Statutes § 46b-133b during such hearing, exclude from the courtroom
or § 46b-133e. in which such hearing is held any person whose
(t) ‘‘Take into Custody Order’’ means an order presence is, in the court’s opinion, not necessary,
by a judicial authority that a child be taken into except that in delinquency proceedings, any vic-
custody and immediately turned over to a Juvenile tim shall not be excluded unless, after hearing
Residential Center Superintendent where proba- from the parties and the victim and for good cause
ble cause has been found that the child has com- shown, which shall be clearly and specifically
mitted a delinquent act, there is no less restrictive stated on the record, the judge orders otherwise.
alternative available, and the child meets the crite- (b) Any judge hearing a juvenile matter, in which
ria set forth in Section 31a-13. a child is alleged to be uncared for, neglected or
(P.B. 1978-1997, Sec. 1023.1.) (Amended June 24, 2002, abused or in which a child is the subject of a
to take effect Jan. 1, 2003; amended June 30, 2008, to take
effect Jan. 1, 2009; amended June 21, 2010, to take effect
petition for termination of parental rights, may per-
Jan. 1, 2011; amended June 20, 2011, to take effect Jan. 1, mit any person whom the court finds has a legiti-
2012; amended June 15, 2012, to take effect Jan. 1, 2013; mate interest in the hearing or the work of the
amended June 13, 2014, to take effect Jan. 1, 2015; amended court to attend such hearing. Such person may
June 13, 2019, to take effect Jan. 1, 2020; amended June 11, include a party, foster parent, relative related to
2021, to take effect Jan. 1, 2022; amended June 10, 2022, the child by blood or marriage, service provider
to take effect Jan. 1, 2023.)
HISTORY—2023: Subsection (d) was deleted and what
or any person or representative of any agency,
had been subsections (e) through (g) were redesignated sub- entity or association, including a representative of
sections (d) through (f), respectively. In addition, what is now the news media. The court may, as a condition
subsection (g) was added. Furthermore, subsection (h) was of participation, for the child’s safety and protec-
deleted and what had been subsections (i) through (u) were tion and for good cause shown, prohibit any per-
redesignated subsections (h) through (t), respectively. son or representative of any agency, entity or
In addition, in what is now subsection (q), the commas after
‘‘therein’’ and ‘‘from the facility’’ were deleted and replaced
association, including a representative of the
with semicolons. In what is now subsection (t), ‘‘detention’’ news media, who is present in court from further
after ‘‘over to a’’ was deleted and replaced with ‘‘Juvenile disclosing any information that would identify the
Residential Center’’ and ‘‘superintendent’’ was capitalized. child, the custodian or caretaker of the child or
COMMENTARY—2023: The changes to this section are the members of the child’s family involved in
consistent with No. 21-104 of the 2021 Public Acts, specifically the hearing.
the change from ‘‘detention’’ to ‘‘juvenile residential center.’’ (Adopted June 15, 2012, to take effect Jan. 1, 2013.)
The deletion of the definition of ‘‘parent’’ is because there are
numerous definitions of that term in No. 21-15 of the 2021 Sec. 26-3. Case Initiation; Electronic Filing
Public Acts.
TECHNICAL CHANGE: In what is now subsection (m), Proceedings in juvenile matters may be initiated
‘‘where by’’ was deleted and replaced with ‘‘whereby.’’ In addi- and papers filed, signed or verified by electronic
tion, in what is now subsection (q), ‘‘Staff secure’’ was deleted means in the manner prescribed in Section 4-4.
and replaced with ‘‘Staff-secure.’’ (Adopted June 12, 2015, to take effect Jan. 1, 2016.)
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Sec. 27-1 SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERS
CHAPTER 27
RECEPTION AND PROCESSING OF DELINQUENCY COMPLAINTS OR PETITIONS
(Amended June 30, 2008, to take effect Jan. 1, 2009; amended June 11, 2021, to take effect Jan. 1, 2022.)
Sec. Sec.
27-1. Complaints; In General [Repealed] 27-5. Initial Interview for Delinquency Nonjudicial Han-
27-1A. Referrals for Nonjudicial Handling of Delinquency dling Eligibility
Complaints 27-6. Denial of Responsibility
27-2. —Insufficient Allegations in Complaints [Repealed] 27-7. —Written Statement of Responsibility
27-3. —Sufficient Allegations in Complaints [Repealed] 27-8. —Scheduling of Judicial Plea/Dispositional Hear-
27-4. Additional Offenses and Misconduct ing [Repealed]
27-4A. Ineligibility for Nonjudicial Handling or Diversion of 27-8A. Nonjudicial Supervision—Delinquency
Delinquency Complaint 27-9. Family with Service Needs Referrals [Repealed]
For previous Histories and Commentaries see the editions of the Practice Book
corresponding to the years of the previous amendments.
Sec. 27-1. Complaints; In General refer a matter for nonjudicial handling prior to adju-
[Repealed as of Jan. 1, 2003.] dication.
(Adopted June 24, 2002, to take effect Jan. 1, 2003;
Sec. 27-1A. Referrals for Nonjudicial Han- amended June 30, 2008, to take effect Jan. 1, 2009; amended
June 10, 2022, to take effect Jan. 1, 2023.)
dling of Delinquency Complaints HISTORY—2023: Prior to 2023, subsection (b) read: ‘‘If
(Amended June 30, 2008, to take effect Jan. 1, 2009.) the probation officer determines that a delinquency complaint
(a) Any police summons accompanied by a is eligible for nonjudicial handling, the probation officer may
police report alleging an act of delinquency shall cause a notice to be mailed to the child and parent or guardian
be in writing and signed by the police officer and setting forth with reasonable particularity the contents of the
complaint and fixing a time and ___location of the court and date
filed with the clerk of the Superior Court for juve- not less than seven days, excluding Saturdays, Sundays, and
nile matters. After juvenile identification and holidays, subsequent to mailing.’’
docket numbers are assigned, the summons and COMMENTARY—2023: The changes to this section and to
report shall be referred to the probation depart- Section 27-4A implement the recommendation of the IOYouth
ment for possible nonjudicial handling. Task Force to more strategically direct juvenile delinquency
(b) If the probation supervisor or designee cases from the formal court process.
determines that a delinquency complaint is eligi- Sec. 27-2. —Insufficient Allegations in Com-
ble for nonjudicial handling, the assigned proba- plaints
tion officer shall contact the parent or guardian in
advance of the summons date in order to schedule [Repealed as of Jan. 1, 2003.]
an interview with the parent or guardian and child Sec. 27-3. —Sufficient Allegations in Com-
for the purpose of conducting risk and behavioral plaints
health screenings. A child determined by the risk
screen to be at low risk to reoffend will be referred [Repealed as of Jan. 1, 2003.]
to community based diversionary programs with Sec. 27-4. Additional Offenses and Mis-
no further court intervention. Judicial handling will conduct
be reserved for those found to be at the highest
(Amended June 24, 2002, to take effect Jan. 1, 2003.)
levels of risk. All other cases will be eligible for
Any additional police summons, delinquency
nonjudicial handling. Refusal to participate in the
complaint, delinquency petition, or information
screening process will render the child ineligible
regarding a child which is received by the court
for diversion.
prior to action by the judicial authority on any
(c) Delinquency matters eligible for nonjudicial pending request for nonjudicial handling shall be
handling shall be designated as such on the consolidated with the initial offenses or miscon-
docket. If the prosecuting authority objects to the duct for purposes of eligibility for nonjudicial
designation, the judicial authority shall determine handling.
if such designation is appropriate. The judicial (P.B. 1978-1997, Sec. 1025.1 (2).) (Amended June 24,
authority may refer to the Office of Juvenile Proba- 2002, to take effect Jan. 1, 2003; amended June 30, 2008,
tion a matter so designated and may, sua sponte, to take effect Jan. 1, 2009.)
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SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERS Sec. 27-8
Sec. 27-4A. Ineligibility for Nonjudicial Han- issuance of that notice shall likewise be explained
dling or Diversion of Delinquency Complaint in simple and nontechnical language.
(Amended June 30, 2008, to take effect Jan. 1, 2009; (b) The probation officer shall inform the child
amended June 10, 2022, to take effect Jan. 1, 2023.) and parent or guardian of their rights under Sec-
In the case of a delinquency complaint, a child tion 30a-1. If either the child or the parent or guard-
shall not be eligible for nonjudicial handling or ian state that they wish to be represented by
diversion if one or more of the following apply, counsel, or if the probation officer determines that
unless waived by the judicial authority: a judicial hearing is necessary, the interview shall
(1) The alleged misconduct is: end. Any further interview to consider nonjudicial
(A) a serious juvenile offense under General handling shall take place with counsel present
Statutes § 46b-120; unless waived.
(B) a violent felony; or (P.B. 1978-1997, Sec. 1025.1 (3), (4).) (Amended June 24,
(C) a violation of General Statutes § 53a-54d; or 2002, to take effect Jan. 1, 2003; amended June 30, 2008,
(2) The alleged misconduct was committed by to take effect Jan. 1, 2009.)
a child while on probation or under judicial super-
Sec. 27-6. Denial of Responsibility
vision.
(Adopted June 24, 2002, to take effect Jan. 1, 2003; (Amended June 24, 2002, to take effect Jan. 1, 2003.)
amended June 30, 2008, to take effect Jan. 1, 2009; amended Where the child denies responsibility for the
June 13, 2019, to take effect Jan. 1, 2020; amended June 10, alleged misconduct, the interview shall end and
2022, to take effect Jan. 1, 2023.) the child and the parent or guardian shall be
HISTORY—2023: Prior to 2023, this section was titled,
‘‘Ineligibility for Nonjudicial Handling of Delinquency Com-
informed that, if the evidence warrants, the case
plaint.’’ In addition, prior to 2023, this section read: ‘‘In the will be set down for a plea hearing.
case of a delinquency complaint, a child shall not be eligible (P.B. 1978-1997, Sec. 1025.1 (8), (9).) (Amended June 24,
for nonjudicial handling if one or more of the following apply, 2002, to take effect Jan. 1, 2003; amended June 30, 2008,
unless waived by the judicial authority: to take effect Jan. 1, 2009.)
‘‘(1) The alleged misconduct:
‘‘(A) is a serious juvenile offense under General Statutes Sec. 27-7. —Written Statement of Responsi-
§ 46b-120, or any other felony or violation of General Statutes bility
§ 53a-54d; (a) Where the child and the parent or guardian
‘‘(B) concerns the theft or unlawful use or operation of a
motor vehicle; or affirm that they are ready to go forward with the
‘‘(C) concerns the sale of, or possession of with intent to investigation, with or without counsel, and to make
sell, any illegal drugs or the use or possession of a firearm. a statement concerning the child’s responsibility
‘‘(2) The child was previously adjudicated delinquent or for the alleged misconduct, such affirmation must
adjudged a child from a family with service needs. be embodied in a written statement of responsibil-
‘‘(3) The child admitted nonjudicially at least twice previously ity executed by both child and parent, or guardian,
to having been delinquent.
‘‘(4) The alleged misconduct was committed by a child while and, in the case of the child, in the presence of
on probation or under judicial supervision. the parent or guardian.
‘‘(5) If the nature of the alleged misconduct warrants judi- (b) If a child orally acknowledges responsibility
cial intervention.’’ for the alleged misconduct but refuses to execute
COMMENTARY—2023: The changes to this section and to a written statement of responsibility, such an oral
Section 27-1A implement the recommendation of the IOYouth
Task Force to more strategically direct juvenile delinquency
admission shall not be accepted as the equivalent
cases from the formal court process. of an admission, and the case shall be dealt with
in the manner prescribed in Section 27-6. If the
Sec. 27-5. Initial Interview for Delinquency written statement of responsibility is executed, the
Nonjudicial Handling Eligibility probation officer shall proceed with the nonjudicial
(Amended June 24, 2002, to take effect Jan. 1, 2003; handling of the case.
amended June 30, 2008, to take effect Jan. 1, 2009.) (c) The age, intelligence and maturity of the
(a) At the initial interview to determine eligibility child and the mutuality of interests between parent
for nonjudicial handling of a delinquency com- or guardian and child shall be weighed in deter-
plaint, held at the time of arraignment or notice mining their competency to execute such written
date, the probation officer shall inquire of the child statement of responsibility.
and parent or guardian whether they have read (P.B. 1978-1997, Sec. 1025.1 (5), (6).) (Amended June 24,
the court documents and understand the nature 2002, to take effect Jan. 1, 2003; amended June 30, 2008,
of the complaint set forth therein. Any allegations to take effect Jan. 1, 2009.)
of misconduct being considered for nonjudicial
handling, including any additional allegations not Sec. 27-8. —Scheduling of Judicial Plea/
contained in the summons or notice to appear Dispositional Hearing
because they were filed with the court after the [Repealed as of Jan. 1, 2003.]
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Sec. 27-8A SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERS
Sec. 27-8A. Nonjudicial Supervision—Del- (c) Such nonjudicial supervision when com-
inquency pleted shall constitute a resolution of the case,
(Amended June 30, 2008, to take effect Jan. 1, 2009.) and thereafter a child may not again be presented
(a) If a child has acknowledged responsibility for formal court action on the same summons,
complaint or petition or the facts therein set forth,
for the alleged misconduct which is not one for provided however, that a judicial hearing may be
which a judicial hearing is mandated pursuant to initiated on the original summons, complaint, peti-
Section 27-4A, and the probation officer has then tion, or information during said nonjudicial super-
found from investigation of the child’s total cir- vision if there has been a failure to comply with
cumstances that some form of court accounta- terms of the supervision and any oral or written
bility less exacting than that arising out of a court statement of responsibility shall not be used
appearance appears to be in the child’s best against the child. When the judicial authority refers
interests, the officer may, subject to the conditions the file for nonjudicial handling, the referral order
imposed by subsection (b) hereof, place the child should provide that upon successful completion
on nonjudicial supervision for a term established of any nonjudicial handling, the matter will be dis-
by the juvenile probation supervisor for a period missed and erased immediately without the filing
not to exceed 180 days. of a request, application or petition for erasure,
for all purposes except for subsequent consider-
(b) Whenever the probation officer seeks to ation for nonjudicial handling under Section 27-
effect nonjudicial supervision, the parent and the 4A.
child shall have a right to a conference with the (Adopted June 24, 2002, to take effect Jan. 1, 2003;
probation officer’s administrative superior, or a amended June 30, 2008, to take effect Jan. 1, 2009.)
court hearing. Whenever a parent or child elects Sec. 27-9. Family with Service Needs Refer-
to pursue either or both rights, supervision shall rals
be held in abeyance until the outcome thereof. [Repealed as of Jan. 1, 2022.]
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SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERS Sec. 28-1
CHAPTER 28
DELINQUENCY AND FAMILY WITH SERVICE NEEDS
NONJUDICIAL SUPERVISION
[Repealed as of Jan. 1, 2003.]
Sec.
28-1. Nonjudicial Supervision [Repealed] (Transferred to
Section 27-8A.)
For previous Histories and Commentaries see the editions of the Practice Book
corresponding to the years of the previous amendments.
Sec. 28-1. Nonjudicial Supervision
[Repealed as of Jan. 1, 2003.]
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Sec. 29-1 SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERS
CHAPTER 29
RECEPTION AND PROCESSING OF DELINQUENCY PETITIONS
AND DELINQUENCY INFORMATIONS
(Amended June 13, 2014, to take effect Jan. 1, 2015; amended June 11, 2021, to take effect Jan. 1, 2022.)
Sec. Sec.
29-1. Contents of Delinquency Petitions or Informations 29-1B. Processing of Family with Service Needs Peti-
29-1A. Processing of Delinquency Petitions and Infor- tions [Repealed]
29-2. Service of Petitions
mations
For previous Histories and Commentaries see the editions of the Practice Book
corresponding to the years of the previous amendments.
Sec. 29-1. Contents of Delinquency Peti- Sec. 29-1B. Processing of Family with Ser-
tions or Informations vice Needs Petitions
(Amended June 24, 2002, to take effect Jan. 1, 2003;
amended June 13, 2014, to take effect Jan. 1, 2015; amended [Repealed as of Jan. 1, 2022.]
June 11, 2021, to take effect Jan. 1, 2022.)
A delinquency petition or information shall set forth Sec. 29-2. Service of Petitions
in plain, concise and definite language the offense
which the petitioner contends the child has com- (a) Notice of summons, together with a copy of
mitted. The petition or information shall further state the verified delinquency petition, may be made to
the citation of any provision of law which is the the child or youth and parent, guardian or other
basis of the petition or information, together with person having control of the child or youth by
a statement that the offense occurred on or about service in accordance with any one of the methods
a particular date or period of time at a particular set out in General Statutes § 46b-128. Any notice
___location. sent by first class mail shall include a provision
(P.B. 1978-1997, Sec. 1027.1 (1), (2).) (Amended June 24,
2002, to take effect Jan. 1, 2003; amended June 13, 2014, informing the party that appearance in court as a
to take effect Jan. 1, 2015; amended June 11, 2021, to take result of the notice may subject the appearing
effect Jan. 1, 2022.) party to the jurisdiction of the court. If the child or
Sec. 29-1A. Processing of Delinquency Peti- youth does not appear on the plea date, service
tions and Informations shall be made in accordance with General Stat-
The procedures promulgated in General Stat- utes § 46b-128.
utes § 46b-128 or § 46b-133 (a), (b), (c) and (d) (b) Petitions alleging delinquency shall be
shall apply. Any police summons and report which served or delivered not less than seven days
requires judicial processing should be returned to
the clerk for preparation of a formal information before the date of the hearing which shall be held
based on the police summons report. The infor- not more than thirty days from the date of filing
mation, summonsand report shall be submitted of the petition.
to the juvenile prosecutor for review and verified (P.B. 1978-1997, Sec. 1027.1 (3), (4).) (Amended June 24,
signature. The juvenile prosecutor may thereafter 2002, to take effect Jan. 1, 2003; amended June 13, 2014,
file an amendment or a substituted information. to take effect Jan. 1, 2015; amended June 11, 2021, to take
(Adopted June 24, 2002, to take effect Jan. 1, 2003.) effect Jan. 1, 2022.)
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SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERS Sec. 30-4
CHAPTER 30
DETENTION
Sec. Sec.
30-1. Notice and Statement by Person Bringing Child to 30-5. Detention Time Limitations
Detention [Repealed] 30-6. Basis for Detention
30-1A. Admission to a Juvenile Residential Center 30-7. Place of Detention Hearings
30-8. Initial Order for Detention; Waiver of Hearing
30-2. Release [Repealed]
30-9. Information Allowed at Detention Hearing
30-2A. Nondelinquent Juvenile Runaway from Another 30-10. Orders of a Judicial Authority after Initial Deten-
State and Detention tion Hearing
30-3. Advisement of Rights 30-11. Detention after Dispositional Hearing
30-4. Notice to Parents by Juvenile Residential Center 30-12. Where Presence of a Detained Child May Be by
Personnel Means of an Interactive Audiovisual Device
For previous Histories and Commentaries see the editions of the Practice Book
corresponding to the years of the previous amendments.
Sec. 30-1. Notice and Statement by Person Sec. 30-3. Advisement of Rights
Bringing Child to Detention Upon admission to a juvenile residential center,
[Repealed as of Jan. 1, 2003.] the child shall be advised of the right to remain
silent and the right to counsel and be further
Sec. 30-1A. Admission to a Juvenile Res- advised of the right to a detention hearing in
idential Center accordance with Sections 30-5 through 30-8,
(Amended June 10, 2022, to take effect Jan. 1, 2023.) which hearing may be waived only with the written
Whenever an officer or other person intends to consent of the child and the child’s attorney.
(P.B. 1978-1997, Sec. 1030.1 (3).) (Amended June 24,
admit a child into a juvenile residential center, the 2002, to take effect Jan. 1, 2003; amended June 10, 2022,
provisions of General Statutes § 46b-133 shall to take effect Jan. 1, 2023.)
apply. HISTORY—2023: ‘‘Detention’’ after ‘‘admission to’’ was
(Adopted June 24, 2002, to take effect Jan. 1, 2003; deleted and replaced with ‘‘a juvenile residential center.’’
amended June 10, 2022, to take effect Jan. 1, 2023.) COMMENTARY—2023: The changes to this section are
HISTORY—2023: Prior to 2023, this section was titled, consistent with No. 21-104 of the 2021 Public Acts, specifically
‘‘Admission to Detention.’’ In addition, ‘‘detention’’ after ‘‘into’’ the change from ‘‘detention’’ to ‘‘juvenile residential center.’’
was deleted and replaced with ‘‘a juvenile residential center.’’
Sec. 30-4. Notice to Parents by Juvenile
COMMENTARY—2023: The changes to this section are
consistent with No. 21-104 of the 2021 Public Acts, specifically
Residential Center Personnel
the change from ‘‘detention’’ to ‘‘juvenile residential center.’’ (Amended June 10, 2022, to take effect Jan. 1, 2023.)
Upon admission, the Juvenile Residential Cen-
Sec. 30-2. Release ter Superintendent or a designated representative
shall make efforts to immediately notify the parent
[Repealed as of Jan. 1, 2003.]
or guardian in the manner calculated most speed-
Sec. 30-2A. Nondelinquent Juvenile Run- ily to effect such notice and, upon the parent’s or
away from Another State and Detention guardian’s appearance at the juvenile residential
center, shall advise the parent or guardian of his
(Amended June 11, 2021, to take effect Jan. 1, 2022.)
or her rights and note the child’s rights, including
No nondelinquent juvenile runaway from the child’s right to a detention hearing.
another state may be held in a juvenile residential (P.B. 1978-1997, Sec. 1030.1 (4).) (Amended June 24,
center in accordance with the provisions of Gen- 2002, to take effect Jan. 1, 2003; amended June 30, 2008,
eral Statutes § 46b-151h. to take effect Jan. 1, 2009; amended June 10, 2022, to take
(Adopted June 30, 2008, to take effect Jan. 1, 2009; effect Jan. 1, 2023.)
HISTORY—2023: Prior to 2023, this section was titled,
amended June 20, 2011, to take effect Jan. 1, 2012; amended
‘‘Notice to Parents by Detention Personnel.’’ In addition,
June 11, 2021, to take effect Jan. 1, 2022; amended June 10,
‘‘detention’’ before ‘‘superintendent’’ was deleted and replaced
2022, to take effect Jan. 1, 2023.)
with ‘‘Juvenile Residential Center’’ and ‘‘superintendent’’ was
HISTORY—2023: ‘‘Detention’’ before ‘‘center’’ was deleted capitalized. Further, ‘‘detention facility’’ before ‘‘shall advise’’
and replaced with ‘‘residential.’’ was deleted and replaced with ‘‘juvenile residential center.’’
COMMENTARY—2023: The changes to this section are COMMENTARY—2023: The changes to this section are
consistent with No. 21-104 of the 2021 Public Acts, specifically consistent with No. 21-104 of the 2021 Public Acts, specifically
the change from ‘‘detention’’ to ‘‘juvenile residential center.’’ the change from ‘‘detention’’ to ‘‘juvenile residential center.’’
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Sec. 30-5 SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERS
Sec. 30-5. Detention Time Limitations risk screening for such child developed by the
(a) No child shall be held in a juvenile residential Judicial Branch.
(P.B. 1978-1997, Sec. 1031.1 (2).) (Amended June 24,
center for more than twenty-four hours, excluding 2002, to take effect Jan. 1, 2003; amended June 30, 2008,
Saturdays, Sundays, and holidays, unless (1) a to take effect Jan. 1, 2009; amended June 20, 2011, to take
delinquency petition or information alleging a effect Jan. 1, 2012; amended June 23, 2017, to take effect
delinquent act has been filed and (2) an order for Jan. 1, 2018; amended June 13, 2019, to take effect Jan. 1,
such continued detention has been signed by the 2020; amended June 10, 2022, to take effect Jan. 1, 2023.)
HISTORY—2023: In the first sentence, ‘‘detention’’ after
judicial authority following a hearing as provided ‘‘held in’’ was deleted and replaced with ‘‘a juvenile residen-
by subsection (b) of this section or a waiver of tial center.’’
hearing as provided by Section 30-8. COMMENTARY—2023: The changes to this section are
(b) A hearing to determine probable cause and consistent with No. 21-104 of the 2021 Public Acts, specifically
the need for further detention shall be held no later the change from ‘‘detention’’ to ‘‘juvenile residential center.’’
than the next business day following the arrest. Sec. 30-7. Place of Detention Hearings*
(c) If a nondelinquent child is being held for
The initial detention hearing shall be in the
another jurisdiction in accordance with the Inter-
Superior Court for juvenile matters where the child
state Compact on Juveniles, following the initial
resides if the residence of the child can be deter-
hearing as provided by subsection (b) of this sec- mined, and, thereafter, detention hearings shall
tion, that child shall be held not more than ninety be held at the Superior Court for juvenile matters
days and shall be held in a secure facility, as of appropriate venue.
defined by rules promulgated in accordance with (P.B. 1978-1997, Sec. 1031.1 (3).) (Amended June 24,
the Compact, other than a locked, juvenile resi- 2002, to take effect Jan. 1, 2003; amended June 30, 2008,
dential center. to take effect Jan. 1, 2009; amended June 23, 2017, to take
(P.B. 1978-1997, Sec. 1031.1 (1).) (Amended June 24, effect Jan. 1, 2018.)
2002, to take effect Jan. 1, 2003; amended June 20, 2011, *APPENDIX NOTE: The Rules Committee of the Superior
to take effect Jan. 1, 2012; amended June 23, 2017, to take Court enacted, and the judges of the Superior Court subse-
effect Jan. 1, 2018; amended June 10, 2022, to take effect quently adopted, certain changes to the provisions of this
Jan. 1, 2023.) rule in response to the public health and civil preparedness
HISTORY—2023: In subsection (a), ‘‘detention’’ after ‘‘held emergencies declared on March 10, 2020, and renewed on
in’’ was deleted and replaced with ‘‘a juvenile residential cen- September 1, 2020, and January 26, 2021. The public health
emergency was renewed on June 28, 2022, and is scheduled
ter.’’ In addition, in subsection (c), ‘‘state operated detention
to expire on December 28, 2022, or when the federal public
facility’’ after ‘‘locked,’’ was deleted and replaced with ‘‘juvenile
health emergency ends. See Appendix of Section 1-9B
residential center.’’
Changes.
COMMENTARY—2023: The changes to this section are
consistent with No. 21-104 of the 2021 Public Acts, specifically Sec. 30-8. Initial Order for Detention; Waiver
the change from ‘‘detention’’ to ‘‘juvenile residential center.’’ of Hearing
Sec. 30-6. Basis for Detention (Amended June 24, 2002, to take effect Jan. 1, 2003.)
Such initial order of detention may be signed
No child may be held in a juvenile residential without a hearing only if there is a written waiver
center unless a judge of the Superior Court deter- of the detention hearing by the child and the child’s
mines, based on the available facts that there attorney and there is a finding by the judicial
is probable cause to believe that the child has authority that the circumstances outlined in Sec-
committed the delinquent acts alleged, that there tion 30-6 pertain to the child in question. An order
is no appropriate less restrictive alternative avail- of detention entered without a hearing shall autho-
able and that there is (1) probable cause to believe rize the detention of the child for a period not to
that the level of risk that the child poses to public exceed seven days, including the date of admis-
safety if released to the community prior to the sion, or until the dispositional hearing is held,
court hearing or disposition cannot be managed whichever is shorter, and may further authorize
in a less restrictive setting, (2) a need to hold the the Juvenile Residential Center Superintendent
child in order to ensure the child’s appearance or a designated representative to release the child
before the court or compliance with court process, to the custody of a parent, guardian or some other
as demonstrated by the child’s previous failure to suitable person, with or without conditions of
respond to the court process, or (3) a need to release, if detention is no longer necessary,
hold the child for another jurisdiction. The court except that no child shall be released from a juve-
in exercising its discretion to detain under General nile residential center who is alleged to have com-
Statutes § 46b-133 (e) may consider as an alter- mitted a serious juvenile offense except by order
native to detention a suspended detention order of a judicial authority of the Superior Court. Such
with graduated sanctions based upon a detention an ex parte order of detention shall be renewable
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SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERS Sec. 30-11
only at a detention hearing before the judicial (c) If the child is not placed in a juvenile residen-
authority for a period that does not exceed seven tial center but released on a suspended order of
days or until the dispositional hearing is held, detention on conditions, such suspended order of
whichever is shorter. detention shall continue to the dispositional hear-
(P.B. 1978-1997, Sec. 1031.1 (4).) (Amended June 24, ing or until further order of the judicial authority.
2002, to take effect Jan. 1, 2003; amended June 30, 2008,
Said suspended order of detention may be
to take effect Jan. 1, 2009; amended June 23, 2017, to take
effect Jan. 1, 2018; amended June 10, 2022, to take effect reviewed by the judicial authority every seven
Jan. 1, 2023.) days. Upon a finding of probable cause that the
HISTORY—2023: In the second sentence, ‘‘detention’’ was child has violated any condition, a judicial author-
deleted before ‘‘superintendent’’ and replaced with ‘‘Juvenile ity may issue a take into custody order or order
Residential Center,’’ ‘‘superintendent’’ was capitalized, and such child to appear in court for a hearing on
‘‘detention’’ was deleted after ‘‘released from’’ and replaced
with ‘‘a juvenile residential center.’’ revocation of the suspended order of detention.
COMMENTARY—2023: The changes to this section are Such an order to appear shall be served upon the
consistent with No. 21-104 of the 2021 Public Acts, specifically child in accordance with General Statutes § 46b-
the change from ‘‘detention’’ to ‘‘juvenile residential center.’’ 128 (b), or, if the child is represented, by serving
Sec. 30-9. Information Allowed at Deten- the order to appear upon the child’s counsel, who
tion Hearing shall notify the child of the order and the hearing
date. After a hearing and upon a finding that the
At the detention hearing the judicial authority child has violated reasonable conditions imposed
may consider any information which is material
on release, the judicial authority may impose dif-
and relevant to the issue of detention. Probable
ferent or additional conditions of release or may
cause may be proven by sworn affidavit in lieu of
testimony. The probation department may ascer- remand the child to a juvenile residential center.
tain such factors as might pertain to any need for (d) In conjunction with any order of release from
detention. Any written reports or social records a juvenile residential center, the judicial authority
made available to the judicial authority shall be may, in accordance with General Statutes § 46b-
made available to counsel of record and, in the 133 (g), order the child to participate in a program
absence of counsel, to the parties unless the judi- of periodic alcohol or drug testing and treatment
cial authority finds that the availability of such as a condition of such release. The results of any
materials would be psychologically destructive to such alcohol or drug test shall be admissible only
the relationship between members of the family. for the purposes of enforcing the conditions of
Either through direct access or by quotation or release from a juvenile residential center.
summation by the judicial authority, the parties (P.B. 1978-1997, Sec. 1032.1 (2), (3).) (Amended June 24,
should be made aware of such findings in the 2002, to take effect Jan. 1, 2003; amended June 30, 2008,
to take effect Jan. 1, 2009; amended June 23, 2017, to take
reports or social records as directly enter into the
effect Jan. 1, 2018; amended June 10, 2022, to take effect
judicial authority’s decision. Jan. 1, 2023.)
(P.B. 1978-1997, Sec. 1032.1 (1).) (Amended June 24,
2002, to take effect Jan. 1, 2003.) HISTORY—2023: In the first sentence of each of subsec-
tions (b) and (c), ‘‘detention’’ after ‘‘placed in’’ was deleted
Sec. 30-10. Orders of a Judicial Authority and replaced with ‘‘a juvenile residential center.’’ In addition,
after Initial Detention Hearing in the last sentence of subsection (c), ‘‘detention’’ was deleted
and replaced with ‘‘a juvenile residential center.’’ Furthermore,
(Amended June 24, 2002, to take effect Jan. 1, 2003.) in both the first and second sentences of subsection (d),
(a) At the conclusion of the initial detention hear- ‘‘detention’’ was deleted after ‘‘release from’’ and replaced
ing, the judicial authority shall issue an order for with ‘‘a juvenile residential center.’’
detention on finding probable cause to believe COMMENTARY—2023: The changes to this section are
that the child has committed a delinquent act and consistent with No. 21-104 of the 2021 Public Acts, specifically
that at least one of the factors outlined in Section the change from ‘‘detention’’ to ‘‘juvenile residential center.’’
30-6 applies to the child. TECHNICAL CHANGE: In the first sentence of subsection
(b) If the child is placed in a juvenile residential (d), a comma was added after ‘‘center.’’
center, such order for detention shall be for a
Sec. 30-11. Detention after Dispositional
period not to exceed seven days, including the
Hearing
date of admission, or until the dispositional hear-
ing is held, whichever is the shorter period, unless, While awaiting implementation of the judicial
following a further detention review hearing, the authority’s order in a delinquency case, a child
order is renewed for a period that does not exceed may be held in a juvenile residential center subse-
seven days or until the dispositional hearing is quent to the dispositional hearing, provided a
held, whichever is shorter. Such detention review hearing to review the circumstances and condi-
hearing may not be waived. tions of such detention order shall be conducted
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Sec. 30-11 SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERS
every seven days and such hearing may not be and in the discretion of the judicial authority on
waived. motion of a party or on its own motion, be made
(P.B. 1978-1997, Sec. 1032.1 (4).) (Amended June 30, by means of an interactive audiovisual device.
2008, to take effect Jan. 1, 2009; amended June 23, 2017, Such interactive audiovisual device must operate
to take effect Jan. 1, 2018; amended June 10, 2022, to take so that such detained child, counsel, and the judi-
effect Jan. 1, 2023.)
HISTORY—2023: ‘‘Detention’’ was deleted after ‘‘held in’’
cial authority if the proceeding is in court, can see
and replaced with ‘‘a juvenile residential center.’’ and communicate with each other simultaneously.
COMMENTARY—2023: The changes to this section are In addition, a procedure by which such detained
consistent with No. 21-104 of the 2021 Public Acts, specifically child can confer with counsel in private must be
the change from ‘‘detention’’ to ‘‘juvenile residential center.’’ provided.
(b) Unless otherwise required by law or unless
Sec. 30-12. Where Presence of a Detained otherwise ordered by the judicial authority, prior
Child May Be by Means of an Interactive to a detention hearing in which a detained child
Audiovisual Device appears by means of an interactive audiovisual
(a) The appearance of a detained child for pro- device, copies of all documents which may be
ceedings held in accordance with Sections 30-10 offered at the detention hearing shall be provided
and 30-11 may, with the consent of the detained to all counsel.
child, the consent of counsel for the detained child, (Adopted June 13, 2019, to take effect Oct. 1, 2019.)
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SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERS Sec. 30a-2
CHAPTER 30a
DELINQUENCY HEARINGS
(Amended June 13, 2014, to take effect Jan. 1, 2015; amended June 11, 2021, to take effect Jan. 1, 2022.)
Sec. Sec.
30a-1. Initial Plea Hearing 30a-5. Dispositional Hearing
30a-1A. Family with Service Needs Preadjudication Contin- 30a-6. —Statement on Behalf of Victim
uance [Repealed] 30a-6A. —Persons in Attendance at Hearings [Repealed]
(Transferred to Section 26-2.)
30a-2. Pretrial Conference 30a-7. Recording of Hearings
30a-3. —Standard of Proof; Burden of Going Forward 30a-8. Records
30a-4. Plea Canvass 30a-9. Appeals in Delinquency Proceedings
For previous Histories and Commentaries see the editions of the Practice Book
corresponding to the years of the previous amendments.
Sec. 30a-1. Initial Plea Hearing (d) If the judicial authority determines that a
(a) The judicial authority shall begin the hearing child or youth, or the parent, parents or guardian
by determining whether all necessary parties are of a child or youth are unable to afford counsel
present and that the rules governing service or for the child or youth, the judicial authority shall,
notice for nonappearing parties have been com- in a delinquency proceeding, appoint the Office
plied with, and shall note these facts for the record. of the Public Defender to represent the child or
The judicial authority shall then inform the parties youth.
(e) If the judicial authority, even in the absence
of the substance of the petition or information. of a request for appointment of counsel, deter-
(b) In age appropriate language, the judicial mines that the interests of justice require the provi-
authority prior to any plea shall advise the child sion of an attorney to represent the child, youth
or youth and parent or guardian of the following or the child’s or youth’s parent or parents, guard-
rights: ian or other person having control of the child or
(1) That the child or youth is not obligated to youth, in any delinquency proceeding, the judicial
say anything and that anything that is said may authority may appoint an attorney to represent
be used against the child or youth. any such party and shall notify the chief public
(2) That the child or youth is entitled to the defender who shall assign an attorney to repre-
services of an attorney and that if the child or sent any such party. Where, under the provisions
youth and the parent or parents, or guardian are of this section, the court so appoints counsel for
unable to afford an attorney for the child or youth, any such party who is found able to pay, in whole
an application for a public defender or an attorney or in part, the cost thereof, the judicial authority
appointed by the chief public defender should be shall assess as costs on the appropriate form
completed and filed with the Office of the Public against such parent or parents, guardian or other
Defender or the clerk of the court to request an person having control of the child or youth, includ-
ing any agency vested with the legal custody of
attorney without cost. the child or youth, the expense so incurred and
(3) That the child or youth will not be questioned paid by the Public Defender Services Commission
unless he or she consents, that the child or youth in providing such counsel, to the extent of their
can consult with an attorney before being ques- financial ability to do so in accordance with the
tioned and may have an attorney present during rates established by the Public Defender Services
questioning, and that the child or youth can stop Commission for compensation of counsel.
answering questions at any time. (Adopted June 24, 2002, to take effect Jan. 1, 2003;
(4) That the child or youth has the right to a trial amended June 22, 2009, to take effect Jan. 1, 2010; amended
June 13, 2014, to take effect Jan. 1, 2015; amended June 11,
and the rights of confrontation and cross examina- 2021, to take effect Jan. 1, 2022.)
tion of witnesses.
(c) Notwithstanding any prior statement acknowl- Sec. 30a-1A. Family with Service Needs Pre-
edging responsibility for the acts alleged, the judi- adjudication Continuance
cial authority shall inquire of the child or youth [Repealed as of Jan. 1, 2022.]
whether the child or youth presently admits or Sec. 30a-2. Pretrial Conference
denies the allegations of the petition or informa- (a) When counsel is requested, or responsibility
tion. is denied, the case may be continued for a pretrial
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Sec. 30a-2 SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERS
conference. At the pretrial, the parties may agree against him or her, and the right not to be com-
that a substitute information will be filed, or that pelled to incriminate himself or herself.
certain charges will be nolled or dismissed. If the (Adopted June 24, 2002, to take effect Jan. 1, 2003;
child or youth and parent or guardian subse- amended June 22, 2009, to take effect Jan. 1, 2010.)
quently execute a written statement of responsibil-
Sec. 30a-5. Dispositional Hearing
ity at the pretrial conference, or the attorney for
the child or youth conveys to the prosecutor an (a) The dispositional hearing may follow imme-
agreement on the adjudicatory grounds, a predis- diately upon an adjudication.
positional study shall be compiled by the probation (b) The judicial authority may admit into evi-
department and the case shall be assigned for a dence any testimony that is considered relevant
plea and dispositional hearing. to the issue of the disposition, in any form the
(b) If a plea agreement has been reached by judicial authority finds of probative value, but no
the parties which contemplates the entry of a plea disposition shall be made by the judicial authority
of guilty or nolo contendere in a delinquency case, until the predispositional study, unless waived,
and the recommendation of a particular disposi- has been submitted. A written predispositional
tion, the agreement shall be disclosed in open study may be waived by the judicial authority for
court at the time the plea is offered. Thereupon good cause shown upon the request of the parties,
the judicial authority may accept or reject any provided that the basis for the waiver and the
agreement, or may defer the decision on accep- probation officer’s oral summary of any investiga-
tance or rejection of the agreement until it has tion are both placed on the record. The predisposi-
had an opportunity to review the predisposi- tional study shall be presented to the judicial
tional study. authority and copies thereof shall be provided to
(Adopted June 24, 2002, to take effect Jan. 1, 2003; all counsel in sufficient time for them to prepare
amended June 13, 2014, to take effect Jan. 1, 2015; amended adequately for the dispositional hearing, and, in
June 11, 2021, to take effect Jan. 1, 2022.)
any event, no less than forty-eight hours prior to
Sec. 30a-3. —Standards of Proof; Burden of the date of the disposition.
Going Forward (c) The prosecutor and the child and parent or
(Amended June 30, 2003, to take effect Jan. 1, 2004; guardian shall have the right to produce witnesses
amended June 11, 2021, to take effect Jan. 1, 2022.) on behalf of any dispositional plan they may wish
(a) The standard of proof for a delinquency adju- to offer.
dication is evidence beyond a reasonable doubt. (d) Prior to any disposition, the child shall be
(b) The burden of going forward with evidence allowed a reasonable opportunity to make a per-
shall rest with the juvenile prosecutor. sonal statement to the judicial authority in mitiga-
(Adopted June 24, 2002, to take effect Jan. 1, 2003; tion of any disposition.
amended June 30, 2003, to take effect Jan. 1, 2004; amended (e) The judicial authority shall determine an
June 22, 2009, to take effect Jan. 1, 2010; amended June 13,
2019, to take effect Jan. 1, 2020; amended June 11, 2021, appropriate disposition upon adjudication of a
to take effect Jan. 1, 2022.) child as delinquent in accordance with General
Statutes § 46b-140.
Sec. 30a-4. Plea Canvass (Adopted June 24, 2002, to take effect Jan. 1, 2003;
To assure that any plea or admission is volun- amended June 26, 2006, to take effect Jan. 1, 2007; amended
tary and knowingly made, the judicial authority June 22, 2009, to take effect Jan. 1, 2010; amended June 13,
2014, to take effect Jan. 1, 2015; amended June 13, 2019,
shall address the child or youth in age appropriate to take effect Jan. 1, 2020; amended June 11, 2021, to take
language to determine that the child or youth sub- effect Jan. 1, 2022.)
stantially understands:
(1) The nature of the charges; Sec. 30a-6. —Statement on Behalf of Victim
(2) The factual basis of the charges; Whenever a victim of a delinquent act, the par-
(3) The possible penalty, including any exten- ent or guardian of such victim or such victim’s
sions or modifications; counsel exercises the right to appear before the
(4) That the plea or admission must be voluntary judicial authority for the purpose of making a state-
and not the result of force, threats, or promises, ment to the judicial authority concerning the dispo-
apart from the plea agreement; sition of the case, no statement shall be received
(5) That the child or youth has (i) the right to unless the delinquent has signed a statement of
deny responsibility or plead not guilty or to persist responsibility, confirmed a plea agreement or
if that denial or plea has already been made, (ii) been adjudicated as a delinquent.
the right to be tried by a judicial authority and (iii) (Adopted June 24, 2002, to take effect Jan. 1, 2003;
at trial, the right to the assistance of counsel, the amended June 22, 2009, to take effect Jan. 1, 2010; amended
right to confront and cross-examine witnesses June 13, 2019, to take effect Jan. 1, 2020.)
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SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERS Sec. 30a-9
Sec. 30a-6A. —Persons in Attendance at reports of social agencies, may be copied or other-
Hearings wise reproduced in written form in whole or in part
[Transferred as of Jan. 1, 2013, to Section 26-2.] by the parties without the express consent of the
judicial authority.
Sec. 30a-7. Recording of Hearings (c) Each counsel and self-represented party in
A verbatim stenographic or electronic recording a delinquency matter shall have access to and be
shall be kept of any hearing, the transcript of which entitled to copies, at his or her expense, of the
shall form part of the record of the case. entire court record, including transcripts of all pro-
(Adopted June 24, 2002, to take effect Jan. 1, 2003.) ceedings, without express consent of the judi-
cial authority.
Sec. 30a-8. Records (Adopted June 24, 2002, to take effect Jan. 1, 2003;
amended June 22, 2009, to take effect Jan. 1, 2010; amended
(a) Except as otherwise provided by statute, all June 14, 2013, to take effect Jan. 1, 2014.)
records maintained in juvenile matters brought
before the judicial authority, either current or Sec. 30a-9. Appeals in Delinquency Pro-
closed, including transcripts of hearings, shall be ceedings
(Amended June 11, 2021, to take effect Jan. 1, 2022.)
kept confidential. The rules governing other appeals shall, so far
(b) Except as otherwise provided by statute, as applicable, be the rules for all proceedings in
no material contained in the court records, includ- delinquency appeals.
ing the predispositional study, medical or clini- (Adopted June 15, 2012, to take effect Jan. 1, 2013;
cal reports, school reports, police reports, or the amended June 11, 2021, to take effect Jan. 1, 2022.)
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Sec. 31-1 SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERS
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- 31-7. —Availability of Predispositional Study to Counsel
ity [Repealed] and Parties [Repealed]
31-2. —Continuance for Pretrial Conference [Repealed] 31-8. —Dispositional Plan Offered by Child or Parent
31-3. —Burden of Going Forward [Repealed] [Repealed]
31-9. —Statement on Behalf of Victim [Repealed]
31-4. —Physical Presence of Child [Repealed]
31-10. Modification of Probation and Supervision
31-5. Dispositional Hearing; Factors To Be Considered [Repealed]
by Judicial Authority [Repealed] 31-11. Take into Custody [Repealed]
31-6. —When Held; Evidence and Predispositional 31-12. Physical and Mental Examinations [Repealed]
Study [Repealed] 31-13. Mentally Ill Children [Repealed]
For previous Histories and Commentaries see the editions of the Practice Book
corresponding to the years of the previous amendments.
Sec. 31-1. Adjudicatory Hearing; Actions by Sec. 31-7. —Availability of Predispositional
Judicial Authority Study to Counsel and Parties
[Repealed as of Jan. 1, 2003.] [Repealed as of Jan. 1, 2003.]
Sec. 31-8. —Dispositional Plan Offered by
Sec. 31-2. —Continuance for Pretrial Con-
Child or Parent
ference
[Repealed as of Jan. 1, 2003.]
[Repealed as of Jan. 1, 2003.]
Sec. 31-9. —Statement on Behalf of Victim
Sec. 31-3. —Burden of Going Forward [Repealed as of Jan. 1, 2003.]
[Repealed as of Jan. 1, 2003.] Sec. 31-10. Modification of Probation and
Sec. 31-4. —Physical Presence of Child Supervision
[Repealed as of Jan. 1, 2003.]
[Repealed as of Jan. 1, 2003.]
Sec. 31-11. Take into Custody
Sec. 31-5. Dispositional Hearing; Factors To [Repealed as of Jan. 1, 2003.]
Be Considered by Judicial Authority
Sec. 31-12. Physical and Mental Exami-
[Repealed as of Jan. 1, 2003.] nations
Sec. 31-6. —When Held; Evidence and Pre- [Repealed as of Jan. 1, 2003.]
dispositional Study Sec. 31-13. Mentally Ill Children
[Repealed as of Jan. 1, 2003.] [Repealed as of Jan. 1, 2003.]
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SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERS Sec. 31a-2
CHAPTER 31a
DELINQUENCY MOTIONS AND APPLICATIONS
(Amended June 13, 2014, to take effect Jan. 1, 2015; amended June 11, 2021, to take effect Jan. 1, 2022.)
Sec. Sec.
31a-1. Motions and Amendments 31a-14. Physical and Mental Examinations
31a-1A. Continuances and Advancements 31a-15. Mentally Ill Children
31a-2. Motion for Bill of Particulars 31a-16. Discovery
31a-3. Motion To Dismiss 31a-17. Disclosure of Defenses in Delinquency Pro-
31a-4. Motion To Suppress ceedings
31a-5. Motion for Judgment of Acquittal 31a-18. Modification of Probation and Supervision
31a-6. Motion for Transfer of Venue 31a-19. Motion for Extension of Delinquency Commit-
31a-7. Motion in Limine ment; Motion for Review of Permanency Plan
31a-8. Motion for Sequestration [Repealed]
31a-9. Severance of Offenses 31a-19A. Motion for Extension or Revocation of Family with
31a-10. Trial Together on Petitions or Informations Service Needs Commitment; Motion for Review
31a-11. Motion for New Trial of Permanency Plan [Repealed]
31a-12. Motion To Transfer to Adult Criminal Docket 31a-20. Petition for Violation of Family with Service Needs
31a-13. Take into Custody Order Post-Adjudicatory Orders [Repealed]
31a-13A. Temporary Custody Order—Family with Service 31a-21. Petition for Child from a Family with Service Needs
Needs Petition [Repealed] at Imminent Risk [Repealed]
For previous Histories and Commentaries see the editions of the Practice Book
corresponding to the years of the previous amendments.
Sec. 31a-1. Motions and Amendments
(a) A motion other than one made during a be granted whenever the judicial authority finds
hearing shall be in writing and have annexed to that the new allegations in the petition or charges
it a proper order and, where appropriate, shall be in the information justify the need for additional
in the form called for by Section 4-1. A motion time to permit the parties to respond adequately
shall state in paragraphs successively numbered to the additional or changed facts and circum-
the specific grounds upon which it is made. A stances.
(Adopted June 24, 2002, to take effect Jan. 1, 2003;
copy of the written motion shall be served on the amended June 30, 2008, to take effect Jan. 1, 2009.)
opposing party or counsel pursuant to Sections
10-12 through 10-17. Sec. 31a-1A. Continuances and Advance-
(b) Motions shall be filed not later than ten days ments
after the setting of the trial date except with the (a) Motions for continuances or changes in
permission of the judicial authority. All motions scheduled court dates must be submitted in writ-
shall be calendared to be heard by the judicial ing in compliance with Section 31a-1 (a) and filed
authority not later than fifteen days after filing pro- no later than seven days prior to the scheduled
vided reasonable notice is given to parties in inter- date. Such motions must state the precise rea-
est, or notices are waived. Any motion filed in a sons for the request, the name of the judicial
case on trial or assigned for trial may be disposed authority scheduled to hear the case, and whether
of by the judicial authority at its discretion or or not all other parties consent to the request. After
ordered to be scheduled for hearing. consulting with the judicial authority, the clerk will
(c) If the moving party determines and reports handle bona fide emergency requests submitted
that all counsel and self-represented parties agree less than seven days prior to scheduled court
to the granting of a motion or the consideration dates.
of a motion without the need for oral argument or (b) Trials that are not completed within the allot-
testimony, or the motion states on its face that ted prescheduled time will be subject to continua-
there is such an agreement, the motion may be tion at the next available court date.
granted without a hearing. (Adopted June 30, 2008, to take effect Jan. 1, 2009.)
(d) A petition or information may be amended
at any time by the judicial authority on its own Sec. 31a-2. Motion for Bill of Particulars
motion or in response to the motions of any party The child or youth may file a motion, or the judi-
prior to any final adjudication. When an amend- cial authority may order at any time, that the prose-
ment has been so ordered, a continuance shall cuting authority file a bill of particulars. The judicial
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Sec. 31a-2 SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERS
authority shall order that a bill of particulars dis- Sec. 31a-7. Motion in Limine
close information sufficient to enable the child or The judicial authority to whom a matter has
youth to prepare the defense, including but not been referred for trial may in its discretion enter-
being limited to reasonable notice of the offense tain a motion in limine made by the child or youth
charged and the date, time and place of its com- or juvenile prosecutor regarding the admission or
mission. When any bill of particulars is ordered, an exclusion of anticipated evidence. Such motion
amended or substitute information, if necessary, shall be in writing and shall describe the antici-
shall be filed incorporating its provisions. pated evidence and the prejudice which may
(Adopted June 24, 2002, to take effect Jan. 1, 2003.) result therefrom. The judicial authority may grant
Sec. 31a-3. Motion To Dismiss the relief sought in the motion or such other relief
as it may deem appropriate, may deny the motion
The child or youth may file a motion to dismiss with or without prejudice to its later renewal, or
if the motion is capable of determination without may reserve decision thereon until a later time in
a trial of the general issue on grounds (1) to (9) of the proceeding.
Section 41-8 of the rules of procedure in criminal (Adopted June 24, 2002, to take effect Jan. 1, 2003.)
matters, subject to the conditions of Section 41-
10 and 41-11. Sec. 31a-8. Motion for Sequestration
(Adopted June 24, 2002, to take effect Jan. 1, 2003.) A child or youth or juvenile prosecutor may file
a motion for sequestration. The judicial authority
Sec. 31a-4. Motion To Suppress upon such motion shall cause any witness to be
The child or youth may file a motion to suppress sequestered during the hearing on any issue or
potential testimony or other evidence if required motion or during any part of the trial in which such
under the constitution or laws of the United States witness is not testifying.
or the state of Connecticut in accordance with the (Adopted June 24, 2002, to take effect Jan. 1, 2003.)
provisions of Sections 41-13 through 41-17 of the
rules of procedure in criminal matters. Sec. 31a-9. Severance of Offenses
(Adopted June 24, 2002, to take effect Jan. 1, 2003.) If it appears that a child or youth is prejudiced
by a joinder of offenses, the judicial authority may,
Sec. 31a-5. Motion for Judgment of Acquit- upon its own motion or the motion of the child or
tal youth, order separate trials of the counts or pro-
(a) After the close of the juvenile prosecutor’s vide whatever other relief justice may require.
case-in-chief, upon motion of the child or upon its (Adopted June 24, 2002, to take effect Jan. 1, 2003.)
own motion, the judicial authority shall order the
entry of a judgment of acquittal as to any principal Sec. 31a-10. Trial Together on Petitions or
offense charged and as to any lesser included Informations
offense for which the evidence would not reason- The judicial authority may, upon its own motion
ably permit an adjudication. Such judgment of acquit- or the motion of the child or youth or juvenile pros-
tal shall not apply to any lesser included offense ecutor, order that two or more petitions or informa-
for which the evidence would reasonably permit tions against the same child or youth be tried
a finding of guilty. together. Petitions or informations against differ-
(b) The judicial authority shall either grant or deny ent children or youths may not be tried together
the motion before calling upon the child to pre- unless all parties agree to waive the confidential-
sent the respondent’s case-in-chief. If the motion is ity rules.
not granted, the respondent may offer evidence (Adopted June 24, 2002, to take effect Jan. 1, 2003.)
without having reserved the right to do so. Sec. 31a-11. Motion for New Trial
(Adopted June 24, 2002, to take effect Jan. 1, 2003;
amended June 30, 2008, to take effect Jan. 1, 2009; amended (a) Upon motion of the child, the judicial author-
June 13, 2019, to take effect Jan. 1, 2020.) ity may grant a new trial if it is required in the
interest of justice in accordance with Section 42-
Sec. 31a-6. Motion for Transfer of Venue 53 of the rules of criminal procedure.
The child or youth or juvenile prosecutor may (b) Unless otherwise permitted by the judicial
file a motion, or the judicial authority may order authority in the interests of justice, a motion for a
at any time, that a juvenile matter be transferred new trial shall be made within five days after an
to a different venue in accordance with Sections adjudication or within any further time the judicial
41-23 and 41-25 of the rules of procedure in crimi- authority allows during the five day period.
nal matters. (c) A request for a new trial on the ground of
(Adopted June 24, 2002, to take effect Jan. 1, 2003.) newly discovered evidence shall require a peti-
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SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERS Sec. 31a-15
tion for a new trial and shall be brought in accord- to understand the nature of the proceedings or to
ance with General Statutes § 52-270. The judicial participate in the defense, or a question of the
authority may grant the petition even though an child or youth having been mentally capable of
appeal is pending. unlawful intent at the time of the commission of
(Adopted June 24, 2002, to take effect Jan. 1, 2003; the alleged act, or (4) where the child or youth
amended June 13, 2019, to take effect Jan. 1, 2020.) has been detained and as an incident of detention
Sec. 31a-12. Motion To Transfer to Adult is administered a physical examination to estab-
Criminal Docket lish the existence of any contagious or infec-
tious condition.
The juvenile prosecutor may file a motion to
(b) Any information concerning a child or youth
transfer prosecution to the adult criminal docket
that is obtained during any mental health screen-
in accordance with General Statutes § 46b-127.
(Adopted June 24, 2002, to take effect Jan. 1, 2003.) ing or assessment of such child or youth shall be
used solely for planning and treatment purposes
Sec. 31a-13. Take into Custody Order and shall otherwise be confidential and retained
(a) Upon written application in a delinquency in the files of the entity performing such screening
proceeding, a take into custody order may be or assessment. Such information may be further
issued by the judicial authority: disclosed only for the purposes of any court-
(1) Upon a finding of probable cause to believe ordered evaluation or treatment of the child or
that the child is responsible for: (A) a delinquent youth, or provision of services to the child or youth,
act, including violation of court orders of probation or pursuant to General Statutes §§ 17a-101 to
or the failure of the child charged with a delinquent 17a-101e, inclusive, 17b-450, 17b-451 or 51-36a.
act, duly notified, to attend a pretrial, probation or Such information shall not be subject to subpoena
evaluation appointment, or (B) for failure to com- or other court process for use in any other pro-
ply with any duly warned condition of a suspended ceeding or for any other purpose.
order of detention. The judicial authority also must (c) Upon a showing that the mental health of a
find at the time it issues a take into custody order child or youth is at issue, either prior to adjudica-
that a ground for detention pursuant to Section tion for the reasons set forth in subsection (a)
30-6 exists before issuing the order. herein or subsequent thereto as a determinate
(2) For failure to appear in court in response to of disposition, the judicial authority may order a
a delinquency petition or summons served in hand child’s or youth’s placement for a period not to
or to a direct notice previously provided in court. exceed thirty days in a hospital or other institution
(b) Any application for a take into custody order empowered by law to treat mentally ill children
must be supported by a sworn statement alleging for study and a report on the child’s or youth’s
facts to substantiate probable cause, and where mental condition.
applicable, a petition or information charging a (Adopted June 24, 2002, to take effect Jan. 1, 2003;
amended June 30, 2008, to take effect Jan. 1, 2009; amended
delinquent act. June 13, 2014, to take effect Jan. 1, 2015; amended June 11,
(c) Any child detained under a take into custody 2021, to take effect Jan. 1, 2022.)
order is subject to Sections 30-1A through 30-11.
(Adopted June 24, 2002, to take effect Jan. 1, 2003; Sec. 31a-15. Mentally Ill Children
amended June 30, 2008, to take effect Jan. 1, 2009; amended
June 23, 2017, to take effect Jan. 1, 2018.) No child shall be committed by a judicial author-
ity as mentally ill pursuant to General Statutes
Sec. 31a-13A. Temporary Custody Order— § 46b-140 until such a study has been made and
Family with Service Needs Petition a sworn report filed with the judicial authority or
[Repealed as of Jan. 1, 2022.] in lieu thereof without the sworn certificate of at
least two impartial physicians, one of whom shall
Sec. 31a-14. Physical and Mental Exami- be a physician specializing in psychiatry, selected
nations by the judicial authority who have personally
(a) No physical and/or mental examination or examined the child within ten days of the hearing,
examinations by any physician, psychologist, psy- stating that in their opinion the child’s mental con-
chiatrist or social worker shall be ordered by the dition necessitates placement in a designated
judicial authority of any child denying delinquent hospital for mental illness. If, after such hearing,
behavior prior to the adjudication, except (1) with the judicial authority finds by clear and convincing
the agreement of the child’s or youth’s parent or evidence that the child suffers from a mental disor-
guardian and attorney, (2) when the child or youth der, as defined in General Statutes § 17a-75, is
has executed a written statement of responsibility, in need of hospitalization for treatment and such
(3) when the judicial authority finds that there is treatment is available as the least restrictive alter-
a question of the child’s or youth’s competence native, the judicial authority shall make an order
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Sec. 31a-15 SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERS
for commitment for a definite period not to exceed with Sections 40-17 through 40-25 of the rules
six months to a designated hospital for mental of criminal procedure. Such disclosures shall be
illness of children. No child or youth shall be com- made not later than ten days after the matter is
mitted as mentally deficient pursuant to General scheduled for trial except with the permission of
Statutes § 46b-140 except in accordance with the judicial authority.
procedures of General Statutes § 17a-274 (b), (g), (Adopted June 24, 2002, to take effect Jan. 1, 2003;
and (h). amended June 30, 2008, to take effect Jan. 1, 2009.)
(Adopted June 24, 2002, to take effect Jan. 1, 2003.)
Sec. 31a-18. Modification of Probation and
Sec. 31a-16. Discovery Supervision
(a) The child or youth or the juvenile prosecutor (a) At any time during the period of proba-
shall be permitted pretrial discovery in accordance tion supervision or probation supervision with
with subsections (b), (c) and (d) of this section by residential placement, after hearing and for good
interrogatory, production, inspection or deposition cause shown, the judicial authority may modify
of a person in delinquency matters if the informa- or enlarge the conditions, whether originally
tion or material sought is not otherwise obtainable imposed by the judicial authority under this section
and upon a finding that proceedings will not be or otherwise. The judicial authority may extend
unduly delayed. the period of probation supervision or probation
(b) Motions or requests for discovery shall be supervision with residential placement by not
filed with the court in accordance with Section more than twelve months, for a total maximum
31a-1. The clerk shall calendar any such motion supervision period not to exceed thirty months as
or request for a hearing. Objections to such deemed appropriate by the judicial authority. The
motions or requests may be filed with the court judicial authority shall cause a copy of any such
and served in accordance with Sections 10-12 order to be delivered to the child and to such
through 10-17 not later than ten days of the filing child’s parent, guardian or other person having
of the motion or request unless the judicial author- control over such child, and the child’s proba-
ity, for good cause shown, allows a later filing. tion officer.
Upon its own motion or upon the request or motion (b) The child, attorney, juvenile prosecutor or
of a party, the judicial authority may, after a hear- parent may, in the event of disagreement, in writ-
ing, order discovery. The judicial authority shall fix ing request the judicial authority not later than five
the times for filing and for responding to discovery days of the receipt thereof for a hearing on the
motions and requests and, when appropriate, propriety of the modification. In the absence of any
shall fix the hour, place, manner, terms and condi- request, the modification of the terms of proba-
tions of responses to the motions and requests, tion may be effected by the probation officer with
provided that the party seeking discovery shall be the approval of the supervisor and the judicial
allowed a reasonable opportunity to obtain infor- authority.
mation needed for the preparation of the case. (Adopted June 24, 2002, to take effect Jan. 1, 2003;
(c) Motions or requests for discovery should not amended June 30, 2008, to take effect Jan. 1, 2009; amended
be filed unless the moving party has attempted June 13, 2019, to take effect Jan. 1, 2020.)
unsuccessfully to obtain an agreement to disclose
from the party or person from whom information Sec. 31a-19. Motion for Extension of Delin-
is being sought. quency Commitment; Motion for Review of
(d) The provisions of Sections 40-2 through 40- Permanency Plan
6, inclusive, 40-7 (b), 40-8 through 40-16, inclu- [Repealed as of Jan. 1, 2020.]
sive, and 40-26 through 40-58, inclusive, of the
rules of procedure in criminal matters shall be Sec. 31a-19A. Motion for Extension or Revo-
applied by the judicial authority in determining cation of Family with Service Needs Com-
whether to grant, limit or set conditions on the mitment; Motion for Review of Perma-
requested discovery, issue any protective orders, nency Plan
or order appropriate sanctions for any clear mis- [Repealed as of Jan. 1, 2022.]
use of discovery or arbitrary delay or refusal to Sec. 31a-20. Petition for Violation of Family
comply with a discovery request. with Service Needs Post-Adjudicatory
(Adopted June 24, 2002, to take effect Jan. 1, 2003;
amended June 30, 2008, to take effect Jan. 1, 2009; amended Orders
June 13, 2014, to take effect Jan. 1, 2015; amended June 11, [Repealed as of Jan. 1, 2022.]
2021, to take effect Jan. 1, 2022.)
Sec. 31a-17. Disclosure of Defenses in Sec. 31a-21. Petition for Child from a Family
Delinquency Proceedings with Service Needs at Imminent Risk
The child in a delinquency case shall disclose [Repealed as of Jan. 1, 2022.]
defenses to the charged offenses in accordance
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SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERS Sec. 32-9
CHAPTER 32
NEGLECTED, UNCARED FOR AND DEPENDENT CHILDREN AND
TERMINATION OF PARENTAL RIGHTS
[Repealed as of Jan. 1, 2003.]
Sec. Sec.
32-1. Initiation of Judicial Proceeding; Contents of Petitions 32-6. Order of Temporary Custody; Application and Sworn
and Summary of Facts [Repealed] Statement [Repealed]
32-2. —Summons Accompanying Petitions [Repealed] 32-7. —Statement in Temporary Custody Order of Respon-
dent’s Rights and of Subsequent Hearing
32-3. —Venue [Repealed]
[Repealed]
32-4. —Identity or Location of Parent Unknown [Repealed] 32-8. —Authority of Temporary Custodian [Repealed]
32-5. —Address of Person Entitled to Personal Service 32-9. —Emergency, Life-Threatening Medical Situations—
Unknown [Repealed] Procedures [Repealed]
For previous Histories and Commentaries see the editions of the Practice Book
corresponding to the years of the previous amendments.
Sec. 32-1. Initiation of Judicial Proceeding; Sec. 32-6. Order of Temporary Custody;
Contents of Petitions and Summary of Facts Application and Sworn Statement
[Repealed as of Jan. 1, 2003.] [Repealed as of Jan. 1, 2003.]
Sec. 32-2. —Summons Accompanying Peti- Sec. 32-7. —Statement in Temporary Cus-
tions tody Order of Respondent’s Rights and of
[Repealed as of Jan. 1, 2003.] Subsequent Hearing
Sec. 32-3. —Venue [Repealed as of Jan. 1, 2003.]
[Repealed as of Jan. 1, 2003.]
Sec. 32-8. —Authority of Temporary Cus-
Sec. 32-4. —Identity or Location of Parent todian
Unknown
[Repealed as of Jan. 1, 2003.]
[Repealed as of Jan. 1, 2003.]
Sec. 32-5. —Address of Person Entitled to Sec. 32-9. —Emergency, Life-Threatening
Personal Service Unknown Medical Situations—Procedures
[Repealed as of Jan. 1, 2003.] [Repealed as of Jan. 1, 2003.]
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Sec. 32a-1 SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERS
CHAPTER 32a
RIGHTS OF PARTIES
NEGLECTED, ABUSED AND UNCARED FOR CHILDREN AND
TERMINATION OF PARENTAL RIGHTS
(Amended June 15, 2012, to take effect Jan. 1, 2013.)
Sec. Sec.
32a-1. Right to Counsel and To Remain Silent 32a-6. Interpreter
32a-2. Hearing Procedure; Subpoenas 32a-7. Records
32a-8. Use of Confidential Alcohol or Drug Abuse Treat-
32a-3. Standards of Proof ment Records as Evidence
32a-4. Child or Youth Witness 32a-9. Competency of Parent
32a-5. Consultation with Child or Youth
For previous Histories and Commentaries see the editions of the Practice Book
corresponding to the years of the previous amendments.
Sec. 32a-1. Right to Counsel and To Remain youth’s parent or parents or guardian, or other
Silent party, the judicial authority may appoint an attor-
(a) At the first hearing in which the parents or ney to represent any such party and shall notify
guardian appear, the judicial authority shall advise the chief public defender, who shall assign an
and explain to the parents or guardian of a child attorney to represent any such party. For the pur-
or youth their right to silence and to counsel. poses of determining eligibility for appointment
(b) The child or youth has the rights of confron- of counsel, the judicial authority shall cause the
tation and cross-examination and shall be repre- parents or guardian of a child or youth to complete
sented by counsel in each and every phase of any a written statement under oath or affirmation set-
and all proceedings in child protection matters, ting forth the parents’ or guardian’s liabilities and
including appeals. The judicial authority before assets, income and sources thereof, and such
whom a juvenile matter is pending shall notify the other information as the Public Defender Services
chief public defender who shall assign an attorney Commission shall designate and require on forms
to represent the child or youth. adopted by said commission.
(c) The judicial authority on its own motion or (f) Where under the provisions of this section,
upon the motion of any party, may appoint a sepa- the judicial authority so appoints counsel for any
rate guardian ad litem for the child or youth upon such party who is found able to pay, in whole or
a finding that such appointment is necessary to in part, the cost thereof, the judicial authority shall
protect the best interest of the child or youth. An assess as costs on the appropriate form against
attorney guardian ad litem shall be appointed for such parents, guardian or custodian, including
a child or youth who is a parent in a termination any agency vested with the legal custody of the
of parental rights proceeding or any parent who child or youth, the expense so incurred and paid
is found to be incompetent by the judicial authority.
(d) The parents or guardian of the child or youth for by the chief public defender in providing such
have the rights of confrontation and cross-exami- counsel, to the extent of their financial ability to
nation and may be represented by counsel in each do so, in accordance with the rates established
and every phase of any and all proceedings in by the Public Defender Services Commission for
child protection matters, including appeals. The compensation of counsel. Reimbursement to the
judicial authority shall determine if the parents or appointed attorney of unrecovered costs shall be
guardian of the child or youth are eligible for coun- made to that attorney by the chief public defender
sel. Upon a finding that such parents or guardian upon the attorney’s certification of his or her unre-
of the child or youth are unable to afford coun- covered expenses to the chief public defender.
sel, the judicial authority shall notify the chief pub- (g) Notices of initial hearings on petitions shall
lic defender of such finding, and the chief public contain a statement of the respondent’s right to
defender shall assign an attorney to provide repre- counsel and that if the respondent is unable to
sentation. afford counsel, counsel will be appointed to repre-
(e) If the judicial authority, even in the absence sent the respondent, that the respondent has a
of a request for appointment of counsel, deter- right to refuse to make any statement and that
mines that the interests of justice require the pro- any statement the respondent makes may be
vision of an attorney to represent the child’s or introduced in evidence against him or her.
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SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERS Sec. 32a-6
(h) Any confession, admission or statement, promise that you will tell the truth.’’ The judicial
written or oral, made by the parent or parents or authority may, however, admit the testimony of
guardian of the child or youth after the filing of a child or youth without the imposition of a formal
a petition alleging such child or youth to be oath if the judicial authority finds that the oath
neglected, abused or uncared for, shall be inad- would be meaningless to the particular child or
missible in any proceeding held upon such peti- youth, or would otherwise inhibit the child or youth
tion against the person making such admission from testifying freely and fully.
or statement unless such person shall have been (b) Any party who intends to call a child or youth
advised of the right to retain counsel, and that if as a witness shall first file a motion seeking per-
such person is unable to afford counsel, counsel mission of the judicial authority.
will be assigned to provide representation, that (c) In any proceeding when testimony of a child
such person has a right to refuse to make any or youth is taken, an adult who is known to the
statement and that any statements such person child or youth and with whom the child or youth
makes may be introduced in evidence against feels comfortable shall be permitted to sit in close
such person. proximity to the child or youth during the child’s
(Adopted June 24, 2002, to take effect Jan. 1, 2003; or youth’s testimony without obscuring the child
amended June 30, 2008, to take effect Jan. 1, 2009; amended or youth from view and the attorneys shall ask
June 15, 2012, to take effect Jan. 1, 2013.)
questions and pose objections while seated and
Sec. 32a-2. Hearing Procedure; Subpoenas in a manner which is not intimidating to the child
(a) All hearings are essentially civil proceedings or youth. The judicial authority shall minimize any
except where otherwise provided by statute. Tes- distress to a child or youth in court.
timony may be given in narrative form and the (d) The judicial authority with the consent of all
proceedings shall at all times be as informal as the parties may privately interview the child or youth.
requirements of due process and fairness permit. Counsel may submit questions and areas of con-
(b) Issuance, service, and compliance with sub- cern for examination. The knowledge gained in
poenas are governed by General Statutes § 52- such a conference shall be shared on the record
143 et seq. with counsel and, if there is no legal representa-
(c) Any self-represented party may request the tive, with the parent.
clerk of the court to issue subpoenas for persons (e) When the witness is the child or youth of
to testify before the judicial authority. Self-repre- the respondent, the respondent may be excluded
sented parties shall obtain prior approval from from the hearing room upon a showing by clear
the judicial authority to issue subpoenas and, if and convincing evidence that the child or youth
indigent, may seek reimbursement for the costs witness would be so intimidated or inhibited that
thereof. trustworthiness of the child or youth witness is
(Adopted June 24, 2002, to take effect Jan. 1, 2003; seriously called into question. In such an instance,
amended June 30, 2008, to take effect Jan. 1, 2009.) if the respondent is without counsel, the judicial
Sec. 32a-3. Standards of Proof authority shall summarize for the respondent the
(a) The standard of proof applied in a neglect, nature of the child’s or youth’s testimony.
(Adopted June 24, 2002, to take effect Jan. 1, 2003;
uncared for or dependency proceeding is a fair amended June 30, 2008, to take effect Jan. 1, 2009.)
preponderance of the evidence.
(b) The standard of proof applied in a decision Sec. 32a-5. Consultation with Child or Youth
to terminate parental rights, a finding that efforts (Amended June 30, 2008, to take effect Jan. 1, 2009.)
to reunify a parent with a child or youth are no (a) In any permanency hearing held with
longer appropriate, or as to permanent legal respect to the child or youth, including, but not
guardianship is clear and convincing evidence. limited to, any hearing regarding the transition of
(c) Any Indian child or youth custody proceed- the child or youth from foster care to independent
ings, except delinquency, involving removal of an living, the judicial authority shall assure that there
Indian child or youth from a parent or Indian custo- is consultation with the child or youth in an age-
dian for placement shall, in addition, comply with appropriate manner regarding the proposed per-
the Indian Child Welfare Act (ICWA), 25 U.S.C. manency or transition plan for the child or youth.
§ 1901 et seq. (b) For good cause shown, the child or youth
(Adopted June 24, 2002, to take effect Jan. 1, 2003; who is the subject of a hearing may be excluded
amended June 30, 2008, to take effect Jan. 1, 2009; amended from the courtroom.
June 23, 2017, to take effect Jan. 1, 2018.) (Adopted June 24, 2002, to take effect Jan. 1, 2003;
amended June 30, 2008, to take effect Jan. 1, 2009.)
Sec. 32a-4. Child or Youth Witness
(Amended June 30, 2008, to take effect Jan. 1, 2009.) Sec. 32a-6. Interpreter
(a) All oral testimony shall be given under oath. The judicial authority shall provide an official
For child or youth witnesses, the oath may be ‘‘you interpreter to the parties as necessary to ensure
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Sec. 32a-6 SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERS
their understanding of, and participation in, the such confidential records and permit testimony
proceedings. regarding them. The motion for permission to sub-
(Adopted June 24, 2002, to take effect Jan. 1, 2003.) poena such records may be signed ex parte
by the judicial authority. If the judicial authority
Sec. 32a-7. Records approves the motion, such records may be sub-
(a) Except as otherwise provided by statute, poenaed and submitted to the court under seal,
all records maintained in juvenile matters brought and the judicial authority shall set a date for the
before the judicial authority, either current or parties and service providers to be heard on the
closed, including the transcripts of hearings, shall motion to disclose confidential alcohol or drug
be kept confidential. abuse treatment records.
(b) Except as otherwise provided by statute, (Adopted June 24, 2002, to take effect Jan. 1, 2003.)
no material contained in the court record, includ- Sec. 32a-9. Competency of Parent
ing the social study, medical or clinical reports, (a) In any proceeding for the termination of
school reports, police reports and the reports of parental rights, either upon its own motion or a
social agencies, may be copied or otherwise motion of any party alleging specific factual allega-
reproduced in written form in whole or in part by tions of mental impairment that raise a reasonable
the parties without the express consent of the doubt about the parent’s competency, the judicial
judicial authority. authority shall appoint an evaluator who is an
(c) Each counsel and self-represented party in expert in mental illness to assess such parent’s
a child protection matter shall have access to and competency; the judicial authority shall thereafter
be entitled to copies, at his or her expense, of conduct a competency hearing within ten days of
the entire court record, including transcripts of all receipt of the evaluator’s report.
proceedings, without the express consent of the (b) At a competency hearing held under subsec-
judicial authority. tion (a), the judicial authority shall determine
(Adopted June 24, 2002, to take effect Jan. 1, 2003; whether the parent is incompetent and if so,
amended June 22, 2009, to take effect Jan. 1, 2010; amended whether competency may be restored within a
June 14, 2013, to take effect Jan. 1, 2014.)
reasonable time, considering the age and needs
Sec. 32a-8. Use of Confidential Alcohol or of the child or youth, including the possible
Drug Abuse Treatment Records as Evidence adverse impact of delay in the proceedings. If
competency may be restored within a reasonable
(a) Upon a determination by the judicial author- time, the judicial authority shall stay proceedings
ity that good cause exists pursuant to federal law and shall issue specific steps the parent shall take
and regulations, the judicial authority may admit to have competency restored. If competency may
evidence of any party’s alcohol or drug treatment not be restored within a reasonable time, the judi-
by a facility subject to said regulations. cial authority may make reasonable accommoda-
(b) A party seeking to introduce substance tions to assist the parent and his or her attorney
abuse treatment records shall submit a motion in the defense of the case, including the appoint-
to the judicial authority requesting permission to ment of a guardian ad litem if one has not already
subpoena such records and explaining the need been provided.
for them, and shall also file a motion to disclose (Adopted June 30, 2008, to take effect Jan. 1, 2009.)
350
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SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERS Sec. 33-13
CHAPTER 33
HEARINGS CONCERNING NEGLECTED, UNCARED FOR AND
DEPENDENT CHILDREN AND TERMINATION OF PARENTAL RIGHTS
[Repealed as of Jan. 1, 2003.]
Sec. Sec.
33-1. Adjudicatory Hearing; Actions by Judicial Author- 33-7. —Dispositional Plan Offered by Respondents
ity [Repealed] [Repealed]
33-2. —Continuance for Case Status Conference 33-8. Protective Supervision—Conditions and Modifica-
[Repealed] tion [Repealed]
33-3. —Evidence [Repealed] 33-9. Extension Petitions [Repealed]
33-4. —Burden of Proceeding [Repealed] 33-10. Revocation of Commitments [Repealed]
33-5. Dispositional Hearing; Evidence and Social Study 33-11. Modifications [Repealed]
[Repealed] 33-12. Coterminous Petitions [Repealed]
33-6. —Availability of Social Study to Counsel and Par- 33-13. Transfer from Probate Court of Petitions for
ties [Repealed] Removal of Parent as Guardian [Repealed]
For previous Histories and Commentaries see the editions of the Practice Book
corresponding to the years of the previous amendments.
Sec. 33-1. Adjudicatory Hearing; Actions by Sec. 33-7. —Dispositional Plan Offered by
Judicial Authority Respondents
[Repealed as of Jan. 1, 2003.] [Repealed as of Jan. 1, 2003.]
Sec. 33-2. —Continuance for Case Status Sec. 33-8. Protective Supervision—Condi-
Conference tions and Modification
[Repealed as of Jan. 1, 2003.] [Repealed as of Jan. 1, 2003.]
Sec. 33-9. Extension Petitions
Sec. 33-3. —Evidence
[Repealed as of Jan. 1, 2003.]
[Repealed as of Jan. 1, 2003.]
Sec. 33-10. Revocation of Commitments
Sec. 33-4. —Burden of Proceeding [Repealed as of Jan. 1, 2003.]
[Repealed as of Jan. 1, 2003.]
Sec. 33-11. Modifications
Sec. 33-5. Dispositional Hearing; Evidence [Repealed as of Jan. 1, 2003.]
and Social Study Sec. 33-12. Coterminous Petitions
[Repealed as of Jan. 1, 2003.] [Repealed as of Jan. 1, 2003.]
Sec. 33-6. —Availability of Social Study to Sec. 33-13. Transfer from Probate Court of
Counsel and Parties Petitions for Removal of Parent as Guardian
[Repealed as of Jan. 1, 2003.] [Repealed as of Jan. 1, 2003.]
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Sec. 33a-1 SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERS
CHAPTER 33a
PETITIONS FOR NEGLECT, UNCARED FOR,
DEPENDENCY AND TERMINATION OF PARENTAL RIGHTS:
INITIATION OF PROCEEDINGS, ORDERS OF TEMPORARY CUSTODY
AND PRELIMINARY HEARINGS
Sec. Sec.
33a-1. Initiation of Judicial Proceeding; Contents of Peti- 33a-5. Address of Person Entitled to Personal Service
tions and Summary of Facts Unknown
33a-2. Service of Summons, Petitions and Ex Parte Orders 33a-6. Order of Temporary Custody; Ex Parte Orders and
Orders To Appear
33a-3. Venue 33a-7. Preliminary Order of Temporary Custody or First
33a-4. Identity or Location of Respondent Unknown Hearing; Actions by Judicial Authority
33a-8. Emergency, Life-Threatening Medical Situations—
Procedures
For previous Histories and Commentaries see the editions of the Practice Book
corresponding to the years of the previous amendments.
Sec. 33a-1. Initiation of Judicial Proceeding; (c) A summons accompanying simultaneously
Contents of Petitions and Summary of Facts filed coterminous petitions, along with the sum-
(a) The petitioner shall set forth with reasonable mary of facts, shall be served by the petitioner on
particularity, including statutory references, the the respondents and provided to the Office of the
specific conditions which have resulted in the situ- Attorney General at least ten days prior to the
ation which is the subject of the petition. date of the initial plea hearing on the petition,
which shall be held not more than thirty days after
(b) A summary of the facts substantiating the the filing of the petitions, except in the case of a
allegations of the petition, including such facts as petition for termination of parental rights based
bring the child or youth within the jurisdiction of on consent, which shall be held not more than
the court, shall be attached thereto and shall be twenty days after the filing of the petition.
incorporated by reference. (d) A summons accompanying any petition filed
(Adopted June 24, 2002, to take effect Jan. 1, 2003;
amended June 26, 2020, to take effect Jan. 1, 2021.)
with an application for order of temporary custody
shall be served by the petitioner on the respon-
Sec. 33a-2. Service of Summons, Petitions dents and provided to the Office of the Attorney
and Ex Parte Orders General as soon as practicable after the issuance
of any ex parte order or order to appear, along
(a) A summons accompanying a petition alleg- with such order, any sworn statements supporting
ing that a child or youth is neglected, abused or the order, the summary of facts, the specific steps
uncared for, along with the summary of facts, shall provided by the judicial authority, and the notice
be served by the petitioner on the respondents required by Section 33a-6.
and provided to the Office of the Attorney General (e) Whenever the Commissioner of the Depart-
at least fourteen days before the date of the initial ment of Children and Families obtains an ex
plea hearing on the petition, which shall be held parte order of temporary custody or an order to
not more than forty-five days from the date of filing appear and show cause from the judicial authority,
the petition. he or she shall provide the clerk with a sealed
(b) A summons accompanying a petition for envelope marked ‘‘Attention: Counsel for Chil-
termination of parental rights, along with the sum- d(ren)’’ containing the following information: the
mary of facts, shall be served by the petitioner on name, phone number and e-mail of the invest-
the respondents and provided to the Office of the igation social worker; the name, phone number
Attorney General at least ten days prior to the and e-mail of the treatment supervisor or social
date of the initial plea hearing on the petition, worker, if known; and the child(ren)’s placement
which shall be held not more than thirty days after or home address and phone number, and name
the filing of the petition, except in the case of a of a placement contact person. The clerk shall
petition for termination of parental rights based ensure that counsel assigned to the child is pro-
on consent, which shall be held not more than vided with said envelope at the time his or her
twenty days after the filing of the petition. appearance is filed. In the event the placement
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SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERS Sec. 33a-6
information changes prior to the preliminary hear- immediate physical danger from his or her sur-
ing, the Commissioner of the Department of Chil- roundings and (2) that as a result of said condi-
dren and Families shall notify counsel for the tions, the child’s or youth’s safety is endangered
child immediately. and immediate removal from such surroundings
(Adopted June 24, 2002, to take effect Jan. 1, 2003; is necessary to ensure the child’s or youth’s safety,
amended June 30, 2008, to take effect Jan. 1, 2009; amended the judicial authority shall, upon proper applica-
June 15, 2012, to take effect Jan. 1, 2013.)
tion at the time of filing of the petition or at any
Sec. 33a-3. Venue time subsequent thereto, either (A) issue an order
All child protection petitions shall be filed within to the respondents or other persons having respon-
the juvenile matters district where the child or sibility for the care of the child or youth to appear
youth resided at the time of the filing of the petition, at such time as the judicial authority may desig-
but any child or youth born in any hospital or insti- nate to determine whether the judicial authority
tution where the mother is confined at the time of should vest in some suitable agency or person
birth shall be deemed to have residence in the the child’s or youth’s temporary care and custody
district wherein such child’s or youth’s mother was pending disposition of the petition, or (B) issue an
living at the time of her admission to such hospital order ex parte vesting in some suitable agency
or institution. When placement of a child or youth or person the child’s or youth’s temporary care
has been effected prior to filing of a petition, venue and custody.
shall be in the district wherein the custodial parent (b) A preliminary hearing on any ex parte cus-
is living at the time of the filing of the petition. tody order or order to appear issued by the judi-
(Adopted June 24, 2002, to take effect Jan. 1, 2003; cial authority shall be held as soon as practicable
amended June 30, 2008, to take effect Jan. 1, 2009.) but not later than ten days after the issuance of
such order.
Sec. 33a-4. Identity or Location of Respon- (c) If the application is filed subsequent to the
dent Unknown filing of the petition, a motion to amend the petition
(a) If the identity or present ___location of a respon- or to modify protective supervision shall be filed
dent is unknown when a petition is filed, an affida- no later than the next business date before such
vit shall be attached reciting the efforts to identify preliminary hearing.
and locate that respondent. Notice by publication (d) Upon issuance of an ex parte order or order
to unidentified persons shall be required in any to appear, the judicial authority shall provide to
petition for termination of parental rights. the Commissioner of the Department of Children
(b) Subject to Section 32a-1 of these rules, and Families and the respondents specific steps
the judicial authority may notify the chief public necessary for each to take for the respondents to
defender to assign counsel for an unidentified retain or regain custody of the child or youth.
parent or an absent parent who has received only (e) An ex parte order or order to appear shall
constructive notice of termination of parental be accompanied by a conspicuous notice to the
rights proceedings, for the limited purposes of respondents written in clear and simple language
conducting a reasonable search for the unidenti- containing at least the following information: (i)
fied or absent parents and reporting to the judicial That the order contains allegations that conditions
authority before any adjudication. in the home have endangered the safety and wel-
(Adopted June 24, 2002, to take effect Jan. 1, 2003; fare of the child or youth; (ii) that a hearing will
amended June 30, 2008, to take effect Jan. 1, 2009.)
be held on the date on the form; (iii) that the
Sec. 33a-5. Address of Person Entitled to hearing is the opportunity to present the respon-
Personal Service Unknown dents’ position concerning the alleged facts; (iv)
If the address of any person entitled to personal that the respondent has the right to remain silent;
service is unknown, service may be by publication (v) that an attorney will be appointed for respon-
as ordered by the judicial authority. dents who cannot afford an attorney by the chief
(Adopted June 24, 2002, to take effect Jan. 1, 2003.) public defender; (vi) that such respondents may
apply for state paid representation by going in
Sec. 33a-6. Order of Temporary Custody; Ex person to the court address on the form and are
Parte Orders and Orders To Appear advised to go as soon as possible in order for the
(a) If the judicial authority finds, based upon attorney to prepare for the hearing; (vii) if such
the specific allegations of the petition and other respondents have any questions concerning the
verified affirmations of fact provided by the appli- case or appointment of counsel, any such respon-
cant, that there is reasonable cause to believe dent is advised to go to the court, or contact the
that: (1) the child or youth is suffering from serious clerk’s office, or contact the chief public defender
physical illness or serious physical injury or is in as soon as possible, and (viii) that such parents,
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Sec. 33a-6 SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERS
or a person having responsibility for the care and are unable to afford representation, determine eli-
custody of the child or youth, may request the gibility for state paid representation and notify
Commissioner of Children and Families to investi- the chief public defender to assign an attorney to
gate placing the child or youth with a person represent any respondent who is unable to afford
related to the child or youth by blood or marriage representation, as determined by the judicial
who might serve as a licensed foster parent or authority;
temporary custodian for such child or youth. (6) advise the respondents of the right to a hear-
(f) Upon application for state paid represen- ing on the petitions and applications, to be held not
tation, the judicial authority shall promptly deter- later than ten days after the date of the preliminary
mine eligibility and, if the respondent is eligible, hearing if the hearing is pursuant to an ex parte
promptly notify the chief public defender, who order of temporary custody or an order to appear;
shall assign an attorney to provide representation. (7) notwithstanding any prior statements
In the absence of such a request prior to the pre- acknowledging responsibility, inquire of the cus-
liminary hearing, the chief public defender shall todial respondent in neglect, uncared for and
ensure that standby counsel is available at such dependency matters, and of all respondents in
hearing to assist and/or represent the respond- termination matters, whether the allegations of the
ents. petition are presently admitted or denied;
(Adopted June 24, 2002, to take effect Jan. 1, 2003;
amended June 30, 2008, to take effect Jan. 1, 2009; amended (8) make any interim orders, including visitation,
June 20, 2011, to take effect Jan. 1, 2012.) that the judicial authority determines are in the
best interests of the child or youth, and order spe-
Sec. 33a-7. Preliminary Order of Temporary cific steps the commissioner and the respondents
Custody or First Hearing; Actions by Judi- shall take for the respondents to regain or to retain
cial Authority custody of the child or youth;
(Amended June 30, 2008, to take effect Jan. 1, 2009.) (9) take steps to determine the identity of the
(a) At the preliminary hearing on the order of father of the child or youth, including, if necessary,
temporary custody or order to appear, or at the inquiring of the mother of the child or youth, under
first hearing on a petition for neglect, uncared for, oath, as to the identity and address of any person
dependency, or termination of parental rights, the who might be the father of the child or youth and
judicial authority shall: ordering genetic testing, if necessary and appro-
(1) first determine whether the necessary par- priate, and order service of the amended petition
ties are present and that the rules governing ser- citing in the putative father and notice of the hear-
vice on or notice to nonappearing parties, and ing date, if any, to be made upon him;
notice to grandparents, foster parents, relative
(10) if the person named as the putative father
caregivers and pre-adoptive parents, as applica-
appears, and admits that he is the biological
ble, have been complied with, and should note
these facts for the record, and may proceed with father, provide him and the mother with the notices
respect to the parties who (i) are present and have which comply with General Statutes § 17b-27 and
been properly served; (ii) are present and waive provide them with the opportunity to sign a pater-
any defects in service; and (iii) are not present, nity acknowledgment and affirmation on forms
but have been properly served. As to any party which comply with General Statutes § 17b-27,
who has not been properly served, the judicial which documents shall be executed and filed in
authority may continue the proceedings with accordance with General Statutes § 46b-172 and
respect to such party for a reasonable period of a copy delivered to the clerk of the Superior Court
time for service to be made and confirmed; for juvenile matters;
(2) inform the respondents of the allegations (11) in the event that the person named as a
contained in all petitions and applications that are putative father appears and denies that he is the
the subject of the hearing; biological father of the child or youth, advise him
(3) inform the respondents of their right to that he may have no further standing in any pro-
remain silent; ceeding concerning the child or youth, and either
(4) ensure that an attorney, and where appro- order genetic testing to determine paternity or
priate, a separate guardian ad litem, has been direct him to execute a written denial of paternity
assigned to represent the child or youth by the on a form promulgated by the Office of the Chief
chief public defender, in accordance with General Court Administrator. Upon execution of such a
Statutes §§ 46b-129a (2), 46b-136, 51-296a and form by the putative father, the judicial authority
Section 32a-1 of these rules; may remove him from the case and afford him no
(5) advise the respondents of their right to coun- further standing in the case or in any subsequent
sel and their right to have counsel assigned if they proceeding regarding the child or youth until such
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SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERS Sec. 33a-8
time as paternity is established by formal acknowl- irrespective of its findings on whether there is
edgment or adjudication in a court of competent sufficient evidence to support an adjudication of
jurisdiction; and neglect or uncared for. Nothing in this subsection
(12) identify any person or persons related to prohibits the judicial authority from proceeding to
the child or youth by blood or marriage residing disposition of the underlying petition immediately
in this state or out of state who might serve as after such consolidated hearing if the social study
licensed foster parents or temporary custodians, has been filed and the parties had previously
and order the Commissioner of the Department agreed to sustain the order of temporary custody
of Children and Families to investigate and deter- and waived the ten day hearing or the parties
mine the appropriateness of placement of the should reasonably be ready to proceed.
child or youth with such relative or relatives pursu- (Adopted June 24, 2002, to take effect Jan. 1, 2003;
ant to General Statutes § 46b-129 (c) and provide amended June 30, 2008, to take effect Jan. 1, 2009; amended
June 21, 2010, to take effect Jan. 1, 2011; amended June 20,
a written report to the court no later than thirty 2011, to take effect Jan. 1, 2012; amended June 15, 2012,
days from the date of the preliminary hearing and to take effect Jan. 1, 2013.)
notify all counsel of record or set a reasonable
date for such a report if a relative lives outside Sec. 33a-8. Emergency, Life-Threatening
the state. Medical Situations—Procedures
(b) At the preliminary hearing on the order of When an emergency medical situation exists
temporary custody or order to appear, the judicial which requires the immediate assumption of tem-
authority may provide parties an opportunity to porary custody of a child or youth by the Commis-
present argument with regard to the sufficiency sioner of the Department of Children and Families
of the sworn statements. in order to save the child’s or youth’s life, two
(c) If any respondent fails, after proper service, physicians under oath must attest to the need for
to appear at the preliminary hearing, the judicial such medical treatment. Oral permission by the
authority may enter or sustain an order of tempo- judicial authority may be given after receiving
rary custody. sworn oral testimony of two physicians that the
(d) Upon request, or upon its own motion, the specific surgical or medical intervention is abso-
judicial authority shall schedule a hearing on the lutely necessary to preserve the child’s or youth’s
order for temporary custody or the order to appear life. The judicial authority may grant the temporary
to be held as soon as practicable but not later custody order ex parte or may schedule an imme-
than ten days after the date of the preliminary diate hearing prior to issuing said order. At any
hearing. Such hearing shall be held on consecu- immediate hearing the two physicians shall be
available for testifying, and the judicial authority
tive days except for compelling circumstances or
shall appoint counsel for the child or youth and
at the request of the respondents.
notify the chief public defender as soon as practi-
(e) Subject to the requirements of Section 33a- cable that said counsel has been appointed. If
7 (a) (6), upon motion of any party or on its own the judicial authority grants the temporary custody
motion, the judicial authority may consolidate the order ex parte by oral permission, based on the
hearing, on the order of temporary custody or sworn oral testimony from the physicians, the
order to appear with the adjudicatory phase of the Commissioner of the Department of Children and
trial on the underlying petition. At a consolidated Families shall file the application for a temporary
order of temporary custody and neglect adjudica- custody order together with a neglect or uncared
tion hearing, the judicial authority shall determine for petition on the next business day following the
the outcome of the order of temporary custody granting of such order.
based upon whether or not continued removal is (Adopted June 24, 2002, to take effect Jan. 1, 2003;
necessary to ensure the child’s or youth’s safety, amended June 30, 2008, to take effect Jan. 1, 2009.)
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Sec. 34-1 SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERS
CHAPTER 34
RIGHTS OF PARTIES
[Repealed as of Jan. 1, 2003.]
Sec. Sec.
34-1. Right to Counsel and To Remain Silent [Repealed] 34-3. Standards of Proof [Repealed]
34-2. Hearing Procedure; Subpoenas [Repealed] 34-4. Child Witness [Repealed]
For previous Histories and Commentaries see the editions of the Practice Book
corresponding to the years of the previous amendments.
Sec. 34-1. Right to Counsel and To Remain Sec. 34-3. Standards of Proof
Silent [Repealed as of Jan. 1, 2003.]
[Repealed as of Jan. 1, 2003.]
Sec. 34-4. Child Witness
Sec. 34-2. Hearing Procedure; Subpoenas
[Repealed as of Jan. 1, 2003.] [Repealed as of Jan. 1, 2003.]
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SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERS Sec. 34a-2
CHAPTER 34a
PLEADINGS, MOTIONS AND DISCOVERY
NEGLECTED, ABUSED AND UNCARED FOR CHILDREN
AND TERMINATION OF PARENTAL RIGHTS
(Amended June 15, 2012, to take effect Jan. 1, 2013.)
Sec. Sec.
34a-1. Motions, Requests and Amendments 34a-12. Waiver and Subject Matter Jurisdiction
34a-2. Short Calendar—Frequency 34a-13. Further Pleading by Respondent or Child
34a-3. Short Calendar—Assignments Automatic 34a-14. Response to Summary of Facts
34a-4. Short Calendar—Continuances When Counsel’s 34a-15. Motion To Strike
Presence or Oral Argument Required 34a-16. Reasons in Motion To Strike
34a-17. Memorandum of Law—Motion and Objection
34a-5. Continuances and Advancements
34a-18. When Memorandum of Decision Required on
34a-6. Pleadings Allowed and Their Order
Motion To Strike
34a-7. Waiving Right To Plead 34a-19. Substitute Pleading; Judgment
34a-8. Time To Plead 34a-20. Discovery
34a-9. Motion To Dismiss 34a-21. Court-Ordered Evaluations
34a-10. Grounds of Motion To Dismiss 34a-22. Motion for Contempt
34a-11. Waiver Based on Certain Grounds 34a-23. Motion for Emergency Relief
For previous Histories and Commentaries see the editions of the Practice Book
corresponding to the years of the previous amendments.
Sec. 34a-1. Motions, Requests and Amend- an initial hearing by the judicial authority within
ments fifteen days after filing provided reasonable notice
(a) Except as otherwise provided, the sections is given to parties in interest, or notices are waived;
in Chapters 1 through 7 shall apply to juvenile any motion in a case on trial or assigned for trial
matters in the Superior Court as defined by Gen- may be disposed of by the judicial authority at its
eral Statutes § 46b-121. discretion or ordered upon the docket.
(b) The provisions of Sections 8-2, 9-5, 9-22, (d) A petition may be amended at any time
10-12 (a) and (c), 10-13, 10-14, 10-17, 10-18, by the judicial authority on its own motion or in
10-29, 10-62, 11-4, 11-5, 11-6, 11-7, 11-8, 11-10, response to a motion prior to any final adjudica-
11-11, 11-12, 11-13, 12-1, 12-2, 12-3, 13-1 through tion. When an amendment has been so ordered,
13-11 inclusive, 13-14, 13-16, 13-21 through 13- a continuance shall be granted whenever the judi-
32 inclusive, subject to Section 34a-20, 15-3, 15- cial authority finds that the new allegations in the
8, 17-4, and 17-21 of the rules of practice shall petition justify the need for additional time to per-
apply to juvenile matters in the civil session as mit the parties to respond adequately to the addi-
defined by General Statutes § 46b-121. tional or changed facts and circumstances.
(c) A motion or request, other than a motion (e) If the moving party determines and reports
made orally during a hearing, shall be in writ- that all counsel and self-represented parties agree
ing. An objection to a request shall also be in to the granting of a motion or agree that the motion
writing. A motion, request or objection to a request may be considered without the need for oral argu-
shall have annexed to it a proper order and where ment or testimony and the motion states on its
appropriate shall be in the form called for by Sec- face that there is such an agreement, the judicial
tion 4-1. The form and manner of notice shall authority may consider and rule on the motion
adequately inform the interested parties of the without a hearing.
time, place and nature of the hearing. A motion, (Adopted June 24, 2002, to take effect Jan. 1, 2003;
amended June 30, 2008, to take effect Jan. 1, 2009; amended
request, or objection to a request whose form is June 21, 2010, to take effect Jan. 1, 2011; amended June 20,
not therein prescribed shall state in paragraphs 2011, to take effect Jan. 1, 2012.)
successively numbered the specific grounds upon TECHNICAL CHANGE: In subsection (a), ‘‘Chapters’’ was
which it is made. A copy of all written motions, capitalized for consistency purposes.
requests, or objections to requests shall be served
on the opposing party or counsel pursuant to Sec- Sec. 34a-2. Short Calendar—Frequency
tions 10-12 (a) and (c), 10-13, 10-14 and 10-17. Short calendar sessions shall be held in each
All motions or objections to requests shall be given juvenile matters court ___location at least once every
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Sec. 34a-2 SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERS
two weeks, the date, hour and place to be fixed by Sec. 34a-7. Waiving Right To Plead
the presiding judge upon due notice to the clerk. In all cases, when the judicial authority does
(Adopted June 24, 2002, to take effect Jan. 1, 2003.) not otherwise order, the filing of any pleading pro-
vided for by the preceding section will waive the
Sec. 34a-3. Short Calendar—Assignments
right to file any pleading which might have been
Automatic
filed in due order and which precedes it in the
Matters to be placed on the short calendar shall order of pleading provided in that section.
be assigned automatically by the clerk. No such (Adopted June 24, 2002, to take effect Jan. 1, 2003.)
matters shall be so assigned unless filed at least
five days before the opening of court on the short Sec. 34a-8. Time To Plead
calendar day, unless for good cause shown. Commencing on the plea date stated on the
(Adopted June 24, 2002, to take effect Jan. 1, 2003.) petition, pleadings shall first advance within fifteen
days from the plea date stated on the petition, and
Sec. 34a-4. Short Calendar—Continuances any subsequent pleadings, motions and requests
When Counsel’s Presence or Oral Argu- shall advance at least one step within each suc-
ment Required cessive period of fifteen days from the preceding
Matters on the short calendar docket requiring pleading or the filing of the decision of the judicial
oral argument or counsel’s presence shall not be authority thereon if one is required.
continued except for good cause shown; and no If the respondent enters a pro forma denial
such matter in which adverse parties are inter- before the plea date stated on the petition, the
ested shall be continued unless the parties shall respondent is not precluded from filing any plead-
agree thereto before the day of the short calen- ings within the time frame specified.
dar session and notify the clerk, subject to the (Adopted June 24, 2002, to take effect Jan. 1, 2003.)
approval of the judicial authority. In the absence
Sec. 34a-9. Motion To Dismiss
of such an agreement, unless the judicial authority
shall otherwise order, any counsel appearing may Any respondent or child, wishing to contest the
argue the matter and submit it for decision, or court’s jurisdiction, may do so even after having
request that it be denied. entered a general appearance, but must do so by
(Adopted June 24, 2002, to take effect Jan. 1, 2003.) filing a motion to dismiss within fifteen days of the
plea date stated on the petition.
Sec. 34a-5. Continuances and Advancements (Adopted June 24, 2002, to take effect Jan. 1, 2003.)
(a) Motions for continuances or changes in Sec. 34a-10. Grounds of Motion To Dismiss
scheduled court dates must be submitted in writ-
ing in compliance with Section 34a-1 (c) and filed (a) The motion to dismiss shall be used to
no later than seven days prior to the scheduled assert: (1) lack of jurisdiction over the subject
date. Such motions must state the precise reason matter; (2) lack of jurisdiction over the person; (3)
for the request, the name of the judge scheduled insufficiency of process; and (4) insufficiency
to hear the case, and whether or not all other of service of process. A motion to dismiss shall
parties consent to the request. After consulting always be filed with a supporting memorandum
with the presiding judge, a court services officer of law, and where appropriate, with supporting
or clerk will handle bona fide emergency requests affidavits as to facts not apparent on the record.
submitted less than seven days prior to scheduled (b) Any adverse party who objects to a motion
court dates. to dismiss shall, at least five days before the
motion is to be considered on the short calendar,
(b) Trials that are not completed within the allot-
file and serve in accordance with Sections 10-12
ted prescheduled time will be subject to continua-
(a) and (c), 10-13, 10-14 and 10-17 a memoran-
tion at the next available court date.
(Adopted June 24, 2002, to take effect Jan. 1, 2003.)
dum of law and, where appropriate, supporting
affidavits as to facts not apparent on the record.
Sec. 34a-6. Pleadings Allowed and Their (Adopted June 24, 2002, to take effect Jan. 1, 2003;
amended June 23, 2017, to take effect Jan. 1, 2018.)
Order
The order of pleadings shall be as follows: Sec. 34a-11. Waiver Based on Certain
(1) The petition. Grounds
(2) The respondent’s or child’s motion to dis- Any claim of lack of jurisdiction over the person,
miss. insufficiency of process, or insufficiency of service
(3) The respondent’s or child’s motion to strike. of process is waived if not raised by a motion to
(Adopted June 24, 2002, to take effect Jan. 1, 2003.) dismiss filed in the sequence provided in Sections
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SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERS Sec. 34a-20
34a-6 and 34a-7 and within the time provided by of insufficiency and shall distinctly specify the rea-
Section 34a-9. son or reasons for each such claimed insuffi-
(Adopted June 24, 2002, to take effect Jan. 1, 2003; ciency.
amended June 23, 2017, to take effect Jan. 1, 2018.) (Adopted June 24, 2002, to take effect Jan. 1, 2003.)
Sec. 34a-12. Waiver and Subject Matter Sec. 34a-17. Memorandum of Law—Motion
Jurisdiction and Objection
Any claim of lack of jurisdiction over the subject (a) Each motion to strike must be accompanied
matter cannot be waived; and whenever it is found by an appropriate memorandum of law citing the
after suggestion of the parties or otherwise that legal authorities upon which the motion relies.
the judicial authority lacks jurisdiction of the sub- (b) Any adverse party who objects to this motion
ject matter, the judicial authority shall dismiss shall, at least five days before the date the motion
the action. is to be considered on the short calendar, file and
(Adopted June 24, 2002, to take effect Jan. 1, 2003.)
serve in accordance with Sections 10-12 (a) and
Sec. 34a-13. Further Pleading by Respon- (c), 10-13, 10-14 and 10-17 a memorandum of
dent or Child law.
(Adopted June 24, 2002, to take effect Jan. 1, 2003.)
If a motion to dismiss is denied with respect to
any jurisdictional issue, the respondent or child Sec. 34a-18. When Memorandum of Deci-
may plead further without waiving the right to con- sion Required on Motion To Strike
test jurisdiction further. Whenever a motion to strike is filed and more
(Adopted June 24, 2002, to take effect Jan. 1, 2003.)
than one ground of decision is set forth therein,
Sec. 34a-14. Response to Summary of Facts the judicial authority, in rendering the decision
In addition to the entry of a pro forma plea of thereon, shall specify in writing the grounds upon
denial, a parent, legal guardian or child may, which that decision is based.
(Adopted June 24, 2002, to take effect Jan. 1, 2003.)
within thirty days of the plea date, file a written
response to the summary of facts attached to the Sec. 34a-19. Substitute Pleading; Judgment
petition specifying that certain allegations in said Within fifteen days after the granting of any
summary of facts are irrelevant, immaterial, false motion to strike, the petitioner may file a new
or otherwise improper. petition; provided that in those instances where
(Adopted June 24, 2002, to take effect Jan. 1, 2003.)
an entire petition has been stricken, and the peti-
Sec. 34a-15. Motion To Strike tioner fails to file a new petition within that fifteen-
(a) Whenever any party wishes to contest: (1) day period, the judicial authority may, upon
the legal sufficiency of the allegations of any peti- motion, enter judgment against said party on said
tion, or of any one or more counts thereof, to state stricken petition.
(Adopted June 24, 2002, to take effect Jan. 1, 2003.)
a claim upon which relief can be granted; or (2)
the legal sufficiency of any prayer for relief in any Sec. 34a-20. Discovery
such petition; or (3) the legal sufficiency of any
(a) Access to the records of the Department of
such petition, or any count thereof, because of
Children and Families shall be permitted in
the absence of any necessary party; or (4) the
accordance with General Statutes § 17a-28 and
joining of two or more causes of action which
cannot properly be united in one petition whether other applicable provisions of the law.
the same be stated in one or more counts, that (b) Pretrial discovery by interrogatory, produc-
party may do so by filing a motion to strike the tion, inspection or deposition of a person may be
contested petition or part thereof. allowed with the permission of the judicial author-
(b) A motion to strike on the ground of the non- ity only if the information or material sought is
joinder of a necessary party must give the name not otherwise obtainable and upon a finding that
and residence of the missing party or such infor- proceedings will not be unduly delayed.
mation as the moving party has as to the identity (c) Upon its own motion or upon the request
and residence of the missing party and must state of a party, the judicial authority may limit dis-
the missing party’s interest in the cause of action covery methods, and specify overall timing and
(Adopted June 24, 2002, to take effect Jan. 1, 2003.) sequence, provided that the parties shall be
allowed a reasonable opportunity to obtain infor-
Sec. 34a-16. Reasons in Motion To Strike mation needed for the preparation of their case.
Each motion to strike raising any of the claims The judicial authority may grant the requested
of legal insufficiency enumerated in the preceding discovery, order reciprocal discovery, order
sections shall separately set forth each such claim appropriate sanctions permitted under Section
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Sec. 34a-20 SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERS
13-14 for any clear misuse of discovery or arbi- agree, the judicial authority shall decide the issue
trary delay or refusal to comply with a discovery of appropriate questions to be addressed and
request, and deny, limit, or set conditions on the materials to be reviewed by the evaluator. A repre-
requested discovery, including any protective sentative of the court shall contact the evaluator
orders under Section 13-5. and arrange for scheduling and for delivery of the
(d) If the judicial authority permits discovery, referral package.
the provisions of Sections 13-1 through 13-11 (d) Any party who wishes to alter, to update, to
inclusive, 13-14, 13-16, 13-21 through 13-32 amend or to modify the initial terms of referral
inclusive may be incorporated in the discovery shall seek prior permission of the judicial authority.
order in the discretion of the judicial authority. There shall be no ex parte communication with
Motions for discovery or disclosure of confidential the evaluator by counsel prior to completion of the
records should not be filed unless the moving evaluation, except that the evaluator conducting
party has attempted unsuccessfully to obtain an a competency evaluation of a parent or guardian
appropriate release or agreement to disclose from may have ex parte communication with said coun-
the party or person whose records are being sel of a parent or guardian prior to the completion
sought. of the competency evaluation.
(e) If, subsequent to compliance with any filed (e) After the evaluation has been completed
request or order for discovery and prior to or and filed with the court, counsel may communi-
during trial, a party discovers additional or new cate with the evaluator subject to the following
material or information previously requested and terms and conditions:
ordered subject to discovery or inspection, or dis- (1) Counsel shall identify themselves as an
covers that the prior compliance was totally or attorney and the party she or he represents;
partially incorrect or, though correct when made, (2) Counsel shall advise the evaluator that with
is no longer true and the circumstances are such respect to any substantive inquiry into the evalua-
that a failure to amend the compliance is in sub- tion or opinions contained therein, the evaluator
stance a knowing concealment, that party shall has the right to have the interview take place in
promptly notify the other party, or the other party’s the presence of counsel of his/her choice, or in
attorney and file and serve in accordance with the presence of all counsel of record;
Sections 10-12 through 10-17 a supplemental or (3) Counsel shall have a duty to disclose to
corrected compliance. other counsel the nature of any ex parte communi-
(Adopted June 24, 2002, to take effect Jan. 1, 2003.) cation with the evaluator and whether it was sub-
stantive or procedural. The disclosure shall occur
Sec. 34a-21. Court-Ordered Evaluations within a reasonable time after the communication
(a) The judicial authority, after hearing on a and prior to the time of the evaluator’s testimony;
motion for a court-ordered evaluation or after (4) All counsel shall have the right to contact
an agreement has been reached to conduct such the evaluator and discuss procedural matters
an evaluation, may order a mental or physi- relating to the time and place of court hearings or
cal examination of a child or youth. The judicial evaluation sessions, the evaluator’s willingness to
authority after hearing or after an agreement has voluntarily attend without subpoena, what records
been reached may also order a thorough physical are requested, and the parameters of the pro-
or mental examination of a parent or guardian posed examination of the evaluator as a witness.
whose competency or ability to care for a child or (f) Counsel for children, youths, parents or
youth is at issue. guardians may move the judicial authority for per-
(b) The judicial authority shall select and mission to disclose court records for an indepen-
appoint an evaluator qualified to conduct such dent evaluation of their own client. Such eval-
assessments, with the input of the parties. All uations shall be paid for by the moving party and
expenses related to the court-ordered evaluations shall not be required to be disclosed to the judi-
shall be the responsibility of the petitioner; how- cial authority or other parties, unless the request-
ever the party calling the evaluator to testify will ing party, upon receipt of the evaluation report,
bear the expenses of the evaluator related to tes- declares an intention to introduce the evaluation
tifying. report or call the evaluator as a witness at trial.
(Adopted June 24, 2002, to take effect Jan. 1, 2003;
(c) At the time of appointment of any court amended June 21, 2010, to take effect Jan. 1, 2011; amended
appointed evaluator, counsel and a represen- June 15, 2018, to take effect Jan. 1, 2019.)
tative of the court shall complete the evaluation
form and agree upon appropriate questions to be Sec. 34a-22. Motion for Contempt
addressed by the evaluator and materials to be All motions for contempt must state: (1) the date
reviewed by the evaluator. If the parties cannot and specific language of the order of the judicial
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SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERS Sec. 34a-23
authority on which the motion is based; (2) the an order to provide or to accept and cooperate
specific acts alleged to constitute the contempt of with certain services, or an order prohibiting the
that order, including the amount of any arrears removal of the child from the state or the home.
claimed due as of the date of the motion or a Such motions may be heard at the next short
date specifically identified in the motion; (3) the calendar; however, if the exigencies of the situa-
movant’s claims for relief for the contempt. tion demand, the judicial authority may order
(Adopted June 24, 2002, to take effect Jan. 1, 2003.) immediate ex parte relief, pending an expedi-
tious hearing.
Sec. 34a-23. Motion for Emergency Relief (b) No motion for emergency relief shall be
(a) Notwithstanding the above provisions, any granted without notice to each party unless the
party may file a motion for emergency relief, seek- applicant certifies one of the following to the court
ing an order directed to the parents, including in writing:
any person who acknowledged before a judicial (1) facts showing that within a reasonable time
authority paternity of a child born out of wedlock, prior to presenting the motion the moving party
guardians, custodians or other adult persons gave notice to all other parties of the time when
owing some legal duty to the child, as deemed and the place where the motion would be pre-
sented and provided a copy of the motion; or
necessary or appropriate to secure the welfare, (2) the moving party in good faith attempted but
protection, proper care and suitable support of a was unable to give notice to the other parties,
child or youth before this court for the protection specifying the efforts made to contact such par-
of the child. Such orders include, but are not lim- ties; or
ited to, an order for access to the family home, (3) facts establishing good cause why the mov-
an order seeking medical exam or mental health ing party should not be required to give notice to
exam or treatment of the child, an order to remedy other parties.
a dangerous condition in the family or foster home, (Adopted June 24, 2002, to take effect Jan. 1, 2003.)
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Sec. 35-1 SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERS
CHAPTER 35
GENERAL PROVISIONS
[Repealed as of Jan. 1, 2003.]
Sec. Sec.
35-1. Petitions, Motions and Amendments [Repealed] 35-4. Appeal [Repealed]
35-2. Continuances and Advancements [Repealed] 35-5. Recording of Testimony; Records [Repealed]
35-3. Discovery [Repealed]
For previous Histories and Commentaries see the editions of the Practice Book
corresponding to the years of the previous amendments.
Sec. 35-1. Petitions, Motions and Amend- Sec. 35-3. Discovery
ments [Repealed as of Jan. 1, 2003.]
[Repealed as of Jan. 1, 2003.] Sec. 35-4. Appeal
Sec. 35-2. Continuances and Advance- [Repealed as of Jan. 1, 2003.]
ments Sec. 35-5. Recording of Testimony; Records
[Repealed as of Jan. 1, 2003.] [Repealed as of Jan. 1, 2003.]
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SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERS Sec. 35a-1B
CHAPTER 35a
HEARINGS CONCERNING NEGLECTED, ABUSED AND UNCARED FOR CHILDREN AND
TERMINATION OF PARENTAL RIGHTS
(Amended June 15, 2012, to take effect Jan. 1, 2013.)
Sec. Sec.
35a-1. Adjudication upon Acceptance of Admission or 35a-13. Findings as to Continuation in the Home, Efforts
Plea of Nolo Contendere To Prevent Removal
35a-1A. Record of the Case 35a-14. Motions for Review of Permanency Plan
35a-1B. Exclusion of Unnecessary Persons from Court- 35a-14A. Revocation of Commitment
room 35a-15. Reunification Efforts—Aggravating Factors
35a-2. Case Status Conference or Judicial Pretrial 35a-16. Modifications
35a-3. Coterminous Petitions 35a-17. Motions To Review Plan for Child Whose Parents’
35a-4. Motions To Intervene Rights Have Been Terminated [Repealed]
35a-5. Notice and Right To Be Heard 35a-18. Opening Default
35a-6. Post-Disposition Role of Former Guardian 35a-19. Transfer from Probate Court of Petitions for
35a-6A. Consolidation Removal of Parent as Guardian or Termination
35a-7. Evidence of Parental Rights
35a-7A. Adverse Inference 35a-20. Motions for Reinstatement of Parent as Guardian
35a-8. Burden of Proceeding 35a-20A. Motions for Reinstatement of Former Legal
35a-9. Dispositional Hearing; Evidence and Social Study Guardian as Guardian or Modification of Guard-
35a-10. Availability of Social Study to Counsel and Parties ianship Post-Disposition
35a-11. Dispositional Plan Offered by Respondents 35a-21. Appeals in Child Protection Matters
35a-12. Protective Supervision—Conditions, Modification, 35a-22. Where Presence of Person May Be by Means of
and Termination an Interactive Audiovisual Device
35a-12A. Motions for Transfer of Guardianship 35a-23. Child’s Hearsay Statement; Residual Exception
For previous Histories and Commentaries see the editions of the Practice Book
corresponding to the years of the previous amendments.
Sec. 35a-1. Adjudication upon Acceptance ing silent understands the consequences of
of Admission or Plea of Nolo Contendere standing silent.
(Amended June 30, 2008, to take effect Jan. 1, 2009; (Adopted June 24, 2002, to take effect Jan. 1, 2003;
amended June 10, 2022, to take effect Jan. 1, 2023.) amended June 30, 2008, to take effect Jan. 1, 2009; amended
(a) Notwithstanding any prior statements June 20, 2011, to take effect Jan. 1, 2012; amended June 15,
acknowledging responsibility, the judicial author- 2012, to take effect Jan. 1, 2013; amended June 13, 2014,
to take effect Jan. 1, 2015; amended June 10, 2022, to take
ity shall inquire whether the allegations of the peti- effect Jan. 1, 2023.)
tion are presently admitted or denied. This inquiry HISTORY—2023: Prior to 2023, this section was titled,
shall be made of the parent(s) or guardian in ‘‘Adjudication upon Acceptance of Admission or Written Plea
neglect, abuse or uncared for matters, and of the of Nolo Contendere.’’ In addition, in the first sentence of sub-
section (b), ‘‘written’’ was deleted before ‘‘plea’’ and ‘‘signed
parents in termination matters. by the respondent’’ was deleted after ‘‘nolo contendere.’’
(b) An admission to allegations or a plea of COMMENTARY—2023: The changes to this section
nolo contendere may be accepted by the judicial remove the requirements that a plea of nolo contendere be
authority. Before accepting an admission or plea in writing and signed by the respondent.
of nolo contendere, the judicial authority shall Sec. 35a-1A. Record of the Case
determine whether the right to trial has been A verbatim stenographic or electronic record-
waived, and that the parties understand the con- ing of all hearings shall be kept, any transcript of
tent and consequences of their admission or plea. which shall be part of the record of the case.
If the allegations are admitted or the plea (Adopted June 30, 2008, to take effect Jan. 1, 2009.)
accepted, the judicial authority shall make its adju- Sec. 35a-1B. Exclusion of Unnecessary Per-
dicatory finding as to the validity of the facts sons from Courtroom
alleged in the petition and may proceed to a dispo- Any judicial authority hearing a child protec-
sitional hearing. Where appropriate, the judicial tion matter may, during such hearing, exclude
authority may permit a noncustodial parent or from the room in which such hearing is held any
guardian to stand silent as to the entry of an adju- person whose presence is, in the opinion of the
dication. The judicial authority shall determine judicial authority, not necessary.
whether a noncustodial parent or guardian stand- (Adopted June 30, 2008, to take effect Jan. 1, 2009.)
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Sec. 35a-2 SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERS
Sec. 35a-2. Case Status Conference or Judi- dispositional alternatives available under the
cial Pretrial neglect, abuse or uncared for petition.
(a) When the allegations of the petition are (Adopted June 24, 2002, to take effect Jan. 1, 2003;
amended June 30, 2008, to take effect Jan. 1, 2009; amended
denied, necessitating testimony in support of the
June 15, 2012, to take effect Jan. 1, 2013.)
petitioner’s allegations, the case shall be contin-
ued for a case status conference and/or a judicial Sec. 35a-4. Motions To Intervene
pretrial. The case status conference or judicial pre-
(Amended June 20, 2011, to take effect Jan. 1, 2012.)
trial may be waived by the judicial authority upon
request of all the parties. (a) Interventions by any person related to the
(b) Parties with decision-making authority to child or youth by blood or marriage for temporary
settle must be present or immediately accessible custody or guardianship shall be governed by
during a case status conference or judicial pretrial. General Statutes § 46b-129 (c) or (d). All motions
Continuances will be granted only in accordance for intervention shall state with specificity the mov-
with Section 34a-5. ant’s interest and relief requested.
(c) At the case status conference and/or judicial (b) Upon motion of any sibling of any child com-
pretrial, all attorneys and self-represented parties mitted to the Commissioner of the Department of
will be prepared to discuss the following matters: Children and Families pursuant to General Stat-
(1) Settlement; utes § 46b-129, such sibling shall have the right
(2) Simplification and narrowing of the issues; to be heard concerning visitation with, and place-
(3) Amendments to the pleadings; ment of, any such child. In awarding any visitation
(4) The setting of firm trial dates; or modifying any placement, the judicial authority
(5) Preliminary witness lists; shall be guided by the best interests of all siblings
(6) Identification of necessary arrangements for affected by such determination.
trial including, but not limited to, application for a (c) Other persons unrelated to the child or youth
writ of habeas corpus for incarcerated parties, by blood or marriage, or persons related to the
transportation, interpreters, and special equip- child or youth by blood or marriage who are not
ment; seeking to serve as a placement, temporary cus-
(7) Such other actions as may aid in the disposi- todian or guardian of the child may move to inter-
tion of the case. vene in the dispositional phase of the case, and
(d) When necessary, the judicial authority may the judicial authority may grant said motion if it
issue a trial management order including, but not determines that such intervention is in the best
limited to, an order fixing a date prior to trial by interest of the child or youth or in the interests
which all parties are to exchange proposed wit- of justice.
ness and exhibit lists and copies of proposed (d) In making a determination upon a motion to
exhibits not previously exchanged. Failure to com- intervene, the judicial authority may consider: the
ply with this order may result in the imposition of timeliness of the motion as judged by the circum-
sanctions as the ends of justice may require. stances of the case; whether the movant has a
(Adopted June 24, 2002, to take effect Jan. 1, 2003; direct and immediate interest in the case; whether
amended June 30, 2008, to take effect Jan. 1, 2009.) the movant’s interest is not adequately repre-
Sec. 35a-3. Coterminous Petitions sented by existing parties; whether the interven-
tion may cause delay in the proceedings or other
When coterminous petitions are filed, the judi-
prejudice to the existing parties; the necessity for
cial authority first determines by a fair preponder-
or value of the intervention in terms of resolving
ance of the evidence whether the child or youth
is neglected, abused or uncared for; if so, then the controversy before the judicial authority; and
the judicial authority determines whether statu- the best interests of the child.
tory grounds exist to terminate parental rights by (e) Any intervenor shall appear in person, with
clear and convincing evidence; if so, then the judi- or without counsel, and shall not be entitled to
cial authority determines whether termination of court-appointed counsel or the assignment of coun-
parental rights is in the best interests of the child sel by the chief public defender except as provided
or youth by clear and convincing evidence. If the in General Statutes § 46b-136.
judicial authority determines that termination (f) The judicial authority, may, on motion of any
grounds do not exist or termination of parental party or on its own motion, after notice and a hear-
rights is not in the best interests of the child or ing, terminate any person’s intervenor status if
youth, then the judicial authority may consider by such person’s participation in the case is no longer
a fair preponderance of the evidence any of the warranted or necessary. The judicial authority may
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SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERS Sec. 35a-8
determine if good cause exists to permit the inter- whether consolidation will expedite the business
venor to continue to participate in future proceed- of the court without causing delay or injustice.
ings as a party and what, if any further actions, (Adopted June 30, 2008, to take effect Jan. 1, 2009.)
the intervenor is required to take.
(Adopted June 24, 2002, to take effect Jan. 1, 2003; Sec. 35a-7. Evidence
amended June 30, 2008, to take effect Jan. 1, 2009; amended (a) In the adjudicatory phase, the judicial
June 20, 2011, to take effect Jan. 1, 2012.) authority is limited to evidence of events preced-
ing the filing of the petition or the latest amend-
Sec. 35a-5. Notice and Right To Be Heard ment, except where the judicial authority must
(Amended June 30, 2008, to take effect Jan. 1, 2009.) consider subsequent events as part of its determi-
(a) Any foster parent, prospective adoptive par- nation as to the existence of a ground for termina-
ent or relative caregiver shall be notified of and tion of parental rights.
have a right to be heard in any proceeding held (b) In the discretion of the judicial authority,
concerning a child or youth living with such fos- evidence on adjudication and disposition may be
ter parent, prospective adoptive parent or relative heard in a nonbifurcated hearing, provided dispo-
caregiver. The Commissioner of the Department sition may not be considered until the adjudicatory
of Children and Families shall provide written phase has concluded.
notice of all court proceedings concerning any (Adopted June 24, 2002, to take effect Jan. 1, 2003.)
child or youth to any such foster parent, prospec-
tive adoptive parent or relative caregiver of such Sec. 35a-7A. Adverse Inference
child or youth. Records of such notice shall be If a party requests that the judicial authority
kept by the Commissioner of the Department draw an adverse inference from a parent’s or
of Children and Families and information about guardian’s failure to testify or the judicial authority
notice given in each case provided to the court. intends to draw an adverse inference, either at the
(b) Upon motion of any sibling of any child or start of any trial or after the close of the petitioner’s
youth committed to the Commissioner of the case-in-chief, the judicial authority shall notify the
Department of Children and Families pursuant to parents or guardian that an adverse inference
General Statutes § 46b-129, the sibling shall have may be drawn from their failure to testify.
(Adopted June 30, 2008, to take effect Jan. 1, 2009.)
the right to be heard concerning visitation with
and placement of any such child or youth. Sec. 35a-8. Burden of Proceeding
(Adopted June 24, 2002, to take effect Jan. 1, 2003;
amended June 30, 2008, to take effect Jan. 1, 2009.) (a) The petitioner shall be prepared to substan-
tiate the allegations of the petition. All parties
Sec. 35a-6. Post-Disposition Role of For- except the child or youth shall be present at trial
mer Guardian unless excused for good cause shown. Failure of
When a court of competent jurisdiction has any party to appear in person or by their statutorily
permitted designee may result in a default or non-
ordered legal guardianship of a child or youth to
suit for failure to appear for trial, as the case may
a person other than the biological parents of the
be, and evidence may be introduced and judg-
child or youth prior to the juvenile court proceed-
ment rendered.
ing, the juvenile court shall determine at the time
(b) If a parent fails to appear at the initial hearing
of the commitment of the child or youth to the
and no military affidavit has been filed, the judicial
Commissioner of the Department of Children and
authority shall continue the proceedings prior to
Families whether good cause exists to allow said
entering a default for failure to appear until such
legal guardian to participate in future proceedings
time as the military affidavit is filed, provided if the
as a party and what, if any further actions the identity of the parent, after reasonable search,
Commissioner of the Department of Children and cannot be determined, then default may enter and
Families and the guardian are required to take. no military affidavit is required.
(Adopted June 24, 2002, to take effect Jan. 1, 2003;
amended June 30, 2008, to take effect Jan. 1, 2009.) (c) The clerk shall give notice by mail to the
defaulted party and the party’s attorney of the
Sec. 35a-6A. Consolidation default and of any action taken by the judicial
authority. The clerk shall note the date that such
Upon motion of any party or on its own motion, notice is given or mailed.
the judicial authority may consolidate separate (Adopted June 24, 2002, to take effect Jan. 1, 2003;
petitions for trial. In determining whether to con- amended June 30, 2008, to take effect Jan. 1, 2009; amended
solidate, the judicial authority shall consider June 21, 2010, to take effect Jan. 1, 2011.)
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Sec. 35a-9 SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERS
Sec. 35a-9. Dispositional Hearing; Evidence the in court review of protective supervision if it
and Social Study is held within thirty days of such expiration or at
The judicial authority may admit into evidence a hearing to be held within ten days after the filing
any testimony relevant and material to the issue of such motion. For good cause shown and under
of the disposition, including events occurring extenuating circumstances, such written motion
through the close of the evidentiary hearing, but may be filed in a period of less than thirty days
no disposition may be made by the judicial author- prior to the expiration of the protective supervision
ity until any mandated social study has been sub- and the same shall be docketed accordingly. The
mitted to the judicial authority. Said study shall be motion shall set forth the reason(s) for the exten-
marked as an exhibit subject to the right of any sion of the protective supervision and the period of
party to be heard on a motion in limine requesting the extension being sought. If the judicial authority
redactions and to require that the author, if avail- orders such extension of protective supervision,
able, appear for cross-examination. the extension order shall be reviewed by the judi-
(Adopted June 24, 2002, to take effect Jan. 1, 2003;
amended June 30, 2008, to take effect Jan. 1, 2009.)
cial authority at least thirty days prior to its expi-
ration.
Sec. 35a-10. Availability of Social Study to (d) Parental or guardian noncompliance with
Counsel and Parties the order of protective supervision shall be a ground
The mandated social study, addendums for a motion to modify the disposition. Upon finding
thereto, case status reports or other written reports that the best interests of the child so warrant, the
made available to the judicial authority shall be judicial authority, on its own motion or acting on
reproduced and provided to all counsel of record a motion of any party and after notice is given and
and any self-represented party by the Commis- a hearing has been held, may modify a previously
sioner of the Department of Children and Families entered disposition of protective supervision in
before any scheduled case status conference, pre- accordance with the applicable General Statutes.
trial or hearing date. All persons who have access (e) Any party who seeks to have an order of
to such materials shall be responsible for preserv- protective supervision terminate prior to its sched-
ing the confidentiality thereof in accordance with uled expiration date shall file a written motion to
Section 32a-7. terminate the order. The motion shall set forth the
(Adopted June 24, 2002, to take effect Jan. 1, 2003;
amended June 14, 2013, to take effect Jan. 1, 2014.) reason or reasons why it is in the child’s best
interests for protective supervision to terminate
Sec. 35a-11. Dispositional Plan Offered by early. If termination of protective supervision is
Respondents sought on the day of a scheduled in court review
The respondents shall have the right to produce hearing, such motion may be filed that day. All
witnesses on behalf of any dispositional plan they parties shall be afforded reasonable time to review
may wish to offer. the written motion and accompanying status reports
(Adopted June 24, 2002, to take effect Jan. 1, 2003.) or other relevant documents. Upon finding that the
Sec. 35a-12. Protective Supervision—Con- best interests of the child so warrant, the judicial
ditions, Modification and Termination authority, acting on such motion and after notice
(Amended June 15, 2018, to take effect Jan. 1, 2019.) is given and a hearing has been held, may termi-
(a) When protective supervision is ordered, the nate an order of protective supervision prior to its
judicial authority will set forth any conditions of scheduled expiration date.
said supervision including duration, specific steps (Adopted June 24, 2002, to take effect Jan. 1, 2003;
amended June 30, 2008, to take effect Jan. 1, 2009; amended
and review dates.
June 15, 2018, to take effect Jan. 1, 2019.)
(b) A protective supervision order shall be
scheduled for an in court review and reviewed by Sec. 35a-12A. Motions for Transfer of Guard-
the judicial authority at least thirty days prior to ianship
its expiration. At said review, an updated social
study shall be provided to the judicial authority. (a) Motions to transfer guardianship are disposi-
(c) If an extension of protective supervision is tional in nature, based on the prior adjudication.
being sought by the Commissioner of the Depart- (b) In cases in which a motion for transfer of
ment of Children and Families or any other party guardianship seeks to vest guardianship of a child
in interest, including counsel for the minor child or youth in any relative who is the licensed foster
or youth, then a written motion for the same shall parent for such child or youth, or who is, pursuant
be filed not less than thirty days prior to such to an order of the court, the temporary custodian
expiration. Such motion shall be heard either at of the child or youth at the time of the motion, the
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SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERS Sec. 35a-14
moving party has the burden of proof that the pursuant to a voluntary placement agreement, or
proposed guardian is suitable and worthy and that removal of a child or youth pursuant to General
transfer of guardianship is in the best interests of Statutes § 17a-101g or an order of a court of com-
the child. In such cases, there shall be a rebuttable petent jurisdiction, whichever is earlier. At the date
presumption that the award of legal guardianship custody is vested by order of a court of compe-
to that relative shall be in the best interests of the tent jurisdiction, or if no order of temporary cus-
child or youth and that such relative is a suitable tody is issued, at the date when commitment is
and worthy person to assume legal guardianship. ordered, the judicial authority shall set a date by
The presumption may be rebutted by a prepon- which the subsequent motion for review of the
derance of the evidence that an award of legal permanency plan shall be filed. The Commis-
guardianship to such relative would not be in the sioner of the Department of Children and Families
child’s or youth’s best interests and such relative shall propose a permanency plan that conforms
is not a suitable and worthy person. to the statutory requirements and shall provide a
(c) In cases in which a motion for transfer of social study to support said plan. Nothing in this
guardianship, if granted, would require the removal section shall preclude any party from filing a
of a child or youth from any relative who is the motion for revocation of commitment separate
licensed foster parent for such child or youth, or from a motion for review of permanency plan pur-
who is, pursuant to an order of the court, the suant to General Statutes § 46b-129 (m) and sub-
temporary custodian of the child or youth at the ject to Section 35a-14A.
time of the motion, the moving party has the initial (b) At the time of the filing of a motion for review
burden of proof that an award of legal guardian- of permanency plan pursuant to subsection (a),
ship to, or an adoption by, such relative would not the Commissioner of the Department of Children
be in the child’s or youth’s best interest and that and Families shall also request a finding that it
such relative is not a suitable and worthy person. has made reasonable efforts to achieve the goal
If this burden is met, the moving party then has of the existing plan. The social study filed pursuant
the burden of proof that the movant’s proposed to subsection (a) shall include information indicat-
guardian is suitable and worthy and that transfer ing what efforts the commissioner has taken to
of guardianship to that proposed guardian is in achieve the goal of the existing plan.
the best interests of the child. (c) Once a motion for review of the permanency
(d) In all other cases, the moving party has plan and requested findings regarding efforts to
the burden of proof that the proposed guardian is achieve the goal of the existing plan have been
suitable and worthy and that transfer of guardian- filed, the clerk of the court shall set a hearing
ship is in the best interests of the child. not later than ninety days thereafter. The judicial
(Adopted June 20, 2011, to take effect Jan. 1, 2012.) authority shall provide notice to the child or youth,
Sec. 35a-13. Findings as to Continuation in and the parent or guardian of such child or youth
the Home, Efforts To Prevent Removal and any other party found entitled to such notice
of the time and place of the court hearing on any
Whenever the judicial authority orders a child such motion not less than fourteen days prior to
or youth to be removed from the home, the judicial such hearing. Any party who is in opposition to
authority shall make written findings: (1) at the any such motion shall file a written objection and
time of the order that continuation in the home is state with specificity the reasons therefor within
contrary to the welfare of the child or youth; and thirty days after the filing of the Commissioner of
(2) at the time of the order or within sixty days the Department of Children and Families’ motion
after the child or youth has been removed from for review of permanency plan and the objection
the home, whether the Commissioner of the shall be considered at the hearing. The judicial
Department of Children and Families has made authority shall hold an evidentiary hearing in con-
reasonable efforts to prevent removal or whether nection with any contested motion for review of
such efforts were not possible.
(Adopted June 24, 2002, to take effect Jan. 1, 2003;
the permanency plan. If there is no objection or
amended June 30, 2008, to take effect Jan. 1, 2009.) motion for revocation filed, then the motion may
be granted by the judicial authority at the date of
Sec. 35a-14. Motions for Review of Perma- said hearing.
nency Plan (d) Whether to approve the permanency plan
(Amended June 30, 2008, to take effect Jan. 1, 2009.) and to find that reasonable efforts to achieve the
(a) Motions for review of the permanency plan goal of the existing plan have been made are
shall be filed nine months after the placement of dispositional questions, based on the prior adjudi-
the child or youth in the custody of the Commis- cation, and the judicial authority shall determine
sioner of the Department of Children and Families whether it is in the best interests of the child or
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Sec. 35a-14 SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERS
youth to approve the permanency plan and to find or youth considering the needs for safety and per-
that reasonable efforts to achieve the goal of the manency.
existing plan have been made upon a fair prepon- (h) Where a petition for termination of parental
derance of the evidence. The Commissioner of rights is granted, the guardian or statutory parent
the Department of Children and Families shall of the child or youth shall report to the judicial
have the burden of proving that the proposed per- authority not later than thirty days after the date
manency plan is in the best interests of the child the judgment is entered on a permanency plan
or youth and that it has made reasonable efforts and on the status of the child or youth. At least
to achieve the goal of the existing plan. every three months thereafter, such guardian or
(e) At each hearing on a motion for review of statutory parent shall make a report to the judicial
permanency plan, the judicial authority shall (1) authority on the implementation of the plan, or
ask the child or youth about his or her desired earlier if the plan changes before the elapse of
permanency outcome, or if the child or youth is three months. The judicial authority may convene
unavailable to appear at such hearing require the a hearing upon the filing of a report and shall
attorney for the child or youth to consult with the convene and conduct a permanency hearing for
child or youth regarding the child’s or youth’s the purpose of reviewing the permanency plan for
desired permanency outcome and report the the child no more than twelve months from the
same to the court, (2) review the status of the date judgment is entered or from the date of the
child or youth, (3) review the progress being made last permanency hearing held in accordance with
to implement the permanency plan, (4) determine General Statutes § 46b-129 (k), whichever is ear-
a timetable for attaining the permanency plan, (5) lier, and at least once a year thereafter while the
determine the services to be provided to the par- child or youth remains in the custody of the Com-
ent if the court approves a permanency plan of missioner of the Department of Children and Fam-
reunification and the timetable for such services, ilies. At each court hearing, the judicial authority
and (6) determine whether the Commissioner of shall make factual findings whether or not reason-
the Department of Children and Families has able efforts to achieve the permanency plan or
made reasonable efforts to achieve the goal of the promote adoption have been made.
existing permanency plan. The judicial authority (Adopted June 24, 2002, to take effect Jan. 1, 2003;
shall also determine whether the proposed goal amended June 30, 2008, to take effect Jan. 1, 2009; amended
of the permanency plan as set forth in General June 20, 2011, to take effect Jan. 1, 2012; amended June 24,
2016, to take effect Jan. 1, 2017.)
Statutes § 46b-129 (k) (2) is in the best interests
of the child or youth by a fair preponderance of Sec. 35a-14A. Revocation of Commitment
the evidence, taking into consideration the child’s (Amended June 20, 2011, to take effect Jan. 1, 2012.)
or youth’s need for permanency. The child’s or Where a child or youth is committed to the cus-
youth’s health and safety shall be of paramount tody of the Commissioner of the Department of
concern in formulating such plan. If a permanency Children and Families, the commissioner, a par
plan is not approved by the judicial authority, it ent or the child’s attorney may file a motion seek-
shall order the filing of a revised plan and set a ing revocation of commitment. The judicial author-
hearing to review said revised plan within sixty ity may revoke commitment if a cause for com-
days. mitment no longer exists and it is in the best
(f) As long as a child or youth remains in the interests of the child or youth. Whether to revoke
custody of the Commissioner of the Department the commitment is a dispositional question, based
of Children and Families, the commissioner shall on the prior adjudication, and the judicial authority
file a motion for review of permanency plan and shall determine whether to revoke the commit-
for a finding regarding reasonable efforts to achieve ment upon a fair preponderance of the evidence.
the goal of the existing plan nine months after The party seeking revocation of commitment has
the prior permanency plan hearing. No later than the burden of proof that no cause for commitment
twelve months after the prior permanency plan exists. If the burden is met, the party opposing the
hearing, the judicial authority shall hold a subse- revocation has the burden of proof that revocation
quent permanency review hearing in accordance would not be in the best interests of the child. If
with this section. a motion for revocation is denied, a new motion
(g) Whenever an approved permanency plan shall not be filed by the movant until at least six
needs revision, the Commissioner of the Depart- months have elapsed from the date of the filing
ment of Children and Families shall file a motion of the prior motion unless waived by the judicial
for review of the revised permanency plan. The authority.
commissioner shall not be precluded from initiat- (Adopted June 30, 2008, to take effect Jan. 1, 2009;
ing a proceeding in the best interests of the child amended June 20, 2011, to take effect Jan. 1, 2012.)
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SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERS Sec. 35a-19
Sec. 35a-15. Reunification Efforts—Aggra- Department of Children and Families or a licensed
vating Factors child-placing agency. The judicial authority may
Whenever any party seeks a finding of the enjoin enforcement of such order or decree until
existence of an aggravating factor negating the the decision upon such written motion, unless said
requirement that reasonable efforts be made to action shall prejudice or place the child’s or youth’s
reunify a child or youth with a parent, the movant health, safety or welfare in jeopardy. The initial
shall file a motion requesting such finding and the hearing on said motion shall be held as a priority
judicial authority shall proceed in accordance with matter but no later than fifteen days after the same
General Statutes § 17a-111b (b). has been filed with the clerk, unless otherwise
(Adopted June 24, 2002, to take effect Jan. 1, 2003; agreed to by the parties and sanctioned by the
amended June 30, 2008, to take effect Jan. 1, 2009.) judicial authority. All hearings on motions to set
aside a judgment terminating parental rights shall
Sec. 35a-16. Modifications be conducted in accordance with the provisions
Motions to modify dispositions are dispositional of General Statutes § 45a-719. In the event that
in nature based on the prior adjudication, and any motion is granted, the matter shall be sched-
the judicial authority shall determine whether a uled for an immediate pretrial or case status con-
modification is in the best interests of the child or ference within fourteen days thereof, and failing
youth upon a fair preponderance of the evidence. a resolution at that time, then the matter shall be
Unless filed by the Commissioner of the Depart- scheduled for a trial as expeditiously as pos-
ment of Children and Families, any modification sible.
motion to return a child or youth to the custody (Adopted June 24, 2002, to take effect Jan. 1, 2003;
of the parent without protective supervision shall amended June 30, 2008, to take effect Jan. 1, 2009; amended
be treated as a motion for revocation of com- June 14, 2013, to take effect Jan. 1, 2014.)
mitment. Sec. 35a-19. Transfer from Probate Court of
(Adopted June 24, 2002, to take effect Jan. 1, 2003;
amended June 30, 2008, to take effect Jan. 1, 2009.)
Petitions for Removal of Parent as Guardian
or Termination of Parental Rights
Sec. 35a-17. Motions To Review Plan for (a) When a contested application for removal
Child Whose Parents’ Rights Have Been Ter- of parent as guardian or petition for termination
minated of parental rights or application to commit a child
[Repealed as of Jan. 1, 2009.] or youth to a hospital for the mentally ill has been
transferred from the Probate Court to the Superior
Sec. 35a-18. Opening Default Court, the Superior Court clerk shall transmit to
Any order or decree entered through a default the Probate Court from which the transfer was
may be set aside within four months succeeding made a copy of any orders or decrees thereafter
the date of such entry of the order or decree upon rendered, including orders regarding reinstate-
the written motion of any party or person preju- ment pursuant to General Statutes § 45a-611 and
diced thereby, showing reasonable cause, or that visitation pursuant to General Statutes § 45a-612,
a defense in whole or in part existed at the time and a copy of any appeal of a Superior Court
of the rendition of such order or of such decree, decision in the matter.
and that the party so defaulted was prevented (b) The date of receipt by the Superior Court
by mistake, accident or other reasonable cause of a transferred petition shall be the filing date for
from prosecuting or appearing to make the same, determining initial hearing dates in the Superior
except that no such order or decree shall be set Court. The date of receipt by the Superior Court
aside if a final decree of adoption regarding the of any Probate Court issued ex parte order of
child has been issued prior to the filing of any temporary custody not heard by that court shall
such motion. Such written motion shall be verified be the issuance date in the Superior Court.
by the oath of the complainant and shall state in (c) Any appearance filed for any party in the
general terms the nature of the claim or defense Probate Court shall continue in the Superior Court
and shall particularly set forth the reason why the for juvenile matters unless (1) a motion to with-
party failed to appear. The judicial authority shall draw is filed in the Probate Court within five days
order reasonable notice of the pendency of such of the filing of the motion to transfer, and the
motion to be given to all parties to the action and motion to withdraw is granted by the Probate
also, in the case of a motion to set aside a judg- Court, (2) a motion to withdraw is filed by such
ment terminating parental rights, to any person party’s counsel and granted by the Superior Court
who has legal custody of the child or who has for juvenile matters, or (3) another counsel files
physical custody of the child pursuant to an an ‘‘in place of’’ appearance on behalf of the party.
agreement, including an agreement with the If the party represented is indigent or is the child
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Sec. 35a-19 SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERS
subject to the proceedings, new counsel shall be Sec. 35a-20. Motions for Reinstatement of
assigned from the list of public defender services Parent as Guardian
assigned counsel and shall be paid by the pub- (Amended June 30, 2008, to take effect Jan. 1, 2009;
lic defender services commission. The Superior amended June 20, 2011, to take effect Jan. 1, 2012; amended
June 11, 2021, to take effect Jan. 1, 2022.)
Court for juvenile matters may request that the
Division of Public Defender Services contract with (a) Whenever a parent whose guardianship
probate counsel for representation if continued rights to a child or youth were removed and trans-
ferred to another person or an agency other than
representation would be in the best interest of
the Department of Children and Families by the
the client. Counsel for indigent parties or minor Superior Court for juvenile matters seeks rein-
children appointed by the Probate Court who statement as that child’s or youth’s guardian, the
remain on the case in Superior Court for juvenile parent may file a motion for reinstatement of
matters shall be paid by the Public Defender Ser- guardianship with the court that ordered the trans-
vices Commission according to its policies at the fer of guardianship.
rate of pay established by the commission. (b) The clerk shall assign such motion a hearing
(d) (1) The Superior Court clerk shall notify date and issue a summons to the current guardian
appearing parties in applications for removal of and the nonmoving parent or parents. The moving
guardian by mail of the date of the initial hearing party shall cause a copy of such motion and sum-
which shall be held not more than thirty days from mons to be served on the child’s or youth’s current
the date of receipt of the transferred application. legal guardian(s) and the nonmoving parent or
Not less than ten days before the initial hearing, parents.
the Superior Court clerk shall cause a copy of the (c) Before acting on such motion, the judicial
transfer order and probate petition for removal of authority shall determine if the court still has cus-
guardian and an advisement of rights notice to be tody jurisdiction and shall request, if necessary,
served on any nonappearing party or any party that the Commissioner of the Department of Chil-
not served within the last twelve months with an dren and Families conduct an investigation and
accompanying order of notice and summons to submit a home study that sets forth written find-
appear at an initial hearing. ings and recommendations before rendering a
decision.
(2) Not less than ten days before the date of (d) The hearing on a motion for reinstatement
the initial hearing, the Superior Court clerk shall of guardianship is dispositional in nature. If the
cause a copy of the transfer order and probate parent seeking reinstatement of guardianship
petition for termination of parental rights and an demonstrates that the factors that resulted in the
advisement of rights notice to be served on all parent’s removal as guardian are resolved satis-
parties, regardless of prior service, with an accom- factorily, the parent is entitled to a presumption
panying order of notice and summons to appear that reinstatement is in the best interest of the
at an initial hearing which shall be held not more child or youth. The party opposing reinstatement
than thirty days from the date of receipt of the of guardianship has the burden of proof to rebut
petition except in the case of a petition for termina- this presumption by clear and convincing
tion of parental rights based on consent which evidence.
shall be held not more than twenty days after the (Adopted June 24, 2002, to take effect Jan. 1, 2003;
filing of the petition. amended June 30, 2008, to take effect Jan. 1, 2009; amended
June 20, 2011, to take effect Jan. 1, 2012; amended June 11,
(3) The Superior Court clerk shall mail notice 2021, to take effect Jan. 1, 2022.)
of the initial hearing date for all transferred peti-
tions to all counsel of record and to the Commis- Sec. 35a-20A. Motions for Reinstatement of
sioner of the Department of Children and Families Former Legal Guardian as Guardian or Mod-
or to any other agency which has been ordered ification of Guardianship Post-Disposition
by the Probate Court to conduct an investiga- (a) Whenever a former legal guardian whose
tion pursuant to General Statutes § 45a-619. The guardianship rights to a child or youth were
Commissioner of the Department of Children and removed and transferred to another person or an
Families or any other investigating agency will agency other than the Department of Children and
be notified of the need to have a representative Families by the Superior Court for juvenile matters
present at the initial hearing. seeks reinstatement as that child’s or youth’s
(Adopted June 24, 2002, to take effect Jan. 1, 2003; guardian, the former legal guardian may file a
amended June 30, 2008, to take effect Jan. 1, 2009; amended motion for reinstatement of guardianship with the
June 21, 2010, to take effect Jan. 1, 2011; amended June 24, court that ordered the transfer of guardianship. In
2016, to take effect Jan. 1, 2017.) other post-dispositional cases concerning a child
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SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERS Sec. 35a-22
or youth whose legal guardianship was trans- an appeal or seek review by an appellate review
ferred to a person other than a parent or former attorney in accordance with the rules for appeals
legal guardian, or to an agency other than the in child protection matters in Chapter 79a. The
Department of Children and Families, any person reviewing attorney determining whether there is
permitted to intervene may move the court to mod- a nonfrivolous ground for appeal shall file a limited
ify the award of guardianship. ‘‘in addition to’’ appearance with the trial court for
(b) The clerk shall assign such motion a hearing purposes of reviewing the merits of an appeal. If
date and issue a summons to the current guardian the reviewing attorney determines there is merit
and the parent or parents. The moving party shall to an appeal, the reviewing attorney shall notify
cause a copy of such motion and summons to the court, and the court shall grant the indigent
be served on the child’s or youth’s current legal party’s application for appellate counsel, who shall
guardian(s) and the parent or parents. file a limited ‘‘in addition to’’ appearance for the
(c) Before acting on such motion, the judicial appeal with the Appellate Court. The trial attorney
authority shall determine if the court still has cus- shall remain in the underlying juvenile matters
tody jurisdiction and shall request, if necessary, case in order to handle ongoing procedures
that the Commissioner of the Department of Chil- before the local or regional juvenile court. Any
dren and Families conduct an investigation and attorney who files an appeal or files an appear-
submit a home study that sets forth written find- ance in the Appellate Court after an appeal has
ings and recommendations before rendering a been filed shall be deemed to have appeared in
decision. the trial court for the limited purpose of prosecut-
(d) The hearing on a motion for reinstatement of ing or defending the appeal.
guardianship is dispositional in nature. The former (c) Unless a new appeal period is created pur-
legal guardian seeking reinstatement of guardian- suant to Section 79a-2 (a), the time to take an
ship has the burden of proof to establish that appeal shall not be extended past forty days for
cause for transfer of guardianship to another per- an appeal from a judgment that did not result in
son or agency no longer exists. The judicial a termination of parental rights (the original twenty
authority shall then determine if reinstatement of days plus one twenty day extension for appellate
guardianship is in the child’s or youth’s best review) or past sixty days for an appeal from a
interest. judgment terminating parental rights (the original
(e) The hearing on a motion for post-disposi- twenty days plus one forty day extension for
tional modification of a guardianship order is dis- appellate review), from the date of the issuance of
positional in nature. The party seeking to modify notice of the rendition of the judgment or decision.
the existing guardianship order has the burden (Adopted June 24, 2002, to take effect Jan. 1, 2003;
of proof to establish that the movant’s proposed amended June 30, 2008, to take effect Jan. 1, 2009; amended
June 21, 2010, to take effect Jan. 1, 2011; amended June 15,
guardian is suitable and worthy. The judicial 2012, to take effect Jan. 1, 2013; amended June 26, 2020,
authority shall then determine if transfer of guard- on an interim basis pursuant to Section 1-9 (c), to take effect
ianship to that proposed guardian is in the child’s July 14, 2020, and amendment adopted June 11, 2021, to
or youth’s best interest. take effect Jan. 1, 2022.)
(Adopted June 11, 2021, to take effect Jan. 1, 2022.)
Sec. 35a-22. Where Presence of Person May
Sec. 35a-21. Appeals in Child Protection Be by Means of an Interactive Audiovisual
Matters Device
(Amended June 15, 2012, to take effect Jan. 1, 2013.) (a) The appearance of a person for any pro-
(a) Unless a different period is provided by stat- ceeding set forth in subsection (b) of this section
ute, appeals from final judgments or decisions of may, in the discretion of the judicial authority on
the Superior Court in child protection matters shall motion of a party or on its own motion, be made
be taken within twenty days from the issuance of by means of an interactive audiovisual device.
notice of the rendition of the judgment or decision Such audiovisual device must operate so that
from which the appeal is taken. If an extension to such person and his or her attorney, if any, and
file an appeal is granted, the extension may not the judicial authority if the proceeding is in court,
exceed an additional twenty days in all child pro- can see and communicate with each other simul-
tection appeals, except in an appeal in a termina- taneously. In addition, a procedure by which such
tion of parental rights proceeding, the extension person and his or her attorney can confer in pri-
may not exceed an additional forty days pursuant vate must be provided. Nothing contained in this
to Section 79a-2. section shall be construed to establish a right for
(b) If an indigent party, child or youth wishes to any person to be heard or to appear by means
appeal a final decision, the trial attorney shall file of an interactive audiovisual device or to require
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Sec. 35a-22 SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERS
the Judicial Branch to pay for such person’s (c) Unless otherwise required by law or unless
appearance by means of an interactive audiovi- otherwise ordered by the judicial authority, prior
sual device. to any proceeding in which a person appears by
(b) A person may appear by means of an inter- means of an interactive audiovisual device, copies
active audiovisual device in juvenile matters in of all documents which may be offered at the
the civil session, as defined by General Statutes proceeding shall be provided to all counsel and
§ 46b-121 (a), in the following proceedings or self-represented parties in advance of the pro-
under the following circumstances: ceeding.
(1) A party or a party’s representative in case (Adopted June 20, 2011, to take effect Jan. 1, 2012.)
status and case management conferences;
Sec. 35a-23. Child’s Hearsay Statement;
(2) If a parent or guardian is incarcerated in this
Residual Exception
state, he or she may participate in plea hearings,
judicial pretrials, order of temporary custody and (a) A party who seeks the admission of a hear-
termination of parental rights (TPR) case manage- say statement of a child pursuant to the residual
ment conferences, reviews of protective super- exception to the hearsay rule, based upon psy-
vision, permanency plan hearings, case status chological unavailability, shall provide a written
conferences, preliminary order of temporary cus- notice within a reasonable time before the trial.
tody hearings, neglect plea and disposition by (b) A notice pursuant to subsection (a) shall be
agreement, neglect trials, TPR plea hearings, filed with the court and shall be served on all
canvass of consents to TPR, contested transfer counsel of record and self-represented parties
of guardianship hearings, motions to revoke com- when appropriate, in accordance with Section 10-
mitment, emancipation petitions, and motions to 13. The notice shall identify the proffered state-
reinstate guardian; ment, the basis for the psychological unavailability
(3) If a parent or guardian is incarcerated in a claim and shall be filed within a reasonable time
federal correctional facility or another state’s cor- before the trial.
rectional facility, he or she may participate in all (c) A party who objects to the introduction of
matters set forth in subdivision (2) above and in the child’s hearsay statement and challenges the
contested hearings including, but not limited to, representations contained in the notice filed pur-
temporary custody hearings, neglect or uncared suant to subsection (b) of this section, shall file a
for proceedings or TPR trials; written objection with the court within a reasonable
(4) A foster parent, prospective adoptive parent time before the trial, stating the reasons therefor.
or relative caregiver may appear and be heard on (d) The judicial authority shall hold an eviden-
the best interests of the child or youth pursuant tiary hearing to determine the admissibility of the
to General Statutes § 46b-129 (o); child’s hearsay statement in a manner that does
(5) A sibling of any child committed to the Depart- not unduly delay resolution of the proceedings.
ment of Children and Families, upon motion, may The party seeking to introduce the statement shall
appear and be heard concerning visitation with, have the burden of proving the child’s psychologi-
and placement of, any such child pursuant to Gen- cal unavailability; specifically, that the child will
eral Statutes § 46b-129 (p); suffer serious emotional or mental harm if required
(6) A witness may testify in any proceeding in to testify.
the discretion of the judicial authority. (Adopted June 14, 2013, to take effect Jan. 1, 2014.)
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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; Issuance 36-11. Information and Complaint; Use
36-2. —Affidavit in Support of Application, Filing, Dis- 36-12. —Issuance of Information
closure 36-13. —Form of Information
36-3. —Contents of Warrant 36-14. —Former Conviction in Information
36-4. —Direction by Judicial Authority for Use of 36-15. —Filing and Availability of Information
Summons 36-16. Amendments; Minor Defects
36-5. —Execution and Return of Warrant 36-17. —Substantive Amendment before Trial
36-6. —Cancellation of Warrant 36-18. —Substantive Amendment after Commencement
36-7. Summons; Form of Summons and Complaint of Trial
36-8. —Issuance of Summons by Prosecuting Authority 36-19. —Request by Defendant for Essential Facts
in Lieu of Arrest Warrant 36-20. —Continuance Necessitated by Amendment
36-9. —Service of Summons 36-21. Joinder of Offenses in Information
36-10. —Failure To Respond to Summons 36-22. Joinder of Defendants
For previous Histories and Commentaries see the editions of the Practice Book
corresponding to the years of the previous amendments.
Sec. 36-1. Arrest by Warrant; Issuance (c) Any order sealing such affidavits from public
Upon the submission of an application for an inspection or limiting their disclosure shall be for
arrest warrant by a prosecuting authority, a judicial a specific period of time, not to exceed two weeks
authority may issue a warrant for the arrest of an from the date of arrest, and within that time period
accused person if the judicial authority determines the prosecuting authority may by written motion
that the affidavit accompanying the application seek an extension of the period. The original order
shows that there is probable cause to believe that of the court sealing the affidavit or limiting its dis-
an offense has been committed and that the closure shall remain in effect until the court issues
accused committed it. an order on the motion. The motion to extend the
(P.B. 1978-1997, Sec. 593.) period and the court’s order thereon shall be made
in accordance with the provisions of Section 42-
Sec. 36-2. —Affidavit in Support of Applica-
49A. Affidavits which are the subject of such an
tion, Filing, Disclosure
order shall remain in the custody of the clerk’s
(a) All affidavits submitted to the judicial author- office but shall be kept in a secure ___location apart
ity in support of the application for an arrest war- from the remainder of the court file as long as the
rant and from which a determination of probable order is in effect.
cause for the issuance of an arrest warrant has (d) Unless the judicial authority issuing an arrest
been made shall be filed with the clerk of the warrant has, upon written request of the prosecut-
court together with the return of the arrest warrant ing authority, entered an order limiting disclosure
pursuant to Section 44-11 and thereafter remain of the supporting affidavits, all affidavits filed pur-
a part of the court file. suant to this section shall be open to public
(b) At the time the arrest warrant is issued, upon inspection and copying and the clerk shall provide
written request of the prosecuting authority and copies to any person upon receipt of any applica-
for good cause shown, the judicial authority may ble fee.
order that the supporting affidavits be sealed from (P.B. 1978-1997, Sec. 593A.) (Amended May 14, 2003, to
public inspection or that disclosure be limited take effect July 1, 2003; amended June 21, 2004, to take
under such terms and conditions as it finds rea- effect Jan. 1, 2005; amended June 22, 2009, to take effect
sonable, subject to the further order of any judicial Jan. 1, 2010.)
authority thereafter having jurisdiction of the mat-
ter. No such order shall limit their disclosure to the Sec. 36-3. —Contents of Warrant
attorney for the accused, but the judicial authority The warrant shall be signed by the judicial
may place reasonable restrictions on the attor- authority and shall contain the name of the
ney’s further disclosure of the contents of the affi- accused person, or if such name is unknown, any
davits. name or description by which the accused can
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Sec. 36-3 SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS
be identified with reasonable certainty, and the Sec. 36-7. Summons; Form of Summons
conditions of release fixed, if any. It shall state the and Complaint
offense charged and direct any officer authorized A summons and complaint issued by a prose-
to execute it to arrest the accused person and to cuting authority or law enforcement officer shall:
bring him or her before a judicial authority without (1) Be in writing;
undue delay. (2) Be signed by the person issuing it with the
(P.B. 1978-1997, Sec. 594.) title of such person’s office;
(3) State the date of issuance and the munici-
Sec. 36-4. —Direction by Judicial Authority pality where issued;
for Use of Summons (4) Specify the name of the accused person;
(a) Instead of issuing an arrest warrant, even (5) Designate a time for appearance not more
where probable cause has been found, the judicial than fourteen days after issuance;
authority may direct that a summons and com- (6) State the offense charged against the
plaint be issued to an accused person pursuant accused person;
to Sections 36-7 through 36-10, unless the judicial (7) State that if the accused does not appear
authority determines that it is necessary to take at a specified time and place, an application may
the accused into custody for any of the follow- be made for the issuance of a warrant for arrest;
ing reasons: (8) Inform the accused that he or she is entitled
(1) The criminal offense involved is a felony; to be represented by an attorney;
(2) There are facts indicating a substantial likeli- (9) Inform any accused charged with an offense
hood that such person will not appear in court at punishable by incarceration who is unable to
the specified time and place unless taken into afford an attorney that he or she may be entitled
custody; to the services of a public defender.
(P.B. 1978-1997, Sec. 599.)
(3) Such person is likely to cause injury to him-
self or herself or to others, or is likely to cause Sec. 36-8. —Issuance of Summons by Pros-
serious damage to property; ecuting Authority in Lieu of Arrest Warrant
(4) The offense is likely to continue if such per- When a prosecuting authority receives a com-
son is not taken into custody; plaint that a misdemeanor has been committed,
(5) Custody is necessary for the protection of in lieu of applying for an arrest warrant, the pros-
such person or to provide that person with needed ecuting authority may summon the person or per-
medical or other aid; sons against whom the complaint is made to
(6) The person fails satisfactorily to identify him- appear before the court at the date and time speci-
self or herself; or fied in the summons. The prosecuting authority
(7) The person has previously failed to appear also may issue a summons when directed to do
in court when required to do so. so by the judicial authority pursuant to Section
(b) The failure to comply with this section shall 36-4.
(P.B. 1978-1997, Sec. 601.)
not be a ground for dismissal of an information,
but shall entitle the accused to be released upon Sec. 36-9. —Service of Summons
a written promise to appear where none of the The summons and complaint shall be served
foregoing reasons shall be found to exist. upon the accused by any law enforcement officer
(P.B. 1978-1997, Sec. 595.) by delivering a copy to the accused personally,
or by leaving it at the accused’s usual place of
Sec. 36-5. —Execution and Return of abode with a person of suitable age and discretion
Warrant then residing therein, or by mailing it by registered
The officer executing an arrest warrant may do or certified mail to the last known address of
so anywhere within the state upon apprehension the accused.
of the accused. The officer shall take the accused (P.B. 1978-1997, Sec. 602.)
into custody, serve a copy of the warrant upon Sec. 36-10. —Failure To Respond to Sum-
him or her and follow the procedure specified in mons
Section 38-1 or 38-2, whichever is applicable. Upon the failure of the officer to make due return
(P.B. 1978-1997, Sec. 596.) of a summons within two weeks of its issuance,
Sec. 36-6. —Cancellation of Warrant or upon the failure of the accused to respond to the
At the request of the prosecuting authority, any summons, the prosecuting authority may apply
unserved arrest warrant shall be returned to a for the arrest of the accused.
(P.B. 1978-1997, Sec. 603.)
judicial authority for cancellation. A judicial author-
ity also may direct that any unserved arrest war- Sec. 36-11. Information and Complaint; Use
rant be returned for cancellation. All felonies shall be prosecuted by information.
(P.B. 1978-1997, Sec. 597.) All misdemeanors, violations, and infractions shall
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SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS Sec. 36-18
be prosecuted by information or complaint. In all Sec. 36-14. —Former Conviction in Infor-
jury cases, and in all other cases on written mation
request of the defendant, the prosecuting author- Where the information alleges, in addition to
ity as of course shall issue an information in place the principal offense charged, a former conviction
of the uniform summons and complaint. or convictions, such information shall be in two
(P.B. 1978-1997, Sec. 616.) separate parts, each signed by the prosecuting
Sec. 36-12. —Issuance of Information authority. In the first part, the particular offense
An information shall be signed by the prosecut- with which the accused is charged shall be set
ing authority. When any person is arrested without out, and in the other part the former conviction or
a warrant or is issued a summons, the prosecuting convictions shall be alleged. In alleging the former
authority shall, without unnecessary delay, review conviction, it is sufficient that the information
the acts complained of and determine whether it allege the date when, the town or city where, and
appears that there is reasonable cause to believe the court wherein such conviction was obtained
that an offense has been committed within the and the crime of which the defendant was con-
jurisdiction of the court and that the person victed, all of which may be stated in accordance
arrested or the person to whom the summons was with the provisions of Section 36-13.
(P.B. 1978-1997, Sec. 619.)
issued committed the offense. If the prosecuting
authority determines that reasonable cause Sec. 36-15. —Filing and Availability of Infor-
exists, it shall, in cases where an information is mation
required, present an information to the court, pur- The information or complaint shall be filed with
suant to Section 36-11. If the prosecuting authority the clerk and be available for inspection by the
determines that reasonable cause does not exist, defendant or counsel for the defendant. Upon writ-
it shall not present the matter to the court, but an ten request, a copy thereof shall be furnished with-
entry shall be made on the case papers indicating out charge to the defendant or counsel for the
that prosecution was declined upon authority of defendant.
this section, and a brief statement shall be made (P.B. 1978-1997, Sec. 620.)
in open court. For purposes of erasure pursuant Sec. 36-16. Amendments; Minor Defects
to the General Statutes, that action shall be
deemed a dismissal. The judicial authority may order at any time
(P.B. 1978-1997, Sec. 617.) such relief as is required to remedy any defect,
imperfection or omission in the information or
Sec. 36-13. —Form of Information complaint, including the following:
The information shall be a plain, concise and (1) Any matter of form;
definite written statement of the offense charged. (2) Any miswriting, misspelling, or improper
The information need not contain a formal com- English;
mencement, a formal conclusion or any other mat- (3) Any misuse of a sign, symbol, figure, or
ter not necessary to such statement. Allegations abbreviation; or
made in one count may be incorporated by refer- (4) Any omission of the true name or any mis-
ence in another count. It may be alleged in a single spelling of the name of the defendant.
count that the means by which the defendant com- (P.B. 1978-1997, Sec. 622.)
mitted the offense are unknown or that the defend- Sec. 36-17. —Substantive Amendment before
ant committed the offense by one or more Trial
specified means. The information shall state for
If the trial has not commenced, the prosecuting
each count the official or customary citation of the authority may amend the information, or add addi-
statute, rule, regulation, or other provision of law tional counts, or file a substitute information. Upon
which the defendant is alleged to have violated. motion of the defendant, the judicial authority, in
The information shall also contain: its discretion, may strike the amendment or added
(1) The name of the court in which it is filed; counts or substitute information, if the trial or the
(2) The title of the action; cause would be unduly delayed or the substantive
(3) The name of the defendant; rights of the defendant would be prejudiced.
(4) A statement that such crime was committed (P.B. 1978-1997, Sec. 623.)
in a particular judicial district or geographical area,
or at a particular place within such judicial district Sec. 36-18. —Substantive Amendment after
or geographical area; and Commencement of Trial
(5) A statement that such crime was committed After commencement of the trial for good cause
on, or on or about, a particular date or period shown, the judicial authority may permit the prose-
of time. cuting authority to amend the information at any
(P.B. 1978-1997, Sec. 618.) time before a verdict or finding if no additional or
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Sec. 36-18 SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS
different offense is charged and no substantive Sec. 36-20. —Continuance Necessitated by
rights of the defendant would be prejudiced. An Amendment
amendment may charge an additional or different Within the judicial authority’s discretion, an
offense with the express consent of the defendant. extension of time, an adjournment, or a continu-
(P.B. 1978-1997, Sec. 624.)
ance reasonably necessitated by an amendment
Sec. 36-19. —Request by Defendant for may be granted.
Essential Facts (P.B. 1978-1997, Sec. 626.)
Whenever the information charges the offense
only by referring to the statute which is alleged Sec. 36-21. Joinder of Offenses in Infor-
to have been violated, the prosecuting authority, mation
upon written request of the defendant, shall as Two or more offenses may be charged in the
of course amend the information by adding or same information in a separate count for each
annexing thereto a statement of the essential facts offense for any defendant.
claimed to constitute the offense charged. Such (P.B. 1978-1997, Sec. 627.)
request shall be made not later than ten days
after the first pretrial conference unless otherwise Sec. 36-22. Joinder of Defendants
directed by the judicial authority for good cause Each defendant shall be charged in a sepa-
shown. rate information.
(P.B. 1978-1997, Sec. 625.) (P.B. 1978-1997, Sec. 628.)
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SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS Sec. 37-1
CHAPTER 37
ARRAIGNMENT
Sec. Sec.
37-1. Arraignment; Timing, Alternative Proceedings 37-6. —Appointment of Public Defender
37-2. —Information and Materials To Be Provided to the 37-7. Pleas; In General
Defendant Prior to Arraignment 37-8. —Plea of Guilty or Nolo Contendere
37-9. —Plea of Not Guilty
37-3. —Advisement of Constitutional Rights 37-10. —Taking of Plea when Information in Two Parts
37-4. —Collective Statement Advising of Constitutional 37-11. —Notice to Defendant when Information in Two
Rights Parts
37-5. —Reference to Public Defender; Investigation of 37-12. Defendant in Custody; Determination of Probable
Indigency Cause
For previous Histories and Commentaries see the editions of the Practice Book
corresponding to the years of the previous amendments.
Sec. 37-1. Arraignment; Timing, Alternative respects, be carried out in accordance with the
Proceedings* rules and procedures otherwise applicable to
(Amended June 11, 2021, to take effect Jan. 1, 2022.) arraignments, and any such arraignment shall be
(a) Unless otherwise provided in this section, a considered to have complied with the require-
defendant who is not released from custody ments set forth in General Statutes § 54-1g.
sooner shall be brought before a judicial authority (e) Any defendant whom the court has
for arraignment no later than the first court day arraigned pursuant to subsection (c) of this sec-
following arrest. A defendant not in custody shall tion and who has not posted bond or been other-
appear for arraignment in person at the time and wise released from custody prior to his or her
place specified in the summons or the terms of medical discharge or a determination that he or
release, or at such other date or place fixed by she is no longer incapacitated shall be presented
the judicial authority. to the court no later than the next court day follow-
(b) Except as provided in subsection (c) of this ing his or her medical discharge or the determina-
section, any defendant who is hospitalized, has tion that he or she is no longer incapacitated.
escaped, or is otherwise incapacitated shall be (f) Any defendant whom the court has arraigned
presented for arraignment no later than the next pursuant to subsection (c) of this section shall
court day following such defendant’s medical dis- have the right to de novo review of any orders
charge or return to police custody or a determina- entered at such arraignment.
(P.B. 1978-1997, Sec. 635.) (Amended June 11, 2021, to
tion that the defendant is no longer incapacitated. take effect Jan. 1, 2022.)
(c) The judicial authority may, upon motion of COMMENTARY—2022: This section has been amended
any party or upon its own motion, and for good to allow the judicial authority to arraign a defendant remotely
cause shown, arraign remotely, via interactive or without his or her presence if the defendant is hospitalized
audiovisual device or other remote technology, or otherwise incapacitated.
any defendant who is hospitalized or otherwise Although defendants have a fundamental constitutional
right to be physically present at all critical stages of trial; Rus-
incapacitated or, if a remote arraignment is not hen v. Spain, 464 U.S. 114, 117, 104 S. Ct. 453, 78 L. Ed.
feasible, arraign the defendant without his or her 2d 267 (1983); including arraignment, this change is intended
presence. Upon request, the judicial authority to balance a defendant’s right to be physically present at
shall provide counsel for the defendant with a arraignment with his or her other constitutional rights such as
reasonable opportunity to consult with the defend- the right to counsel, the right against self-incrimination, and
ant privately prior to any hearing on such motion the right to be released on bail. This change is also intended
to provide greater First Amendment access to the public in
and any arraignment conducted pursuant to this cases where the public might otherwise be excluded from an
subsection. For the purposes of this subsection, arraignment that needs to take place in a hospital room due
‘‘good cause’’ includes, but is not limited to, a risk to the defendant’s extended hospitalization. It is the intent that
that the defendant’s constitutional rights may be arraignments conducted pursuant to new subsection (c) of
violated were the defendant’s arraignment to be this section, particularly arraignments conducted without the
presence of the defendant, be conducted sparingly and only
conducted in accordance with subsection (b) of upon good cause.
this section. *APPENDIX NOTE: The Rules Committee of the Superior
(d) An arraignment conducted in accordance Court enacted, and the judges of the Superior Court subse-
with subsection (c) of this section shall, in all other quently adopted, certain changes to the provisions of this
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Sec. 37-1 SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS
rule in response to the public health and civil preparedness circumstances. The judicial authority shall also
emergencies declared on March 10, 2020, and renewed on advise the defendant of his or her rights pursuant
September 1, 2020, and January 26, 2021. The public health
emergency was renewed on June 28, 2022, and is scheduled
to subsection (a) of this section upon the defend-
to expire on December 28, 2022, or when the federal public ant’s first appearance in court.
health emergency ends. See Appendix of Section 1-9B (P.B. 1978-1997, Sec. 637.) (Amended June 11, 2021, to
Changes. take effect Jan. 1, 2022.)
Sec. 37-2. —Information and Materials To Sec. 37-4. —Collective Statement Advising
Be Provided to the Defendant Prior to Ar- of Constitutional Rights
raignment If the judicial authority shall have collectively
Prior to the arraignment of the defendant before informed all defendants of their rights at the open-
the judicial authority to determine the existence of ing of court, it shall preface the individual arraign-
probable cause to believe such person committed ment of each by asking whether he or she heard
the offense charged or to determine the conditions and understood the collective statement.
of such person’s release pursuant to Section 38- (P.B. 1978-1997, Sec. 638.)
4, the prosecuting authority shall provide the Sec. 37-5. —Reference to Public Defender;
defendant or counsel with a copy of any affidavit Investigation of Indigency
or report submitted to the court for the purpose
of making such determination; except that the judi- The judicial authority shall refer the defendant
cial authority may, upon motion of the prosecuting to the public defender for an investigation of indi-
authority and for good cause shown, limit the dis- gency unless the judicial authority:
closure of any such affidavit or report, or por- (1) Accepts the defendant’s waiver of counsel
tion thereof. in accordance with Section 44-3;
(P.B. 1978-1997, Sec. 635A.) (2) Is informed by the defendant, and con-
cludes, that the defendant has retained or will
Sec. 37-3. —Advisement of Constitutional retain private counsel within a reasonable time;
Rights (3) Decides to dispose of the case in accord-
(a) Unless a defendant has been previously ance with Section 44-1 (2); or
advised of his or her constitutional rights by a (4) Learns that the public defender has already
clerk pursuant to General Statutes § 54-64b or by conferred with the defendant at some time follow-
a judicial authority pursuant to General Statutes ing arrest and that the investigation of indigency
§ 54-1b, or unless the arraignment is proceeding has been made.
without the presence of the defendant in accord- (P.B. 1978-1997, Sec. 640.)
ance with subsection (c) of Section 37-1, the judi-
cial authority shall, personally and in open court, Sec. 37-6. —Appointment of Public De-
advise any defendant or defendants appearing for fender
arraignment, either individually or collectively of (a) If the judicial authority determines after
the following at the opening of the court session: investigation by the public defender that the
(1) That the defendant is not obligated to say defendant is indigent, the judicial authority may
anything and that anything the defendant says designate the public defender or a public defender
may be used against him or her; assigned counsel to represent the defendant
(2) That the defendant is entitled to the services unless, in a misdemeanor case, at the time of the
of an attorney; application for appointment of counsel, the judicial
(3) If the defendant is unable to pay for one, authority decides or believes that disposition of
what the procedures are through which the ser- the pending case will not result in a sentence
vices of an attorney will be provided for him or involving incarceration or a suspended sentence
her; and of incarceration with a period of probation or con-
(4) That the defendant will not be questioned ditional discharge, and makes a statement to that
unless he or she consents, that the defendant effect on the record. If the public defender or his
may consult with an attorney before being ques- or her office determines that a defendant is not
tioned and that the defendant may have an attor- eligible to receive the services of a public defender,
ney present during any questioning. the defendant may appeal the public defender’s
(b) If the judicial authority arraigns a defendant decision to the judicial authority in accordance
without his or her presence in accordance with with General Statutes § 51-297 (g). The judicial
subsection (c) of Section 37-1, the judicial author- authority may not appoint the public defender or
ity shall order that the defendant be informed in a public defender assigned counsel unless the
writing of his or her rights under subsection (a) judicial authority finds the defendant indigent fol-
of this section as quickly as possible under the lowing such appeal. If a conflict of interest or other
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SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS Sec. 37-12
circumstance exists which prevents the public conference, a probable cause hearing, and/or a
defender from representing the defendant, the trial.
judicial authority, upon recommendation of the (P.B. 1978-1997, Sec. 645.)
public defender or upon its own motion, may
appoint a public defender assigned counsel to Sec. 37-10. —Taking of Plea when Informa-
represent the defendant. tion in Two Parts
(b) The fact that the judicial authority, in a mis- Where the information is in two parts pursuant
demeanor case, decides or believes that disposi- to Section 36-14 and alleges, in addition to the
tion of the pending case will not result in a principal offense charged, a former conviction or
sentence involving incarceration or a suspended convictions, the plea and the election of a method
sentence of incarceration with a period of proba- of trial shall first be taken only on the first part of
tion or conditional discharge, shall not preclude the information.
the judicial authority from appointing, in its discre- (P.B. 1978-1997, Sec. 647.)
tion, a public defender or a public defender assigned Sec. 37-11. —Notice to Defendant when
counsel to represent an indigent defendant. Information in Two Parts
(c) The judicial authority may designate the pub- (Amended June 15, 2012, to take effect Jan. 1, 2013.)
lic defender or a public defender assigned counsel Prior to the time the defendant enters a guilty
to represent a defendant who is subject to a plea, or, if the defendant pleads not guilty, prior
motion to arraign such defendant remotely or with- to the commencement of trial, the court shall notify
out his or her presence, pursuant to subsection the defendant of the contents of the second part
(c) of Section 37-1, and who is not represented of the information. The clerk shall enter on the
by counsel. Counsel for the defendant shall file docket the time and place of the giving of such
an appearance in accordance with subsection (c) notification and, where necessary, shall include
of Section 3-6. Such appearance shall expire entry thereof in the judgment file.
upon the defendant’s first appearance in court. If (P.B. 1978-1997, Sec. 648.) (Amended June 15, 2012, to
the defendant thereafter applies for public take effect Jan. 1, 2013.)
defender services, the judicial authority may des-
ignate the public defender or public defender Sec. 37-12. Defendant in Custody; Determi-
assigned counsel to represent the defendant in nation of Probable Cause*
full in accordance with subsection (a) of this (a) If a defendant has been arrested without a
section. warrant and has not been released from custody
(P.B. 1978-1997, Sec. 641.) (Amended June 11, 2021, to by the time of the arraignment or is not released
take effect Jan. 1, 2022.) at the arraignment pursuant to Section 38-4, the
Sec. 37-7. Pleas; In General judicial authority shall, unless waived by the defen-
dant, make an independent determination as to
Upon being read the charges against him or
whether there is probable cause for believing that
her contained in the information or complaint, the
the offense charged has been committed by the
defendant shall enter a plea of not guilty, guilty,
defendant. Unless such a defendant is released
or nolo contendere.
(P.B. 1978-1997, Sec. 643.) sooner, such probable cause determination shall
be made no later than forty-eight hours following
Sec. 37-8. —Plea of Guilty or Nolo Con- the defendant’s arrest. Such determination shall
tendere be made in a nonadversary proceeding, which
A plea of guilty or nolo contendere shall be may be ex parte based on affidavits. If no such
entered in accordance with Sections 39-1 and 39- probable cause is found, the judicial authority shall
18. If the case is to be continued for sentencing, release the defendant from custody.
the judicial authority shall set a date for the sen- (b) At the time the judicial authority makes its
tencing hearing and, if necessary, order a presen- probable cause determination pursuant to sub-
tence investigation. section (a), the judicial authority may, on its own
(P.B. 1978-1997, Sec. 644.) motion or upon written request of any party and
for good cause shown, order that any affidavits
Sec. 37-9. —Plea of Not Guilty submitted in support of a finding of probable cause,
Any defendant who pleads not guilty shall be including any police reports, be sealed from public
asked whether he or she desires a trial either by inspection or that disclosure be limited under such
the court or by a jury. Pursuant to these rules, terms and conditions as it finds reasonable, sub-
including Sections 44-11 through 44-17, the case ject to the further order of any judicial authority
shall be placed on the trial list and, where possible thereafter having jurisdiction of the matter. If such
or necessary, assigned dates for a disposition a request has been granted, the moving party
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Sec. 37-12 SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS
may have up to seven days to make a recommen- in a secure ___location apart from the remainder of
dation as to the details of the sealing order. If no the file as long as the order is in effect.
such recommendation is made within that time (d) Unless the judicial authority entered an order
period, the supporting affidavits shall be made limiting disclosure of the affidavits submitted to the
public. No such order shall limit their disclosure judicial authority in support of a finding of probable
to the attorney for the accused, but the judicial cause, whether or not probable cause has been
authority may place reasonable restrictions on the found, all such affidavits, including any police
further disclosure of the contents of the affidavits reports, shall be made part of the court file and
by the attorney for the accused and the prosecut- be open to public inspection and copying, and
ing authority. the clerk shall provide copies to any person upon
(c) Any order sealing such affidavits from public receipt of any applicable fee.
inspection or limiting their disclosure shall be for (P.B. 1978-1997, Sec. 650.) (Amended June 29, 2007, to
a specific period of time, not to exceed two weeks take effect Jan. 1, 2008; amended June 22, 2009, to take
effect Jan. 1, 2010.)
from the date of the court’s probable cause deter- *APPENDIX NOTE: The Rules Committee of the Superior
mination, and within that time period the party who Court enacted, and the judges of the Superior Court subse-
obtained the order may, by written motion, seek quently adopted, certain changes to the provisions of this
an extension of the period. The original order of rule in response to the public health and civil preparedness
the court sealing such affidavits or limiting their emergencies declared on March 10, 2020, and renewed on
September 1, 2020, and January 26, 2021. The public health
disclosure shall remain in effect until the court emergency was renewed on June 28, 2022, and is scheduled
issues an order on the motion. Affidavits which to expire on December 28, 2022, or when the federal public
are the subject of such an order shall remain in health emergency ends. See Appendix of Section 1-9B
the custody of the clerk’s office but shall be kept Changes.
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SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS Sec. 38-2
CHAPTER 38
PRETRIAL RELEASE
Sec. Sec.
38-1. Release from Custody; Superior Court Arrest War- 38-11. Request for Judicial Determination of Release
rant where Appearance before Clerk Required 38-12. Attorneys Not Allowed To Give Bonds
38-2. Release Following Any Other Arrest; Release by 38-13. Bail Modification; In General
Law Enforcement Officer or Probation Officer 38-14. —Motion of Parties for Bail Modification
Serving Warrant 38-15. —Application of Bail Commissioner
38-3. —Release by Bail Commissioner or Intake, Assess- 38-16. —Application of Surety
ment and Referral Specialist 38-17. —Hearing on Motion or Application for Modification
38-4. —Release by Judicial Authority of Bail
38-5. —Release by Correctional Officials 38-18. —Review of Detention Prior to Arraignment, Trial
38-6. Appearance after Release or Sentencing
38-7. Cash Bail 38-19. Violation of Conditions of Bail; Order To Appear
38-8. Ten Percent Cash Bail 38-20. —Sanctions for Violation of Conditions of Release
38-9. Real Estate Bond 38-21. —Forfeiture of Bail and Rearrest Warrant
38-10. Factors To Be Considered by the Judicial Authority 38-22. Rebate of Forfeited Bonds
in Release Decision [Repealed] 38-23. Discharge of Surety’s Obligation
For previous Histories and Commentaries see the editions of the Practice Book
corresponding to the years of the previous amendments.
Sec. 38-1. Release from Custody; Superior or she shall be given the opportunity to contact
Court Arrest Warrant where Appearance private counsel or the public defender. If the
before Clerk Required arrested person is not released because of his or
(a) When any person is arrested on a warrant her failure to enter into the conditions of release
pursuant to General Statutes § 54-2a in which the fixed by the judicial authority, or if he or she has
judicial authority issuing such warrant has indi- been arrested for an offense that is not bailable,
cated that bail should be denied, or has ordered the arrested person shall be presented before a
that the arrested person be brought before a clerk judicial authority pursuant to Section 37-1.
or assistant clerk of the Superior Court, the (b) When any person is arrested on a bench
arresting officer shall, without undue delay, bring warrant of arrest issued by a judicial authority, in
such person before the clerk or assistant clerk of which the judicial authority has not indicated that
the Superior Court for the geographical area bail should be denied, or has not ordered that
where such offense is alleged to have been com- the officer making such arrest bring such person
mitted during the office hours of such clerk and, before the clerk, the officer making the arrest shall,
if such clerk’s office is not open, the arresting without undue delay, comply with the provisions
officer shall, without undue delay, bring such per- of Sections 38-2 and 38-3 in setting the conditions
son to a holding facility within the geographical of release for such person.
(P.B. 1978-1997, Sec. 654.) (Amended June 15, 2018, to
area where such offense is alleged to have been take effect Jan. 1, 2019.)
committed or, if there is no such facility available
within such geographical area, to the nearest Sec. 38-2. Release Following Any Other
available facility, or the York Correctional Institu- Arrest; Release by Law Enforcement Officer
tion. Such clerk or assistant clerk or such person or Probation Officer Serving Warrant
designated by the Commissioner of Correction (Amended June 15, 2018, to take effect Jan. 1, 2019.)
shall advise the arrested person of the warnings (a) Except in cases of arrest pursuant to a war-
contained in Section 37-3 and, when the judicial rant in which the judicial authority has indicated
authority has not indicated that bail should be that bail should be denied or has ordered that
denied, shall release the arrested person upon the arrested person be brought before a clerk or
his or her entering into the conditions of release assistant clerk of the Superior Court, when any
fixed in the warrant, conditioned that the arrested person is taken into custody for a bailable offense
person shall appear before the Superior Court that person shall be brought promptly to a police
having criminal jurisdiction in and for the geo- station or other lawful place of detention, where,
graphical area to answer to the bench warrant as quickly as possible under the circumstances,
of arrest and information filed in the case. If the he or she shall be informed or warned in writ-
arrested person was brought to such a facility, he ing of his or her rights under Section 37-3 and
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Sec. 38-2 SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS
of his or her right to be interviewed concerning (1) Avoid all contact with the alleged victim of
the terms and conditions of release. Unless the the crime;
arrested person waives or refuses such interview, (2) Comply with specified restrictions on his or
a law enforcement officer or a probation officer her travel, association, or place of abode that are
serving a violation of probation warrant shall directly related to the protection of the alleged
promptly interview that person to obtain informa- victim of the crime;
tion relevant to the terms and conditions of his or (3) Not use or possess a dangerous weapon,
her release from custody and shall seek indepen- intoxicant or controlled substance.
dent verification of such information where neces- Any nonfinancial conditions of release imposed
sary. At the request of the arrested person, his or pursuant to this subsection shall remain in effect
her counsel may be present during such interview. until the arrested person is presented before the
No statement made by the arrested person in Superior Court. On such date, the judicial author-
response to any question during the interview ity shall conduct a hearing pursuant to General
related to the terms and conditions of release shall Statutes § 46b-38c, at which the arrested person
be admissible as evidence against the arrested is entitled to be heard with respect to the issuance
person in any proceeding arising from the inci- of a protective order.
dent for which the conditions of release were set. An officer imposing nonfinancial conditions of
After such a waiver, refusal or interview, the law release shall, on a form prescribed by the Office
enforcement officer or probation officer shall of the Chief Court Administrator, indicate such
promptly order release of the arrested person conditions and state and swear to:
upon his or her execution of a written promise to (1) The efforts that were made to contact a
appear or his or her posting of a bond with or bail commissioner;
without surety in such amount as may be set by (2) The specific factual basis relied upon by the
such officer, except that no condition of release officer to impose the nonfinancial conditions of
set by the judicial authority may be modified by release; and
such officer, and no person shall be released upon (3) If the arrested person was non-English
the execution of a written promise to appear or speaking, that the services of a translation service
the posting of a bond without surety if the person or interpreter were used.
is charged with a family violence crime and, in the A copy of this form shall be provided to the
arrested person immediately, and a copy of this
commission of such crime, the person used or
form shall also be provided to counsel for the
threatened the use of a firearm. If the arrested
arrested person at arraignment.
person has not posted bail, the officer shall imme- (c) No officer shall set the terms and conditions
diately notify a bail commissioner. The officer may of an arrested person’s release, set a bond for an
administer such oaths as are necessary in the arrested person, or release an arrested person
taking of promises or bonds. from custody under this section unless the officer
(b) If the arrested person is charged with a fam- has first checked the National Crime Information
ily violence crime, and the police officer or proba- Center (NCIC) computerized index of criminal jus-
tion officer does not intend to impose nonfinancial tice information to determine if the arrested person
conditions of release pursuant to this subsection, is listed in the index.
the police officer or probation officer shall promptly (P.B. 1978-1997, Sec. 656.) (Amended June 15, 2018, to
order the release of such person pursuant to the take effect Jan. 1, 2019.)
procedure set forth in subsection (a) of this sec- Sec. 38-3. —Release by Bail Commissioner
tion. If the arrested person is not so released, the or Intake, Assessment and Referral Spe-
officer shall make reasonable efforts to contact cialist
a bail commissioner or an intake, assessment and (Amended June 15, 2018, to take effect Jan. 1, 2019.)
referral specialist immediately. If, after making (a) Upon notification by a law enforcement offi-
such reasonable efforts, the officer is unable to cer that an arrested person has not posted bail,
contact a bail commissioner or an intake, assess- a bail commissioner or an intake, assessment and
ment and referral specialist, or the officer makes referral specialist shall promptly conduct an inter-
contact, but the bail commissioner or intake, view and investigation and, based upon release
assessment and referral specialist is unavailable criteria established by the court support services
promptly to perform his or her duties pursuant to division, shall, except as provided in subsection
Section 38-3, the officer shall order the release (c) of this section, promptly order the release of
of the arrested person pursuant to the procedure the arrested person upon the first of the following
set forth in subsection (a) of this section, and may conditions of release found sufficient to ensure
impose nonfinancial conditions of release, which his or her appearance in court:
may require the arrested person to do one or more (1) The arrested person’s execution of a written
of the following: promise to appear without special conditions;
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SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS Sec. 38-4
(2) The arrested person’s execution of a written effect Jan. 1, 2014; amended June 15, 2018, to take effect
promise to appear with any of the nonfinancial Jan. 1, 2019.)
conditions specified in subsection (b) of this sec- Sec. 38-4. —Release by Judicial Authority
tion;
(3) The arrested person’s execution of a bond (a) Except as provided in subsection (c) of this
without surety in no greater amount than nec- section, when any defendant is presented before
essary; a judicial authority, such authority shall, in bailable
(4) The arrested person’s execution of a bond offenses, promptly order the release of such
with surety in no greater amount than necessary. defendant upon the first of the following conditions
If the arrested person is unable to meet the of release found sufficient to reasonably ensure
conditions of release ordered, the bail commis- the defendant’s appearance in court:
sioner or intake, assessment and referral special- (1) The defendant’s execution of a written prom-
ist shall inform the court in a report prepared ise to appear without special conditions;
pursuant to subsection (d) of this section. (2) The defendant’s execution of a written prom-
(b) In addition to or in conjunction with any of ise to appear with nonfinancial conditions;
the conditions enumerated in subsection (a) of (3) The defendant’s execution of a bond without
this section, the bail commissioner or intake, surety in no greater amount than necessary;
assessment and referral specialist may impose (4) The defendant’s deposit with the clerk of the
nonfinancial conditions of release, which may court of an amount of cash equal to 10 percent
require that the arrested person do any of the fol- of the amount of the surety bond set, pursuant to
lowing: Section 38-8;
(1) Remain under the supervision of a desig- (5) The defendant’s execution of a bond with
nated person or organization; surety in no greater amount than necessary.
(2) Comply with specified restrictions on his or In no event shall the judicial authority prohibit
her travel, association, or place of abode; a bond from being posted by surety.
(3) Not engage in specified activities, including (b) The judicial authority may, in determining
the use or possession of a dangerous weapon, what conditions of release will reasonably ensure
an intoxicant or a controlled substance; the appearance of the defendant in court pursuant
(4) Avoid all contact with an alleged victim of to subsection (a) of this section, consider the fol-
the crime and with a potential witness who may lowing factors:
testify concerning the offense; or
(5) Satisfy any other condition that is reasonably (1) The nature and circumstances of the
necessary to ensure his or her appearance in offense;
court. (2) The defendant’s record of previous con-
Any of the conditions imposed under subsection victions;
(a) of this section and this subsection shall be (3) The defendant’s past record of appearance
effective until the appearance of such person in in court;
court. (4) The defendant’s family ties;
(c) No person shall be released upon the execu- (5) The defendant’s employment record;
tion of a written promise to appear or the posting (6) The defendant’s financial resources, char-
of a bond without surety if the person is charged acter and mental condition; and
with a family violence crime and, in the commis- (7) The defendant’s community ties.
sion of such crime, the person used or threatened (c) When any defendant charged with a serious
the use of a firearm. felony enumerated in General Statutes § 54-64a
(d) The bail commissioner shall prepare for (b) (1) or a family violence crime is presented
review by the judicial authority an interview record before a judicial authority, such authority shall, in
and a written report for each person interviewed. bailable offenses, promptly order the release of
The written report shall contain the information such defendant upon the first of the following con-
obtained during the interview and verification pro- ditions of release found sufficient to reasonably
cess, the arrested person’s prior criminal record, ensure the defendant’s appearance in court and
if possible, the determination or recommenda- that the safety of any other person will not be
tion of the bail commissioner concerning terms endangered:
and conditions of release, and, where applicable, (1) The defendant’s execution of a written prom-
a statement that the arrested person was unable
ise to appear without special conditions;
to meet the conditions of release ordered by the
bail commissioner or the intake, assessment and (2) The defendant’s execution of a written prom-
referral specialist. ise to appear with nonfinancial conditions;
(P.B. 1978-1997, Sec. 657.) (Amended June 29, 1998, to (3) The defendant’s execution of a bond without
take effect Jan. 1, 1999; amended June 14, 2013, to take surety in no greater amount than necessary;
383
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Sec. 38-4 SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS
(4) The defendant’s deposit with the clerk of the (B) The defendant will obstruct or attempt to
court of an amount of cash equal to 10 percent obstruct justice, or threaten, injure or intimidate,
of the amount of the surety bond set, pursuant to or attempt to threaten, injure or intimidate a pro-
Section 38-8; spective witness or juror; or
(5) The defendant’s execution of a bond with (C) The defendant will engage in conduct that
surety in no greater amount than necessary. threatens the safety of himself or herself or
In no event shall the judicial authority prohibit another person.
a bond from being posted by surety. In making such finding, the judicial authority
(d) The judicial authority may, in determining may consider past criminal history, including any
what conditions of release will reasonably ensure prior record of failing to appear as required in
the appearance of the defendant in court and that court that resulted in any conviction for failure to
the safety of any other person will not be endan- appear in the first degree, in violation of General
gered pursuant to subsection (c) of this section, Statutes § 53a-172, or any conviction during the
consider the following factors: previous ten years for failure to appear in the
(1) The nature and circumstances of the second degree, in violation of General Statutes
offense; § 53a-173, and any other pending criminal cases.
(f) In addition to or in conjunction with any of
(2) The defendant’s record of previous con-
the conditions enumerated in subsection (a) or (c)
victions;
of this section, the judicial authority may, when it
(3) The defendant’s past record of appearance has reason to believe that the defendant is drug-
in court after being admitted to bail; dependent and where necessary, reasonable,
(4) The defendant’s family ties; and appropriate, order the person to submit to a
(5) The defendant’s employment record; urinalysis drug test and to participate in a program
(6) The defendant’s financial resources, char- of periodic drug testing and treatment. The results
acter and mental condition; of any such drug test shall not be admissible in any
(7) The defendant’s community ties; criminal proceeding concerning such defendant.
(8) The number and seriousness of the charges (g) If the judicial authority determines that a non-
pending against the defendant; financial condition of release should be imposed
(9) The weight of evidence against the defen- in addition to or in conjunction with any of the con-
dant; ditions enumerated in subsection (a) or (c) of this
(10) The defendant’s history of violence; section, the judicial authority shall order the pre-
(11) Whether the defendant has previously trial release of the defendant subject to the least
been convicted of similar offenses while released restrictive condition or combination of conditions
on bond; and that the judicial authority determines will reason-
(12) The likelihood based upon the expressed ably ensure the appearance of the defendant in
intention of the defendant that he or she will com- court and, when the defendant is charged with a
mit another crime while released. felony enumerated in General Statutes § 54-64a
When imposing conditions of release under (b) (1) or a family violence crime, that the safety
subsection (c) of this section, the court shall state of any person will not be endangered, which con-
for the record any factors under subsection (d) of ditions may include an order that he or she do
this section that it considered and the findings that one or more of the following:
it made as to the danger, if any, that the defendant (1) Remain under the supervision of a desig-
might pose to the safety of any other person upon nated person or organization;
the defendant’s release that caused the court to (2) Comply with specified restrictions on his or
impose the specific conditions of release that it her travel, association, or place of abode;
imposed. (3) Not engage in specified activities, including
(e) If the defendant is charged with no offense the use or possession of a dangerous weapon,
other than a misdemeanor, the court shall not an intoxicant or a controlled substance;
(4) Provide sureties of the peace pursuant to
impose financial conditions of release on such General Statutes § 54-56f under supervision of a
person unless: designated bail commissioner or intake, assess-
(1) The defendant is charged with a family vio- ment and referral specialist;
lence crime; (5) Avoid all contact with an alleged victim of
(2) The defendant requests such financial con- the crime and with a potential witness who may
ditions; or testify concerning the offense;
(3) The judicial authority makes a finding on the (6) Maintain employment or, if unemployed,
record that there is a likely risk that: actively seek employment;
(A) The defendant will fail to appear in court, (7) Maintain or commence an educational
as required; program;
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SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS Sec. 38-8
(8) Be subject to electronic monitoring; or *APPENDIX NOTE: The Rules Committee of the Superior
(9) Satisfy any other condition that is reasonably Court enacted, and the judges of the Superior Court subse-
necessary to ensure the appearance of the quently adopted, certain changes to the provisions of this
defendant in court and that the safety of any other rule in response to the public health and civil preparedness
emergencies declared on March 10, 2020, and renewed on
person will not be endangered. September 1, 2020, and January 26, 2021. The public health
The judicial authority shall state on the record emergency was renewed on June 28, 2022, and is scheduled
its reasons for imposing any such nonfinancial to expire on December 28, 2022, or when the federal public
condition. health emergency ends. See Appendix of Section 1-9B
(h) The judicial authority may require that the Changes.
defendant subject to electronic monitoring pursu-
ant to subsection (g) of this section pay directly Sec. 38-7. Cash Bail
to the electronic monitoring service provider a fee In any criminal case in which a bond is allowed
for the cost of such electronic monitoring services.
If the judicial authority finds that the defendant or required and the amount thereof has been
subject to electronic monitoring is indigent and determined, the defendant, or any person in his
unable to pay the costs of electronic monitoring or her behalf, may deposit with the clerk of the
services, it shall waive such costs. court having jurisdiction of the offense with which
(i) If any defendant is not released, the judicial the defendant stands charged, or any assistant
authority shall order the defendant committed to clerk of such court who is bonded in the same
the custody of the Commissioner of Correction manner as the clerk, or any person or officer
until he or she is released or discharged in due authorized to accept bail, a sum of money equal
course of law. to the amount called for by such bond, and such
(P.B. 1978-1997, Sec. 658.) (Amended June 20, 2005, to defendant shall thereupon be admitted to bail.
take effect Jan. 1, 2006; amended June 26, 2006, to take
effect Jan. 1, 2007; amended June 15, 2012, to take effect When cash bail is offered, such bond shall be
Jan. 1, 2013; amended June 15, 2018, to take effect Jan. executed and the money shall be received in lieu
1, 2019.) of a surety or sureties upon such bond. Such cash
Sec. 38-5. —Release by Correctional Offi- bail shall be retained by the clerk of such court
cials until a final order of the judicial authority disposing
Any person who has not made bail shall be of the case is entered, provided that if such bond
detained in a correctional facility and shall be is forfeited, the clerk of such court shall pay the
released from such institution upon entering into money to the obligee named therein, according
a recognizance, with sufficient surety, or upon to the terms and conditions of the bond. Upon
posting cash bail as provided in Sections 38-7 discharge of the bond the cash deposit made with
and 38-9 for his or her appearance before the the clerk shall be returned to the person depositing
court having cognizance of the offense, which are the same.
to be taken by any person designated by the Com- (P.B. 1978-1997, Sec. 663.)
missioner of Correction at such institution where
such person is detained. The person so desig- Sec. 38-8. Ten Percent Cash Bail
nated shall deliver the recognizance or cash bail
to the clerk of the appropriate court before the Unless otherwise ordered by the judicial author-
opening of such court on the first court day there- ity, 10 percent cash bail shall be automatically
after. available for surety bonds not exceeding $20,000.
(P.B. 1978-1997, Sec. 659.) (Amended June 15, 2018, to For surety bond amounts exceeding $20,000, 10
take effect Jan. 1, 2019.) percent cash bail may be granted pursuant to
Sec. 38-6. Appearance after Release* an order of the judicial authority. This 10 percent
The person taking any promise or bond shall option applies to bonds set by court as well as
give the defendant released thereunder a copy bonds set at the police department.
of such promise or bond, which shall notify the When 10 percent cash bail is authorized either
defendant of the time when and the place where automatically or pursuant to court order, upon the
he or she is next to appear and of the penalty for depositing in cash, by the defendant or any person
failure to appear. The initial appearance date shall in his or her behalf other than a paid surety, of
not be more than fourteen days after the date of 10 percent of the surety bond set, the defendant
arrest, unless the defendant has been arrested shall thereupon be admitted to bail in the same
for a crime of family violence, in which case the manner as a defendant who has executed a bond
defendant shall be promptly presented before the
Superior Court sitting next regularly for the geo- for the full amount. If such bond is forfeited, the
graphical area where the offense is alleged to defendant shall be liable for the full amount of the
have been committed. bond. Upon discharge of the bond, the 10 percent
(P.B. 1978-1997, Sec. 661.) cash deposit made with the clerk shall be returned
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Sec. 38-8 SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS
to the person depositing the same, less any fee Sec. 38-10. Factors To Be Considered by the
that may be required by statute. Judicial Authority in Release Decision
(P.B. 1978-1997, Sec. 664.) (Amended June 13, 2019, to [Repealed as of Jan. 1, 2006.]
take effect Jan. 1, 2020.)
Sec. 38-11. Request for Judicial Determina-
Sec. 38-9. Real Estate Bond tion of Release
Upon written motion of the defendant or the
(a) In lieu of a cash bond, the defendant, or prosecuting authority, the judicial authority shall
any person in the defendant’s behalf, may pledge state on the record its reasons for imposing the
equity in real property located within the state of particular conditions of release which were estab-
Connecticut as bond. lished.
(b) Unless otherwise ordered by the judicial (P.B. 1978-1997, Sec. 668.)
authority, the pledge shall be accepted and the Sec. 38-12. Attorneys Not Allowed To Give
defendant shall be admitted to bail upon receipt Bonds
of the following: (1) proof that a notice of lien No attorney shall give any bond or recogni-
containing the terms of the bond has been prop- zance in any criminal action or proceeding in
erly filed, pursuant to the provisions of General which he or she is interested as an attorney.
Statutes § 54-66, on a form prescribed by the (P.B. 1978-1997, Sec. 669.)
Office of the Chief Court Administrator in the office Sec. 38-13. Bail Modification; In General
of the town clerk of the town in which the property
The judicial authority shall have the power to
is located; (2) a current certificate of title from an
modify or revoke at any time the terms and condi-
attorney containing a listing of all encumbrances tions of release as provided for in these rules.
of record including the notice of lien; (3) one inde- (P.B. 1978-1997, Sec. 673.)
pendent appraisal by a licensed real estate
appraiser prepared within ninety days of applica- Sec. 38-14. —Motion of Parties for Bail Mod-
tion as to present fair market value; and (4) an ification
affidavit by each owner of the property setting Whenever the prosecuting authority or the
forth (A) the ___location of the property, (B) the affi- defendant alleges that any bond with or without
surety is excessive or insufficient in amount or
ant’s ownership interest therein, (C) the amount
security or that the written promise of the defend-
of the affiant’s equity in the property, (D) the pre- ant to appear is inadequate, that person may
sent fair market value as shown on the appraisal, make a motion to a judicial authority to modify or
(E) the present amount of each encumbrance of set terms and conditions of release. Such motion
record filed prior to the notice of lien required by shall be served prior to the hearing date upon the
this subsection, and the present amount of any opposing party, the sureties upon any bond and
tax liabilities, and (F) whether the same property the appropriate bail commissioner, unless other-
is pledged as security for any other bonds under wise ordered by the judicial authority.
this section or for any other purpose. (P.B. 1978-1997, Sec. 674.)
(c) All record owners of the property as well Sec. 38-15. —Application of Bail Commis-
as the accused shall enter into a bond for the sioner
appearance of the accused. A bail commissioner who has reason to believe
(d) The value of the owner’s equity as calculated that a person released under any of the provisions
and verified pursuant to this section shall be not of these rules or of the General Statutes intends
less than the amount of bail set by the judicial not to appear in court as required by the conditions
authority, but shall not be required to be in any of release may apply to a judicial authority for the
greater amount unless the equity is pledged as court before whom such person is required to
security for other bonds under this section, in appear, and verify by oath the reason for this
which case the value of the equity shall be not belief, and request that such person be brought
before the judicial authority in order that the condi-
less than the total amount of all bonds for which tions of release be reviewed. Upon finding reason-
it is pledged. able grounds to believe that the released person
(e) Upon order of forfeiture of the bond, the intends not to appear, such judicial authority shall
procedures set forth in General Statutes § 54-66 forthwith issue a capias directed to a proper officer
shall be followed. or indifferent person, commanding him or her
(P.B. 1978-1997, Sec. 665.) (Amended June 30, 2003, to forthwith to arrest and bring such person to the
take effect Jan. 1, 2004.) court for a hearing to review the conditions of his
386
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SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS Sec. 38-19
or her release. Copies of the bail commissioner’s assurance of the appearance of the defendant
application shall be served upon the defendant, in court:
the prosecuting authority and any sureties upon (1) The defendant’s execution of a written prom-
any bond. ise to appear;
(P.B. 1978-1997, Sec. 675.) (2) The defendant’s execution of a bond without
Sec. 38-16. —Application of Surety surety in no greater amount than necessary;
(3) The defendant’s deposit with the clerk of the
(a) A surety upon a bail bond who believes that court of an amount equal to 10 percent of the
his or her principal intends not to appear in court surety bond set, pursuant to Section 38-8;
as required by the conditions of release shall file (4) The defendant’s execution of a bond with
with a judicial authority an application, with a sum- surety in no greater amount than necessary.
mons and citation, setting forth the reasons for (b) If, after such hearing, the judicial authority
his or her belief, verified by oath and requesting relieves a surety of his or her undertaking on a
that the judicial authority issue either a summons bond, it may enter such order contingent upon
and citation or a capias to compel the appearance the return of such portion of the bond fee as it
of the released person before the judicial authority deems equitable.
for a hearing to review the conditions of such (P.B. 1978-1997, Sec. 676.)
person’s release.
(b) Except as provided below, in lieu of issuing Sec. 38-18. —Review of Detention Prior to
a capias the judicial authority may order a copy Arraignment, Trial or Sentencing*
of the surety’s application and a summons and (a) No person shall be detained in a correctional
citation, signed by the judicial authority or the clerk facility for arraignment, sentencing or trial for an
or assistant clerk of the court, to be served on the offense not punishable by death for longer than
principal by a proper officer or indifferent person forty-five days, unless at the expiration of such forty-
summoning him or her to appear in court at a time five days such person is presented to the judicial
and place named for a hearing upon such appli- authority having cognizance of the offense. On
cation. each such presentment, the judicial authority may
(c) If the judicial authority determines that it reduce, modify or discharge such bail. On the expira-
is necessary to take the accused into custody tion of each successive forty-five day period, such
because there are facts indicating a substantial person may again by motion be presented to the
likelihood that such person will not appear in court judicial authority for such purpose.
as required by the conditions of his or her release (b) If the offense is classified as a class D felony
unless he or she is taken into custody, it shall or as a misdemeanor, the time period under this
issue a capias directed to a proper officer or indif- section shall be thirty days, except with regard to
ferent person commanding that person forthwith a person charged with a crime in another state and
to arrest and bring the released person to the detained pursuant to chapter 964 of the General
court for a hearing to review the conditions of his Statutes or a person detained for violation of his
or her release. However, a capias shall not issue parole pending a parole revocation hearing.
unless the application sets forth the particular (P.B. 1978-1997, Sec. 677.)
facts in narrative form which lead the surety to *APPENDIX NOTE: The Rules Committee of the Superior
believe there is a substantial likelihood that such Court enacted, and the judges of the Superior Court subse-
person will not appear in court. quently adopted, certain changes to the provisions of this
rule in response to the public health and civil preparedness
(d) All expenses incurred pursuant to the issu- emergencies declared on March 10, 2020, and renewed on
ance and service of the capias or summons shall September 1, 2020, and January 26, 2021. The public health
be paid by the surety. emergency was renewed on June 28, 2022, and is scheduled
(P.B. 1978-1997, Sec. 675A.) to expire on December 28, 2022, or when the federal public
health emergency ends. See Appendix of Section 1-9B
Sec. 38-17. —Hearing on Motion or Applica- Changes.
tion for Modification of Bail
(a) Upon the filing and service of such motion Sec. 38-19. Violation of Conditions of Bail;
or application, the judicial authority shall, with rea- Order To Appear
sonable promptness, conduct a hearing to deter- Upon application by the prosecuting authority
mine whether the terms and conditions of release alleging that a defendant has violated the condi-
should be continued, modified or set. The judicial tions of release, a judicial authority may, if pro-
authority shall release the defendant subject to bable cause is found, order that the defendant
and in accordance with the provisions of Section appear in court for a hearing upon such allega-
38-4 upon the first of the following conditions of tions. Said order shall be served upon the defend-
release found sufficient to provide reasonable ant (1) by delivering a copy to the defendant
387
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Sec. 38-19 SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS
personally, (2) by leaving it at his or her usual *APPENDIX NOTE: The Rules Committee of the Superior
place of abode with a person of suitable age and Court enacted, and the judges of the Superior Court subse-
quently adopted, certain changes to the provisions of this
discretion then residing therein, (3) by mailing it rule in response to the public health and civil preparedness
by registered or certified mail to the defendant’s emergencies declared on March 10, 2020, and renewed on
last known address, or (4) by serving the order September 1, 2020, and January 26, 2021. The public health
upon the defendant’s counsel who shall notify the emergency was renewed on June 28, 2022, and is scheduled
defendant of the order and the hearing date. If to expire on December 28, 2022, or when the federal public
health emergency ends. See Appendix of Section 1-9B
service is made pursuant to (4) above and such Changes.
service proves insufficient to give the defendant
notice, then service shall be made as otherwise Sec. 38-22. Rebate of Forfeited Bonds
provided in this section. Whenever an arrested person, whose bond has
(P.B. 1978-1997, Sec. 682.) been forfeited, is returned to the jurisdiction of the
court within one year of the date such bond was
Sec. 38-20. —Sanctions for Violation of ordered forfeited, the surety on such bond shall
Conditions of Release be entitled to a rebate in the following amount:
After a hearing and upon a finding that the (1) 46 percent of the amount of the bond
defendant has violated reasonable conditions ordered forfeited if the arrested person is returned
imposed on release, the judicial authority may to the jurisdiction of the court within 210 days of
impose different or additional conditions upon the the date such bond was ordered forfeited;
defendant’s release or revoke the release. (2) 38 percent of the amount of the bond
(P.B. 1978-1997, Sec. 683.) ordered forfeited if the arrested person is returned
to the jurisdiction of the court within 240 days of
Sec. 38-21. —Forfeiture of Bail and Rear- the date such bond was ordered forfeited;
rest Warrant* (3) 30 percent of the amount of the bond
(a) If the defendant fails to appear at the time ordered forfeited if the arrested person is returned
and place promised in any bond or written promise to the jurisdiction of the court within 270 days of
to appear, or in response to an order issued pursu- the date such bond was ordered forfeited;
ant to Sections 38-19 and 38-20 unless otherwise (4) 23 percent of the amount of the bond
ordered by the judicial authority, the bond may ordered forfeited if the arrested person is returned
be forfeited in accordance with its terms and the to the jurisdiction of the court within 300 days of
judicial authority may issue a warrant to cause the date such bond was ordered forfeited;
the arrest of the defendant and his or her appear- (5) 15 percent of the amount of the bond
ance in court or may issue a capias. ordered forfeited if the arrested person is returned
(b) If the bond which has been forfeited was in to the jurisdiction of the court within 330 days of
an amount of $500 or more, the court shall order a the date such bond was ordered forfeited;
stay of execution upon the forfeiture for six months. (6) 7 percent of the amount of the bond ordered
When the arrested person whose bond has been forfeited if the arrested person is returned to the
forfeited is returned to custody within six months jurisdiction of the court within one year of the date
of the date such bond was ordered forfeited, the such bond was ordered forfeited.
bond shall be reinstated and the surety released. (P.B. 1998.)
Such stay of execution shall not prevent the issu- Sec. 38-23. Discharge of Surety’s Obligation
ance of a rearrest warrant or a capias. Where bail has been posted by a bondsman or
(c) Upon issuance of a rearrest warrant or a other surety, such bondsman or surety shall not
capias the judicial authority shall, pursuant to Sec- be relieved of any obligation upon the bond except
tion 38-4, set a condition of release sufficient to with the permission of the judicial authority and
ensure the defendant’s appearance in court. for good cause shown.
(P.B. 1978-1997, Sec. 684.) (P.B. 1978-1997, Sec. 685.)
388
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SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS Sec. 39-6
CHAPTER 39
DISPOSITION WITHOUT TRIAL
Sec. Sec.
39-1. Procedure for Plea Discussions; In General 39-17. —Effect of Disposition Conference
39-2. —Discussions with Defendant 39-18. Plea of Guilty or Nolo Contendere; Entering
39-3. —Role of Defense Counsel 39-19. —Acceptance of Plea; Advice to Defendant
39-4. —Subject Matter of Discussion 39-20. —Ensuring That the Plea Is Voluntary
39-5. Plea Agreements; Upon Plea of Guilty or Nolo Con- 39-21. —Factual Basis for Plea
tendere 39-22. Pleading to Other Offenses after Guilty Finding
39-6. —Alternate Agreements 39-23. Previous Offender; Plea to Second Part
39-7. —Notice of Plea Agreement 39-24. Record of Proceedings regarding Guilty Pleas
39-8. —Sentencing after Acceptance of Plea Agreement 39-25. Inadmissibility of Rejected Guilty Pleas
39-9. —Continuance for Sentencing 39-26. Withdrawal of Plea; When Allowed
39-10. —Rejection of Plea Agreement 39-27. —Grounds for Allowing Plea Withdrawal
39-11. Disposition Conference; Assignment of Jury Cases 39-28. —Effect of Plea Withdrawal
39-12. —Effect of Previous Plea Discussions on Disposi- 39-29. Nolle Prosequi
tion Conference 39-30. —Objection by Defendant to Nolle Prosequi
39-13. —Attendance at Disposition Conference 39-31. —Effect of Nolle Prosequi
39-14. —Nature of Disposition Conference; In General 39-32. —Dismissal
39-15. —Inability To Reach Agreement 39-33. Miscellaneous Dispositions
39-16. —Notice of Agreement to Judicial Authority
For previous Histories and Commentaries see the editions of the Practice Book
corresponding to the years of the previous amendments.
Sec. 39-1. Procedure for Plea Discussions; Sec. 39-4. —Subject Matter of Discussion
In General Discussion need not be limited to the entry of
The prosecuting authority and counsel for the a plea of guilty or nolo contendere, and may
defendant, or the defendant when not represented include any disposition without trial permitted
by counsel, may engage in discussions at any under these rules or the General Statutes. The
time with a view toward disposition. Negotiations parties may also discuss pretrial motions filed or
may occur either prior to or after the arraignment. yet to be filed which would lead to a disposition
The prosecuting authority shall be in his or her of the case without trial.
office at reasonable times for the purpose of giving (P.B. 1978-1997, Sec. 690.)
to counsel for the defendant, and to all others in
interest, a reasonable opportunity for consultation. Sec. 39-5. Plea Agreements; Upon Plea of
(P.B. 1978-1997, Sec. 687.) Guilty or Nolo Contendere
Sec. 39-2. —Discussions with Defendant The parties may agree that the defendant will
plead guilty or nolo contendere on one or more
The prosecuting authority shall not engage in of the following conditions:
plea discussions at the disposition conference, or (1) That the prosecuting authority will amend
at other times, directly with a defendant who is the information to charge a particular offense;
represented by counsel, except with such coun-
(2) That the prosecuting authority will nolle, rec-
sel’s approval. If the defendant refuses to be rep-
resented by counsel or waives this right under ommend dismissal of, or not bring certain other
Section 44-3, the prosecuting authority may prop- charges against the defendant; or
erly discuss disposition of the charges directly (3) That the sentence or other disposition will
with the defendant. not exceed specified terms or that the prosecuting
(P.B. 1978-1997, Sec. 688.) authority will recommend a specific sentence, not
oppose a particular sentence, or make no specific
Sec. 39-3. —Role of Defense Counsel recommendation.
Defense counsel shall conclude plea agree- (P.B. 1978-1997, Sec. 692.)
ments only with the consent of the defendant and
shall insure that the decision to dispose of the Sec. 39-6. —Alternate Agreements
case or to proceed to trial is ultimately made by The prosecuting authority may also recommend
the defendant. an alternative disposition under Section 39-33.
(P.B. 1978-1997, Sec. 689.) (P.B. 1978-1997, Sec. 693.)
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Sec. 39-7 SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS
Sec. 39-7. —Notice of Plea Agreement at times which will not interfere with the orderly
If a plea agreement has been reached by the calling of the court docket. Cases may also be
parties, which contemplates the entry of a plea of assigned for a disposition conference at the time
guilty or nolo contendere, the judicial authority of the entry of a plea pursuant to Section 44-15.
shall require the disclosure of the agreement in (P.B. 1978-1997, Sec. 700.)
open court or, on a showing of good cause, in
camera at the time the plea is offered. Thereupon, Sec. 39-12. —Effect of Previous Plea Dis-
the judicial authority may accept the plea cussions on Disposition Conference
agreement in accordance with Section 39-18, or Unless an agreement has been reached in a
reject the plea agreement, or may defer his or her previous plea discussion, a case will be assigned
decision on acceptance or rejection until there has for a disposition conference. It shall be the duty
been an opportunity to consider the presentence of the prosecuting authority to notify the clerk if
report, or may defer it for other reasons. an agreement has been reached or if the case
(P.B. 1978-1997, Sec. 694.) (Amended June 11, 2021, to has been disposed of.
take effect Jan. 1, 2022.) (P.B. 1978-1997, Sec. 701.)
Sec. 39-8. —Sentencing after Acceptance of
Plea Agreement Sec. 39-13. —Attendance at Disposition
Conference
If the judicial authority accepts the plea agree-
ment, it shall embody in the judgment and the The prosecuting authority, the defense counsel,
sentence the disposition provided for in the plea and, in cases claimed for jury trial, the defendant
agreement or another disposition more favorable shall appear at the time set for the disposition
to the defendant than that provided for in the plea conference unless excused by the judicial author-
agreement. ity. Requests for postponements shall be made
(P.B. 1978-1997, Sec. 696.) only to the presiding judge and shall be granted
Sec. 39-9. —Continuance for Sentencing upon good cause shown.
(P.B. 1978-1997, Sec. 702.)
If the case is continued for sentencing, the judi-
cial authority shall inform the defendant that a Sec. 39-14. —Nature of Disposition Confer-
different sentence from that embodied in the plea ence; In General
agreement may be imposed on the receipt of new The prosecuting authority and counsel for the
information or on sentencing by another judicial defendant should attempt to reach a plea agree-
authority, but that if such a sentence is imposed, ment pursuant to the procedures of Sections 39-
the defendant will be allowed to withdraw his or
1 through 39-10.
her plea in accordance with Sections 39-26 (P.B. 1978-1997, Sec. 704.)
through 39-28.
(P.B. 1978-1997, Sec. 697.) Sec. 39-15. —Inability To Reach Agreement
Sec. 39-10. —Rejection of Plea Agreement Should the parties be unable to reach an agree-
If the judicial authority rejects the plea agree- ment as to disposition, they shall report to the
ment, it shall inform the parties of this fact; advise presiding judge or to another judge assigned by
the defendant personally in open court or, on a him or her.
showing of good cause, in camera that the judicial (P.B. 1978-1997, Sec. 705.)
authority is not bound by the plea agreement;
afford the defendant the opportunity then to with- Sec. 39-16. —Notice of Agreement to Judi-
draw the plea, if given; and advise the defendant cial Authority
that if he or she persists in a guilty plea or plea If the parties reach an agreement which con-
of nolo contendere, the disposition of the case templates the entry of a plea of guilty or nolo con-
may be less favorable to the defendant than that tendere, they may advise the judicial authority in
contemplated by the plea agreement. advance of the plea. The judicial authority may
(P.B. 1978-1997, Sec. 698.)
indicate whether it will concur in or reject the pro-
Sec. 39-11. Disposition Conference; As- posed disposition.
signment of Jury Cases (P.B. 1978-1997, Sec. 706.)
After conferring with the clerk, the presiding
judge shall assign for disposition conferences so Sec. 39-17. —Effect of Disposition Con-
much of the jury trial list as he or she shall deem ference
necessary for the proper conduct of the court and If a case is not resolved at the disposition con-
he or she shall direct the clerk to print and distrib- ference or if the judicial authority rejects the plea
ute a list of the cases so assigned to the appearing agreement, the case shall be assigned to a trial list
parties. The clerk shall schedule the conferences in accordance with Section 44-15. If an agreement
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SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS Sec. 39-23
is reached, a judicial authority shall be available the right not to be compelled to incriminate himself
to accept guilty pleas and other dispositions. or herself.
(P.B. 1978-1997, Sec. 707.) (Amended June 11, 2021, to (P.B. 1978-1997, Sec. 711.)
take effect Jan. 1, 2022.)
Sec. 39-20. —Ensuring That the Plea Is Vol-
Sec. 39-18. Plea of Guilty or Nolo Conten- untary
dere; Entering The judicial authority shall not accept a plea of
(a) In the discretion of the judicial authority, guilty or nolo contendere without first determining,
the defendant may enter a plea of guilty or nolo by addressing the defendant personally in open
contendere to the information or complaint at court, that the plea is voluntary and is not the
arraignment or any later time, provided that the result of force or threats or of promises apart from
judicial authority confirms in open court that the a plea agreement. The judicial authority shall also
defendant has received all discovery materials inquire as to whether the defendant’s willingness
that he or she requested in writing pursuant to to plead guilty or nolo contendere results from
Chapter 40 that are within the possession of the prior discussions between the prosecuting author-
prosecuting authority. If the defendant has not ity and the defendant or his or her counsel.
(P.B. 1978-1997, Sec. 712.)
received all requested discovery, the judicial
authority shall confirm that the defendant and his Sec. 39-21. —Factual Basis for Plea
or her counsel agree to waive any right to receive The judicial authority shall not accept a plea of
further disclosure, before allowing the defendant guilty unless it is satisfied that there is a factual
to enter the plea. Any such waiver shall not apply basis for the plea.
to the prosecuting authority’s continuing obliga- (P.B. 1978-1997, Sec. 713.)
tion to disclose exculpatory information or materi-
als pursuant to Sections 40-3 and 40-11. Sec. 39-22. Pleading to Other Offenses after
(b) A plea of nolo contendere shall be in writing, Guilty Finding
shall be signed by the defendant, and, when Upon entry of a finding of guilty after acceptance
accepted by the judicial authority, shall be fol- of a plea of guilty or nolo contendere or after a
lowed by a finding of guilty. trial, a defendant may request permission to plead
(P.B. 1978-1997, Sec. 709.) (Amended June 11, 2021, to guilty or nolo contendere to any other offense for
take effect Jan. 1, 2022.) which the court wherein the finding of guilty was
entered has jurisdiction to impose the maximum
Sec. 39-19. —Acceptance of Plea; Advice authorized penalty. Upon the written approval of
to Defendant the prosecuting authority who is authorized to
The judicial authority shall not accept the plea request imposition of the maximum authorized
without first addressing the defendant personally penalty in the judicial district or geographical
and determining that he or she fully understands: area wherein the offense has been or could be
(1) The nature of the charge to which the plea charged, and upon the written approval of the
is offered; prosecuting authority who is authorized to request
(2) The mandatory minimum sentence, if any; imposition of the maximum authorized penalty in
(3) The fact that the statute for the particular the judicial district or geographical area wherein
offense does not permit the sentence to be sus- the court, in which the finding of guilty was
pended; entered, is located, a defendant may enter a plea
(4) The maximum possible sentence on the of guilty or nolo contendere in conformity with
charge, including, if there are several charges, Section 39-18. Such a plea shall operate as a
the maximum sentence possible from consecutive waiver of venue and as a consent to the filing of
sentences and including, when applicable, the an appropriate information.
(P.B. 1978-1997, Sec. 715.)
fact that a different or additional punishment may
be authorized by reason of a previous convic- Sec. 39-23. Previous Offender; Plea to Sec-
tion; and ond Part
(5) The fact that he or she has the right to plead Where the defendant has been charged in the
not guilty or to persist in that plea if it has already second part of an information with a former convic-
been made, and the fact that he or she has the tion or convictions, he or she may enter a plea of
right to be tried by a jury or a judge and that guilty to the second part upon a finding of guilty
at that trial the defendant has the right to the of the particular offense he or she was charged
assistance of counsel, the right to confront and with in the first part.
cross-examine witnesses against him or her, and (P.B. 1978-1997, Sec. 716.)
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Sec. 39-24 SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS
Sec. 39-24. Record of Proceedings regard- Sec. 39-28. —Effect of Plea Withdrawal
ing Guilty Pleas If the defendant is permitted to withdraw his or
A verbatim record shall be made of the proceed- her plea, the original finding of guilty shall be set
ings at which the defendant enters a plea of guilty aside, a plea of not guilty shall be entered, and
or nolo contendere. This record shall include the further proceedings shall be scheduled in accord-
judicial authority’s advice to the defendant, the ance with these rules. The judicial authority per-
inquiry into the voluntariness of the plea, including mitting the vacating of the guilty plea shall not sit
any plea agreement, and the inquiry into the fac- on the trial of the matter, unless this is waived by
tual basis for the plea. the defendant in writing.
(P.B. 1978-1997, Sec. 717.) (P.B. 1978-1997, Sec. 722.)
Sec. 39-25. Inadmissibility of Rejected Guilty Sec. 39-29. Nolle Prosequi
Pleas A prosecuting authority shall have the power to
enter a nolle prosequi in a case. It shall be entered
No evidence of the court proceedings at which
upon the record after a brief statement by the
a plea of guilty or nolo contendere was entered,
prosecuting authority in open court of the rea-
where such plea is not accepted by the judicial
sons therefor.
authority or is later withdrawn pursuant to Sec- (P.B. 1978-1997, Sec. 725.)
tions 39-26 through 39-28, shall be received at
the trial of the case. Sec. 39-30. —Objection by Defendant to
(P.B. 1978-1997, Sec. 718.) Nolle Prosequi
Where a prosecution is initiated by complaint
Sec. 39-26. Withdrawal of Plea; When Allowed or information, the defendant may object to the
A defendant may withdraw his or her plea of entering of a nolle prosequi at the time it is offered
guilty or nolo contendere as a matter of right until by the prosecuting authority and may demand
the plea has been accepted. After acceptance, either a trial or a dismissal, except when a nolle
the judicial authority shall allow the defendant to prosequi is entered upon a representation to the
withdraw his or her plea upon proof of one of the judicial authority by the prosecuting authority
grounds in Section 39-27. A defendant may not that a material witness has died, disappeared or
withdraw his or her plea after the conclusion of the become disabled or that material evidence has
proceeding at which the sentence was imposed. disappeared or has been destroyed and that a
(P.B. 1978-1997, Sec. 720.) further investigation is therefore necessary.
(P.B. 1978-1997, Sec. 726.)
Sec. 39-27. —Grounds for Allowing Plea
Withdrawal Sec. 39-31. —Effect of Nolle Prosequi
The entry of a nolle prosequi terminates the
The grounds for allowing the defendant to with-
prosecution and the defendant shall be released
draw his or her plea of guilty after acceptance are
from custody. If subsequently the prosecuting
as follows:
authority decides to proceed against the defend-
(1) The plea was accepted without substantial ant, a new prosecution must be initiated.
compliance with Section 39-19; (P.B. 1978-1997, Sec. 727.)
(2) The plea was involuntary, or it was entered
without knowledge of the nature of the charge Sec. 39-32. —Dismissal
or without knowledge that the sentence actually The judicial authority may dismiss the informa-
imposed could be imposed; tion or complaint and discharge the defendant,
(3) The sentence exceeds that specified in at any time, in accordance with Sections 41-8
a plea agreement which had been previously through 41-11.
(P.B. 1978-1997, Sec. 728.)
accepted, or in a plea agreement on which the
judicial authority had deferred its decision to Sec. 39-33. Miscellaneous Dispositions
accept or reject the agreement at the time the Upon motion by the defendant, counsel for the
plea of guilty was entered; defendant, or the prosecuting authority, the judi-
(4) The plea resulted from the denial of effective cial authority may make any order permitted by
assistance of counsel; statute or rule that may result in the disposition
(5) There was no factual basis for the plea; or of the case without trial, including, but not limited
(6) The plea either was not entered by a person to, the following:
authorized to act for a corporate defendant or was (1) Adjudication and treatment as a youthful
not subsequently ratified by a corporate defend- offender;
ant. (2) Accelerated pretrial rehabilitation;
(P.B. 1978-1997, Sec. 721.) (3) Pretrial alcohol education and treatment;
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SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS Sec. 39-33
(4) Reference to the family relations division (7) Reference to a community service labor pro-
and a hearing thereon; gram; or
(5) Commitment to the Commissioner of Mental (8) Reference to an alternative incarceration
Health and Addition Services following examina- program under the auspices of the Office of
tion and hearing; Adult Probation.
(6) Suspension of prosecution for drug-depen- (P.B. 1978-1997, Sec. 730.)
dent defendants after examination and release to
the Commission on Adult Probation;
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Sec. 40-1 SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS
CHAPTER 40
DISCOVERY AND DEPOSITIONS
Sec. Sec.
40-1. Discovery in General; Regulating Discovery 40-26. Disclosure by the Defendant; Information and Mate-
40-2. —Good Faith Efforts and Subpoenas rials Discoverable by the Prosecuting Authority
40-3. —Continuing Obligation To Disclose as of Right
40-4. —Limitations on Requests or Motions 40-27. Discretionary Disclosure Directed to Defendant
40-28. Derivative Evidence
40-5. —Failure To Comply with Disclosure 40-29. Protective Orders Requested by Defendant
40-6. —Discovery Performance 40-30. Admissibility at Time of Trial
40-7. —Procedures for Disclosure 40-31. Information Not Subject to Disclosure by Defendant
40-8. —Objection to Disclosure 40-32. Obtaining Nontestimonial Evidence from Defen-
40-9. —Presence during Tests and Experiments dant
40-10. —Custody of Materials 40-33. —Emergency Procedure regarding Nontestimo-
40-11. Disclosure by the Prosecuting Authority nial Evidence
40-34. —Scope of Order for Nontestimonial Evidence
40-12. Discretionary Disclosure Directed to Prosecuting 40-35. —Contents of Order
Authority 40-36. —Service of Order
40-13. Names of Witnesses; Prior Record of Witnesses; 40-37. —Implementation of Order
Statements of Witnesses 40-38. —Obtaining Nontestimonial Evidence from Defend-
40-13A. Law Enforcement Reports, Affidavits and State- ant upon Motion of Defendant
ments 40-39. —Comparing Nontestimonial Evidence
40-14. Information Not Subject to Disclosure by Prosecut- 40-40. Protective Orders; Relief
ing Authority 40-41. —Grounds for Protective Order
40-42. —In Camera Proceedings
40-15. Disclosure of Statements; Definition of Statement 40-43. —Excision as Protective Order
40-16. Request for Recess by Defendant upon Receipt 40-44. Depositions; Grounds
of Statement 40-45. —Failure To Appear for Deposition
40-17. Defense of Mental Disease or Defect or Extreme 40-46. —Use of Deposition
Emotional Disturbance; Notice by Defendant 40-47. —Notice and Person Taking Deposition
40-18. —Notice by Defendant of Intention To Use Expert 40-48. —Protective Order Prior to Deposition
Testimony regarding Mental State; Filing Reports 40-49. —Manner of Taking Deposition
40-50. —Scope of Examination at Deposition
of Exam 40-51. —Objections at Depositions
40-19. —Prosecutorial Motion for Psychiatric Examination 40-52. —Protective Order during Deposition
40-20. —Failure of Expert To Submit Report 40-53. —Return of Deposition
40-21. Defense of Alibi; Notice by Defendant 40-54. —Right of Defendant To Be Present and Repre-
40-22. —Notice by Prosecuting Authority concerning sented at Deposition
Alibi Defense 40-55. —Waiver of Presence and Failure To Appear at
Deposition
40-23. —Continuing Duty of Parties To Disclose regarding 40-56. —Definition of Unavailable
Alibi Defense 40-57. —Taking and Use in Court of Deposition by Agree-
40-24. —Exceptions ment
40-25. —Inadmissibility of Withdrawn Alibi 40-58. —Expenses of Deposition and Copies
For previous Histories and Commentaries see the editions of the Practice Book
corresponding to the years of the previous amendments.
Sec. 40-1. Discovery in General; Regulat- by the party to whom any such order is directed
ing Discovery to secure their possession. If the efforts of such
Except as otherwise provided in these rules, party are unsuccessful the judicial authority may,
the judicial authority before whom the defend- upon written request or upon its own motion, issue
ant appears shall fix the times for filing and for a subpoena or order directing that such docu-
responding to discovery motions and requests ments or objects be delivered to the clerk of the
and, when appropriate, shall fix the hour, place, court within a specified time. The clerk shall give
manner, terms, and conditions of responses to a receipt for them and be responsible for their
the motions and requests. safekeeping. Such documents and tangible objects
(P.B. 1978-1997, Sec. 732.)
shall be sealed and shall be open to inspection
Sec. 40-2. —Good Faith Efforts and Sub- to the parties to the action and their attorneys only
poenas upon an order of the judicial authority.
When documents or objects are the subject of (P.B. 1978-1997, Sec. 733.) (Amended June 11, 2021, to
discovery orders, good faith efforts shall be made take effect Jan. 1, 2022.)
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SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS Sec. 40-9
Sec. 40-3. —Continuing Obligation To size of such electronic information or materials
Disclose exceeds the file size limitations for e-mailing such
If prior to or during trial a party discovers addi- information or materials, the party entitled to
tional material previously ordered to be disclosed receive such information or materials shall provide
or which the party is otherwise obligated to dis- the party obligated to disclose such information
close, such party shall promptly notify the other or materials an electronic storage medium or elec-
party and the judicial authority of its existence. tronic storage media with sufficient storage capac-
(P.B. 1978-1997, Sec. 734.) ity to accommodate the electronic transfer of such
information or materials.
Sec. 40-4. —Limitations on Requests or (P.B. 1978-1997, Sec. 737.) (Amended June 11, 2021, to
Motions take effect Jan. 1, 2022.)
A party shall file all requests or motions under Sec. 40-7. —Procedures for Disclosure
this chapter within the time specified and shall
(a) All requests for disclosure by any party shall
include in the initial request or motion all informa-
be filed in accordance with Section 41-5 and shall
tion or materials sought. The judicial authority may
be served in accordance with Sections 10-12
for good cause shown allow the filing of supple-
through 10-17 but need not be filed with the court,
mental requests or motions.
(P.B. 1978-1997, Sec. 735.) subject, however, to the provisions of Section 40-
40 et seq. The party requesting disclosure or the
Sec. 40-5. —Failure To Comply with Dis- party responding shall file with the court a notice
closure of service certifying that a request or response
If a party fails to comply with disclosure as was served and the date and manner of service.
required under these rules, the opposing party The party responsible for service of a document
may move the judicial authority for an appropriate shall retain custody of the original.
order. The judicial authority hearing such a motion (b) Except as otherwise provided in Section 40-
may enter such orders and time limitations as it 13, any party may make disclosure by notifying
deems appropriate, including, without limitation, the opposing party that all pertinent material and
one or more of the following: information may be inspected and, if practicable,
(1) Requiring the noncomplying party to comply; copied at specific times and locations and the
(2) Granting the moving party additional time parties may schedule agreed dates and times
or a continuance; to photograph and have reasonable tests made
(3) Relieving the moving party from making a upon any disclosed material.
(P.B. 1978-1997, Sec. 737A.)
disclosure required by these rules;
(4) Prohibiting the noncomplying party from Sec. 40-8. —Objection to Disclosure
introducing specified evidence; Notwithstanding the provisions of Sections 40-
(5) Declaring a mistrial; 11 and 40-26, the prosecuting authority or the
(6) Dismissing the charges; defendant may object to disclosure of any infor-
(7) Imposing appropriate sanctions on the coun- mation or items which are directed to be provided
sel or party, or both, responsible for the noncom- by those sections but which the objecting party
pliance; or believes for good cause should not be disclosed
(8) Entering such other order as it deems proper. or for which it is reasonably believed that a protec-
(P.B. 1978-1997, Sec. 735A.) tive order provided by Section 40-40 et seq. would
Sec. 40-6. —Discovery Performance be warranted. Such objection shall be made in
writing and shall set forth the grounds of such
(a) Unless otherwise specified by agreement
belief as fully as possible. The objection shall be
of the parties or judicial order, the parties shall
served in accordance with Sections 10-12 through
perform their obligations under Sections 40-1
through 40-10 by making available at reasonable 10-17 and a copy shall be filed with the court
within twenty days of the request unless the judi-
times specified information or materials for inspect-
cial authority, for good cause shown, allows a
ing, testing, copying and photographing.
later filing. After hearing the judicial authority shall
(b) Unless otherwise specified by agreement of
determine whether such information or items shall
the parties or judicial order, the parties shall pro-
be disclosed.
vide any information or materials ordered to be (P.B. 1978-1997, Sec. 737B.)
disclosed or that the parties are otherwise obli-
gated to disclose pursuant to this chapter that are Sec. 40-9. —Presence during Tests and
within the possession, custody, or control of such Experiments
parties in an electronic format via electronic If a scientific test or experiment to be performed
means to the other party. In the event that the file upon any object which has been the subject of a
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Sec. 40-9 SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS
disclosure order may preclude or impair any fur- photograph and have reasonable tests made on
ther tests or experiments, the opposing party and any of the following items:
any other person known to have or believed to (1) Any books, tangible objects, papers, photo-
have an interest in the matter shall be given rea- graphs, or documents within the possession, cus-
sonable notice and opportunity to be present and tody or control of any governmental agency, which
to have an expert observe or participate in the the prosecuting authority intends to offer in evi-
test or experiment, unless the judicial authority for dence in chief at trial or which are material to the
good cause shall order otherwise. preparation of the defense or which were obtained
(P.B. 1978-1997, Sec. 738.) from or purportedly belong to the defendant;
(2) Copies of the defendant’s prior criminal rec-
Sec. 40-10. —Custody of Materials ord, if any, which are within the possession, cus-
(a) Any materials furnished to counsel pursuant tody, or control of the prosecuting authority, the
to this chapter, including statements, reports and existence of which is known, or by the exercise
affidavits disclosed pursuant to Section 40-13A, of due diligence may become known, to the prose-
shall be used only for the purposes of conducting cuting authority;
such counsel’s side of the case or for the perfor- (3) Any reports or statements of experts made
mance of his or her official duties, and shall be in connection with the offense charged includ-
subject to such other terms and conditions as the ing results of physical and mental examinations
judicial authority may provide. Without the prior and of scientific tests, experiments or compari-
approval of the prosecuting authority or the court, sons which are material to the preparation of the
defense counsel and his or her agents shall not defense or are intended for use by the prosecuting
provide copies of materials disclosed pursuant to authority as evidence in chief at the trial;
Section 40-13A to any person except to persons (4) Any warrant executed for the arrest of the
employed by defense counsel in connection with defendant for the offense charged, and any search
the investigation or defense of the case. and seizure warrants issued in connection with the
(b) The prosecuting authority is not required investigation of the offense charged;
to disclose to an unrepresented defendant the (5) (A) Any written, recorded or oral statements
names and addresses required by Section 40-13 made by the defendant or a codefendant, before
unless the court orders disclosure upon a finding or after arrest to any law enforcement officer or to
of need which cannot reasonably be met by other a person acting under the direction of or in coopera-
means. Before other materials are disclosed or tion with a law enforcement officer concerning the
provided to an unrepresented defendant pursu- offense charged; or
ant to this chapter, the prosecuting authority may (B) Any relevant statements of coconspirators
request and the court may order that the materials which the prosecuting authority intends to offer in
remain in the defendant’s exclusive custody to be evidence at any trial or hearing.
used only for the purpose of conducting the case, (b) In addition to the foregoing, the prosecuting
subject to such terms, conditions and restrictions authority shall disclose to the defendant, in accord-
that the court, in its discretion, may impose. The ance with any applicable constitutional and statutory
court shall also inform the unrepresented defend- provisions, any exculpatory information or materials
ant that violation of an order issued under this that the prosecuting authority may have, whether
subsection is punishable as a contempt of court. or not a request has been made therefor.
(P.B. 1978-1997, Sec. 739.) (Amended June 22, 2009, to (P.B. 1978-1997, Sec. 741.) (Amended June 22, 2009, to
take effect Jan. 1, 2010.) take effect Jan. 1, 2010; amended June 12, 2015, to take
effect Jan. 1, 2016.)
Sec. 40-11. Disclosure by the Prosecuting *APPENDIX NOTE: The Rules Committee of the Superior
Court enacted, and the judges of the Superior Court subse-
Authority* quently adopted, certain changes to the provisions of this
(Amended June 22, 2009, to take effect Jan. 1, 2010.) rule in response to the public health and civil preparedness
(a) Upon written request by a defendant filed in emergencies declared on March 10, 2020, and renewed on
accordance with Section 41-5 and without requir- September 1, 2020, and January 26, 2021. The public health
emergency was renewed on June 28, 2022, and is scheduled
ing any order of the judicial authority, the prose- to expire on December 28, 2022, or when the federal public
cuting authority, subject to Section 40-40 et seq., health emergency ends. See Appendix of Section 1-9B
shall promptly, but no later than forty-five days Changes.
from the filing of the request, unless such time is
extended by the judicial authority for good cause Sec. 40-12. Discretionary Disclosure Di-
shown, disclose in writing the existence of, pro- rected to Prosecuting Authority
vide photocopies of, and allow the defendant in Upon written request by a defendant filed in
accordance with Section 40-7, to inspect, copy, accordance with Section 40-7 the judicial authority
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SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS Sec. 40-13A
may direct the prosecuting authority to disclose (d) The provisions of this section shall apply to
in writing to the defendant and make available for any additional testimony presented by any party
inspection, photographing, copying and reason- as rebuttal evidence pursuant to Section 42-35
able testing any other relevant material and infor- (3) and the statements and criminal histories of
mation not covered by Section 40-11 which the such witnesses shall be provided to the opposing
judicial authority determines on good cause party before the commencement of any such
shown should be made available. rebuttal testimony.
(P.B. 1978-1997, Sec. 742.) (e) The fact that a witness’ name or statement
is provided under this section shall not be a ground
Sec. 40-13. Names of Witnesses; Prior for comment upon a failure to call a witness.
Record of Witnesses; Statements of Wit- (f) Notwithstanding any provision of this section,
nesses* the personal residence address of a police officer
(Amended June 22, 2009, to take effect Jan. 1, 2010.) or correction officer shall not be required to be
(a) Upon written request by a defendant filed disclosed except pursuant to an order of the judi-
in accordance with Section 41-5 and without requir- cial authority after a hearing and a showing that
ing any order of the judicial authority, the prosecut- good cause exists for the disclosure of the infor-
ing authority, subject to Section 40-40 et seq., shall mation.
promptly, but no later than forty-five days from the (g) Upon written request of a party and for good
filing of the request, unless such time is extended cause shown, the judicial authority may order that
by the judicial authority for good cause shown, dis- the address of any witness whose name was dis-
close to the defendant the names and, subject to closed pursuant to subsection (a) or (b) of this sec-
the provisions of subsections (f) and (g) of this sec- tion not be disclosed to the opposing party.
tion, the addresses of all witnesses that the prose- (P.B. 1978-1997, Sec. 743.) (Amended June 22, 2009, to
cuting authority intends to call in his or her case- take effect Jan. 1, 2010; amended June 12, 2015, to take
effect Jan. 1, 2016.)
in-chief. The prosecuting authority shall additionally *APPENDIX NOTE: The Rules Committee of the Superior
make a reasonable affirmative effort to obtain a Court enacted, and the judges of the Superior Court subse-
record of the witness’ felony convictions and pend- quently adopted, certain changes to the provisions of this
ing misdemeanor and felony charges and shall dis- rule in response to the public health and civil preparedness
close any such convictions and pending charges to emergencies declared on March 10, 2020, and renewed on
the defendant. September 1, 2020, and January 26, 2021. The public health
emergency was renewed on June 28, 2022, and is scheduled
(b) Upon written request by the prosecuting to expire on December 28, 2022, or when the federal public
authority, filed in accordance with Section 41-5 and health emergency ends. See Appendix of Section 1-9B
without requiring any order of the judicial authority, Changes.
the defendant, subject to Section 40-40 et seq.,
shall promptly, but no later than forty-five days from Sec. 40-13A. Law Enforcement Reports, Affid-
the filing of the request, unless such time is extended avits and Statements*
by the judicial authority for good cause shown, Upon written request by a defendant and with-
disclose to the prosecuting authority the names out requiring any order of the judicial authority,
and, subject to the provisions of subsection (g) of the prosecuting authority shall, no later than forty-
this section, the addresses of all witnesses whom five days from receiving the request, provide photo-
the defendant intends to call in the defendant’s copies of all statements, law enforcement reports
case-in-chief and shall additionally disclose to the and affidavits within the possession of the prose-
prosecuting authority any statements of the wit- cuting authority and his or her agents, including state
nesses other than the defendant in the possession and local law enforcement officers, which state-
of the defendant or his or her agents, which state- ments, reports and affidavits were prepared con-
ments relate to the subject matter about which cerning the offense charged, subject to the provi-
each witness will testify. sions of Sections 40-10 and 40-40 et seq.
(Adopted June 22, 2009, to take effect Jan. 1, 2010.)
(c) No witness shall be precluded from testifying *APPENDIX NOTE: The Rules Committee of the Superior
for any party because his or her name or state- Court enacted, and the judges of the Superior Court subse-
ment or criminal history was not disclosed pursu- quently adopted, certain changes to the provisions of this
ant to this rule if the party calling such witness rule in response to the public health and civil preparedness
did not in good faith intend to call the witness emergencies declared on March 10, 2020, and renewed on
September 1, 2020, and January 26, 2021. The public health
at the time that he or she provided the material
emergency was renewed on June 28, 2022, and is scheduled
required by this rule. In the interests of justice the to expire on December 28, 2022, or when the federal public
judicial authority may in its discretion permit any health emergency ends. See Appendix of Section 1-9B
undisclosed individual to testify. Changes.
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Sec. 40-14 SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS
Sec. 40-14. Information Not Subject to Dis- raised. The judicial authority may for cause shown
closure by Prosecuting Authority allow late filing of the notice or grant additional
Subject to Sections 40-13 and 40-13A and time to the parties to prepare for trial or make
except for the substance of any exculpatory mate- such other order as may be appropriate.
rial contained herein, Sections 40-11 through (P.B. 1978-1997, Sec. 758.)
40-14 do not authorize or require disclosure or *APPENDIX NOTE: The Rules Committee of the Superior
inspection of: Court enacted, and the judges of the Superior Court subse-
quently adopted, certain changes to the provisions of this
(1) Reports, memoranda or other internal docu- rule in response to the public health and civil preparedness
ments made by a prosecuting authority or by law emergencies declared on March 10, 2020, and renewed on
enforcement officers in connection with the inves- September 1, 2020, and January 26, 2021. The public health
tigation or prosecution of the case; emergency was renewed on June 28, 2022, and is scheduled
(2) Legal research; to expire on December 28, 2022, or when the federal public
(3) Records, correspondence, reports or mem- health emergency ends. See Appendix of Section 1-9B
oranda to the extent that they contain the opinions, Changes.
theories or conclusions of a prosecuting authority.
(P.B. 1978-1997, Sec. 746.) (Amended June 22, 2009, to Sec. 40-18. —Notice by Defendant of Inten-
take effect Jan. 1, 2010.) tion To Use Expert Testimony regarding
Mental State; Filing Reports of Exam*
Sec. 40-15. Disclosure of Statements; Defi-
nition of Statement If a defendant intends to introduce expert testi-
mony relating to the affirmative defenses of men-
The term ‘‘statement’’ as used in Sections 40-
tal disease or defect, or of extreme emotional
11, 40-13 and 40-26 means:
(1) A written statement made by a person and disturbance or another condition bearing upon the
signed or otherwise adopted or approved by such issue of whether he or she had the mental state
person; or required for the offense charged, the defendant
(2) A stenographic, mechanical, electrical, or shall, not later than forty-five days after the first
other recording, or a transcription thereof, which pretrial conference in the court where the case
is a substantially verbatim recital of an oral state- will be tried or at such later time as the judicial
ment made by a person and recorded contempo- authority may direct, notify the prosecuting author-
raneously with the making of such oral statement. ity in writing of such intention and file a copy of
(P.B. 1978-1997, Sec. 749.) such notice with the clerk. The defendant shall
also furnish the prosecuting authority with copies
Sec. 40-16. Request for Recess by Defend- of reports of physical or mental examinations of
ant upon Receipt of Statement the defendant prepared by an expert whom the
Whenever any statement is delivered to a defendant intends to call as a witness in connec-
defendant pursuant to Section 40-13, the judi- tion with the offense charged, within five days
cial authority in its discretion, upon application of after receipt thereof. The judicial authority may for
the defendant, may recess the proceedings for cause shown allow late filing of the notice or grant
such time as it may determine to be reasonably additional time to the parties to prepare for trial
required for the examination of such statement or make such other order as may be appropriate.
by the defendant and his or her preparation for (P.B. 1978-1997, Sec. 759.)
its use in the trial. *APPENDIX NOTE: The Rules Committee of the Superior
(P.B. 1978-1997, Sec. 754.)
Court enacted, and the judges of the Superior Court subse-
Sec. 40-17. Defense of Mental Disease or quently adopted, certain changes to the provisions of this
rule in response to the public health and civil preparedness
Defect or Extreme Emotional Disturbance; emergencies declared on March 10, 2020, and renewed on
Notice by Defendant* September 1, 2020, and January 26, 2021. The public health
If a defendant intends to rely upon the affirma- emergency was renewed on June 28, 2022, and is scheduled
tive defense of mental disease or defect or of to expire on December 28, 2022, or when the federal public
extreme emotional disturbance at the time of the health emergency ends. See Appendix of Section 1-9B
alleged crime, the defendant shall, not later than Changes.
forty-five days after the first pretrial conference in
Sec. 40-19. —Prosecutorial Motion for Psy-
the court where the case will be tried or at such
later time as the judicial authority may direct, notify chiatric Examination
the prosecuting authority in writing of such inten- In an appropriate case the judicial authority
tion and file a copy of such notice with the clerk. may, upon motion of the prosecuting authority,
If there is a failure to comply with the requirements order the defendant to submit to a psychiatric
of this rule, such affirmative defenses may not be examination by a psychiatrist designated for this
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SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS Sec. 40-26
purpose by the prosecuting authority. No state- of the witnesses upon whom the state intends to
ment made by the defendant in the course of any rely to establish the defendant’s presence at the
examination provided for by Sections 40-17 scene of the alleged offense and any other wit-
through 40-19, whether the examination shall be nesses to be relied upon to rebut testimony of
with or without the consent of the defendant, shall any of the defendant’s alibi witnesses.
be admitted in evidence against the defendant on (P.B. 1978-1997, Sec. 764.)
the issue of guilt in any criminal proceeding. A *APPENDIX NOTE: The Rules Committee of the Superior
Court enacted, and the judges of the Superior Court subse-
copy of the report of the psychiatric examina- quently adopted, certain changes to the provisions of this
tion shall be furnished to the defendant within five rule in response to the public health and civil preparedness
days after the receipt thereof by the prosecuting emergencies declared on March 10, 2020, and renewed on
authority. September 1, 2020, and January 26, 2021. The public health
(P.B. 1978-1997, Sec. 760.) emergency was renewed on June 28, 2022, and is scheduled
to expire on December 28, 2022, or when the federal public
Sec. 40-20. —Failure of Expert To Submit health emergency ends. See Appendix of Section 1-9B
Report Changes.
If any expert fails to submit any written report Sec. 40-23. —Continuing Duty of Parties To
of the result of any physical or mental examination Disclose regarding Alibi Defense
conducted pursuant to Sections 40-17 through
40-19, the judicial authority, upon request of the If prior to or during the trial, a party learns of
party who engaged the expert, may issue an an additional witness whose identity, if known,
appropriate subpoena or order pursuant to Sec- should have been included in the information fur-
tion 40-2 or may direct that the expert’s deposition nished under Section 40-21 or 40-22, the party
be taken pursuant to Sections 40-44 through shall promptly notify the other party or his or her
40-58. counsel of the existence and identity of such addi-
(P.B. 1978-1997, Sec. 760A.) tional witness.
(P.B. 1978-1997, Sec. 765.)
Sec. 40-21. Defense of Alibi; Notice by
Defendant* Sec. 40-24. —Exceptions
Upon written demand filed by the prosecuting For good cause shown, the judicial authority
authority stating the time, date, and place at which may grant an exception to any of the requirements
the alleged offense was committed, the defendant of Sections 40-21 through 40-23.
(P.B. 1978-1997, Sec. 767.)
shall file within twenty days, or at such other time
as the judicial authority may direct, a written notice Sec. 40-25. —Inadmissibility of Withdrawn
of the defendant’s intention to offer a defense of Alibi
alibi. Such notice by the defendant shall state the Evidence of an intention to rely upon an alibi
specific place or places at which the defendant defense which intention is later withdrawn, or
claims to have been at the time of the alleged evidence of statements made in connection with
offense and the names and addresses of the wit- such intention, is not admissible in any criminal
nesses upon whom the defendant intends to rely proceeding against the person who gave notice
to establish such alibi. of the intention.
(P.B. 1978-1997, Sec. 763.)
(P.B. 1978-1997, Sec. 768.)
*APPENDIX NOTE: The Rules Committee of the Superior
Court enacted, and the judges of the Superior Court subse-
quently adopted, certain changes to the provisions of this
Sec. 40-26. Disclosure by Defendant; Infor-
rule in response to the public health and civil preparedness mation and Materials Discoverable by Pros-
emergencies declared on March 10, 2020, and renewed on ecuting Authority as of Right*
September 1, 2020, and January 26, 2021. The public health Upon written request by the prosecuting author-
emergency was renewed on June 28, 2022, and is scheduled ity filed in accordance with Section 41-5 and with-
to expire on December 28, 2022, or when the federal public
health emergency ends. See Appendix of Section 1-9B
out requiring any order of the judicial authority,
Changes. the defendant, subject to Section 40-40 et seq.,
shall promptly, but no later than forty-five days
Sec. 40-22. —Notice by Prosecuting Author- from the filing of the request, unless such time is
ity concerning Alibi Defense* extended by the judicial authority for good cause
If the written notice has been filed pursuant to shown, disclose in writing to the prosecuting
Section 40-21, the prosecuting authority, within authority the existence of and make available for
twenty days after filing of the notice, but in no examination and copying in accordance with the
event less than ten days before the trial unless procedures of Section 40-7 the following items:
the judicial authority otherwise directs, shall file a (1) Any books, papers, documents, photographs
written notice stating the names and addresses or tangible objects which the defendant intends to
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Sec. 40-26 SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS
offer in evidence at trial except to the extent that it except with permission of the judicial authority for
contains any communication of the defendant; and good cause shown.
(2) Any reports or statements of experts made (P.B. 1978-1997, Sec. 772.)
in connection with the case, including results of
physical or mental examinations and of scientific Sec. 40-31. Information Not Subject to Dis-
tests, experiments or comparisons, which the closure by Defendant
defendant intends to offer in evidence at trial or Subject to Section 40-13 and except as to scien-
relating to the anticipated testimony of a person tific or medical reports, Sections 40-17 through
whom the defendant intends to call as a witness. 40-31 do not authorize or require disclosure or
(P.B. 1978-1997, Sec. 769.) inspection of:
*APPENDIX NOTE: The Rules Committee of the Superior
(1) Reports, memoranda or other internal
Court enacted, and the judges of the Superior Court subse-
quently adopted, certain changes to the provisions of this defense documents made by the defendant, or
rule in response to the public health and civil preparedness counsel for the defendant or any person employed
emergencies declared on March 10, 2020, and renewed on by the defendant in connection with the investiga-
September 1, 2020, and January 26, 2021. The public health tion or defense of the case;
emergency was renewed on June 28, 2022, and is scheduled
to expire on December 28, 2022, or when the federal public
(2) Legal research; or
health emergency ends. See Appendix of Section 1-9B (3) Records, correspondence, reports or mem-
Changes. oranda to the extent that they contain the opinions,
theories or conclusions of the defendant, counsel
Sec. 40-27. Discretionary Disclosure Di- for the defendant, or any other person employed
rected to Defendant by the defendant in connection with the investiga-
Upon written request by a prosecuting authority tion or defense of the case.
filed in accordance with Section 40-7 the judicial (P.B. 1978-1997, Sec. 773.)
authority may direct the defendant to disclose in
writing to the prosecuting authority and make Sec. 40-32. Obtaining Nontestimonial Evi-
available for inspection, photographing, copying dence from Defendant
and reasonable testing any other relevant material Upon motion of the prosecuting authority, the
and information not covered by Section 40-26 judicial authority by order may direct a defendant
which the judicial authority determines on good to participate in a reasonably conducted proce-
cause shown should be made available. dure to obtain nontestimonial evidence, if the judi-
(P.B. 1978-1997, Sec. 769A.) cial authority finds probable cause to believe that:
Sec. 40-28. Derivative Evidence (1) The evidence sought may be of material aid
in determining whether the defendant committed
The defendant shall be supplied with copies of the offense charged; and
any reports of experts derived from or based upon
the examination of materials produced pursuant (2) The evidence sought cannot practicably be
to Section 40-26. obtained from other sources.
(P.B. 1978-1997, Sec. 776.)
(P.B. 1978-1997, Sec. 770.)
Sec. 40-29. Protective Orders Requested Sec. 40-33. —Emergency Procedure regard-
by Defendant ing Nontestimonial Evidence
The defendant may, to the same extent as the Upon application of the prosecuting authority,
prosecuting authority, move for a protective order the judicial authority by order may direct a law
under the provisions of Sections 40-40 through enforcement officer to bring the defendant forth-
40-43. with before the judicial authority for an immediate
(P.B. 1978-1997, Sec. 771.) hearing on a motion made under Sections 40-32
through 40-39, if an affidavit or testimony shows
Sec. 40-30. Admissibility at Time of Trial that there is probable cause to believe that the
The fact that the defendant has indicated an evidence sought will be altered, dissipated, or lost
intent to offer a matter in evidence or to call a if not promptly obtained. Upon presentation of the
person as a witness pursuant to Sections 40-17 defendant, the judicial authority shall inform the
through 40-31 is not admissible in evidence at defendant of his or her rights as specified in
the defendant’s trial. Information obtained by Sections 37-3 through 37-6 and shall afford the
the prosecuting authority pursuant to Sections 40- defendant reasonable opportunity to consult with
17 through 40-31 shall be used only for the cross- an attorney before hearing the motion.
examination or rebuttal of defense testimony (P.B. 1978-1997, Sec. 777.)
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SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS Sec. 40-39
Sec. 40-34. —Scope of Order for Nontesti- to the defendant personally and to his or her coun-
monial Evidence sel, if represented by counsel.
(P.B. 1978-1997, Sec. 780.)
An order under Sections 40-32 through 40-39
may direct the defendant to participate in one or Sec. 40-37. —Implementation of Order
more of the following procedures: An order directing the defendant to participate
(1) Appearing, moving, or speaking for identifi- shall be implemented in the following manner:
cation in a lineup, but if a lineup is not practicable, (1) While participating in or being present for
then in some other reasonable procedure; an authorized procedure, the defendant may be
(2) Wearing clothing or other articles of personal accompanied by counsel and by an observer of
use or adornment; choice. The presence of other persons at the pro-
(3) Providing handwriting and voice exemplars; cedure may be limited as the judicial authority
(4) Submitting to the taking of photographs; deems appropriate under the circumstances.
(5) Submitting to the taking of fingerprints, palm (2) The procedure shall be conducted with dis-
prints, footprints, and other body impressions; patch. If the taking of a specimen or the removal
(6) Submitting to the taking of specimens of of a foreign substance involves an intrusion of
saliva, breath, hair, and nails; the body, medical or other qualified supervision
(7) Submitting to body measurements or other is required. Upon timely request of the defendant
reasonable body surface examinations; and approval by the judicial authority, the defend-
(8) Submitting to the removal of foreign sub- ant may have a qualified physician designated by
stances or objects from the surface of the body, the defendant in attendance.
if the removal does not involve an unreasonable (3) The defendant may not be subjected to
intrusion of the body or an unreasonable affront investigative interrogation while participating in or
to the dignity of the individual; being present for the procedure.
(9) Submitting to the taking of specimens of (4) Any evidence obtained from the defendant
blood and urine, if the taking does not involve an may be used only with respect to the offense
unreasonable intrusion of the body or an unrea- charged or any related offense.
sonable affront to the dignity of the individual; (5) The defendant shall be furnished with a
(10) Submitting to physical examinations, report of the results of the procedure within fifteen
including X-rays under medical supervision; or days of its completion.
(P.B. 1978-1997, Sec. 781.)
(11) Submitting to chemical or physical tests of
the surface of the body which do not involve an Sec. 40-38. —Obtaining Nontestimonial Evi-
unreasonable intrusion of the body or an unrea- dence from Defendant upon Motion of
sonable affront to the dignity of the individual or Defendant
a significant risk of injury. Upon motion of a defendant who has been
(P.B. 1978-1997, Sec. 778.)
arrested, summoned, or charged in a complaint
Sec. 40-35. —Contents of Order or information, the judicial authority by order may
direct the prosecuting authority to arrange for the
An order under Sections 40-32 through 40-39 defendant’s participation in one or more of the
shall specify with particularity the authorized pro- procedures specified in Sections 40-32 through
cedure, the scope of the defendant’s participation, 40-39, if the judicial authority finds that the evi-
the time, duration, place, and other conditions of dence sought could contribute to an adequate
the procedure, and the person or persons who defense. The order shall specify with particular-
may conduct it. It shall inform the defendant that ity the authorized procedure, the scope of the
he or she may not be subjected to investigative defendant’s permitted participation, the designa-
interrogation while participating in or being pre- tion of representatives of the prosecution who may
sent for the procedure, and that he or she may be present, the time, duration, place and other
be held in contempt of court by failing to appear conditions of the procedure, and the person or
and participate in the procedure as directed. It persons who may conduct the procedure. Sec-
may also direct the defendant not to alter substan- tions 40-32 through 40-37 apply to procedures
tially any identifying physical characteristics to be ordered under this section.
examined or to destroy any evidence sought. (P.B. 1978-1997, Sec. 782.)
(P.B. 1978-1997, Sec. 779.)
Sec. 40-39. —Comparing Nontestimonial
Sec. 40-36. —Service of Order Evidence
An order under Sections 40-32 through 40-39 Upon motion of the defendant, the judicial author-
shall be served by delivering a copy of the order ity by order may direct a prosecuting authority
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Sec. 40-39 SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS
to have a scientific comparison made between a or contains irrelevant material, that party shall
specified sample or specimen of nontestimonial deliver such information or materials to the judicial
evidence in the prosecuting authority’s posses- authority for inspection in camera out of the pres-
sion or control and other nontestimonial evidence ence of the other party. If the judicial authority
of a similar character in the prosecuting authority’s excises any portion of such information or materi-
possession or control, if the judicial authority finds als, a record of the in camera proceedings shall
that the results of the comparison could contribute be made and sealed and preserved in the court’s
to an adequate defense. The order shall specify records, to be made available to the Appellate
the comparison authorized, the person or persons Court in the event of an appeal. That portion of
who may make it, and the appropriate conditions the information or materials made available to the
under which it is to be made. other party shall show that an excision has been
(P.B. 1978-1997, Sec. 783.) made.
Sec. 40-40. Protective Orders; Relief (P.B. 1978-1997, Sec. 788.)
Upon the filing of a motion for a protective order Sec. 40-44. Depositions; Grounds
by either party and after a hearing thereon,
the judicial authority may at any time order that In any case involving an offense for which the
disclosure or inspection be denied, restricted punishment may be imprisonment for more than
or deferred, or that reasonable conditions be one year the judicial authority, upon request of
imposed as to the manner of inspection, photo- any party, may issue a subpoena for the appear-
graphing, copying or testing, to the extent neces- ance of any person at a designated time and place
sary to protect the evidentiary values of any to give his or her deposition if such person’s testi-
information or material. mony may be required at trial and it appears to
(P.B. 1978-1997, Sec. 785.) the judicial authority that such person:
(1) Will, because of physical or mental illness
Sec. 40-41. —Grounds for Protective Order
or infirmity, be unable to be present to testify at
In deciding the motion for a protective order the any trial or hearing; or
judicial authority may consider the following: (2) Resides outside of this state, and his or her
(1) The timeliness of the motion; presence cannot be compelled under the provi-
(2) The protection of witnesses and others from
sions of General Statutes § 54-82i; or
physical harm, threats of harm, bribes, economic
reprisals and other intimidation; (3) Will otherwise be unable to be present to
(3) The maintenance of secrecy regarding infor- testify at any trial or hearing; or
mants as required for effective investigation of (4) Is an expert who has examined a defendant
criminal activity; pursuant to Sections 40-17 through 40-19 and
(4) The protection of confidential relationships, has failed to file a written report as provided by
privileges and communications recognized by such sections.
law; and (P.B. 1978-1997, Sec. 791.)
(5) Any other relevant considerations. Sec. 40-45. —Failure To Appear for Depo-
(P.B. 1978-1997, Sec. 786.)
sition
Sec. 40-42. —In Camera Proceedings If, after proper service within this state of a sub-
Upon the hearing of any motion under Sections poena, the person subpoenaed fails to appear at
40-40 through 40-43, the judicial authority may the designated place and time, the judicial author-
permit all or part of any showing of cause for ity may issue a capias directed to a proper officer
denial or deferral of access to be made in camera to arrest and bring such person before the judi-
and out of the presence of the opposing party. cial authority.
Any in camera proceedings shall be recorded ver- (P.B. 1978-1997, Sec. 792.)
batim. If the judicial authority allows any access
to be denied or deferred, the entire record of the Sec. 40-46. —Use of Deposition
in camera proceedings shall be sealed and pre- So far as otherwise admissible under the rules
served in the court’s records, to be made available of evidence, a deposition may be used as evi-
to the Appellate Court in the event of an appeal. dence at the trial or at any hearing if the deponent
(P.B. 1978-1997, Sec. 787.)
is unavailable, as defined in Section 40-56. Any
Sec. 40-43. —Excision as Protective Order deposition may also be used by any party for the
If the moving party claims in a motion for a purpose of contradicting or impeaching the testi-
protective order that a portion of any informa- mony of the deponent as a witness. If only a part
tion or materials requested or required to be dis- of a deposition is offered in evidence by a party,
closed is not subject to disclosure or inspection an adverse party may require such party to offer,
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SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS Sec. 40-54
or may himself or herself offer, all of it which is Sec. 40-50. —Scope of Examination at
relevant to the part offered. Deposition
(P.B. 1978-1997, Sec. 793.) The scope and manner of examination and
cross-examination shall be the same as that
Sec. 40-47. —Notice and Person Taking allowed at trial. Each party having possession of
Deposition a statement of the deponent shall make the state-
The party at whose request the deposition is to ment available to the other party for examination
be taken shall give the other parties reasonable and use at the taking of a deposition if such other
written notice of the name and address of each party would be entitled to the statement at trial.
(P.B. 1978-1997, Sec. 797.)
person to be examined, the time and place for
the deposition, and the manner of recording. The Sec. 40-51. —Objections at Depositions
deposition may be taken before any officer author- All objections made at the time of the exam-
ized to administer oaths and agreed to by the ination to the qualifications of the person taking
parties or, absent such agreement, designated by the deposition, or to the manner of taking it, or to
the judicial authority. Such notice shall be served the questions or evidence presented, or to the
upon each party or each party’s attorney by per- conduct of any party, and any other objection to
sonal or abode service or by registered or certi- the proceedings shall be recorded by the person
before whom the deposition is taken.
fied mail. (P.B. 1978-1997, Sec. 798.)
(P.B. 1978-1997, Sec. 794.)
Sec. 40-52. —Protective Order during Depo-
Sec. 40-48. —Protective Order Prior to sition
Deposition (a) At any time during the taking of the deposi-
After a deposition is ordered, upon written tion, upon motion of a party or of the deponent,
and upon a showing that the examination is being
motion seasonably made and served on all conducted in bad faith, or in such manner as to
affected persons by a party or by the deponent, annoy, embarrass, or oppress the deponent or a
the judicial authority may for good cause shown party, or to elicit privileged testimony, the judicial
change the time, place, or manner of recording authority who ordered the deposition taken may
the deposition, or order that it shall not be taken order the person conducting the examination
or that the scope of the examination shall be lim- immediately to cease taking the deposition, or it
ited to certain matters, or make any other order may limit the scope and manner of taking the
which justice requires. Upon written demand of deposition by ordering:
the objecting party or the deponent, the taking of (1) That certain matters not be inquired into, or
the deposition shall be suspended for the time that the scope of the examination be limited to
required to act upon the motion. In no event shall certain matters; or
the deposition of the defendant be taken without (2) That the examination be conducted with no
the defendant’s consent. one present except those persons designated by
(P.B. 1978-1997, Sec. 795.)
the judicial authority.
(b) Upon demand of the objecting party or the
Sec. 40-49. —Manner of Taking Deposition deponent, the taking of the deposition shall be
suspended for the time necessary to act upon
The witness shall be put on oath and a verbatim the motion.
record of his or her testimony shall be made. The (P.B. 1978-1997, Sec. 799.)
testimony shall be taken stenographically and Sec. 40-53. —Return of Deposition
transcribed, unless the judicial authority orders Except as otherwise provided in these rules, or
otherwise. In the event that the judicial authority as ordered by the judicial authority, depositions
orders that the testimony at a deposition be shall be sealed by the authority taking them and
recorded by other than stenographic means, the returned to the clerk of the court in which the
order shall designate the manner of recording, prosecution is pending, who shall file such deposi-
(such as by videotape) preserving, and filing the tions. Any deposition returned unsealed or with
deposition, and it may include other provisions to the seal broken may be rejected by the judicial
assure that the recorded testimony will be accu- authority who ordered its taking.
rate and trustworthy. If such an order is made, a (P.B. 1978-1997, Sec. 800.)
party may nevertheless arrange to have a steno- Sec. 40-54. —Right of Defendant To Be Pre-
graphic transcription made at his or her own sent and Represented at Deposition
expense. A defendant shall have the right to be present
(P.B. 1978-1997, Sec. 796.) in person at any deposition subject to such terms
403
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Sec. 40-54 SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS
and conditions as may be established by the judi- (2) Persists in refusing to testify concerning the
cial authority. Upon the application for the taking subject matter of his or her deposition despite an
of a deposition, the judicial authority shall advise order of the judicial authority to do so;
any defendant who is without counsel of the right (3) Testifies to a lack of memory of the subject
thereto and assign counsel to represent such matter of his or her deposition;
defendant unless he or she elects to proceed with- (4) Is unable to be present or to testify at a trial
out counsel or is able to obtain counsel. or hearing because of his or her death or physical
(P.B. 1978-1997, Sec. 801.) or mental illness or infirmity; or
Sec. 40-55. —Waiver of Presence and Fail- (5) Is absent from the trial or hearing and the
ure To Appear at Deposition proponent of his or her deposition has been unable
to procure his or her attendance by subpoena or
A defendant may waive, in writing, the right to by other reasonable means.
be present in person. Failure of a defendant not (b) A deponent is not unavailable as a witness
in custody, absent good cause shown, to appear if his or her exemption, refusal, claim of lack of
after notice, shall constitute a waiver of that right memory, inability, or absence is the result of the
and of any objection to the taking and use of the procurement or wrongdoing by the proponent of
deposition based upon that right. The deposition his or her deposition for the purpose of preventing
shall not be admissible in evidence if the defend- the witness from attending or testifying.
ant has not appeared in person and has not validly (P.B. 1978-1997, Sec. 803.)
waived his or her right to appear. When a deposi-
tion is taken in the absence of the defendant, Sec. 40-57. —Taking and Use in Court of
the prosecuting authority shall file a copy of the Deposition by Agreement
deposition within thirty days for inspection by the Nothing in Sections 40-44 through 40-58 pre-
defendant, unless before that time he or she has cludes the taking of a deposition, orally or upon
delivered the deposition or a copy thereof to the written interrogatories, or the use of a deposition
defendant. If this section is not complied with, by agreement of the parties with the consent of
such deposition shall not be admissible in evi- the judicial authority.
dence. (P.B. 1978-1997, Sec. 804.)
(P.B. 1978-1997, Sec. 802.)
Sec. 40-58. —Expenses of Deposition and
Sec. 40-56. —Definition of Unavailable Copies
(a) ‘‘Unavailable’’ as used in Section 40-46 All expenses incurred in the taking of a deposi-
includes situations in which the deponent: tion, including a copy for each adverse party, but
(1) Is exempted by a ruling of the judicial author- excluding counsel’s fees, shall be paid by the
ity on the ground of privilege from testifying con- party taking the deposition.
cerning the subject matter of his or her deposition; (P.B. 1978-1997, Sec. 805.)
404
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SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS Sec. 41-5
CHAPTER 41
PRETRIAL MOTIONS
Sec. Sec.
41-1. Pretrial Motion Practice; Exclusive Procedures 41-13. —Return and Suppression of Seized Property
41-2. —Matters To Be Raised by Motion 41-14. —Suppression of Intercepted Communications
41-3. —Pretrial Motions and Requests 41-15. —Time for Filing Motion To Suppress
41-4. —Failure To Raise Defense, Objection or Request 41-16. —Effect on Seized Property of Granting Motion
41-5. —Time for Making Pretrial Motions or Requests 41-17. —Particular Judicial Authority May Not Hear Motion
41-6. —Form and Manner of Making Pretrial Motions 41-18. Severance of Offenses
41-7. —Hearing and Ruling on Pretrial Motions 41-19. Trial Together of Informations
41-8. Motion To Dismiss 41-20. Bill of Particulars; Time for Filing
41-9. —Restriction on Motion To Dismiss 41-21. —Content of Bill
41-10. —Defects Not Requiring Dismissal 41-22. —Furnishing of Bill
41-11. —Remedies for Minor Defects Not Requiring Dis- 41-23. Transfer of Prosecution; Grounds
missal 41-24. —Time for Motion to Transfer
41-12. Motion To Suppress 41-25. —Proceedings on Transfer
For previous Histories and Commentaries see the editions of the Practice Book
corresponding to the years of the previous amendments.
Sec. 41-1. Pretrial Motion Practice; Exclu- (6) Motions for transfer of prosecution under
sive Procedures Sections 41-23 through 41-25.
(P.B. 1978-1997, Sec. 809.)
Except as otherwise provided in these rules, all TECHNICAL CHANGE: In subdivision (2), ‘‘Chapter’’ was
motions to strike, motions to quash, motions to capitalized for consistency purposes.
dismiss, and other dilatory pleas are abolished,
and defenses and objections which heretofore Sec. 41-4. —Failure To Raise Defense,
could have been raised by one or more of them Objection or Request
may be raised only by motions made in conformity Failure by a party, at or within the time provided
with this chapter. by these rules, to raise defenses or objections or
(P.B. 1978-1997, Sec. 807.) to make requests that must be made prior to trial
shall constitute a waiver thereof, but a judicial
Sec. 41-2. —Matters To Be Raised by Motion authority, for good cause shown, may grant relief
Any defense, objection or request capable of from such waiver, provided, however, that lack of
determination without a trial of the general issue jurisdiction over the offense charged or failure of
may be raised only by a pretrial motion made in the information to charge an offense may be
raised by the defendant or noticed by the judicial
conformity with this chapter.
(P.B. 1978-1997, Sec. 808.)
authority at any time during the pendency of the
proceedings.
(P.B. 1978-1997, Sec. 810.)
Sec. 41-3. —Pretrial Motions and Requests
Unless otherwise provided by statute or rule, or Sec. 41-5. —Time for Making Pretrial Motions
permitted by the judicial authority for good cause or Requests*
shown, pretrial motions and requests shall consist Unless otherwise provided by these rules or
only of one or more of the following: statute, all pretrial motions or requests shall be
(1) Motions to dismiss under Sections 41-8 made not later than ten days after the first pretrial
through 41-11; conference in the court where the case will be
(2) Motions and requests for discovery and tried, or, with permission of the judicial authority,
depositions under Chapter 40; at such later time as the judicial authority may fix.
However, defenses and objections alleging lack
(3) Motions to suppress evidence under Sec-
of jurisdiction over the offense charged or failure
tions 41-12 through 41-17; of the information to charge an offense may be
(4) Motions for joinder or severance under Sec- raised by the defendant or noticed by the judicial
tions 41-18 and 41-19; authority at any time during the pendency of the
(5) Motions for a bill of particulars under Sec- proceedings.
tions 41-20 through 41-22; (P.B. 1978-1997, Sec. 811.)
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Sec. 41-5 SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS
*APPENDIX NOTE: The Rules Committee of the Superior (2) Defects in the information including failure
Court enacted, and the judges of the Superior Court subse- to charge an offense;
quently adopted, certain changes to the provisions of this
rule in response to the public health and civil preparedness
(3) Statute of limitations;
emergencies declared on March 10, 2020, and renewed on (4) Absence of jurisdiction of the court over the
September 1, 2020, and January 26, 2021. The public health defendant or the subject matter;
emergency was renewed on June 28, 2022, and is scheduled (5) Insufficiency of evidence or cause to justify
to expire on December 28, 2022, or when the federal public the bringing or continuing of such information or
health emergency ends. See Appendix of Section 1-9B
the placing of the defendant on trial;
Changes.
(6) Previous prosecution barring the present
Sec. 41-6. —Form and Manner of Making prosecution;
Pretrial Motions (7) Claim that the defendant has been denied
Pretrial motions shall be written and served in a speedy trial;
accordance with Sections 10-12 through 10-17 (8) Claim that the law defining the offense
unless, for good cause shown, the judicial author- charged is unconstitutional or otherwise invalid; or
ity shall grant permission to make an oral pretrial (9) Any other grounds.
(P.B. 1978-1997, Sec. 815.)
motion. Every written motion shall include a state-
ment of the factual and legal or other basis there- Sec. 41-9. —Restriction on Motion To Dis-
for, shall state whether the same or a similar miss
motion was previously filed and ruled upon, and
No defendant who is charged with a crime pun-
shall have annexed to it a proper order. All
ishable by death or life imprisonment for which
defenses and objections that must be raised by
probable cause has been found at a preliminary
motion prior to trial shall, to the extent possible, hearing pursuant to General Statutes § 54-46a or
be raised at the same time. who has been arrested pursuant to a warrant may
(P.B. 1978-1997, Sec. 812.)
make a motion under subdivisions (5) or (9) of
Sec. 41-7. —Hearing and Ruling on Pretrial Section 41-8.
Motions (P.B. 1978-1997, Sec. 816.)
A motion made before trial shall be determined Sec. 41-10. —Defects Not Requiring Dis-
prior to trial, unless the judicial authority orders missal
that the ruling be deferred until during the trial of No information shall be dismissed because of
the general issue or until after the verdict. Unless any defect or imperfection in, or omission of, any
the judicial authority otherwise permits, all pretrial matter of form only, or because of any miswriting,
motions pending at the time for the hearing of any misspelling or improper English, or because of
pretrial motion shall be heard at the same time. any use of a sign, symbol, figure or abbreviation
The judicial authority may order the filing of briefs or, because of any similar defect, imperfection
prior to, at, or following such hearing. Where fac- or omission. No information shall be dismissed
tual issues are involved in determining a motion, merely for misjoinder of parties accused, misjoin-
the judicial authority shall state its essential find- der of offenses charged, multiplicity, duplicity or
ings on the record. A verbatim record shall be uncertainty, provided an offense is charged.
made of all proceedings at a hearing on a pretrial (P.B. 1978-1997, Sec. 817.)
motion, including such findings of fact and conclu-
sions of law as are made orally. All motions which Sec. 41-11. —Remedies for Minor Defects
require an evidentiary hearing shall be heard by Not Requiring Dismissal
the judicial authority to whom the case has been If the judicial authority determines that any of
assigned for trial, unless otherwise provided by the defects stated in Section 41-10 exist in any
rule or statute, or otherwise ordered by the presid- information, it shall order such relief as is required
ing judge. to remedy such defect, including the severance
(P.B. 1978-1997, Sec. 813.) of such information into separate counts or the
filing of a bill of particulars. No appeal, or motion
Sec. 41-8. Motion To Dismiss made after verdict, based on any of the defects
The following defenses or objections, if capable enumerated in Section 41-10 shall be sustained
of determination without a trial of the general unless it is affirmatively shown that the defendant
issue, shall, if made prior to trial, be raised by a was, in fact, prejudiced in his or her defense upon
motion to dismiss the information: the merits and that substantial injustice was done
(1) Defects in the institution of the prosecution to the defendant because of such defect.
including any grand jury proceedings; (P.B. 1978-1997, Sec. 818.)
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SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS Sec. 41-23
Sec. 41-12. Motion To Suppress Sec. 41-16. —Effect on Seized Property of
Upon motion, the judicial authority shall sup- Granting Motion
press potential testimony or other evidence if it If the judicial authority grants a motion made
finds that suppression is required under the con- under Sections 41-12 through 41-17, the property
stitution or laws of the United States or the state seized shall be returned unless the judicial author-
of Connecticut. ity finds that the property is subject to lawful deten-
(P.B. 1978-1997, Sec. 821.) tion or destruction.
(P.B. 1978-1997, Sec. 825.)
Sec. 41-13. —Return and Suppression of
Sec. 41-17. —Particular Judicial Authority
Seized Property
May Not Hear Motion
A person aggrieved by a search and seizure A judicial authority who signed any warrant or
may make a motion to the judicial authority who order for the seizure of property, testimony or evi-
has jurisdiction of the case, or if such jurisdiction dence or for the interception of any communica-
has not yet been invoked, then to the judicial tions shall not preside at any hearing on a motion
authority who issued the warrant or to the court made pertaining to such warrant or order.
in which the case is pending, for the return of (P.B. 1978-1997, Sec. 826.)
specific items of property and to suppress their
Sec. 41-18. Severance of Offenses
use as evidence on the grounds that:
(1) The property was illegally seized without a If it appears that a defendant is prejudiced by
warrant under circumstances requiring a warrant; a joinder of offenses, the judicial authority may,
(2) The warrant is insufficient on its face; upon its own motion or the motion of the defend-
(3) The property seized is not that described in ant, order separate trials of the counts or provide
whatever other relief justice may require.
the warrant; (P.B. 1978-1997, Sec. 828.)
(4) There was not probable cause for believing
the existence of the grounds on which the warrant Sec. 41-19. Trial Together of Informations
was issued; or The judicial authority may, upon its own motion
(5) The warrant was illegally executed. or the motion of any party, order that two or more
(P.B. 1978-1997, Sec. 822.) informations, whether against the same defend-
ant or different defendants, be tried together.
Sec. 41-14. —Suppression of Intercepted (P.B. 1978-1997, Sec. 829.)
Communications Sec. 41-20. Bill of Particulars; Time for Filing
Any aggrieved person in any trial, hearing or Pursuant to Section 41-5, the defendant may
proceeding in or before any court may move to make a motion, or the judicial authority may order
suppress the contents of any intercepted wire at any time, that the prosecuting authority file a
communication, or any evidence derived there- bill of particulars.
from, on the grounds that: (P.B. 1978-1997, Sec. 831.)
(1) The communication was unlawfully inter- Sec. 41-21. —Content of Bill
cepted under the provisions of chapter 959a of
The judicial authority shall order that a bill of
the General Statutes; particulars disclose information sufficient to
(2) The order of authorization or approval under enable the defendant to prepare the defense,
which it was intercepted is insufficient on its face; including but not being limited to reasonable
(3) The interception was not made in conformity notice of the crime charged and the date, time,
with the order of authorization or approval; or and place of its commission.
(4) The interception was otherwise illegal. (P.B. 1978-1997, Sec. 832.)
(P.B. 1978-1997, Sec. 823.)
Sec. 41-22. —Furnishing of Bill
Sec. 41-15. —Time for Filing Motion To When any bill of particulars is ordered, an
Suppress amended or substitute information shall be filed
A motion under Sections 41-12 through 41-17 incorporating its provisions.
(P.B. 1978-1997, Sec. 833.)
shall be made before trial or hearing in accord-
ance with Section 41-5 unless opportunity therefor Sec. 41-23. Transfer of Prosecution; Grounds
did not exist or the defendant or other moving Upon motion of the prosecuting authority or the
party was not aware of the grounds of the motion, defendant, or upon its own motion, the judicial
in which case such motion may be made at any authority may order that any pending criminal mat-
time during the trial or the pendency of any pro- ter be transferred to any other court ___location:
ceeding. The judicial authority in its discretion may (1) If the judicial authority is satisfied that a fair
entertain such a motion at any time. and impartial trial cannot be had where the case
(P.B. 1978-1997, Sec. 824.) is pending;
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Sec. 41-23 SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS
(2) If the defendant and the prosecuting author- Sec. 41-25. —Proceedings on Transfer
ity consent; or The clerk of the court in which such case is
(3) Where the joint trial of informations is pending shall transmit the original files and papers
ordered pursuant to Section 41-19 and the cases therein, with a certificate of such transfer, to the
are pending in different judicial districts or geo- clerk of the court to which such case is transferred,
graphical areas. who shall at once enter it on the docket of such
(P.B. 1978-1997, Sec. 835.) court. Such case may be heard at a session of
such court then being held, or thereafter to be
Sec. 41-24. —Time for Motion To Transfer held, for the transaction of criminal business and
A motion for transfer of prosecution shall be may be there proceeded with and in the same
made within the time prescribed by Section 41-5 manner as if it were originally brought to such
for making pretrial motions. court.
(P.B. 1978-1997, Sec. 836.) (P.B. 1978-1997, Sec. 837.)
408
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SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS Sec. 42-3
CHAPTER 42
TRIAL PROCEDURE
Sec. Sec.
42-1. Jury Trials; Right to Jury Trial and Waiver 42-29. Verdict; Return of Verdict
42-2. —Two Part Information 42-30. —Acceptance of Verdict
42-3. —Size of Jury 42-31. —Poll of Jury after Verdict
42-4. —Challenge to Array 42-32. —Discharge of Jury
42-5. —Disqualification of Jurors and Selection of Panel 42-33. —Impeachment of Verdict
42-6. —View by Jury of Place or Thing Involved in Case 42-34. Trial without Jury
42-7. —Communications between Judicial Authority 42-35. Order of Parties Proceeding at Trial
and Jury 42-36. Sequestration of Witnesses
42-8. —Communications between Parties and Jurors 42-37. Time Limits in Argument
42-9. —Juror Questions and Note Taking 42-38. Order of Proceeding of Defendants
42-10. Selection of Jury; Jurors Who Are Deaf or Hard 42-39. Judicial Appointment of Expert Witnesses
of Hearing 42-40. Motions for Judgment of Acquittal; In General
42-11. —Preliminary Proceedings in Jury Selection 42-41. —At Close of Prosecution’s Case
42-12. —Voir Dire Examination 42-42. —At Close of Evidence
42-13. —Peremptory Challenges 42-43. Motion for Mistrial; For Prejudice to Defendant
42-14. —Oath and Admonitions to Trial Jurors 42-44. —For Prejudice to State
42-15. Motion in Limine 42-45. Jury’s Inability To Reach Verdict
42-16. Requests To Charge and Exceptions; Necessity for 42-46. Control of Judicial Proceedings; Restraint of Dis-
42-17. —Filing Requests ruptive Defendant
42-18. —Form and Contents of Requests To Charge 42-47. —Removal of Disruptive Defendant
42-19. —Charge Conference 42-48. —Cautioning Parties and Witnesses
42-20. Submission for Verdict; Role of Judicial Authority 42-49. Closure of Courtroom in Criminal Cases
in Trial 42-49A. Sealing or Limiting Disclosure of Documents in
42-21. Jury Deliberations Criminal Cases
42-22. Sequestration of Jury 42-50. Motion for Judgment of Acquittal; After Mistrial
42-23. Materials To Be Submitted to Jury 42-51. —Upon Verdict of Guilty
42-24. Modification of Instructions for Correction or Clarifi- 42-52. —Time for Filing Motion for Judgment of Acquittal
cation 42-53. Motion for New Trial; In General
42-25. —Other Instructions after Additional Instructions 42-54. —Time for Filing Motion for New Trial
42-26. Jury Requests for Review of Testimony 42-55. —Time for Filing Motion for New Trial Based on
42-27. Jury Requests for Additional Instructions Newly Discovered Evidence
42-28. Deadlocked Jury 42-56. Motion in Arrest of Judgment
For previous Histories and Commentaries see the editions of the Practice Book
corresponding to the years of the previous amendments.
Sec. 42-1. Jury Trials; Right to Jury Trial part and the trial thereon proceeded with. If the
and Waiver defendant elects a jury trial on the second part of
The defendant in a criminal action may demand the information, such trial may be had to the same
a trial by jury of issues which are triable of right or to another jury as the judicial authority may
by jury. If at the time the defendant is put to plea, direct.
(P.B. 1978-1997, Sec. 840.)
he or she elects a trial by the court, the judicial
authority shall advise the defendant of his or her Sec. 42-3. —Size of Jury
right to a trial by jury and that a failure to elect a The parties, after submission of the matter to
jury trial at that time may constitute a waiver of the jury and prior to the verdict, may, by stipulation
that right. If the defendant does not then elect a in writing and with the approval of the judicial
jury trial, the defendant’s right thereto may be authority, elect to have the verdict rendered by a
deemed to have been waived. number of jurors fewer than that prescribed by
(P.B. 1978-1997, Sec. 839.) law. The judicial authority shall not permit such
an election or stipulation unless the defendant,
Sec. 42-2. —Two Part Information
after being advised by the judicial authority of his
When an information is divided into two parts or her right to a trial by a full jury, personally waives
under Section 36-14, on a finding of guilty on the such right either in writing or in open court on
first part of the information, a plea shall be taken the record.
and, if necessary, election made on the second (P.B. 1978-1997, Sec. 841.)
409
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Sec. 42-4 SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS
Sec. 42-4. —Challenge to Array engage in discussion of the significance or the
Any party may challenge an array on the ground implications of anything under observation or of
that there has been a material departure from the any issue in the case.
requirements of law governing the selection and (P.B. 1978-1997, Sec. 844.) (Amended June 26, 2020, to
take effect Jan. 1, 2021.)
summoning of an array. Such challenge shall be
made within five days after notification of the hear- Sec. 42-7. —Communications between Judi-
ing or trial date, unless the defect claimed has cial Authority and Jury
arisen subsequent to the time required to make All communications from the jury to the judicial
such motion. authority shall be in writing. The judicial authority
(P.B. 1978-1997, Sec. 842.) shall require that a record be kept of all communi-
Sec. 42-5. —Disqualification of Jurors and cations received by it from a juror or the jury after
Selection of Panel the jury has been sworn, and it shall not communi-
A person shall be disqualified to serve as a juror cate with a juror or the jury on any aspect of the
if such person is found by the judicial authority to case itself, as distinguished from matters relat-
exhibit any quality which will impair that person’s ing to physical comforts and the like, except after
capacity to serve as a juror, except that no person notice to all parties and reasonable opportunity
shall be disqualified on the basis of deafness or for them to be present.
(P.B. 1978-1997, Sec. 845.)
being hard of hearing. The clerk shall keep a list
of all persons disqualified under this section and Sec. 42-8. —Communications between Par-
shall send a copy of that list to the jury administra- ties and Jurors
tor at such time as the jury administrator may (a) No party, and no attorney, employee, repre-
direct. The clerk of the court, in impaneling the sentative or agent of any party or attorney, shall
jury for the trial of each cause, shall, when more contact, communicate with or interview any juror
jurors are in attendance than are required for the or alternate juror, or any relative, friend or associ-
panel, designate by lot those who shall compose ate of any juror or alternate juror concerning the
the panel. deliberations or verdict of the jury or of any individ-
(P.B. 1978-1997, Sec. 843.) (Amended June 13, 2019, to ual juror or alternate juror in any action:
take effect Jan. 1, 2020.)
(1) during trial until the jury has returned a ver-
Sec. 42-6. —View by Jury of Place or Thing dict and/or the jury has been dismissed by the
Involved in Case judicial authority, except upon leave of the judicial
When the judicial authority is of the opinion that authority, which shall be granted only upon a
a viewing by the jury of the place where the showing of good cause; or
offense being tried was committed, or of any other (2) in any manner after trial which subjects the
place or thing involved in the case, will be helpful juror to harassment, misrepresentation, duress
to the jury in determining any material factual or coercion.
issue, it may in its discretion, at any time before (b) After trial, jurors have no obligation to speak
the closing arguments, order that the jury be con- to any person about any case and may refuse all
ducted to such place or ___location of such thing. interviews or requests to discuss the case, except
During the viewing the jury must be kept together as ordered by the court. However, jurors shall
under the supervision of a proper officer appointed report to the court any extraneous prejudicial infor-
by the judicial authority. The judicial authority and mation improperly brought to the jury’s attention,
an official court reporter or court recording monitor any outside influence improperly brought to bear
must be present, and, with the judicial authority’s upon any juror, or whether the verdict reported
permission, any other person may be present. The was the result of a clerical mistake.
prosecuting authority, the defendant and defense (c) A violation of subsection (a) may, where
counsel may as a matter of right be present, but appropriate, be treated as a contempt of court,
the right may be waived. The purpose of viewing and may be punished accordingly. The judicial
shall be solely to permit visual observation by the authority shall have continuing supervision over
jury of the place or thing in question and to permit communications with jurors, even after a trial has
a brief description of the site or thing being viewed been completed.
(P.B. 1978-1997, Sec. 845A.) (Amended June 15, 2012,
by the judicial authority or by any witness or wit- to take effect Jan. 1, 2013.)
nesses as allowed by the judicial authority. Any
proceedings at the ___location, including examination Sec. 42-9. —Juror Questions and Note
of witnesses, shall be at the discretion of the judi- Taking
cial authority. Neither the parties nor counsel nor The members of the jury may, in the discretion
the jurors while viewing the place or thing may of the judicial authority, take notes and submit
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SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS Sec. 42-16
questions to be asked of witnesses during the trial (b) Pursuant to the provisions of Section 5-12,
of a criminal action. a party or the court on its own may object to the
(P.B. 1978-1997, Sec. 845B.) use of a peremptory challenge to raise a claim of
improper bias.
Sec. 42-10. Selection of Jury; Jurors Who (P.B. 1978-1997, Sec. 849.) (Amended June 10, 2022, to
Are Deaf or Hard of Hearing take effect Jan. 1, 2023.)
(Amended June 13, 2019, to take effect Jan. 1, 2020.) HISTORY—2023: ‘‘(a)’’ was added before ‘‘The.’’ In addi-
At the request of a juror who is deaf or hard of tion, what is now subsection ‘‘(b)’’ was added.
hearing or at the request of the judicial authority, COMMENTARY—2023: The change to this section
an interpreter or interpreters provided by the Judi- includes a reference to the procedure to object to peremptory
challenges under new Section 5-12, to eliminate the unfair
cial Branch and qualified under General Statutes exclusion of potential jurors based upon race or ethnicity.
§ 46a-33a shall assist such juror during the juror
orientation program and all subsequent proceed- Sec. 42-14. —Oath and Admonitions to
ings, and when the jury assembles for delib- Trial Jurors
eration. (a) The judicial authority shall cause the jurors
(P.B. 1978-1997, Sec. 846A.) (Amended August 24, 2001, selected for the trial to be sworn or affirmed in
to take effect Jan. 1, 2002; amended June 13, 2019, to take
effect Jan. 1, 2020.) accordance with General Statutes §§ 1-23 and 1-
25. The judicial authority shall admonish the jurors
Sec. 42-11. —Preliminary Proceedings in not to read, listen to or view news reports of the
Jury Selection case or to discuss with each other or with any
The judicial authority shall cause prospective person not a member of the jury the cause under
jurors to be sworn or affirmed in accordance with consideration, except that after the case has been
General Statutes §§ 1-23 and 1-25. The judicial submitted to the jury for deliberation the jurors
authority shall require counsel to make a prelimi- shall discuss it among themselves in the jury
nary statement as to the names of other counsel room.
with whom he or she is affiliated and other relevant (b) In the presence of the jury, the judicial
facts, and shall require counsel to disclose the authority shall instruct any interpreter for a juror
names, and if ordered by the judicial authority, who is deaf or hard of hearing to refrain from par-
the addresses of all witnesses counsel intends to ticipating in any manner in the deliberations of the
call at trial. The judicial authority may excuse any jury and to refrain from having any communica-
prospective juror for cause. tions, oral or visual, with any member of the jury
(P.B. 1978-1997, Sec. 847.) except for the literal translation of jurors’ remarks
made during deliberations.
Sec. 42-12. —Voir Dire Examination (P.B. 1978-1997, Sec. 850.) (Amended June 13, 2019, to
Each party shall have the right to examine, per- take effect Jan. 1, 2020.)
sonally or by counsel, each juror outside the pres- Sec. 42-15. Motion in Limine
ence of other prospective jurors as to qualifica-
tions to sit as a juror in the action, or as to interest, The judicial authority to whom a matter has
if any, in the subject matter of the action, or as to been referred for trial may in its discretion enter-
relations with the parties thereto. If the judicial tain a motion in limine made by either party regard-
authority before whom such examination is held ing the admission or exclusion of anticipated
is of the opinion from such examination that any evidence. Such motion shall be in writing and shall
juror would be unable to render a fair and impartial describe the anticipated evidence and the preju-
verdict, such juror shall be excused by the judicial dice which may result therefrom. The judicial
authority from any further service upon the panel, authority may grant the relief sought in the motion
or in such action, as the judicial authority deter- or such other relief as it may deem appropriate,
mines. The judicial authority shall not abridge the may deny the motion with or without prejudice to
right of such examination by requiring counsel or its later renewal, or may reserve decision thereon
the defendant to put questions to any juror in writ- until a later time in the proceeding.
ing and to submit them in advance of the com- (P.B. 1978-1997, Sec. 850B.)
mencement of the trial. Sec. 42-16. Requests To Charge and Excep-
(P.B. 1978-1997, Sec. 848.) (Amended June 22, 2009, to
take effect Jan. 1, 2010.)
tions; Necessity for
An appellate court shall not be bound to con-
Sec. 42-13. —Peremptory Challenges sider error as to the giving of, or the failure to
(a) The prosecuting authority and the defendant give, an instruction unless the matter is covered
may challenge peremptorily the number of jurors by a written request to charge or exception has
which each is entitled to challenge by law. been taken by the party appealing immediately
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Sec. 42-16 SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS
after the charge is delivered. Counsel taking the authority shall submit the facts to the jury without
exception shall state distinctly the matter objected directing how it is to find the facts or how it is to
to and the ground of exception. The exception render the verdict.
shall be taken out of the hearing of the jury. (P.B. 1978-1997, Sec. 855.)
(P.B. 1978-1997, Sec. 852.)
Sec. 42-21. Jury Deliberations
Sec. 42-17. —Filing Requests After the case has been submitted to the jury,
Written requests to charge the jury must be filed the jurors shall be in the custody of an officer who
in triplicate with the clerk before the beginning of shall permit no person to be present with them or
the arguments or at such earlier time during the to speak to them when assembled for delibera-
trial as the judicial authority directs, and the clerk tions except a qualified interpreter assisting a juror
shall file them and forthwith hand one copy to the who is deaf or hard of hearing. The jurors shall
judicial authority and one to opposing counsel. A be kept together for deliberations as the judicial
party’s requests to charge may be amended in authority reasonably directs. If the judicial author-
writing as a matter of right at any time prior to the ity permits the jury to recess its deliberations, the
beginning of the charge conference. judicial authority shall admonish the jurors not to
(P.B. 1978-1997, Sec. 853.) discuss the case until they reconvene in the jury
Sec. 42-18. —Form and Contents of Requests room. The judicial authority shall direct the jurors
To Charge to select one of their members to preside over the
deliberations and to deliver any verdict agreed
(a) When there are several requests, they shall
upon, and the judicial authority shall admonish
be in separate and numbered paragraphs, each
the jurors that until they are discharged in the case
containing a single proposition of law clearly and
they may communicate upon subjects connected
concisely stated with the citation of authority upon
with the trial only while they are convened in the
which it is based, and the evidence to which the
jury room. If written forms of verdict are submitted
proposition would apply. Requests to charge
to the jury pursuant to Section 42-23, the member
should not exceed fifteen in number unless, for
of the jury selected to deliver the verdict shall sign
good cause shown, the judicial authority permits
any verdict agreed upon.
the filing of an additional number. If the request (P.B. 1978-1997, Sec. 856.) (Amended June 13, 2019, to
is granted, the judicial authority shall apply the take effect Jan. 1, 2020.)
proposition of law to the facts of the case.
(b) A principle of law should be stated in but Sec. 42-22. Sequestration of Jury
one request and in but one way. Requests If a case involves the penalty of capital punish-
attempting to state in different forms the same ment or imprisonment for life or is of such notoriety
principle of law as applied to a single issue are or its issues are of such a nature that, absent
improper. sequestration, highly prejudicial matters are likely
(P.B. 1978-1997, Sec. 854.) to come to the jury’s attention, the judicial author-
Sec. 42-19. —Charge Conference ity, upon its own motion or the motion of either
After the close of evidence but before argu- party, may order that the jurors remain together
ments to the jury, the judicial authority shall, if in the custody of an officer during the trial and until
requested, inform counsel out of the presence of they are discharged from further consideration of
the jury of the substance of its proposed instruc- the case. Such order shall include an interpreter
tions. or interpreters assisting a juror who is deaf or hard
The charge conference shall be on the record of hearing. A motion to sequester may be made
or summarized on the record. at any time. The jury shall not be informed which
(P.B. 1978-1997, Sec. 854A.) (Amended June 25, 2001, party requested sequestration.
to take effect Jan. 1, 2002.) (P.B. 1978-1997, Sec. 857.) (Amended June 13, 2019, to
take effect Jan. 1, 2020.)
Sec. 42-20. Submission for Verdict; Role of
Judicial Authority in Trial Sec. 42-23. Materials To Be Submitted to
The judicial authority shall decide all issues of Jury
law and all questions of law arising in the trial of (a) The judicial authority shall submit to the jury:
criminal cases. In committing the case to the jury, (1) The information upon which the defendant
if in the opinion of the judicial authority the evi- was tried; and
dence is not sufficient to justify the finding of guilt (2) All exhibits received in evidence.
beyond a reasonable doubt, it may direct the jury (b) The judicial authority may, in its discretion,
to find a verdict of not guilty; otherwise, subject submit to the jury:
to the provisions of Section 42-40, the judicial (1) Appropriate written forms of verdict;
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SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS Sec. 42-33
(2) A copy or tape recording of the judicial deliberate for an unreasonable length of time or
authority’s instructions to the jury; and for unreasonable intervals. It may also instruct the
(3) Upon request by the jury, a copy or tape jury as to disagreements in accordance with the
recording of an appropriate portion of the judicial law.
authority’s instructions to the jury. (P.B. 1978-1997, Sec. 865.)
(P.B. 1978-1997, Sec. 858.)
Sec. 42-29. Verdict; Return of Verdict
Sec. 42-24. Modification of Instructions for The verdict shall be general unless otherwise
Correction or Clarification directed by the judicial authority, but if the judicial
The judicial authority, after exceptions to the authority instructs the jury regarding the defense
charge, or upon its own motion, may recall the of mental disease or defect, the jury, if it so finds,
jury to the courtroom and give it additional instruc- shall declare the finding in its verdict. The verdict
tions in order to: shall be unanimous and shall be announced by
(1) Correct or withdraw an erroneous instruc- the jury in open court. If there are two or more
tion; defendants, the jury may return a verdict with
(2) Clarify an ambiguous instruction; or respect to any defendant as to whom it agrees.
(3) Instruct the jury on any matter which should The defendant, if found not guilty of the offense
have been covered in the original instructions. charged, may be found guilty of an offense neces-
(P.B. 1978-1997, Sec. 860.) sarily included in the offense charged or of an
attempt to commit either the offense charged or
Sec. 42-25. —Other Instructions after Addi- an offense necessarily included therein, if the
tional Instructions attempt is an offense.
If the judicial authority gives additional instruc- (P.B. 1978-1997, Sec. 867.)
tions, it also may give or repeat other instructions
in order to avoid undue emphasis on the additional Sec. 42-30. —Acceptance of Verdict
instructions. Additional instructions shall be gov- The judicial authority shall, if the verdict is in
erned by the procedures set forth in Section 42- order and is technically correct, accept it with-
16 concerning exceptions. out comment.
(P.B. 1978-1997, Sec. 861.) (P.B. 1978-1997, Sec. 868.)
Sec. 42-26. Jury Requests for Review of Sec. 42-31. —Poll of Jury after Verdict
Testimony After a verdict has been returned and before
If the jury after retiring for deliberations requests the jury has been discharged, the jury shall be
a review of certain testimony, the jury shall be polled at the request of any party or upon the
conducted to the courtroom. Whenever the jury’s judicial authority’s own motion. The poll shall be
request is reasonable, the judicial authority, after conducted by the clerk of the court by asking each
notice to and consultation with the prosecuting juror individually whether the verdict announced
authority and counsel for the defense, shall have is such juror’s verdict. If upon the poll there is not
the requested parts of the testimony read to the unanimous concurrence, the jury may be directed
jury. to retire for further deliberations or it may be dis-
(P.B. 1978-1997, Sec. 863.) charged.
(P.B. 1978-1997, Sec. 869.)
Sec. 42-27. Jury Requests for Additional
Sec. 42-32. —Discharge of Jury
Instructions
The judicial authority shall discharge the jury
If the jury, after retiring for deliberations, after it has rendered its verdict or after a mistrial
requests additional instructions, the judicial has been declared.
authority, after providing notice to the parties and (P.B. 1978-1997, Sec. 870.)
an opportunity for suggestions by counsel, shall
recall the jury to the courtroom and give additional Sec. 42-33. —Impeachment of Verdict
instructions necessary to respond properly to the Upon an inquiry into the validity of a verdict, no
request or to direct the jury’s attention to a portion evidence shall be received to show the effect of
of the original instructions. any statement, conduct, event or condition upon
(P.B. 1978-1997, Sec. 864.) the mind of a juror nor any evidence concerning
mental processes by which the verdict was deter-
Sec. 42-28. Deadlocked Jury mined. Subject to these limitations, a juror’s testi-
If it appears to the judicial authority that the jury mony or affidavit shall be received when it con-
has been unable to agree, it may require the jury cerns any misconduct which by law permits a jury
to continue its deliberations. The judicial authority to be impeached.
shall not require or threaten to require the jury to (P.B. 1978-1997, Sec. 871.)
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Sec. 42-34 SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS
Sec. 42-34. Trial without Jury shall not be appointed by the judicial authority
In a case tried without a jury the judicial authority unless the expert consents to act. A witness so
shall, in accordance with Section 6-1, render a appointed shall be informed of his or her duties
finding of guilty, not guilty, or not guilty by reason by the judicial authority in writing, a copy of which
of mental disease or defect where appropriate. shall be filed with the clerk, or the witness shall
(P.B. 1978-1997, Sec. 872.) (Amended June 30, 2008, to be informed of his or her duties at a conference
take effect Jan. 1, 2009.) in which the parties shall have an opportunity to
Sec. 42-35. Order of Parties Proceeding at participate. A witness so appointed shall advise
Trial the parties of his or her findings, if any, and may
thereafter be called to testify by the judicial author-
Unless the judicial authority for cause permits ity or by any party. A witness so appointed shall
otherwise, the parties shall proceed with the trial be subject to cross-examination by each party.
in the following order: The judicial authority may determine the reason-
(1) The prosecuting authority shall present the able compensation for such a witness and direct
case-in-chief. payment out of such funds as may be provided by
(2) The defendant may present a case-in-chief. law. This section shall not apply to appointments
(3) The prosecuting authority and the defendant made pursuant to General Statutes § 54-56d.
may present rebuttal evidence in successive (P.B. 1978-1997, Sec. 881.)
rebuttals, as required. The judicial authority for
cause may permit a party to present evidence Sec. 42-40. Motions for Judgment of Acquit-
not of a rebuttal nature, and if the prosecuting tal; In General
authority is permitted to present further evidence Motions for a directed verdict of acquittal and
in chief, the defendant may respond with further for dismissal when used during the course of a trial
evidence in chief. are abolished. Motions for a judgment of acquittal
(4) The prosecuting authority shall be entitled
shall be used in their place. After the close of the
to make the opening and final closing arguments.
prosecution’s case-in-chief or at the close of all
(5) The defendant may make a single closing
the evidence, upon motion of the defendant or
argument following the opening argument of the
prosecuting authority. upon its own motion, the judicial authority shall
(P.B. 1978-1997, Sec. 874.) order the entry of a judgment of acquittal as to
any principal offense charged and as to any lesser
Sec. 42-36. Sequestration of Witnesses included offense for which the evidence would
The judicial authority upon motion of the prose- not reasonably permit a finding of guilty. Such
cuting authority or of the defendant shall cause judgment of acquittal shall not apply to any lesser
any witness to be sequestered during the hearing included offense for which the evidence would
on any issue or motion or during any part of the reasonably permit a finding of guilty.
trial in which such witness is not testifying. (P.B. 1978-1997, Sec. 883.)
(P.B. 1978-1997, Sec. 876.)
Sec. 42-41. —At Close of Prosecution’s
Sec. 42-37. Time Limits in Argument Case
Counsel shall not occupy more than one hour If the motion is made after the close of the
in argument in any trial, unless the judicial author- prosecution’s case-in-chief, the judicial authority
ity, on motion for special cause before the com- shall either grant or deny the motion before call-
mencement of such argument, allows counsel a ing upon the defendant to present the defen-
longer time. dant’s case-in-chief. If the motion is not granted,
(P.B. 1978-1997, Sec. 879.)
the defendant may offer evidence without having
Sec. 42-38. Order of Proceeding of Defend- reserved the right to do so.
ants (P.B. 1978-1997, Sec. 884.)
If there are two or more defendants and they Sec. 42-42. —At Close of Evidence
do not agree as to their order of proceeding, the
judicial authority shall determine their order. If the motion is made at the close of all the
(P.B. 1978-1997, Sec. 880.) evidence in a jury case, the judicial authority may
reserve decision on the motion, submit the case
Sec. 42-39. Judicial Appointment of Expert to the jury, and decide the motion either before
Witnesses the jury returns a verdict or after it returns a verdict
Whenever the judicial authority deems it neces- of guilty or after it is discharged without having
sary, on its own motion it may appoint any expert returned a verdict.
witnesses of its own selection. An expert witness (P.B. 1978-1997, Sec. 885.)
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SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS Sec. 42-49
Sec. 42-43. Motion for Mistrial; For Preju- the restraints employed shall be those reason-
dice to Defendant ably necessary under the circumstances. All rea-
Upon motion of a defendant, the judicial author- sonable efforts shall be employed to conceal
ity may declare a mistrial at any time during the such restraints from the view of the jurors. Upon
trial if there occurs during the trial an error or legal request, the judicial authority shall instruct the
defect in the proceedings, or any conduct inside or jurors that restraint is not to be considered in
outside the courtroom which results in substantial assessing the evidence or in the determination of
and irreparable prejudice to the defendant’s case. the case.
(P.B. 1978-1997, Sec. 892.)
If there are two or more defendants, the mistrial
shall not be declared as to a defendant who does Sec. 42-47. —Removal of Disruptive Defen-
not make or join in the motion. dant
(P.B. 1978-1997, Sec. 887.) Upon the direction of the judicial authority, a
defendant may be removed from the courtroom
Sec. 42-44. —For Prejudice to State during trial or hearing when the defendant’s con-
Upon motion of the prosecuting authority, the duct has become so disruptive that the trial or
judicial authority may declare a mistrial if there hearing cannot proceed in an orderly manner. The
occurs during the trial, either inside or outside the judicial authority shall advise the defendant that
courtroom, misconduct by the defendant, coun- the trial or hearing will continue in the defendant’s
sel for the defendant, or someone acting at the absence. A defendant who has been removed
request of the defendant or such counsel, which shall remain present in the court building while
results in substantial and irreparable prejudice to the trial or hearing is in progress. At the time of the
the prosecuting authority’s case. If there are two defendant’s removal, the judicial authority shall
or more defendants, the mistrial shall not be advise the defendant that the defendant may
declared as to a defendant if neither that defend- request to be returned to the courtroom if, at the
ant, nor counsel for that defendant, nor a person time of making such request, the defendant
acting at the request of that defendant or counsel assures the judicial authority that the defendant
for that defendant participated in the misconduct, shall not engage in disruptive conduct. Whenever
or if the prosecuting authority’s case is not sub- the defendant is removed, the judicial authority
stantially and irreparably prejudiced as to that shall instruct the jurors that such removal is not
defendant. to be considered in assessing the evidence or in
(P.B. 1978-1997, Sec. 888.) the determination of the case.
(P.B. 1978-1997, Sec. 893.)
Sec. 42-45. Jury’s Inability To Reach Verdict Sec. 42-48. —Cautioning Parties and Wit-
The judicial authority shall declare a mistrial in nesses
any case in which the jury is unable to reach Whenever appropriate in the light of the issues
a verdict. in the case or its notoriety, the judicial authority
(P.B. 1978-1997, Sec. 889.) may direct the parties, their counsel and the wit-
nesses not to make extrajudicial statements relat-
Sec. 42-46. Control of Judicial Proceedings; ing to the case or the issues in the case for dis-
Restraint of Disruptive Defendant semination by any means of public communi-
(a) Reasonable means of restraint may be cation.
employed if the judicial authority finds such (P.B. 1978-1997, Sec. 894.)
restraint reasonably necessary to maintain order. Sec. 42-49. Closure of Courtroom in Crimi-
If restraints appear potentially necessary and the nal Cases
circumstances permit, the judicial authority may (Amended May 14, 2003, to take effect July 1, 2003.)
conduct an evidentiary hearing outside the pres- (a) Except as otherwise provided by law, there
ence of the jury before ordering such restraints. shall be a presumption that courtroom proceed-
The judicial authority may rely on information ings shall be open to the public.
other than that formally admitted into evidence. (b) Except as provided in this section and
Such information shall be placed on the record except as otherwise provided by law, the judicial
outside the presence of the jury and the defendant authority shall not order that the public be
given an opportunity to respond to it. excluded from any portion of a courtroom pro-
(b) In ordering the use of restraints or denying ceeding.
a request to remove them, the judicial authority (c) Upon written motion of the prosecuting
shall detail its reasons on the record outside the authority or of the defendant, or upon its own
presence of the jury. The nature and duration of motion, the judicial authority may order that the
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Sec. 42-49 SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS
public be excluded from any portion of a court- ‘‘(a) Except as provided in this section and except as
room proceeding only if the judicial authority con- otherwise provided by law, including Sections 36-2, 40-29
and 40-40 through 40-43 and General Statutes § 54-33c, the
cludes that such order is necessary to preserve judicial authority shall not order that the public, which may
an interest which is determined to override the include the news media, be excluded from any portion of a
public’s interest in attending such proceeding. The court proceeding and shall not order that any files, affidavits,
judicial authority shall first consider reasonable documents, or other materials on file with the court or filed in
alternatives to any such order and any such order connection with a court proceeding be sealed or their disclo-
shall be no broader than necessary to protect sure limited.
such overriding interest. An agreement of the par- ‘‘(b) Upon motion of the prosecuting authority or of the
defendant, or upon its own motion, the judicial authority may
ties to close the courtroom shall not constitute a order that the public be excluded from any portion of a court
sufficient basis for the issuance of such an order. proceeding and may order that files, affidavits, documents or
(d) In connection with any order issued pursu- other materials on file with the court or filed in connection with
ant to subsection (c) of this section, the judicial a court proceeding be sealed or their disclosure limited if the
authority shall articulate the overriding interest judicial authority concludes that such order is necessary to
being protected and shall specify its findings preserve an interest which is determined to override the pub-
lic’s interest in attending such proceeding or in viewing such
underlying such order. If any findings would reveal materials. Any such order shall be no broader than necessary
information entitled to remain confidential, those to protect such overriding interest.
findings may be set forth in a sealed portion of ‘‘(c) In connection with any order issued pursuant to subsec-
the record. The time, date and scope of any such tion (b) of this section, the judicial authority shall, on the record
order shall be set forth in a writing signed by the in open court, articulate the overriding interest being protected
judicial authority which upon issuance the court and shall specify its findings underlying such order. The time
clerk shall immediately enter in the court file and and date of any such order shall be entered by the court clerk
in the court file together with such order.
publish by posting on a bulletin board adjacent to ‘‘(d) With the exception of orders concerning any session
the clerk’s office and accessible to the public. The of court conducted pursuant to General Statutes § 54-76h or
judicial authority shall order that a transcript of its any other provision of the General Statutes under which the
decision be included in the file or prepare a memo- court is authorized to close proceedings, whether at a pretrial
randum setting forth the reasons for its order. or trial stage, no order excluding the public from any portion
(e) A motion to close a courtroom proceeding of a proceeding shall be effective until seventy-two hours after
it has been issued. Any person affected by such order shall
shall be calendared so that notice to the public is have the right to the review of such order by the filing of a
given of the time and place of the hearing on the petition for review with the Appellate Court within seventy-two
motion and to afford the public an opportunity to hours from the issuance of such order. The timely filing of any
be heard on the motion under consideration. The petition for review shall stay such order. (See General Statutes
notice of the time, date and place of the hearing § 51-164x.)
on the motion shall be posted on a bulletin board ‘‘(e) With the exception of orders concerning the disclosure
adjacent to the clerk’s office and accessible to the of any documents pursuant to General Statutes § 54-33c or
any other provision of the General Statutes under which the
public. The motion itself may be filed under seal, court is authorized to seal or limit the disclosure of files, affida-
where appropriate, by leave of the judicial author- vits, documents or materials, whether at a pretrial or trial stage,
ity. and any order issued pursuant to a court rule that seals or
(f) With the exception of orders concerning any limits the disclosure of any affidavit in support of an arrest
session of court conducted pursuant to General warrant, any person affected by a court order that seals or
Statutes § 54-76h or any other provision of the limits the disclosure of any files, documents or other materials
on file with the court or filed in connection with a court proceed-
General Statutes under which the court is author- ing, shall have the right to the review of such order by the
ized to close courtroom proceedings, whether at filing of a petition for review with the Appellate Court within
a pretrial or trial stage, no order excluding the pub- seventy-two hours from the issuance of such order. Nothing
lic from any portion of a courtroom proceeding under this subsection shall operate as a stay of such seal-
shall be effective until seventy-two hours after it ing order.’’
has been issued. Any person affected by such COMMENTARY—2003: The public and press enjoy a right
of access to attend trials in criminal cases. Press-Enterprise
order shall have the right to the review of such Co. v. Superior Court, 478 U.S. 1, 10, 106 S. Ct. 2735, 92 L.
order by the filing of a petition for review with the Ed. 2d 1 (1986) (Press-Enterprise II); Globe Newspaper Co.
Appellate Court within seventy-two hours from the v. Superior Court, 457 U.S. 596, 606, 102 S. Ct. 2613, 73 L.
issuance of such order. The timely filing of any Ed. 2d 248 (1982). This right is well settled in the common
petition for review shall stay such order. law and has been held to be implicit in the first amendment
(P.B. 1978-1997, Sec. 895.) (Amended June 28, 1999, to rights protecting the freedom of speech, of the press, of peace-
take effect Jan. 1, 2000; amended May 14, 2003, to take effect able assembly and to petition the government for a redress
July 1, 2003; amended June 21, 2004, to take effect Jan. of grievances. Globe Newspaper Co. v. Superior Court, supra,
1, 2005.) 603; Richmond Newspapers, Inc. v. Virginia, 448 U.S. 555,
HISTORY—2003: Prior to 2003, when both the title and 575, 100 S. Ct. 2814, 65 L. Ed. 2d 973 (1980); see generally
text were amended, Section 42-49 read: ‘‘—Exclusion of the Press-Enterprise II, supra, 6–13; see also In re Matter of the
Public; Sealing or Limiting Disclosure of Documents New York Times Co., 828 F.2d 110, 113 (2d Cir. 1987). In
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Richmond Newspapers, Inc. v. Virginia, supra, 564, the court COMMENTARY—2005: As used in subsection (a) above,
explained that ‘‘throughout its evolution, the trial has been the words ‘‘Except as otherwise provided by law’’ are intended
open to all who care to observe.’’ to exempt from the operation of this rule all established proce-
The guarantee of open public proceedings in criminal trials dures for the closure of courtroom proceedings as required
applies as well to voir dire and pretrial proceedings. Press- or permitted by statute; e.g., General Statutes §§ 19a-583 (a)
Enterprise Co. v. Superior Court, 464 U.S. 501, 505, 104 S. (10) (D) (pertaining to court proceedings as to disclosure of
Ct. 819, 78 L. Ed. 2d 248 (1984) (Press-Enterprise I); United confidential HIV-related information), 36a-21 (b) (pertaining to
States v. Cojab, 996 F.2d 1404, 1407 (2d Cir. 1993); United court proceedings at which certain records of the Department
States v. Haller, 837 F.2d 84, 86 (2d Cir. 1988); United States of Banking are disclosed), 46b-11 (pertaining to hearings in
v. Gerena, 703 F. Sup. 211, 213 (D. Conn. 1988). The pre- family relations matters), 54-86c (b) (pertaining to the disclo-
sumption of openness may be overcome only by an overriding sure of exculpatory information or material), 54-86f (pertaining
interest based on findings that closure is essential to preserve to the admissibility of evidence of sexual conduct) and 54-86g
higher values and is narrowly tailored to serve that interest. (pertaining to the testimony of a victim of child abuse); other
The interest is to be articulated along with findings specific rules of practice; e.g., Practice Book Section 40-43; and/or
enough that a reviewing court can determine whether the controlling state or federal case law.
closure order was entered properly. Press-Enterprise I, supra, The above amendment to subsection (d) establishes a
510; United States v. Haller, supra, 87; Doe v. Meachum, 126 mechanism by which the public and the press, who are empow-
F.R.D. 452, 455 (D. Conn. 1989); State v. Kelly, 208 Conn. ered by this rule to object to pending motions to close the
365, 372, 545 A.2d 1048 (1988). Such findings may be made courtroom in criminal matters, will receive timely notice of the
under seal when necessary. United States v. Haller, supra, court’s disposition of such motions. General Statutes § 51-
87; see In re Application of the Herald Co., 734 F.2d 93, 164x (a) gives any person affected by a court closure order
100 (2d Cir. 1984) (closure of suppression hearing should be in a criminal action the right to the review of such order by filing
allowed only upon showing of significant risk of prejudice to a petition for review with the Appellate Court within seventy-
defendant’s right to fair trial, if there is danger to persons or two hours from the issuance of the order.
property, or in connection with significant activities entitled to Sec. 42-49A. Sealing or Limiting Disclosure
confidentiality, such as undercover investigations); see also of Documents in Criminal Cases*
United States v. Brooklier, 685 F.2d 1162, 1168–69 (9th Cir.
1982) (since purpose of articulated findings is to enable appel- (a) Except as otherwise provided by law, there
late court to determine whether order was properly entered, shall be a presumption that documents filed with
findings must be sufficiently specific to show that public pro- the court shall be available to the public.
ceedings would result in irreparable damage to defendant’s (b) Except as provided in this section and
right to fair trial, that no alternative to closure would adequately except as otherwise provided by law, including
protect defendant’s right to fair trial, and that closure would Sections 36-2, 40-29 and 40-40 through 40-43
protect that right).
Since the circumstances of a particular case may affect and General Statutes § 54-33c, the judicial
the significance of the interest sought to be protected, the authority shall not order that any files, affidavits,
requirement that specific findings justifying closure be articu- documents, or other materials on file with the court
lated mandates a case-by-case analysis of the interest or filed in connection with a court proceeding be
involved. Globe Newspaper Co. v. Superior Court, supra, 457 sealed or their disclosure limited.
U.S. 607–608 (where welfare of minor child is at issue, factors (c) Upon written motion of the prosecuting
to be weighed in determining whether closure is warranted authority or of the defendant, or upon its own motion,
include minor victim’s age, psychological maturity and under-
standing, nature of crime, desires of victim, and interests of the judicial authority may order that files, affida-
parents and relatives). A case-by-case analysis of the interests vits, documents, or other materials on file or
involved ensures that the constitutional right of access to trials lodged with the court or in connection with a court
will not be restricted except where absolutely necessary. Id., proceeding be sealed or their disclosure limited
609. ‘‘For a case-by-case approach to be meaningful, repre- only if the judicial authority concludes that such
sentatives of the press and general public ‘must be given an order is necessary to preserve an interest which
opportunity to be heard on the question of their exclusion.’ ’’
Id., 609 n.25, quoting Gannett Co. v. DePasquale, 443 U.S.
is determined to override the public’s interest in
368, 401, 99 S. Ct. 2898, 61 L. Ed. 2d 608 (1979) (Powell, viewing such materials. The judicial authority shall
J., concurring). Except in extraordinary circumstances, the first consider reasonable alternatives to any such
press and public must have a means of learning of the closure order and any such order shall be no broader than
or sealing order. See United States v. Haller, supra, 837 F.2d necessary to protect such overriding interest. An
87. ‘‘[A] motion for courtroom closure should be docketed in agreement of the parties to seal or limit the disclo-
the public docket files maintained in the court clerk’s office. . sure of documents on file with the court or filed
. . The motion itself may be filed under seal, when appropriate,
by leave of court . . . .’’ (Citation omitted.) In re Application of in connection with a court proceeding shall not
the Herald Co., supra, 734 F.2d 102; see also In re Knight constitute a sufficient basis for the issuance of
Publishing Co., 743 F.2d 231, 235 (4th Cir. 1984); In re Knox- such an order.
ville News-Sentinel Co., 723 F.2d 470, 474–76 (6th Cir. 1983). (d) In connection with any order issued pursu-
Because this section no longer deals with the sealing of ant to subsection (c) of this section, the judicial
documents, subsection (e) has been transferred to Section authority shall articulate the overriding interest
42-49A.
HISTORY—2005: Prior to 2005, the third sentence of sub-
being protected and shall specify its findings
section (d) read: ‘‘The time, date and scope of any such order underlying such order and the duration of such
shall be in writing and shall be signed by the judicial authority order. If any finding would reveal information enti-
and be entered by the court clerk in the court file.’’ tled to remain confidential, those findings may be
417
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Sec. 42-49A SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS
set forth in a sealed portion of the record. The person affected by a court order that seals or limits
time, date, scope and duration of any such order the disclosure of any files, documents, or other
shall be set forth in a writing signed by the judicial materials on file with the court or filed in connec-
authority which upon issuance the court clerk shall tion with a court proceeding, shall have the right
immediately enter in the court file and publish by to the review of such order by the filing of a petition
posting on a bulletin board adjacent to the clerk’s for review with the Appellate Court within seventy-
office and accessible to the public. The judicial two hours from the issuance of such order. Noth-
authority shall order that a transcript of its decision ing under this subsection shall operate as a stay
be included in the file or prepare a memorandum of such sealing order.
setting forth the reasons for its order. (h) The provisions of this section shall not apply
(e) Except as otherwise ordered by the judicial to pretrial settlement conferences or negotiations
authority, a motion to seal or limit the disclosure or to documents submitted to the court in connec-
of affidavits, documents, or other materials on file tion with such conferences or negotiations.
or lodged with the court or in connection with a (Adopted May 14, 2003, to take effect July 1, 2003;
court proceeding shall be calendared so that amended June 21, 2004, to take effect Jan. 1, 2005.)
notice to the public is given of the time and place COMMENTARY—2003: The public and press enjoy a right
of access to attend trials in criminal cases and to access
of the hearing on the motion and to afford the documents filed in connection with such cases. Press-Enter-
public an opportunity to be heard on the motion prise Co. v. Superior Court, 478 U.S. 1, 10, 106 S. Ct. 2735,
under consideration. The notice of the time, date 92 L. Ed. 2d 1 (1986) (Press-Enterprise II); Globe Newspaper
and place of the hearing on the motion shall be Co. v. Superior Court, 457 U.S. 596, 606, 102 S. Ct. 2613,
posted on a bulletin board adjacent to the clerk’s 73 L. Ed. 2d 248 (1982); Associated Press v. United States
office and accessible to the public. The proce- District Court, 705 F.2d 1143, 1145 (9th Cir. 1983); United
dures set forth in Sections 7-4B and 7-4C shall States v. Gerena, 703 F. Sup. 211, 213 (D. Conn. 1988), citing
In re Matter of the New York Times Co., 828 F.2d 110, 114
be followed in connection with a motion to file (2d Cir. 1987). This right is well settled in the common law
affidavits, documents or other materials under and has been held to be implicit in the first amendment rights
seal or to limit their disclosure. protecting the freedom of speech, of the press, of peaceable
(f) (1) A motion to seal the contents of an entire assembly and to petition the government for a redress of
court file shall be placed on a calendar to be held grievances. Globe Newspaper Co. v. Superior Court, supra,
not less than fifteen days following the filing of 604–605; Richmond Newspapers, Inc. v. Virginia, 448 U.S.
555, 575, 100 S. Ct. 2814, 65 L. Ed. 2d 973 (1980); see
the motion, unless the judicial authority otherwise generally Press-Enterprise II, supra, 6–13; see also In re Mat-
directs, so that notice to the public is given of the ter of the New York Times Co., supra, 113; United States v.
time and place of the hearing on the motion and Gerena, supra, 213.
to afford the public an opportunity to be heard on The right of access to documents is not absolute. United
the motion under consideration. The notice of the States v. Gerena, supra, 703 F. Sup. 213. The presumption
time, date and place of the hearing on the motion of openness may be overcome only by an overriding interest
shall be posted on a bulletin board adjacent to based on findings that denying access is essential to preserve
higher values and is narrowly tailored to serve that interest.
the clerk’s office and accessible to the public. The The interest is to be articulated along with findings specific
procedures set forth in Sections 7-4B and 7-4C enough that a reviewing court can determine whether the
shall be followed in connection with such motion. closure order was entered properly. Id., citing Press-Enterprise
(2) The judicial authority may issue an order II, supra, 478 U.S. 9–10; see also United States v. Haller, 837
sealing the contents of an entire court file only F.2d 84, 87 (2d Cir. 1988); Doe v. Meachum, 126 F.R.D. 452,
upon a finding that there is not available a more 455 (D. Conn. 1989); State v. Kelly, 208 Conn. 365, 372, 545
A.2d 1048 (1988). Such findings may be made under seal
narrowly tailored method of protecting the over- when necessary. United States v. Haller, supra, 87.
riding interest, such as redaction or sealing a por- Since the circumstances of a particular case may affect
tion of the file. The judicial authority shall state in the significance of the interest sought to be protected, the
its decision or order each of the more narrowly requirement that specific findings justifying closure or sealing
tailored methods that was considered and the rea- be articulated mandates a case-by-case analysis of the inter-
son each such method was unavailable or inad- est involved. Globe Newspaper Co. v. Superior Court, supra,
457 U.S. 607–608; In re Knight Publishing Co., 743 F.2d 231,
equate. 235 (4th Cir. 1984); see Publicker Industries, Inc. v. Cohen,
(g) With the exception of orders concerning the 733 F.2d 1059, 1070–71 (3d Cir. 1984). ‘‘For a case-by-case
disclosure of any documents pursuant to General approach to be meaningful, representatives of the press and
Statutes § 54-33c or any other provision of the general public ‘must be given an opportunity to be heard on
General Statutes under which the court is author- the question of their exclusion.’ ’’ Globe Newspaper Co. v.
ized to seal or limit the disclosure of files, affida- Superior Court, supra, 609 n.25, quoting Gannett Co. v.
DePasquale, 443 U.S. 368, 401, 99 S. Ct. 2898, 61 L. Ed. 2d
vits, documents, or materials, whether at a pretrial 608 (1979) (Powell, J., concurring). Except in extraordinary
or trial stage, and any order issued pursuant to a circumstances, the press and public must have a means of
court rule that seals or limits the disclosure of learning of the closure or sealing order. See United States v.
any affidavit in support of an arrest warrant, any Haller, supra, 837 F.2d 87; In re Knight Publishing Co., supra,
418
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SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS Sec. 42-53
235. In In re the Application of the Herald Co., 734 F.2d 93, would not reasonably permit a finding of guilty
102 (2d Cir. 1984), the court stated that ‘‘a motion for court- beyond a reasonable doubt. The acquittal does
room closure should be docketed in the public docket files
maintained in the court clerk’s office. . . . The motion itself
not bar prosecution for any offense as to which
may be filed under seal, when appropriate, by leave of the the judicial authority does not direct an acquittal.
court . . . .’’ (Citation omitted.) See also In re Knight Publishing (P.B. 1978-1997, Sec. 898.)
Co., supra, 235; In re Knoxville News-Sentinel Co., 723 F.2d
470, 474–76 (6th Cir. 1983). Sec. 42-51. —Upon Verdict of Guilty
It is intended that the use of pseudonyms in place of the If the jury returns a verdict of guilty, the judicial
name of a party or parties not be permitted in criminal matters.
authority, upon motion of the defendant or upon
HISTORY—2005: Prior to 2005, the third sentence of sub-
section (d) read: ‘‘The time, date, scope and duration of any its own motion, shall order the entry of a judgment
such order shall forthwith be reduced to writing and be signed of acquittal as to any offense specified in the ver-
by the judicial authority and be entered by the court clerk in dict, or any lesser included offense, for which the
the court file.’’ evidence does not reasonably permit a finding of
COMMENTARY—2005: As used in subsection (a) above, guilty beyond a reasonable doubt. If the judicial
the words ‘‘Except as otherwise provided by law’’ are intended
to exempt from the operation of this rule all established proce-
authority directs an acquittal for the offense speci-
dures for the sealing or ex parte filing, in camera inspection fied in the verdict, but not for a lesser included
and/or nondisclosure to the public of documents, records and offense, it may either:
other materials, as required or permitted by statute; e.g., Gen- (1) Modify the verdict accordingly; or
eral Statutes §§ 12-242vv (pertaining to taxpayer information), (2) Grant the defendant a new trial as to the
52-146c et seq. (pertaining to the disclosure of psychiatric
records) and 54-56g (pertaining to the pretrial alcohol educa-
lesser included offense.
tion program); other rules of practice; e.g., Practice Book Sec- (P.B. 1978-1997, Sec. 899.)
tions 7-18, 13-5 (6) through (8) and 40-13 (c); and/or controlling
state or federal case law; e.g., Matza v. Matza, 226 Conn. Sec. 42-52. —Time for Filing Motion for
166, 627 A.2d 414 (1993) (establishing a procedure whereby Judgment of Acquittal*
an attorney seeking to withdraw from a case due to his client’s Unless the judicial authority, in the interests of
anticipated perjury at trial may support his motion to withdraw
by filing a sealed affidavit for the court’s review).
justice, permits otherwise, a motion for a judgment
The above amendment to subsection (d) establishes a of acquittal shall be made within five days after a
mechanism by which the public and the press, who are empow- mistrial or a verdict or within any further time the
ered by this rule to object to pending motions to seal files or judicial authority allows during the five day period.
limit the disclosure of documents in criminal matters, will (P.B. 1978-1997, Sec. 900.)
receive timely notice of the court’s disposition of such motions. *APPENDIX NOTE: The Rules Committee of the Superior
General Statutes § 51-164x (c) gives any person affected by Court enacted, and the judges of the Superior Court subse-
a court order sealing a file or limiting the disclosure of a docu- quently adopted, certain changes to the provisions of this
ment in a criminal action the right to the review of such order rule in response to the public health and civil preparedness
by filing a petition for review with the Appellate Court within emergencies declared on March 10, 2020, and renewed on
seventy-two hours from the issuance of the order. September 1, 2020, and January 26, 2021. The public health
The above section shall not apply to motions and orders emergency was renewed on June 28, 2022, and is scheduled
made pursuant to General Statutes § 54-33c concerning the to expire on December 28, 2022, or when the federal public
limitation of the disclosure of affidavits in support of search health emergency ends. See Appendix of Section 1-9B
warrant applications. Changes.
*APPENDIX NOTE: The Rules Committee of the Superior
Court enacted, and the judges of the Superior Court subse- Sec. 42-53. Motion for New Trial; In General
quently adopted, certain changes to the provisions of this
rule in response to the public health and civil preparedness (a) Upon motion of the defendant, the judicial
emergencies declared on March 10, 2020, and renewed on authority may grant a new trial if it is required in
September 1, 2020, and January 26, 2021. The public health the interests of justice. Unless the defendant’s
emergency was renewed on June 28, 2022, and is scheduled noncompliance with these rules or with other
to expire on December 28, 2022, or when the federal public
health emergency ends. See Appendix of Section 1-9B
requirements of law bars his or her asserting the
Changes. error, the judicial authority shall grant the motion:
(1) For an error by reason of which the defend-
Sec. 42-50. Motion for Judgment of Acquit- ant is constitutionally entitled to a new trial; or
tal; After Mistrial (2) For any other error which the defendant can
Upon the declaration of a mistrial pursuant to establish was materially injurious to him or her.
Sections 42-43 through 42-45, at any time after (b) If the trial was by the court and without a
the close of the state’s case-in-chief, the judicial jury, the judicial authority, with the defendant’s
authority, upon motion of the defendant or upon consent and instead of granting a new trial, may
its own motion, may order the entry of a judgment vacate any judgment entered, receive additional
of acquittal as to any offense charged, or any evidence, and direct the entry of a new judgment.
lesser included offense, for which the evidence (P.B. 1978-1997, Sec. 902.)
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Sec. 42-54 SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS
Sec. 42-54. —Time for Filing Motion for Sec. 42-55. —Time for Filing Motion for New
New Trial* Trial Based on Newly Discovered Evidence
Unless otherwise permitted by the judicial A request for a new trial on the ground of newly
authority in the interests of justice, a motion for a discovered evidence shall be called a petition for
new trial shall be made within five days after a a new trial and shall be brought in accordance with
verdict or finding of guilty or within any further General Statutes § 52-270. The judicial authority
time the judicial authority allows during the five- may grant the petition even though an appeal
day period. is pending.
(P.B. 1978-1997, Sec. 903.) (P.B. 1978-1997, Sec. 904.)
*APPENDIX NOTE: The Rules Committee of the Superior
Court enacted, and the judges of the Superior Court subse- Sec. 42-56. Motion in Arrest of Judgment
quently adopted, certain changes to the provisions of this On motion of the defendant, the judicial author-
rule in response to the public health and civil preparedness ity shall arrest judgment if the indictment or infor-
emergencies declared on March 10, 2020, and renewed on
September 1, 2020, and January 26, 2021. The public health
mation does not charge an offense or if the judicial
emergency was renewed on June 28, 2022, and is scheduled authority was without jurisdiction of the offense
to expire on December 28, 2022, or when the federal public charged. The motion in arrest of judgment shall
health emergency ends. See Appendix of Section 1-9B be made prior to the imposition of sentence.
Changes. (P.B. 1978-1997, Sec. 905.)
420
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SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS Sec. 43-2
CHAPTER 43
SENTENCING, JUDGMENT, AND APPEAL
Sec. Sec.
43-1. Posttrial Release Following Appeal by Prosecut- 43-24. —Time for Filing Application for Sentence Review
ing Authority 43-25. —Preparation of Documents by Clerk
43-2. Posttrial Release Following Conviction 43-26. —Additional Material for Sentence Review
43-3. Presentence Investigation and Report; Waiver; 43-27. —Hearing on Sentence Review Application
Alternative Incarceration and Plan 43-28. —Scope of Review
43-4. —Scope of Investigation or Assessment 43-29. Revocation of Probation
43-5. —Participation of Defense Counsel in Report 43-29A. Notice of Motions To Modify or Enlarge Condi-
Preparation tions of Probation or Conditional Discharge or
43-6. —Period of Continuance To Complete Report Terminate Conditions of Probation or Condi-
43-7. —Persons Receiving Report tional Discharge
43-8. —Prohibition against Making Copies 43-30. Notification of Right To Appeal
43-9. —Use and Disclosure of Reports 43-31. Stay of Imprisonment upon Appeal
43-10. Sentencing Hearing; Procedures To Be Followed 43-32. Stay of Probation upon Appeal
43-33. Appointment of Initial Counsel for Appeal by Indi-
43-11. —Role at Sentencing of Prosecuting Authority
gent Defendant
43-12. —Role of Prosecuting Authority at Sentencing
43-34. Attorney’s Finding That Appeal Is Wholly Frivo-
when There Was a Plea Agreement
lous; Request by Initial Counsel To Withdraw
43-13. —Familiarization with Report by Defense Counsel 43-35. —Submission of Memorandum of Law
43-14. —Correction of Report Indicated by Defense 43-36. —Finding That Appeal Is Frivolous
Counsel 43-37. —Finding That Appeal Is Not Frivolous
43-15. —Undisclosed Plea Agreement 43-38. —Disqualification of Presiding Judge
43-16. —Submission of Supplementary Documents by 43-39. Speedy Trial; Time Limitations
Defense Counsel 43-40. —Excluded Time Periods in Determining Speedy
43-17. Payment of Fines; Inquiry concerning Ability Trial
43-18. —Incarceration for Failure To Pay 43-40A. —Included Time Period in Determining Speedy
43-19. —Payment and Satisfaction Trial; Failure To Comply with Disclosure by
43-20. —Mittimus Prosecuting Authority
43-21. Reduction of Definite Sentence 43-41. —Motion for Speedy Trial; Dismissal
43-22. Correction of Illegal Sentence 43-42. —Definition of Commencement of Trial
43-23. Sentence Review; Appearance of Counsel 43-43. —Waiver of Speedy Trial Provisions
For previous Histories and Commentaries see the editions of the Practice Book
corresponding to the years of the previous amendments.
Sec. 43-1. Posttrial Release Following Appeal following conditions of release found sufficient by
by Prosecuting Authority the judicial authority to provide such assurance:
The defendant shall not be denied liberty pend- (1) His or her execution of a written promise
ing determination of an appeal by the state from to appear;
any judgment of acquittal or from any judgment (2) His or her execution of a bond without surety
not resulting in a sentence, the effect of which is in no greater amount than necessary;
to terminate prosecution. (3) His or her execution of a bond with surety
(P.B. 1978-1997, Sec. 907.) in no greater amount than necessary;
Sec. 43-2. Posttrial Release Following Con- (4) His or her deposit of a sum of money equal
viction to the amount called for by the bond required by
the judicial authority;
(a) A person who has been convicted of any
offense and who either is awaiting sentence or (5) His or her pledge of real property, the equity
has given oral or written notice of his or her inten- of which shall be calculated, and be in such an
tion to appeal or file a petition for certification or amount, as set forth in Section 38-9.
a writ of certiorari may be released, subject to (b) The judicial authority may order that the
General Statutes § 54-95, pending final disposi- bond in effect at that time continue until the imposi-
tion of his or her case upon sentence or appeal, tion of sentence, and it may order an increase in
unless the judicial authority finds custody to be the amount of such bond. It shall also have author-
necessary to provide reasonable assurance of the ity to modify or revoke at any time the terms and
person’s appearance in court, upon the first of the conditions of release.
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Sec. 43-2 SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS
(c) The provisions of Section 38-7 shall apply (b) If an assessment includes a recommenda-
to condition (4) herein, except that the cash bail tion for placement in an alternate incarceration
shall be deposited with the clerk of the court hav- program, it shall include, as an attachment, a pro-
ing jurisdiction of the offense with which such per- posed alternate incarceration plan. A current or
son stands convicted or any assistant clerk of updated presentence investigation report may be
such court who is bonded in the same manner as used in lieu of an alternate incarceration assess-
the clerk or any person or officer authorized to ment report provided attached thereto is a state-
accept bail. ment by the investigating authority recommending
(P.B. 1978-1997, Sec. 908.) whether or not the defendant should participate
in an alternate incarceration program and any
Sec. 43-3. Presentence Investigation and recommendation that the defendant participate
Report; Waiver; Alternative Incarceration includes a proposed alternate incarceration plan.
and Plan (P.B. 1978-1997, Sec. 911.)
(a) If the defendant is convicted of a crime other
than a capital felony, the punishment for which Sec. 43-5. —Participation of Defense Coun-
may include imprisonment for more than one year, sel in Report Preparation
the judicial authority shall order a presentence Defense counsel, on a prompt request, shall be
investigation, or the supplementation of any exist- notified of the time when the defendant shall be
ing presentence investigation report. The judicial interviewed by probation officers regarding a pre-
authority may, in its discretion, order a presen- sentence or alternate incarceration assessment
tence investigation for a defendant convicted of report or both for the judicial authority and may
any crime or offense. be present:
(b) A defendant who is convicted of a crime (1) To assist in answering inquiries of the proba-
and is not eligible for sentence review pursuant tion officer;
to General Statutes § 51-195 may, with the con- (2) To assist in resolving factual issues and
sent of the sentencing judge and the prosecuting
questions;
authority, waive the presentence investigation.
(3) To protect the defendant against incrimina-
(c) Pursuant to General Statutes § 53a-39a, the
tion regarding other pending indictments or inves-
judicial authority may, in its discretion, order an
tigations; and
assessment for placement in an alternate incar-
ceration program to be conducted by the Office (4) To protect the defendant’s rights with
of Adult Probation. respect to an appeal of conviction.
(P.B. 1978-1997, Sec. 912.)
(P.B. 1978-1997, Sec. 910.)
Sec. 43-4. —Scope of Investigation or As- Sec. 43-6. —Period of Continuance To Com-
sessment plete Report
(a) Whenever an investigation is required or When it is necessary to continue a case for
an assessment is ordered or both, the probation sentencing, the judicial authority may consider the
officer shall promptly inquire into the attitude of period of time necessary to complete the investi-
the complainant or the victim, or of the immediate gation or assessment or both and report, and any
family where possible in cases of homicide, and reasonable request, and shall set a date for sen-
the criminal record, social history and present con- tencing accordingly.
dition of the defendant. Such investigation shall (P.B. 1978-1997, Sec. 913.)
include an inquiry into the circumstances of the
offense and any damages suffered by the victim, Sec. 43-7. —Persons Receiving Report
including medical expenses, loss of earnings and The presentence investigation or alternate incar-
property loss. Such assessment shall include an ceration assessment report or both shall be pro-
inquiry into the defendant’s prior participation in vided to the judicial authority, and copies thereof
any release programs and the defendant’s atti- shall be provided to the prosecuting authority and
tude about participation in an alternate incarcera- to the defendant or his or her counsel in sufficient
tion program. When it is desirable in the opinion of time for them to prepare adequately for the sen-
the judicial authority or the investigating authority, tencing hearing, and in any event, no less than
such investigation or assessment shall include a forty-eight hours prior to the date of the sentenc-
physical and mental examination of the defen- ing. Upon request of the defendant, the sentenc-
dant. ing hearing shall be continued for a reasonable
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SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS Sec. 43-10
time if the judicial authority finds that the defend- is first obtained from any judicial authority. In all
ant or his or her counsel did not receive the pre- other respects, both the prosecuting authority
sentence investigation or alternate incarceration and counsel for the defendant shall maintain the
assessment report or both within such time. confidentiality of the information contained in the
(P.B. 1978-1997, Sec. 915.) (Amended June 26, 2006, to records. A defendant may obtain a copy of the
take effect Jan. 1, 2007.) presentence and alternate incarceration reports
Sec. 43-8. —Prohibition against Making under proper application to a judicial authority in
Copies the judicial district in which sentence was imposed.
(P.B. 1978-1997, Sec. 917.) (Amended June 30, 2008, to
No person shall, without the permission of the take effect Jan. 1, 2009.)
judicial authority, make or cause to be made any
copy of any presentence investigation or altern- Sec. 43-10. Sentencing Hearing; Procedures
ate incarceration assessment report except as To Be Followed
authorized by Sections 43-7 and 43-9. Before imposing a sentence or making any
(P.B. 1978-1997, Sec. 916.)
other disposition after the acceptance of a plea
Sec. 43-9. —Use and Disclosure of Reports of guilty or nolo contendere or upon a verdict or
The presentence investigation and alternate finding of guilty, the judicial authority shall, upon
incarceration assessment reports shall not be the date previously determined for sentencing,
public records and shall not be accessible to the conduct a sentencing hearing as follows:
public. They shall be available initially to the (1) The judicial authority shall afford the parties
parties designated in Section 43-7 for use in the an opportunity to be heard and, in its discretion,
sentencing hearing and in any subsequent pro- to present evidence on any matter relevant to
ceedings wherein the same conviction may be the disposition, and to explain or controvert the
involved, and they shall be available at all times presentence investigation report, the alternate
to the following: incarceration assessment report or any other
(1) The Office of Adult Probation; document relied upon by the judicial authority in
(2) The correctional or mental health institution imposing sentence. When the judicial authority
to which the defendant is committed or may be finds that any significant information contained in
committed; the presentence report or alternate incarceration
(3) The Board of Pardons and Paroles; assessment report is inaccurate, it shall order the
(4) The sentence review division of the Supe- Office of Adult Probation to amend all copies of
rior Court; any such report in its possession and in the clerk’s
(5) The Judicial Review Council; file, and to provide both parties with an amend-
(6) Any court of proper jurisdiction where it is ment containing the corrected information.
relevant to any proceeding before such court. (2) The judicial authority shall allow the victim
Such court may also order that the report be made and any other person directly harmed by the com-
available to counsel for the parties for the purpose mission of the crime a reasonable opportunity to
of such proceeding; make, orally or in writing, a statement with regard
(7) Counsel for the defendant and the prosecut- to the sentence to be imposed.
ing authority during negotiations relating to other (3) The judicial authority shall allow the defend-
offenses pending against the defendant or subse-
ant a reasonable opportunity to make a personal
quently charged against the defendant;
statement in his or her own behalf and to present
(8) Counsel for the defendant in a sentence
review hearing or habeas corpus proceeding upon any information in mitigation of the sentence.
counsel’s request to the Department of Adult Pro- (4) In cases where guilt was determined by a
bation; plea, the judicial authority shall, pursuant to Sec-
(9) Counsel for the defendant and the prosecut- tion 39-7, be informed by the parties whether there
ing authority in connection with extradition pro- is a plea agreement, and if so, the substance
ceedings; and thereof.
(10) Any other person or agency specified by (5) The judicial authority shall impose the sen-
statute. The prosecuting authority and counsel for tence in the presence and hearing of the defend-
the defendant shall retain a copy of the presen- ant, unless the defendant shall have waived his
tence investigation and alternate incarceration or her right to be present.
reports and may use the same in connection with (6) In cases where sentence review is available,
any matter pertaining to actions by the entities the judicial authority shall state on the record, in
defined in paragraphs (1) through (9) of this sec- the presence of the defendant, the reasons for
tion, or for any other purpose for which permission the sentence imposed.
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Sec. 43-10 SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS
(7) In cases where sentence review is available Sec. 43-15. —Undisclosed Plea Agreement
and where the defendant files an application for Defense counsel shall disclose to the judicial
such review, the clerk shall promptly notify the authority any plea agreement that has not already
official court reporter of such application pursuant been disclosed.
to Section 43-24 and the official court reporter or (P.B. 1978-1997, Sec. 926.)
court recording monitor shall file a copy of the
transcript of the sentencing hearing with the Sec. 43-16. —Submission of Supplementary
review division within sixty days from the date the Documents by Defense Counsel
application for review is filed with the clerk. Defense counsel may submit such supplemen-
(P.B. 1978-1997, Sec. 919.) (Amended June 26, 2020, to tary documents as such counsel thinks appro-
take effect Jan. 1, 2021.)
priate.
Sec. 43-11. —Role at Sentencing of Prose- (P.B. 1978-1997, Sec. 927.)
cuting Authority Sec. 43-17. Payment of Fines; Inquiry con-
The prosecuting authority shall inform the judi- cerning Ability
cial authority of the offenses for which the defend-
No person shall be incarcerated as a result of
ant is to be sentenced, shall give a brief sum-
failure to pay a fine unless the judicial authority
mation of the facts relevant to each offense, shall
first inquires as to the person’s ability to pay the
disclose to the judicial authority any information
in the files of the prosecuting authority that is fine.
(P.B. 1978-1997, Sec. 929.)
favorable to the defendant and relevant to sen-
tencing and shall state the basis for any recom- Sec. 43-18. —Incarceration for Failure To
mendation which it chooses to make as to the Pay
appropriate sentence.
(P.B. 1978-1997, Sec. 921.)
The judicial authority may, upon a finding that
the defendant is able to pay the fine and that the
Sec. 43-12. —Role of Prosecuting Authority nonpayment is wilful, order the defendant incar-
at Sentencing when There Was a Plea cerated for nonpayment of the fine.
Agreement (P.B. 1978-1997, Sec. 931.)
Where, as part of a plea agreement, the prose- Sec. 43-19. —Payment and Satisfaction
cuting authority has agreed to make representa-
tions or recommendations to the judicial authority A defendant incarcerated under Section 43-18,
regarding a defendant, or has made other agree- for wilful nonpayment of a fine, shall be released
ments relating to the disposition of the charges upon payment of the fine or when such defendant
against the defendant, it shall disclose to the judi- is otherwise discharged according to law.
(P.B. 1978-1997, Sec. 932.)
cial authority such representations or recommen-
dations or any other terms of the plea agreement Sec. 43-20. —Mittimus
relevant to sentencing.
(P.B. 1978-1997, Sec. 922.) When a defendant has been sentenced to a
term of imprisonment and ordered to pay a fine,
Sec. 43-13. —Familiarization with Report by the mittimus shall state that if the fine has not
Defense Counsel been paid by the time the sentence has been
Defense counsel shall familiarize himself or her- served the defendant may not continue to be
self with the contents of the presentence or alter- incarcerated unless the judicial authority has
nate incarceration assessment report or both, found that the defendant is able to pay the fine
including any evaluative summary, and any spe- and that the defendant’s nonpayment is wilful.
cial medical or psychiatric reports pertaining to (P.B. 1978-1997, Sec. 932A.)
the client.
(P.B. 1978-1997, Sec. 924.)
Sec. 43-21. Reduction of Definite Sentence
At any time during the period of a definite sen-
Sec. 43-14. —Correction of Report Indicated tence of three years or less, the judicial authority
by Defense Counsel may, after a hearing and for good cause shown,
Defense counsel shall bring to the attention reduce the sentence or order the defendant dis-
of the judicial authority any inaccuracy in the pre- charged or released on probation or on a condi-
sentence or alternate incarceration assessment tional discharge for a period not to exceed that to
report of which he or she is aware or which the which the defendant could have been sentenced
defendant claims to exist. originally.
(P.B. 1978-1997, Sec. 925.) (P.B. 1978-1997, Sec. 934.)
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SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS Sec. 43-29
Sec. 43-22. Correction of Illegal Sentence to the review division any documents in the pos-
The judicial authority may at any time correct session of the clerk previously presented to the
an illegal sentence or other illegal disposition, or judicial authority at the time of the imposition of
it may correct a sentence imposed in an illegal sentence.
manner or any other disposition made in an ille- (P.B. 1978-1997, Sec. 940.)
gal manner. Sec. 43-27. —Hearing on Sentence Review
(P.B. 1978-1997, Sec. 935.)
Application
Sec. 43-23. Sentence Review; Appearance A hearing upon an application filed under Sec-
of Counsel tion 43-24 shall be conducted expeditiously upon
It is the responsibility of the counsel of record receipt by the review division of the materials sub-
at the time of sentencing to represent the defend- mitted by the clerk under Sections 43-23 through
ant at the hearing before the sentence review 43-28. The parties may file such briefs or memo-
division of the Superior Court, unless, for excep- randa as are appropriate to assist the division in
tional reasons, such counsel is excused by the the discharge of its duties. Counsel for the defend-
division. ant and the defendant shall address the panel of
(P.B. 1978-1997, Sec. 937.) judges in support of the application. Upon request
of the defendant the review division shall hear his
Sec. 43-24. —Time for Filing Application for or her application while an appeal or collateral
Sentence Review* review is pending.
In cases where sentence review is available (P.B. 1978-1997, Sec. 941.)
pursuant to General Statutes § 51-195, the
defendant may file, within thirty days from the date Sec. 43-28. —Scope of Review
that sentence is imposed or from the date that The review division shall review the sentence
the defendant’s suspended sentence is revoked, imposed and determine whether the sentence
with the clerk of the court for the judicial district should be modified because it is inappropriate or
or geographical area in which the judgment was disproportionate in the light of the nature of the
rendered, an application for review of sentence offense, the character of the offender, the protec-
by the review division. The clerk shall notify the tion of the public interest, and the deterrent, reha-
review division, the judge who imposed the sen- bilitative, isolative, and denunciatory purposes for
tence, the official court reporter, and all counsel which the sentence was intended.
of record upon the filing of the application for (P.B. 1978-1997, Sec. 942.)
review. The official court reporter or court recording
Sec. 43-29. Revocation of Probation
monitor shall prepare a transcript of the sentenc-
ing hearing in accordance with the provisions of In cases where the revocation of probation is
Section 43-10. based upon a conviction for a new offense and
(P.B. 1978-1997, Sec. 938.) (Amended June 26, 2020, to the defendant is before the court or is being held in
take effect Jan. 1, 2021.) custody pursuant to that conviction, the revocation
*APPENDIX NOTE: The Rules Committee of the Superior proceeding may be initiated by a motion to the
Court enacted, and the judges of the Superior Court subse- court by a probation officer and a copy thereof
quently adopted, certain changes to the provisions of this
rule in response to the public health and civil preparedness
shall be delivered personally to the defendant. All
emergencies declared on March 10, 2020, and renewed on other proceedings for revocation of probation shall
September 1, 2020, and January 26, 2021. The public health be initiated by an arrest warrant supported by
emergency was renewed on June 28, 2022, and is scheduled an affidavit or by testimony under oath showing
to expire on December 28, 2022, or when the federal public probable cause to believe that the defendant has
health emergency ends. See Appendix of Section 1-9B violated any of the conditions of the defendant’s
Changes.
probation or his or her conditional discharge or
Sec. 43-25. —Preparation of Documents by by a written notice to appear to answer to the
Clerk charge of such violation, which notice, signed by
The clerk of the court in which the application a judge of the Superior Court, shall be personally
is filed shall forward the necessary documents to served upon the defendant by a probation officer
the review division. and contain a statement of the alleged violation.
(P.B. 1978-1997, Sec. 939.) All proceedings thereafter shall be in accordance
with the provisions of Sections 3-6, 3-9 and 37-
Sec. 43-26. —Additional Material for Sen- 1 through 38-23. At the revocation hearing, the
tence Review prosecuting authority and the defendant may
The defendant, at the time the application for offer evidence and cross-examine witnesses. If
review is filed, may request the clerk to forward the defendant admits the violation or the judicial
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Sec. 43-29 SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS
authority finds from the evidence that the defend- pursuant to Sections 43-1 and 43-2 pending dis-
ant committed the violation, the judicial authority position of the appeal, unless the judicial authority
may make any disposition authorized by law. The shall order otherwise.
filing of a motion to revoke probation, issuance of (P.B. 1978-1997, Sec. 947.)
an arrest warrant or service of a notice to appear,
Sec. 43-32. Stay of Probation upon Appeal
shall interrupt the period of the sentence as of the
date of the filing of the motion, signing of the arrest Upon written motion of the defendant, an order
warrant by the judicial authority or service of the placing the defendant on probation may be stayed
notice to appear, until a final determination as if an appeal is taken. If it is not stayed, the judicial
to the revocation has been made by the judicial authority shall specify when the term of probation
authority. shall commence.
(P.B. 1978-1997, Sec. 943.) (Amended June 24, 2016, to (P.B. 1978-1997, Sec. 948.)
take effect Jan. 1, 2017.)
Sec. 43-33. Appointment of Initial Counsel
Sec. 43-29A. Notice of Motions To Modify or for Appeal by Indigent Defendant*
Enlarge Conditions of Probation or Condi- (a) An indigent defendant who wishes to prose-
tional Discharge or Terminate Conditions of cute his or her appeal may apply to the court from
Probation or Conditional Discharge which the appeal is taken for the appointment of
Whenever a motion to modify or enlarge the counsel to prosecute the defendant’s appeal and
conditions of probation or conditional discharge for a waiver of fees and costs, pursuant to Sec-
is filed, and whenever a motion for termination of tions 63-7 and 44-1 through 44-5.
a sentence of probation or conditional discharge (b) The application for a waiver of costs and
is filed, such motion shall be served prior to the fees must be sent for investigation of the appli-
hearing date upon the opposing party and, if the cant’s indigence to the public defender’s office
movant is not a probation officer, the appropriate in the court from which the appeal is taken. The
probation officer, unless otherwise ordered by the judicial authority shall assign the application for
judicial authority. Service of said motions shall be hearing within twenty days after filing unless
made on the defendant by delivering a copy to otherwise ordered by the judicial authority for
the defendant personally or by leaving it at his or good cause shown. At least ten days before the
her usual place of abode. Service of said motions hearing, the clerk’s office shall notify in writing
may be made by any probation officer. Service trial counsel, the state’s attorney, the trial public
of said motions shall be made on all other par- defender’s office to which the application had
ties, and on the appropriate probation officer, in been sent for investigation and the chief of legal
accordance with the provisions of Section 10-12 services of the public defender’s office, of the date
et seq. of such hearing. The lack of timely notification to
(Adopted June 25, 2001, to take effect Jan. 1, 2002.) any of the above parties shall result in a continu-
Sec. 43-30. Notification of Right To Appeal ance of the hearing until proper and timely notifi-
cation has been completed.
Where there has been a conviction after a trial,
(c) The application for the appointment of coun-
or where there has been an adverse decision
sel to prosecute the defendant’s appeal shall be
upon an application for a writ of habeas corpus
assigned to the same date and hearing as the
brought by or on behalf of one who has been
application for waiver of fees, costs and expenses,
convicted of a crime, it shall be the duty of the
and the judicial authority shall decide both applica-
clerk of the court, immediately after the pro-
tions at the same time. If trial counsel is not to
nouncement of the sentence or the notice of a
be the assigned appellate counsel, the judicial
decision on the application for a writ of habeas
authority shall inform and order trial counsel to
corpus, to advise the defendant in writing of such
cooperate fully with appellate counsel. If the chief
rights as such defendant may have to an appeal,
of legal services of the public defender’s office
of the time limitations involved, and of the right of
is to be assigned as appellate counsel, unless
an indigent person who is unable to pay the cost
otherwise ordered by the court, trial counsel shall
of an appeal to apply for a waiver of fees, costs,
be deemed to have ‘‘cooperated fully’’ if counsel
and expenses and for the appointment of counsel
has delivered to the chief of legal services: a com-
to prosecute the appeal.
(P.B. 1978-1997, Sec. 945.) plete appellate worksheet, which shall be pro-
vided by the chief of legal services; and an elec-
Sec. 43-31. Stay of Imprisonment upon tronic copy of trial counsel’s file. Failure to fully
Appeal cooperate with appellate counsel will result in a
A sentence of imprisonment shall be stayed if short continuance of the applications for appellate
an appeal is taken and the defendant is released counsel and for the waiver of fees, costs and
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SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS Sec. 43-39
expenses until cooperation is completed, or, if full for leave to withdraw has been filed but shall not
cooperation is not completed within a reason- serve opposing counsel with a copy of the motion
able time, sanctions against trial counsel may or any supporting memorandum of law. The
be imposed. defendant shall have thirty days from the date the
(d) The judicial authority shall act promptly on motion and supporting memorandum are filed to
the applications following the hearing. Upon deter- file a response with the court.
mination by the judicial authority that a defendant (P.B. 1978-1997, Sec. 953.) (Amended June 23, 2017, to
in a criminal case is indigent, the court to which take effect Jan. 1, 2018.)
the fees required by statute or rule are to be paid
may (1) waive payment by the defendant of fees Sec. 43-36. —Finding That Appeal Is Friv-
specified by statute and of taxable costs, and olous
waive the requirement of Section 60-9 concerning The presiding judge shall fully examine memo-
the furnishing of security for costs upon appeal, randum of law of counsel and the defendant,
(2) order that the necessary expenses of prose- together with any relevant portions of the record
cuting the appeal be paid by the state, and (3) and transcript of the trial. If, after such examina-
appoint appellate counsel and permit the with- tion, the presiding judge concludes that the
drawal of the trial attorney’s appearance provided defendant’s appeal is wholly frivolous, such judge
the judicial authority is satisfied that that attorney may grant counsel’s motion to withdraw and per-
has cooperated fully with appellate counsel in the mit the defendant to proceed as a self-repre-
preparation of the defendant’s appeal. sented party. The presiding judge shall file a
(P.B. 1978-1997, Sec. 950.) (Amended June 23, 2017, to memorandum under seal setting forth the basis
take effect Jan. 1, 2018.) for the finding that the appeal is wholly frivolous.
*APPENDIX NOTE: The Rules Committee of the Superior (P.B. 1978-1997, Sec. 954.) (Amended June 23, 2017, to
Court enacted, and the judges of the Superior Court subse- take effect Jan. 1, 2018; amended June 13, 2019, to take
quently adopted, certain changes to the provisions of this effect Jan. 1, 2020.)
rule in response to the public health and civil preparedness
emergencies declared on March 10, 2020, and renewed on Sec. 43-37. —Finding That Appeal Is Not
September 1, 2020, and January 26, 2021. The public health
emergency was renewed on June 28, 2022, and is scheduled
Frivolous
to expire on December 28, 2022, or when the federal public If after a full examination pursuant to Section
health emergency ends. See Appendix of Section 1-9B 43-36 the presiding judge concludes that the
Changes. defendant’s appeal is not wholly frivolous, such
Sec. 43-34. Attorney’s Finding That Appeal judge may allow counsel to withdraw and appoint
Is Wholly Frivolous; Request by Initial Coun- new counsel to represent the defendant, or may
sel To Withdraw order counsel of record to proceed with the
When the defendant is represented at trial by appeal.
(P.B. 1978-1997, Sec. 955.)
the public defender or has counsel appointed to
prosecute the appeal under the provisions of Sec- Sec. 43-38. —Disqualification of Presiding
tion 43-33 and such public defender or counsel, Judge
after a conscientious examination of the case,
Any presiding judge who was also the trial judge
finds that such an appeal would be wholly frivo-
shall refer the matter to the administrative judge
lous, counsel shall advise the presiding judge by
in the judicial district for assignment to another
filing a motion for leave to withdraw from the case.
(P.B. 1978-1997, Sec. 952.) (Amended June 23, 2017, to judicial authority. If such presiding judge is also
take effect Jan. 1, 2018.) the administrative judge, then the matter shall be
referred by the presiding judge to the chief admin-
Sec. 43-35. —Submission of Memorandum istrative judge for criminal matters for assignment
of Law to another judicial authority.
(Amended June 23, 2017, to take effect Jan. 1, 2018.) (P.B. 1978-1997, Sec. 956.) (Amended June 30, 2003, to
(a) At the time such motion for leave to withdraw take effect Jan. 1, 2004.)
is filed, counsel shall submit to the presiding judge
a memorandum of law outlining anything in the Sec. 43-39. Speedy Trial; Time Limitations*
record that might arguably support the appeal and (a) Except as otherwise provided herein and in
the factual and legal basis for the conclusion that Section 43-40 or 43-40A, the trial of a defendant
an appeal would be wholly frivolous. charged with a criminal offense during the period
(b) Any motion for leave to withdraw and sup- from July 1, 1983, through June 30, 1985, inclu-
porting memorandum of law shall be filed under sive, shall commence within eighteen months
seal and provided to the defendant. Counsel shall from the filing of the information or from the date
serve opposing counsel with notice that a motion of the arrest, whichever is later.
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Sec. 43-39 SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS
(b) The trial of such defendant shall commence (1) Any period of delay resulting from other pro-
within twelve months from the filing of the informa- ceedings concerning the defendant, including but
tion or from the date of the arrest, whichever is not limited to:
later, if the following conditions are met: (A) delay resulting from any proceeding, includ-
(1) the defendant has been continuously incar- ing any examinations, to determine the mental
cerated in a correctional institution of this state competency or physical capacity of the defendant;
pending trial for such offense; and (B) delay resulting from trial with respect to
(2) the defendant is not subject to the provisions other charges against the defendant;
of General Statutes § 54-82c. (C) delay resulting from any interlocutory
(c) Except as otherwise provided herein and in appeal;
Section 43-40 or 43-40A, the trial of a defendant (D) the time between the commencement of the
charged with a criminal offense on or after July hearing on any pretrial motion and the issuance
1, 1985, shall commence within twelve months of a ruling on such motion;
from the filing of the information or from the date (E) delay reasonably attributable to any period,
of the arrest, whichever is later. not to exceed thirty days, during which any pro-
(d) The trial of such defendant shall commence ceeding concerning the defendant is actually
within eight months from the filing of the informa- under advisement by the judicial authority;
tion or from the date of the arrest, whichever is (F) delay resulting from any proceeding under
later, if the following conditions are met: General Statutes §§ 17a-685, 17a-693 et seq.,
(1) the defendant has been continuously incar- 53a-39c, 54-56e, 54-56g, 54-56i, 54-56l, 54-56m,
cerated in a correctional institution of this state 54-56p, or any other pretrial diversion program
pending trial for such offense; and authorized by statute.
(2) the defendant is not subject to the provisions (2) Any period of delay resulting from the
of General Statutes § 54-82c. absence or unavailability of the defendant, coun-
(e) If an information which was dismissed by sel for the defendant, or any essential witness for
the trial court is reinstated following an appeal, the prosecution or defense. For purposes of this
the time for trial set forth in subsections (a), (b) subdivision, a defendant or any essential witness
and (c) shall commence running from the date of shall be considered absent when such person’s
release of the final appellate decision thereon. whereabouts are unknown and cannot be deter-
(f) If the defendant is to be tried following a mined by due diligence. For purposes of this sub-
mistrial, an order for a new trial, an appeal or division, a defendant or any essential witness
collateral attack, the time for trial set forth in sub- shall be considered unavailable whenever such
sections (a), (b) and (c) shall commence running person’s whereabouts are known but his or her
from the date the order occasioning the retrial presence for trial cannot be obtained by due dili-
becomes final. gence or he or she resists appearing at or being
(P.B. 1978-1997, Sec. 881.) (Amended June 10, 2022, to returned for trial.
take effect Jan. 1, 2023.)
HISTORY—2023: In subsections (a) and (c), ‘‘or 43-40A,’’ (3) Any period of delay resulting from the fact
was added after ‘‘Section 43-40.’’ that the defendant is mentally incompetent or
COMMENTARY—2023: The changes to this section are physically unable to stand trial.
consistent with the adoption of Section 43-40A regarding the (4) A reasonable period of delay when the
included time in the speedy trial calculation. defendant has been joined for trial with a codefen-
*APPENDIX NOTE:The Rules Committee of the Superior
Court enacted, and the judges of the Superior Court subse-
dant as to whom the time for trial has not run and
quently adopted, certain changes to the provisions of this no motion for severance has been granted.
rule in response to the public health and civil preparedness (5) Any period of time between the date on
emergencies declared on March 10, 2020, and renewed on which a defendant or counsel for the defendant
September 1, 2020, and January 26, 2021. The public health and the prosecuting authority agree that the
emergency was renewed on June 28, 2022, and is scheduled defendant will plead guilty or nolo contendere to
to expire on December 28, 2022, or when the federal public
health emergency ends. See Appendix of Section 1-9B
the charge and the date the judicial authority
Changes. accepts or rejects the plea agreement.
(6) Any period of time between the date on
Sec. 43-40. —Excluded Time Periods in which the defendant enters a plea of guilty or nolo
Determining Speedy Trial contendere and the date an order of the judicial
The following periods of time shall be excluded authority permitting the withdrawal of the plea
in computing the time within which the trial of a becomes final.
defendant charged by information with a criminal (7) Except as provided in Section 43-40A, the
offense must commence pursuant to Section period of delay resulting from a continuance
43-39: granted by the judicial authority at the personal
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SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS Sec. 43-43
request of the defendant, including any period period prescribed in Chapter 40. During any such
of delay resulting from a continuance requested continuance, the judicial authority may issue sub-
because the prosecuting authority has failed to poenas, pursuant to Sections 40-2 and 40-20, to
disclose discovery materials within any applicable assist in the timely completion of discovery.
time period prescribed in Chapter 40 if the prose- (Adopted June 11, 2021, to take effect Jan. 1, 2022.)
cuting authority’s failure is because of the unavail- Sec. 43-41. —Motion for Speedy Trial; Dis-
ability of such discovery materials and the missal
prosecuting authority has exercised due diligence
to obtain such discovery materials. If the defendant is not brought to trial within the
(8) The period of delay resulting from a continu- applicable time limit set forth in Sections 43-39
ance granted by the judicial authority at the through 43-40A, and, absent good cause shown,
request of the prosecuting authority if: a trial is not commenced within thirty days of the
(A) the continuance is granted because of the filing of a motion for speedy trial by the defendant
unavailability of evidence material to the state’s at any time after such time limit has passed, the
case, when the prosecuting authority has exer- information shall be dismissed with prejudice, on
cised due diligence to obtain such evidence and motion of the defendant filed after the expiration
there are reasonable grounds to believe that such of such thirty day period. For the purpose of this
evidence will be available at a later date; or section, good cause consists of any one of the
(B) the continuance is granted to allow the pros- reasons for delay set forth in Section 43-40 or 43-
ecuting authority additional time to prepare the 40A. When good cause for delay exists, the trial
state’s case and additional time is justified because shall commence as soon as is reasonably possi-
of the exceptional circumstances of the case. ble. Failure of the defendant to file a motion to
(9) With respect to a defendant incarcerated in dismiss prior to the commencement of trial shall
another jurisdiction, the period of time until the constitute a waiver of the right to dismissal under
defendant’s presence for trial has been obtained, these rules.
(P.B. 1978-1997, Sec. 884.) (Amended June 10, 2022, to
provided the prosecuting authority has exercised take effect Jan. 1, 2023.)
reasonable diligence (A) in seeking to obtain the HISTORY—2023: In the first sentence, ‘‘and’’ after ‘‘Sec-
defendant’s presence for trial upon receipt of a tions 43-39’’ was deleted and replaced with ‘‘through’’ and ‘‘A’’
demand from the defendant for trial, and (B) if the was added after ‘‘43-40.’’ In addition, in the second sentence,
defendant has not theretofore demanded trial, in ‘‘or 43-40A,’’ was added after ‘‘Section 43-40.’’
COMMENTARY—2023: The changes to this section are
filing a detainer with the official having custody of consistent with the adoption of Section 43-40A regarding the
the defendant requesting that official to advise the included time in the speedy trial calculation.
defendant of the defendant’s right to demand trial.
(10) Other periods of delay occasioned by Sec. 43-42. —Definition of Commencement
exceptional circumstances. of Trial
(P.B. 1978-1997, Sec. 956C.) (Amended June 11, 2021, For purposes of Sections 43-39 through 43-41,
to take effect Jan. 1, 2022.) ‘‘commencement of trial’’ means the commence-
Sec. 43-40A. —Included Time Period in ment of the voir dire examination in jury cases
Determining Speedy Trial; Failure To Com- and the swearing-in of the first witness in non-
ply with Disclosure by Prosecuting jury cases.
(P.B. 1978-1997, Sec. 956E.)
Authority
The time for trial set forth in Section 43-39 shall Sec. 43-43. —Waiver of Speedy Trial Pro-
continue to run during any period of delay resulting visions
from a continuance granted by the judicial author- The provisions of Sections 43-39 through 43-
ity at the request of the defendant on the basis of 42 may be waived by any defendant in writing or
the prosecuting authority’s wilful failure to disclose on the record in open court.
discovery materials within any applicable time (P.B. 1978-1997, Sec. 956F.)
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Sec. 44-1 SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS
CHAPTER 44
GENERAL PROVISIONS
Sec. Sec.
44-1. Right to Counsel; Appointment in Specific Instances 44-17. —Motion To Advance
44-2. —Appointment in Other Instances 44-18. —Continuances
44-3. —Waiver of Right to Counsel 44-19. Reference to Judge Trial Referee
44-4. —Standby Counsel for Defendant Self-Repre- 44-20. Appointment of Guardian Ad Litem
sented 44-21. Infractions and Violations; When Treated as an
44-5. —Role of Standby Counsel Offense
44-6. —Standby Counsel for Disruptive Defendant 44-22. —Form of Summons and Complaint for Infractions
44-7. Presence of Defendant; Attire of Incarcerated and Violations
Defendant or Witness 44-23. —When Custody Not Required
44-8. —When Presence of Defendant Is and Is Not 44-24. —When Custody Required
Required at Trial and Sentencing 44-25. —Plea of Nolo Contendere to Infraction or Violation
44-9. —Obtaining Presence of Unexcused Defendant at 44-26. —Pleas of Not Guilty to Infraction or Violation
Trial or Sentencing 44-27. —Hearing of Infractions, Violations to Which Not
Guilty Plea Filed
44-10. —Where Presence of Defendant Not Required
44-28. —Location of Infractions Bureau and Role of Clerks
44-10A. —Where Presence of Defendant May Be by Means
44-29. —Powers of Centralized Infractions Bureau
of an Interactive Audiovisual Device
44-30. —Hearing by Magistrates of Infractions and Certain
44-11. Docketing and Scheduling in General of Criminal Motor Vehicle Violations
Cases 44-31. Motion To Quash Subpoena Pursuant to Inquiry
44-12. —Control of Scheduling into Commission of Crime
44-13. —Scheduling for Proceedings before Trial; Contin- 44-32. Fees and Expenses; Return of Subpoenas
uances 44-33. —Indigent Witnesses
44-14. —Assignments for Plea in Judicial District Court 44-34. —Fees for Witnesses
Location 44-35. —Officer’s Fees on Extradition; Habeas Corpus
44-15. —Scheduling at Entry of Plea 44-36. —Fee on Motion To Open Certain Judgments
44-16. —Scheduling from Trial List 44-37. Definition of Terms
For previous Histories and Commentaries see the editions of the Practice Book
corresponding to the years of the previous amendments.
Sec. 44-1. Right to Counsel; Appointment in appointed prior to trial or the entry of a plea of
Specific Instances guilty or nolo contendere.
(P.B. 1978-1997, Sec. 959.)
A person who is charged with an offense pun-
ishable by imprisonment, or who is charged with Sec. 44-2. —Appointment in Other Instan-
violation of probation, or who is a petitioner in any ces
habeas corpus proceeding arising from a criminal
In any other situation in which a defendant is
matter, or who is accused in any extradition pro- unable to obtain counsel by reason of indigency,
ceeding, and who is unable to obtain counsel by and is constitutionally or statutorily entitled to
reason of indigency shall be entitled to have coun- the assistance of counsel, such defendant may
sel represent him or her unless: request the judicial authority to appoint a public
(1) The person waives such appointment pursu- defender in accordance with Section 44-1.
ant to Section 44-3; or (P.B. 1978-1997, Sec. 960.)
(2) In a misdemeanor case, at the time of the
application for the appointment of counsel, the Sec. 44-3. —Waiver of Right to Counsel
judicial authority decides to dispose of the charge A defendant shall be permitted to waive the
without subjecting the defendant to a sentence right to counsel and shall be permitted to repre-
involving immediate incarceration or a suspended sent himself or herself at any stage of the proceed-
sentence of incarceration with a period of proba- ings, either prior to or following the appointment
tion, or it believes that the disposition of the charge of counsel. A waiver will be accepted only after
at a later date will not result in such a sentence the judicial authority makes a thorough inquiry
and it makes a statement to that effect on the and is satisfied that the defendant:
record. If it appears to the judicial authority at a (1) Has been clearly advised of the right to the
later date that if convicted the defendant will be assistance of counsel, including the right to the
subjected to such a sentence, counsel shall be assignment of counsel when so entitled;
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SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS Sec. 44-10
(2) Possesses the intelligence and capacity to hearings, at the trial, and at the sentencing hear-
appreciate the consequences of the decision to ing, except as provided in Section 37-1 and Sec-
represent oneself; tions 44-7 through 44-10. Whenever present, the
(3) Comprehends the nature of the charges and defendant shall be seated where he or she can
proceedings, the range of permissible punishments, effectively consult with counsel and can see and
and any additional facts essential to a broad under- hear the proceedings. An incarcerated defendant
standing of the case; and or an incarcerated witness shall not be required
(4) Has been made aware of the dangers and during the course of a trial to appear in court in
disadvantages of self-representation. the distinctive attire of a prisoner or convict.
(P.B. 1978-1997, Sec. 961.) (P.B. 1978-1997, Sec. 967.) (Amended June 11, 2021, to
take effect Jan. 1, 2022.)
Sec. 44-4. —Standby Counsel for Defendant
Self-Represented Sec. 44-8. —When Presence of Defendant Is
When a defendant has been permitted to pro- and Is Not Required at Trial and Sentencing
ceed without the assistance of counsel, the judi- The defendant must be present at the trial and
cial authority may appoint standby counsel, at the sentencing hearing, but, if the defendant
especially in cases expected to be long or compli- will be represented by counsel at the trial or sen-
cated or in which there are multiple defendants. tencing hearing, the judicial authority may:
A public defender or special public defender may (1) Excuse the defendant from being present
be appointed as standby counsel only if the
at the trial or a part thereof or the sentencing
defendant is indigent and qualifies for appoint-
hearing if the defendant waives the right to be
ment of counsel under General Statutes § 51-296,
present;
except that in extraordinary circumstances the
judicial authority, in its discretion, may appoint a (2) Direct that the trial or a part thereof or the
special public defender for a defendant who is sentencing hearing be conducted in the defend-
not indigent. ant’s absence if the judicial authority determines
(P.B. 1978-1997, Sec. 963.) that the defendant waived the right to be pre-
sent; or
Sec. 44-5. —Role of Standby Counsel (3) Direct that the trial or a part thereof be con-
If requested to do so by the defendant, the ducted in the absence of the defendant if the judi-
standby counsel shall advise the defendant as cial authority has justifiably excluded the
to legal and procedural matters. If there is no defendant from the courtroom because of his or
objection by the defendant, such counsel may her disruptive conduct, pursuant to Section 42-46.
also call the judicial authority’s attention to matters (P.B. 1978-1997, Sec. 968.)
favorable to the defendant. Such counsel shall
not interfere with the defendant’s presentation of Sec. 44-9. —Obtaining Presence of Unex-
the case and may give advice only upon request. cused Defendant at Trial or Sentencing
(P.B. 1978-1997, Sec. 964.) If the defendant is not present at the trial or a
Sec. 44-6. —Standby Counsel for Disrup- part thereof or the sentencing hearing and the
tive Defendant defendant’s absence has not been excused, the
judicial authority may issue a capias in accord-
Upon direction of the judicial authority in situa- ance with the provisions of Section 38-21.
tions involving a disruptive defendant or one who (P.B. 1978-1997, Sec. 969.)
has been removed under Section 42-46, standby
counsel shall enter the case and represent the Sec. 44-10. —Where Presence of Defendant
defendant notwithstanding a previous waiver Not Required
under Section 44-3. If standby counsel is ordered
to represent the defendant, counsel shall be (a) Unless otherwise ordered by the judicial
granted reasonable time before proceeding with authority, a defendant need not be present in the
the trial. following situations:
(P.B. 1978-1997, Sec. 965.) (1) In proceedings involving a corporation, a
corporation being able to appear by counsel for
Sec. 44-7. Presence of Defendant; Attire of all purposes;
Incarcerated Defendant or Witness (2) In prosecutions for offenses punishable by
The defendant has the right to be present at the a fine in which the defendant pleads guilty or nolo
arraignment, at the time of the plea, at evidentiary contendere and pays the fine by mail;
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Sec. 44-10 SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS
(3) At any argument on a question of law or at (9) With the consent of counsel a disposition
any conference, except a disposition conference conference held in the geographical area court
pursuant to Section 39-13; pursuant to the provisions of Sections 39-11
(4) In proceedings involving a reduction of a through 39-17 when it is not reasonably antici-
sentence under Sections 43-21 and 43-22; and pated that an offer for the final disposition of the
(5) In proceedings in which the defendant other- case will be accepted or rejected upon the conclu-
wise waives his or her right to be present. sion of the conference;
(b) If ordered to be present by the judicial (10) The first scheduled court appearance of
authority or if required to be present for a disposi- the defendant in the judicial district court following
tion conference pursuant to subsection (a) (3) of the transfer of the case from the geographical
this section, the presence of the defendant may, area court;
in the discretion of the judicial authority and, in (11) Hearings regarding motions to correct an
the case of such a disposition conference, with illegal sentence; and
the consent of the defendant, be made by means (12) Hearings regarding motions for sentence
of an interactive audiovisual device. Such audiovi- modification.
sual device must operate so that the defendant,
his or her attorney, if any, and the judicial authority (b) Such audiovisual device must operate so
can see and communicate with each other simul- that the defendant, his or her attorney, if any, and
taneously. In addition, a procedure by which the the judicial authority can see and communicate
defendant and his or her attorney can confer in with each other simultaneously. In addition, a pro-
private must be provided. cedure by which the defendant and his or her
(P.B. 1978-1997, Sec. 970.) (Amended December 19, attorney can confer in private must be provided.
2006, to take effect March 12, 2007.) (c) Unless otherwise required by law or ordered
by the judicial authority, prior to any proceeding
Sec. 44-10A. —Where Presence of Defend- in which a person appears by means of an inter-
ant May Be by Means of an Interactive active audiovisual device, copies of all documents
Audiovisual Device which may be offered at the proceeding shall be
(a) Unless otherwise ordered by the judicial provided to all counsel and self-represented par-
authority, and in the discretion of the judicial ties in advance of the proceeding.
authority, a defendant may be present by means (d) Nothing contained in this section shall be
of an interactive audiovisual device for the follow- construed to establish a right for any person to
ing proceedings: appear by means of an interactive audiovisual
(1) Hearings concerning indigency pursuant to device.
General Statutes § 52-259b; (e) Nothing contained in this section shall be
(2) Hearings concerning asset forfeiture, unless construed to preclude the Judicial Branch, at the
the testimony of witnesses is required; discretion of the chief court administrator, from
(3) Hearings regarding seized property, unless handling any matter remotely.
the testimony of witnesses is required; (Adopted Dec. 19, 2006, to take effect March 12, 2007;
(4) With the defendant’s consent, bail modifica- amended June 20, 2011, to take effect Jan. 1, 2012; amended
tion hearings pursuant to Section 38-14; June 24, 2016, to take effect Jan. 1, 2017; amended June 26,
(5) Sentence review hearings pursuant to Gen- 2020, on an interim basis pursuant to Section 1-9 (c), to take
eral Statutes § 51-195; effect July 14, 2020, and amendment adopted June 11, 2021,
(6) Proceedings under General Statutes § 54- to take effect Jan. 1, 2022.)
56d (k) if the evaluation under General Statutes
Sec. 44-11. Docketing and Scheduling in
§ 54-56d (j) concludes that the defendant is not
General of Criminal Cases
competent but is restorable and neither the state
nor the defendant intends to contest that con- Upon the return of an indictment or of a sum-
clusion; mons, or of a warrant previously issued by the
(7) Arraignments, provided that counsel for the judicial authority, or upon receipt of notice of an
defendant has been given the opportunity to meet arrest, the clerk of the court having jurisdiction of
with the defendant prior to the arraignment; the case shall forthwith assign a number to the
(8) A disposition conference held in the judicial case, enter it on the criminal docket or on other
district court pursuant to the provisions of Sections appropriate documents, and make a file in con-
39-11 through 39-17 when it is not reasonably nection therewith. Such clerk shall immediately
anticipated that an offer for the final disposition notify the prosecuting authority of the number
of the case will be accepted or rejected upon the assigned to the case.
conclusion of the conference; (P.B. 1978-1997, Sec. 972.)
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SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS Sec. 44-16
Sec. 44-12. —Control of Scheduling Sec. 44-15. —Scheduling at Entry of Plea
The judicial authority, acting through the clerk, (a) Upon entry of a not guilty plea, the judicial
shall control the time and the manner of schedul- authority shall, whenever feasible, assign a date
ing all proceedings in criminal cases and shall certain for the trial of such case, and in jury cases,
have the cooperation of the prosecuting authority for a disposition conference pursuant to Sections
and defense counsel in carrying out their respon- 39-11 through 39-13, and it shall advise all parties
sibilities under Sections 44-11 and 44-12. The that they are to be prepared to proceed to trial or
clerk of the court shall file a written report with to a disposition conference on that date.
the court periodically, as directed by the judicial (b) Prior to assigning any date certain for trial,
authority, indicating the age and the status of each the judicial authority shall inquire of the parties
pending case, including whether the defendant is whether discovery pursuant to Chapter 40 is
being held in custody pending trial and, if so, how complete.
long he or she has been held in custody. The If discovery is not complete, the judicial author-
clerk shall consult with the prosecuting author- ity shall continue the case for the timely comple-
ity and defense counsel in matters of scheduling tion of discovery. During any such continuance,
so that such clerk may be aware of and advise the judicial authority may issue subpoenas, pursu-
the judicial authority of any factors affecting the ant to Sections 40-2 and 40-20, to assist in the
orderly movement of cases. timely completion of discovery.
(P.B. 1978-1997, Sec. 973.) If discovery is complete, the judicial authority
may assign a date certain for trial no earlier than
Sec. 44-13. —Scheduling for Proceedings forty-five days after the completion of discovery
before Trial; Continuances* unless the defendant moves for a speedy trial
Cases should be promptly assigned for arraign- pursuant to Section 43-41.
ments, motions and other preliminary proceed- (c) If the setting of a definite date at the time
ings so as not unduly to delay the progress of the of the not guilty plea is not feasible, the case shall
cases or to exceed time limits for such proceed- be placed on a trial list of pending cases which
ings set by rule or administrative directive. Ordi- shall be maintained by the clerk. Cases shall be
narily, continuances for any preliminary proceed- placed on the trial list in the order in which the
ings, when allowed under these rules, shall not not guilty pleas were entered, but in no event shall
exceed two weeks. a trial commence earlier than forty-five days after
(P.B. 1978-1997, Sec. 975.) the completion of discovery in the case unless the
*APPENDIX NOTE: The Rules Committee of the Superior defendant moves for a speedy trial pursuant to
Court enacted, and the judges of the Superior Court subse- Section 43-41.
quently adopted, certain changes to the provisions of this (d) If, after the judicial authority has assigned
rule in response to the public health and civil preparedness
a date certain for trial or has assigned the case
emergencies declared on March 10, 2020, and renewed on
September 1, 2020, and January 26, 2021. The public health to the trial list pursuant to this section, either party
emergency was renewed on June 28, 2022, and is scheduled identifies and produces any evidence or witness
to expire on December 28, 2022, or when the federal public that is required to be disclosed pursuant to Chap-
health emergency ends. See Appendix of Section 1-9B ter 40, the opposing party may move the judicial
Changes. authority for an order in accordance with Section
40-5, including, but not limited to, moving for a
Sec. 44-14. —Assignments for Plea in Judi- continuance or an order prohibiting the producing
cial District Court Location* party from introducing the delayed discovery at
Each case pending in a judicial district court trial.
___location shall be assigned for a plea within two (P.B. 1978-1997, Sec. 977.) (Amended June 11, 2021, to
weeks after it is placed on the list of pending cases, take effect Jan. 1, 2022.)
unless the judicial authority shall order otherwise.
(P.B. 1978-1997, Sec. 976.)
Sec. 44-16. —Scheduling from Trial List
*APPENDIX NOTE: The Rules Committee of the Superior (a) The judicial authority shall assign for trial on
Court enacted, and the judges of the Superior Court subse- dates certain so much of the trial list as shall be
quently adopted, certain changes to the provisions of this deemed necessary for the proper conduct of the
rule in response to the public health and civil preparedness court and shall direct the clerk to distribute a list
emergencies declared on March 10, 2020, and renewed on
of the cases so assigned to the counsel of record.
September 1, 2020, and January 26, 2021. The public health
emergency was renewed on June 28, 2022, and is scheduled Cases shall be assigned for trial in the order in
to expire on December 28, 2022, or when the federal public which they appear on the trial list and they should
health emergency ends. See Appendix of Section 1-9B be tried in the order in which they are assigned
Changes. for trial, except that the judicial authority may
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Sec. 44-16 SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS
depart from the listed order and may give priority Sec. 44-20. Appointment of Guardian Ad
in assignment or trial to the following types of Litem
cases: (a) In any criminal proceeding involving an
(1) Cases in which the defendant is being held abused or neglected minor child, a guardian ad
in custody for lack of a bond; litem shall be appointed. The judicial authority
(2) Cases in which the judicial authority has may also appoint a guardian ad litem for a minor
granted a motion for a speedy trial; or involved in any other criminal proceedings, includ-
(3) Cases in which the judicial authority reason- ing those in which the minor resides with and is
ably believes that the pretrial liberty of the defend- the victim of a person arrested or charged with a
ant presents unusual risks over those of other criminal offense, those in which the minor resides
criminal cases. in the same household as the victim and the
(b) The judicial authority shall not assign for trial defendant, or those in which the minor is the
on a date certain a number of cases greater than defendant. Unless the judicial authority orders that
that which can be reasonably expected to be another person be appointed guardian ad litem,
reached for trial on that date, based on the court’s the family relations counselor or family relations
resources for trial and the number and percentage caseworker shall be designated as guardian ad
of trials generally conducted. litem.
(P.B. 1978-1997, Sec. 978.) (b) If the guardian ad litem is not the family
relations counselor or family relations case-
Sec. 44-17. —Motion To Advance worker, the judicial authority may order compen-
sation for the services rendered in accordance
Upon motion of a party and a showing of good
with the established Judicial Branch fee schedule.
cause, the judicial authority may advance a case (P.B. 1978-1997, Sec. 998.)
for trial prior to the time when it would ordinarily
be assigned. Sec. 44-21. Infractions and Violations;
(P.B. 1978-1997, Sec. 979.) When Treated as an Offense
Pursuant to subdivision (4) of Section 44-37,
Sec. 44-18. —Continuances infractions and violations are included in the gen-
Except for the defendant’s arraignment pursu- eral definition of ‘‘offense,’’ and, except as distin-
ant to Sections 37-1 through 37-12, continuances guished in Sections 44-21 through 44-29, they
may be granted only by the judicial authority or are treated as any other offense under these rules.
with the judicial authority’s explicit approval. (P.B. 1978-1997, Sec. 1000.)
(P.B. 1978-1997, Sec. 981.)
Sec. 44-22. —Form of Summons and Com-
Sec. 44-19. Reference to Judge Trial Referee plaint for Infractions and Violations
The judicial authority may, with the consent of In all infractions and violations a summons and
the parties or their attorneys, refer any criminal complaint shall, insofar as applicable, be used in
case to a judge trial referee who shall have and the form designated in Section 36-7.
(P.B. 1978-1997, Sec. 1002.)
exercise the powers of the Superior Court in
respect to trial, judgment, sentencing and appeal Sec. 44-23. —When Custody Not Required
in the case, except that the judicial authority may, (a) Except for those offenses listed in Section
without the consent of the parties or their attor- 44-24, and as provided in subsection (b) herein,
neys, (A) refer any criminal case, other than a a resident of the state of Connecticut or of a state
criminal jury trial, to a judge trial referee assigned that is a signatory with Connecticut of a no-bail
to a geographical area criminal court session, and compact, who has been arrested for a violation
(B) refer any criminal case, other than a class A of any statute relating to motor vehicles, shall be
or B felony or capital felony, to a judge trial referee issued a summons and complaint, and may, in
to preside over the jury selection process and the discretion of the law enforcement officer, be
any voir dire examination conducted in such case, released without bail on his or her promise to
unless good cause is shown not to refer. Any case appear.
referred to a judge trial referee shall be deemed (b) Any resident of the state of Connecticut who
to have been referred for all further proceedings, is charged with an infraction or violation payable
judgment and sentencing, including matters per- by mail pursuant to statute, and any resident of
taining to any appeal therefrom unless otherwise a state that is a signatory with Connecticut of a
ordered before or after the reference. no-bail compact who is charged with an infraction
(P.B. 1978-1997, Sec. 997A.) (Amended June 20, 2005, involving a motor vehicle or with a violation of
to take effect Jan. 1, 2006.) General Statutes § 14-219 (e), shall not be taken
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SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS Sec. 44-28
into custody, but shall be issued a summons and pursuant to statute, the clerk shall file such plea
complaint and follow the procedure set forth in and forthwith transmit the file to the prosecuting
Sections 44-25 through 44-27. authority for review.
(P.B. 1978-1997, Sec. 1004.) (b) Unless a nolle prosequi or a dismissal is
Sec. 44-24. —When Custody Required entered in the matter within ten days of the filing
of a not guilty plea, the clerk shall schedule a
(a) Any person charged with an infraction or hearing and shall send the defendant a written
with a violation, whether or not payable by mail notice of the date, time and place of such hearing.
pursuant to statute, who is not a resident of the (c) Hearings shall be conducted in accordance
state of Connecticut or of a state that is a signatory with the Connecticut Code of Evidence and with
with Connecticut of a no-bail compact shall be the provisions of Chapter 42 insofar as the provi-
taken into custody. sions of that chapter are applicable.
(b) In the following offenses, the defendant,
(d) A nolle prosequi or a dismissal may be
whether or not a resident of this state, shall be
entered in the absence of the defendant. In the
taken into custody:
event a nolle prosequi or a dismissal is entered
(1) Driving while under the influence of intoxicat-
in the matter, the clerk shall send a written notice
ing liquor or drugs;
of such disposition to any defendant who was not
(2) Using a motor vehicle without the permission
of the owner; before the court at the time of such disposition.
(3) Evading responsibility; The entry of a nolle prosequi hereunder shall not
(4) Any offenses involving an accident resulting operate as a waiver of the defendant’s right there-
in death; or after to seek a dismissal pursuant to Section
(5) Any felonies. 39-30.
(P.B. 1978-1997, Sec. 1008A.) (Amended June 26, 2020,
(P.B. 1978-1997, Sec. 1005.)
to take effect Jan. 1, 2021.)
Sec. 44-25. —Plea of Nolo Contendere to TECHNICAL CHANGE: In subsection (c), a technical
Infraction or Violation change was made to capitalize ‘‘Chapter.’’
*APPENDIX NOTE: The Rules Committee of the Superior
Any resident of Connecticut or of a state that is Court enacted, and the judges of the Superior Court subse-
a signatory with Connecticut of a no-bail compact quently adopted, certain changes to the provisions of this
who is charged with any infraction or with any rule in response to the public health and civil preparedness
violation which is payable by mail pursuant to stat- emergencies declared on March 10, 2020, and renewed on
ute may pay the penalty, either by mail or in per- September 1, 2020, and January 26, 2021. The public health
emergency was renewed on June 28, 2022, and is scheduled
son, to the centralized infractions bureau at the to expire on December 28, 2022, or when the federal public
address set forth on the complaint on or before health emergency ends. See Appendix of Section 1-9B
the answer date designated in the complaint or, Changes.
if the case is pending at a court ___location, may pay
the penalty by mail or in person at such court Sec. 44-28. —Location of Infractions Bureau
___location. The payment of the fine shall be consid- and Role of Clerks
ered a plea of nolo contendere and shall be inad- (a) There shall be a centralized infractions
missible in any proceeding, criminal or civil, to bureau of the Superior Court to handle payments
establish the conduct of the person making such or pleas of not guilty with respect to the commis-
payment, except for any administrative sanctions sion of infractions and of violations which are pay-
imposed by the Commissioner of Motor Vehicles able by mail pursuant to statute.
pursuant to title 14 of the General Statutes. (b) For the purpose of processing such matters
(P.B. 1978-1997, Sec. 1007.) which are not finally disposed at the centralized
Sec. 44-26. —Pleas of Not Guilty to Infrac- infractions bureau, the principal clerk’s office of
tion or Violation the Superior Court in each geographical area shall
Pleas of not guilty for infractions and for viola- be the infractions bureau for such geographical
tions which are payable by mail pursuant to statute area. The judges of the Superior Court may estab-
may be accepted only at the centralized infrac- lish such other bureaus when and where they may
tions bureau and at those locations authorized by deem them necessary and they may designate
the General Statutes. the clerks or the assistant clerks of the court, or
(P.B. 1978-1997, Sec. 1008.) any other appropriate persons, as clerks of such
bureaus. If no other person is so designated by
Sec. 44-27. —Hearing of Infractions, Viola- the judges, the clerk of the Superior Court for
tions to Which Not Guilty Plea Filed* the geographical area shall be the clerk of each
(a) Upon entry of a plea of not guilty to an infractions bureau in that geographical area.
infraction or to a violation which is payable by mail (P.B. 1978-1997, Sec. 1010.)
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Sec. 44-29 SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS
Sec. 44-29. —Powers of Centralized Infrac- health emergency ends. See Appendix of Section 1-9B
tions Bureau Changes.
Subject to the limitations in Sections 44-25 and Sec. 44-31. Motion To Quash Subpoena Pur-
44-26, the centralized infractions bureau shall suant to Inquiry into Commission of Crime
have the power to accept a plea of nolo conten- (a) Whenever a subpoena has been issued to
dere and the payment of fines in cases which compel the attendance of a witness or the produc-
have been designated by statute as infractions or tion of documents at an inquiry conducted by an
as violations which are payable by mail. investigative grand jury, the person summoned
(P.B. 1978-1997, Sec. 1011.) may file a motion to quash the subpoena with
Sec. 44-30. —Hearing by Magistrates of the chief clerk of the judicial district wherein the
Infractions and Certain Motor Vehicle Vio- investigation is then being conducted. No fees or
lations* costs shall be required or assessed.
(b) The motion shall be docketed as a criminal
(a) Infractions and motor vehicle violations which matter. The party filing the motion shall be desig-
may be submitted to a magistrate pursuant to nated as the plaintiff and the state’s attorney for
statute may be heard by magistrates in those court such judicial district shall be designated as the
locations where a magistrate has been appointed defendant. A prosecuting authority shall appear
by the chief court administrator, except that mag- and defend on behalf of the state’s attorney.
istrates may not conduct jury trials. (c) Unless otherwise ordered by the judicial
(b) Hearings by magistrates shall be conducted authority before whom such hearing shall be con-
in accordance with the Connecticut Code of Evi- ducted, the hearing on the motion to quash shall
dence and with the provisions of Chapter 42 inso- be conducted in public and the court file on the
far as the provisions of that chapter are applicable. motion to quash shall be open to public inspection.
A magistrate shall sign all orders the magistrate (d) The motion shall be heard forthwith by a
issues, such signature to be followed by the word judicial authority who is not a member of the panel
‘‘magistrate.’’ of judges which acted on the application, nor the
(c) A decision of the magistrate, including any grand jury in the proceeding. The hearing date and
penalty imposed, shall become a judgment of the time shall be set by the clerk after consultation
court if no demand for a trial de novo is filed. Such with the judicial authority having responsibility for
decision of the magistrate shall become null and the conduct of criminal business within the judicial
void if a timely demand for a trial de novo is filed. district. The clerk shall give notice to the parties
A demand for a trial de novo shall be filed with of the hearing so scheduled.
the court clerk within five days of the date the (P.B. 1978-1997, Sec. 1012A.)
decision was rendered by the magistrate and, if
filed by the prosecuting authority, it shall include Sec. 44-32. Fees and Expenses; Return of
a certification that a copy thereof has been served Subpoenas
on the defendant or his or her attorney, in accord- An officer or an indifferent person serving sub-
ance with the rules of practice. poenas in criminal cases will not be allowed fees
(d) If the defendant is charged with more than for returning the same to the court unless the
one offense, and not all such offenses are motor person returns them in person or actually pays
vehicle violations within the jurisdiction of a magis- for their return, and then only the sum paid will be
trate, a judicial authority shall hear and decide such allowed, not exceeding the legal fees for returning
case. civil process. No fee shall be paid to any police
(e) This section shall be inapplicable at any officer for serving subpoenas.
court ___location to which a magistrate has not been (P.B. 1978-1997, Sec. 1014.)
assigned by the chief court administrator. Sec. 44-33. —Indigent Witnesses
(P.B. 1978-1997, Sec. 1011D.) (Amended June 26, 2020,
to take effect Jan. 1, 2021.) An officer or any other person serving a sub-
TECHNICAL CHANGE: In subsection (b), a technical poena or a capias in criminal cases on behalf of
change was made to capitalize ‘‘Chapter.’’ the state on witnesses who are indigent and
*APPENDIX NOTE: The Rules Committee of the Superior unable to procure the means of traveling to the
Court enacted, and the judges of the Superior Court subse- court will be allowed a reasonable compensation
quently adopted, certain changes to the provisions of this
rule in response to the public health and civil preparedness
for providing transportation of such witnesses to
emergencies declared on March 10, 2020, and renewed on the court; a reasonable sum will be taxed for the
September 1, 2020, and January 26, 2021. The public health support of such witnesses during their necessary
emergency was renewed on June 28, 2022, and is scheduled attendance at court.
to expire on December 28, 2022, or when the federal public (P.B. 1978-1997, Sec. 1015.)
436
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SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS Sec. 44-37
Sec. 44-34. —Fees for Witnesses (2) ‘‘Public defender’’ means any attorney
Witnesses in attendance in more cases than appointed or otherwise designated or charged
one at the same time will be allowed fees for travel generally or specially by the court with the duty
and attendance in one case only. The travel of of representing persons accused of criminal
nonresident witnesses will be computed and offenses in any court or of representing anyone
taxed from the state line on the usual course of in habeas corpus proceedings or appeals, and
travel in all cases where witnesses’ fees are not includes, but is not limited to, the chief public
paid under General Statutes § 54-82i or § 54-152. defender and any deputies or assistants, and
(P.B. 1978-1997, Sec. 1016.) each public defender and any deputies or
assistants.
Sec. 44-35. —Officer’s Fees on Extradition; (3) ‘‘Law enforcement officer’’ means any per-
Habeas Corpus son vested by law with a duty to maintain public
order or to make arrests for offenses, and
Any officer having charge of a person who is
includes, but is not limited to, a member of the
arrested upon an extradition warrant for delivery
state police department or an organized local
to another state and required to attend court upon police department, a detective in the Division of
a writ of habeas corpus shall be entitled to receive Criminal Justice, a sheriff or deputy sheriff, a con-
the same fees and expenses as such officer would servation officer or special conservation officer as
receive for presenting a prisoner before the court defined in General Statutes § 26-5, a constable
for trial, and such fees and expenses are to be who performs criminal law enforcement duties, a
paid to such officer by the officer of such other special policeman appointed under General Stat-
state upon the surrender of the prisoner or, if the utes §§ 29-18, 29-18a or 29-19, or an official of
prisoner is released, they are to be taxed and the Department of Correction authorized by the
allowed him or her at the next term of the court Commissioner of Correction to make arrests in a
in the judicial district or geographical area where correctional institution or facility. ‘‘Law enforce-
such prisoner was held. ment officer’’ also includes state and judicial mar-
(P.B. 1978-1997, Sec. 1017.) shals, but only where the use of that term in these
rules is consistent with the authority given to such
Sec. 44-36. —Fee on Motion To Open Cer-
marshals by statute.
tain Judgments (4) ‘‘Offense’’ means any crime or violation
Upon the filing of a motion to open judgment in which constitutes a breach of any law of this state
any case in which the defendant has been or any local law or ordinance of a political subdivi-
charged with violation of a motor vehicle statute sion of this state, for which a sentence of a term of
and has failed to appear at the time and place imprisonment or a fine, or both, may be imposed,
assigned for trial or, where applicable, has failed including infractions.
to plead or pay the fine and additional fee by mail, (5) ‘‘Crime’’ means a felony or a misdemeanor.
and the judicial authority has reported such failure (6) ‘‘Violation’’ means an offense for which the
to the Commissioner of Motor Vehicles, the mov- only sentence authorized is a fine and which is
ant shall pay to the clerk the filing fee prescribed not expressly designated as an infraction.
by statute unless such fee has been waived by (7) ‘‘Felony’’ means an offense for which a per-
the judicial authority. son may be sentenced to a term of imprisonment
(P.B. 1978-1997, Sec. 1020A.) in excess of one year.
(8) ‘‘Misdemeanor’’ means an offense for which
Sec. 44-37. Definition of Terms a person may be sentenced to a term of imprison-
Unless the context clearly requires otherwise: ment of not more than one year.
(1) ‘‘Prosecuting authority’’ means any person (9) ‘‘Infraction’’ means an act or a failure to act
appointed or otherwise designated or charged which is designated by the General Statutes as
generally or specially with the duty of prosecuting an infraction.
(10) ‘‘Trial’’ means that judicial proceeding at
persons accused of criminal offenses in any court, which the guilt or innocence of the defendant to
and includes, but is not limited to, the chief state’s the offense or offenses charged is to be
attorney and any deputies or assistants and each determined.
state’s attorney of the Superior Court and any (P.B. 1978-1997, Sec. 1021.) (Amended June 25, 2001, to
deputies or assistants. take effect Jan. 1, 2002.)
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Sec. 60-1 RULES OF APPELLATE PROCEDURE
RULES OF APPELLATE PROCEDURE
CHAPTER 60
GENERAL PROVISIONS RELATING TO APPELLATE RULES
AND APPELLATE REVIEW
Sec. Sec.
60-1. Rules To Be Liberally Interpreted 60-6. Appellate Jurists Sitting as Superior Court Judges
60-2. Supervision of Procedure 60-7. Electronic Filing; Payment of Fees
60-3. Suspension of the Rules 60-8. Exemption from or Inapplicability of Electronic Filing;
60-4. Definitions Payment of Fees
60-5. Review by the Court; Plain Error; Preservation of 60-9. Security for Costs
Claims
For previous Histories and Commentaries see the editions of the Practice Book
corresponding to the years of the previous amendments.
Sec. 60-1. Rules To Be Liberally Interpreted pending matter; (7) order an appeal to be dis-
The design of these rules being to facilitate busi- missed unless the appellant complies with specific
ness and advance justice, they will be interpreted orders of the trial court, submits to the process of
liberally in any appellate matter where it shall be the trial court, or is purged of contempt of the trial
manifest that a strict adherence to them will work court; (8) remand any pending matter to the trial
surprise or injustice. court for the resolution of factual issues where
(P.B. 1978-1997, Sec. 4182.) (Amended Oct. 18, 2017, to necessary; or (9) correct technical or other minor
take effect Jan. 1, 2018.) mistakes in a published opinion which do not
affect the rescript.
Sec. 60-2. Supervision of Procedure (P.B. 1978-1997, Sec. 4183.) (Amended June 5, 2013, to
The supervision and control of the proceedings take effect July 1, 2013; amended Oct. 18, 2017, to take effect
Jan. 1, 2018.)
shall be in the court having appellate jurisdiction
from the time the appellate matter is filed, or ear- Sec. 60-3. Suspension of the Rules
lier, if appropriate, and, except as otherwise pro- In the interest of expediting decision, or for other
vided in these rules, any motion the purpose of good cause shown, the court in which the appel-
which is to complete or perfect the record of the late matter is pending may suspend the require-
proceedings below for presentation on appeal ments or provisions of any of these rules on
shall be made to the court in which the appeal is motion of a party or on its own motion and may
pending. The court may, on its own motion or order proceedings in accordance with its direction.
upon motion of any party, modify or vacate any (P.B. 1978-1997, Sec. 4187.) (Amended Oct. 18, 2017, to
order made by the trial court, or a judge thereof, take effect Jan. 1, 2018.)
in relation to the prosecution of an appeal. It may
also, for example, on its own motion or upon Sec. 60-4. Definitions
motion of any party: (1) order a judge to take any ‘‘Administrative appeal’’ shall mean an appeal
action necessary to complete the trial court record from a judgment of the Superior Court concerning
for the proper presentation of the appeal; (2) con- the appeal to that court from a decision of any
sider any matter in the record of the proceedings officer, board, commission or agency of the state
below necessary for the review of the issues pre- or of any political subdivision of the state.
sented by any appeal, regardless of whether the ‘‘Appellant’’ shall mean the party, or parties if
matter has been included in any party appendix; an appeal is jointly filed, taking the appeal.
(3) order improper matter stricken from a brief or ‘‘Appellee’’ shall mean all other parties in the
appendix; (4) order a stay of any proceedings trial court at the time of judgment, unless after
ancillary to a case on appeal; (5) order that a judgment the matter was withdrawn as to them
party for good cause shown may file a late appeal, or unless a motion for permission not to participate
petition for certification, brief or any other docu- in the appeal has been granted by the court.
ment unless the court lacks jurisdiction to allow ‘‘Certificate of interested entities or individuals’’
the late filing; (6) order that a hearing be held is a certificate filed in any civil appellate matter,
to determine whether it has jurisdiction over a excluding habeas corpus matters, by counsel of
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RULES OF APPELLATE PROCEDURE Sec. 60-5
record for a party that is an entity as defined in ‘‘Record’’ shall include the case file, any deci-
this rule. The certificate shall list for that party: (1) sions, documents, transcripts, recordings and
any parent entities and (2) all entities or individuals exhibits from the proceedings below, and, in
owning or controlling an interest of 10 percent or appeals from administrative agencies, the record
more of that party. If there are no other interested returned to the trial court by the administrative
entities or individuals, a certificate indicating that agency.
information is required. The certificate shall also ‘‘Requests’’ shall include correspondence and
state whether the party knows of any direct or notices as permitted by these rules.
indirect ownership, controlling or legal interest for ‘‘Signature’’ shall be made upon entry of an
that party that counsel of record thinks could rea- attorney’s individual juris number or a self-repre-
sonably require a judge to disqualify himself or sented party’s user identification number during
herself under Rule 2.11 of the Code of Judicial the filing transaction, unless an exemption from
Conduct. the requirements of Section 60-7 (d) has been
‘‘Counsel of record’’ shall include all attorneys granted or applies.
and self-represented parties appearing in the trial ‘‘Submission’’ shall mean a ‘‘paper’’ or a ‘‘docu-
court at the time of the initial appellate filing, ment’’ and shall include an electronic submission
unless an exception pursuant to Section 62-8 that complies with the procedures and standards
applies, all attorneys and self-represented parties established by the chief clerk of the appellate sys-
who filed the appellate matter, and all attorneys tem under the direction of the administrative judge
and self-represented parties who file an appear- of the appellate system.
ance in the appellate matter. (For additional definitions, see Secs. 62-2 and
‘‘Entity’’ means any corporation, limited liability 76-6.)
company, partnership, limited liability partnership, (P.B. 1978-1997, Sec. 4001A.) (Amended June 5, 2013,
to take effect July 1, 2013; amended Sept. 16, 2015, to take
firm or any association that is not a governmental effect Jan. 1, 2016; amended June 15, 2016, to take effect
entity or its agencies. Aug. 1, 2016; amended Oct. 18, 2016, to take effect Jan. 1,
‘‘Filed’’ shall mean the receipt by the appellate 2017; amended July 19, 2022, to take effect Jan. 1, 2023.)
clerk of a paper or document by electronic submis- HISTORY—2023: The definition for ‘‘Certificate of inter-
sion pursuant to Section 60-7. If an exemption to ested entities or individuals’’ was added between the defini-
tions of ‘‘Appellee’’ and ‘‘Counsel of record,’’ and the definition
electronic filing has been granted or if the elec- for ‘‘Entity’’ was added between ‘‘Counsel of record’’ and
tronic filing requirements do not apply, filed shall ‘‘Filed.’’
mean receipt of the paper or document by hand COMMENTARY—August, 2016: Each self-represented
delivery, by first class mail or by express mail party receives a user identification number when that party
delivered by the United States Postal Service or enrolls in E-Services. Entry of this number during the electronic
an equivalent commercial service. If a document filing transaction constitutes the self-represented party’s sig-
nature.
must be filed by a certain date under these rules COMMENTARY—2023: These amendments add defini-
or under any statutory provision, the document tions for ‘‘certificate of interested entities or individuals’’ and
must be received by the appellate clerk by the ‘‘entity’’ in accordance with a new filing intended to provide
close of business on that date; it is not sufficient the Supreme and Appellate Courts with information regarding
that a document be mailed by that date to the individuals or entities that own or have certain controlling or
appellate clerk unless a rule or statutory provision ownership interests in the business entities appearing before
those courts.
expressly so computes the time.
‘‘Issues’’ shall include claims of error, certified
questions and questions reserved. Sec. 60-5. Review by the Court; Plain Error;
‘‘Motion’’ shall include applications and peti- Preservation of Claims
tions, other than petitions for certification. A preap- The court may reverse or modify the decision
peal motion is one that is filed prior to or of the trial court if it determines that the factual
independent of an appeal. findings are clearly erroneous in view of the evi-
‘‘Paper’’ and ‘‘Document’’ shall include an elec- dence and pleadings in the whole record, or that
tronic submission that complies with the proce- the decision is otherwise erroneous in law.
dures and standards established by the chief clerk The court shall not be bound to consider a claim
of the appellate system under the direction of the unless it was distinctly raised at the trial or arose
administrative judge of the appellate system and subsequent to the trial. The court may in the inter-
a paper or document created in or converted to ests of justice notice plain error not brought to the
a digital format by the Judicial Branch. attention of the trial court.
‘‘Petition’’ does not include petitions for certifi- In jury trials, where there is a motion, argument,
cation unless the context clearly requires. or offer of proof or evidence in the absence of
439
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Sec. 60-5 RULES OF APPELLATE PROCEDURE
the jury, whether during trial or before, pertaining (c) All self-represented parties must have an
to an issue that later arises in the presence of account with E-Services unless exempt from elec-
the jury, and counsel has fully complied with the tronic filing pursuant to Section 60-8. All nonex-
requirements for preserving any objection or empt self-represented parties in family matters,
exception to the judge’s adverse ruling thereon child protection matters, matters involving pro-
in the absence of the jury, the matter shall be tected information and in all other matters in which
deemed to be distinctly raised at the trial for pur- the self-represented party’s user identification
poses of this rule without a further objection or number has not already been provided must sub-
exception provided that the grounds for such mit an appellate electronic access form (JD-AC-
objection or exception, and the ruling thereon as 015). This form must be filed within ten days of
previously articulated, remain the same. the filing of the appeal. Failure to comply with this
rule may result in the dismissal of the appeal or
If the court deems it necessary to the proper
the imposition of sanctions pursuant to Section
disposition of the cause, it may order a further 85-1.
articulation of the basis of the trial court’s factual (d) The requirements of this section do not apply
findings or decision. to documents filed by incarcerated self-repre-
It is the responsibility of the appellant to provide sented parties, the clerk of the trial court, the offi-
an adequate record for review as provided in Sec- cial court reporter, or the clerk of the court for any
tion 61-10. other state, federal or tribal court. This section
(P.B. 1978-1997, Sec. 4061.) (Amended July 8, 2015, to also does not apply to any state board or commis-
take effect Jan. 1, 2016.) sion filing documents with the appellate clerk pur-
suant to Section 68-1, 74-2A, 74-3A, 75-4, 76-3
Sec. 60-6. Appellate Jurists Sitting as Supe-
or 76-5.
rior Court Judges (Adopted Sept. 16, 2015, to take effect Jan. 1, 2016;
Without the permission of the chief justice, the amended June 15, 2016, to take effect Aug. 1, 2016; amended
justices of the Supreme Court and the judges of Oct. 18, 2017, to take effect Jan. 1, 2018; amended Oct. 24,
2018, to take effect Jan. 1, 2019.)
the Appellate Court will not, as judges of the Supe- COMMENTARY—August, 2016: The electronic filing
rior Court, in vacation, or when the Superior Court requirements do not apply to incarcerated self-represented
is not in session, pass orders which may be the parties at this time. All other self-represented parties and
subject of an appeal, unless it appears that there attorneys are required to file all papers electronically unless
is a necessity for prompt action, and that no other an exemption from electronic filing requirements has been
granted.
judges having jurisdiction over the matter can con-
veniently act. Sec. 60-8. Exemption from or Inapplicability
(P.B. 1978-1997, Sec. 4186.) of Electronic Filing; Payment of Fees
(Amended June 15, 2016, to take effect Aug. 1, 2016.)
Sec. 60-7. Electronic Filing; Payment of Parties seeking an exemption from the elec-
Fees tronic filing requirements shall follow the proce-
(a) Counsel of record must file all appellate dures established by the office of the chief clerk
papers electronically unless the court grants a of the appellate system and set forth in the Appel-
request for exemption. Papers may be filed, late E-filing Procedures and Technical Standards.
signed, or verified by electronic means that com- When an exemption from electronic filing has
ply with procedures and standards established by been granted or if electronic filing requirements
the chief clerk of the appellate system under the do not apply pursuant to Section 60-7 (d), papers
direction of the administrative judge of the appel- shall be filed with the appellate clerk and must be
late system. A paper filed by electronic means in accompanied by (1) a receipt showing that all
compliance with such procedures and standards required fees have been paid; or (2) a signed
application for waiver of fees and the order of the
constitutes a written paper for the purpose of trial court granting the fee waiver; or (3) certifica-
applying these rules. tion that no fee is required.
(b) At the time of filing, the appellant must (1) With the exception of any fees related to
pay all required fees; or (2) upload a signed appli- appeals in child protection matters and appeals
cation for waiver of fees and the order of the trial from interlocutory orders as permitted by law, all
court granting the fee waiver; or (3) certify that no appellate filing fees under this section may be
fees are required. Any document that requires paid to the clerk of any trial court in the state. In
payment of a fee as a condition of filing may be child protection matters and appeals from interloc-
returned or rejected for noncompliance with the utory orders as permitted by law, all fees under
Rules of Appellate Procedure. this section must be paid to the clerk of the original
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RULES OF APPELLATE PROCEDURE Sec. 60-9
trial court or the clerk of the court to which the COMMENTARY—August, 2016: It is not necessary to pro-
case was transferred. vide a certification that no filing fee is required unless the filing
(Adopted Sept. 16, 2015, to take effect Jan. 1, 2016; requires payment of a fee. For example, a party does not
amended June 15, 2016, to take effect Aug. 1, 2016.) have to certify that no fee is required when filing a motion for
extension of time or a motion to dismiss since there is no
COMMENTARY—January, 2016: Appellate filing fees must
requirement to pay a fee for those filings. A party who files a
be paid to the trial court clerk if electronic filing requirements
petition for certification to the Supreme Court in a workers
do not apply or if an e-filing exemption has been granted.
compensation matter, however, would be required to certify
When fees are paid to the trial court clerk, the filer will receive
that no fee is required since a petition for certification requires
a receipt from the clerk indicating the name of the document, a filing fee.
the trial court docket number and the amount paid. It is not
necessary for the filer to present an appeal form to the trial Sec. 60-9. Security for Costs
court clerk for signature. The filer must then file the paper Security for costs is not required to file an
appeal form or appellate document and the receipt of payment,
if required, with the appellate clerk. An appeal is not filed upon
appeal, but security for costs may at any time, on
payment of the filing fee; instead, an appeal is filed when the motion and notice to the parties, be ordered by
appeal form has been timely filed with the office of the appellate the court. Such security shall be filed with the
clerk accompanied by receipt of payment or proof of waiver trial court.
of fees. (Adopted Sept. 16, 2015, to take effect Jan. 1, 2016.)
441
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Sec. 61-1 RULES OF APPELLATE PROCEDURE
CHAPTER 61
REMEDY BY APPEAL
Sec. Sec.
61-1. Right of Appeal 61-7. Joint and Consolidated Appeals
61-2. Appeal of Judgment on Entire Complaint, Counter- 61-8. Cross Appeals
claim or Cross Complaint 61-9. Decisions Subsequent to Filing of Appeal; Amended
61-3. Appeal of Judgment on Part of Complaint, Counter- Appeals
claim or Cross Complaint that Disposes of All 61-10. Responsibility of Appellant To Provide Adequate
Claims in that Pleading Brought by or against Record for Review
One or More Parties 61-11. Stay of Execution in Noncriminal Cases
61-4. Appeal of Judgment that Disposes of at Least One 61-12. Discretionary Stays
Cause of Action while Not Disposing of Either 61-13. Stay of Execution in Criminal Case
(1) An Entire Complaint, Counterclaim or Cross 61-14. Review of Order concerning Stay; When Stay May
Complaint, or (2) All the Causes of Action in a Be Requested from Court Having Appellate Juris-
Pleading Brought by or against a Party diction
61-5. Deferring Appeal until Judgment Rendered that 61-15. Stay of Execution in Death Penalty Case
Disposes of Case for All Purposes and as to 61-16. Notice of Bankruptcy Filing, Order of Bankruptcy
All Parties Court Granting Relief from Automatic Stay and
61-6. Appeal of Judgment or Ruling in Criminal Case Disposition of Bankruptcy Case
For previous Histories and Commentaries see the editions of the Practice Book
corresponding to the years of the previous amendments.
Sec. 61-1. Right of Appeal the right to appeal such a judgment at the conclu-
An aggrieved party may appeal from a final sion of the case.
(P.B. 1978-1997, Sec. 4002A.)
judgment, except as otherwise provided by law.
(P.B. 1978-1997, Sec. 4000.) Sec. 61-3. Appeal of Judgment on Part of
Complaint, Counterclaim or Cross Com-
Sec. 61-2. Appeal of Judgment on Entire plaint that Disposes of All Claims in that
Complaint, Counterclaim or Cross Com- Pleading Brought by or against One or
plaint More Parties
When judgment has been rendered on an A judgment disposing of only a part of a com-
entire complaint, counterclaim or cross complaint, plaint, counterclaim or cross complaint is a final
whether by judgment on the granting of a motion judgment if that judgment disposes of all causes
to strike pursuant to Section 10-44, by dismissal of action in that complaint, counterclaim or cross
pursuant to Section 10-30, by summary judgment complaint brought by or against a particular party
pursuant to Section 17-44, or otherwise, such or parties.
judgment shall constitute a final judgment. Such a judgment shall be a final judgment
If at the time a judgment referred to in this sec- regardless of whether judgment was rendered on
tion is rendered, an undisposed complaint, coun- the granting of a motion to strike pursuant to Sec-
tion 10-44, by dismissal pursuant to Section 10-
terclaim or cross complaint remains in the case,
30, by summary judgment pursuant to Section 17-
appeal from such a judgment may be deferred
44 or otherwise. The appeal from such judgment
(unless the appellee objects as set forth in Section may be deferred (unless an objection is filed pur-
61-5) until the entire case is concluded by the suant to Section 61-5) until the final judgment that
rendering of judgment on the last such outstand- disposes of the case for all purposes and as to
ing complaint, counterclaim or cross complaint. all parties is rendered. If the appeal from such a
If the judgment disposing of the complaint, judgment is to be deferred, a notice of intent to
counterclaim or cross complaint resolves all appeal must be filed in accordance with the provi-
causes of action brought by or against a party sions of Section 61-5.
who is not a party in any remaining complaint, A party entitled to appeal under this section
counterclaim or cross complaint, a notice of intent may appeal regardless of which party moved for
to appeal in accordance with the provisions of the judgment to be made final.
Section 61-5 must be filed in order to preserve (P.B. 1978-1997, Sec. 4002B.)
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RULES OF APPELLATE PROCEDURE Sec. 61-5
such a determination within the statutory appeal
Sec. 61-4. Appeal of Judgment that Dis- period, or, if there is no applicable statutory appeal
poses of at Least One Cause of Action while period, within twenty days after notice of the par-
Not Disposing of Either (1) An Entire Com- tial judgment has been sent to counsel. Papers
plaint, Counterclaim or Cross Complaint, or opposing the motion may be filed within ten days
(2) All the Causes of Action in a Pleading after the filing of the motion.
Brought by or against a Party Within twenty days after notice of such a deter-
(Amended July 23, 1998, to take effect Jan. 1, 1999.) mination in favor of appealability has been sent
(a) Judgment not final unless trial court to counsel, any party intending to appeal shall file
makes written determination and chief justice a motion for permission to file an appeal with the
or chief judge concurs clerk of the court having appellate jurisdiction. The
This section applies to a trial court judgment motion shall state the reasons why an appeal
that disposes of at least one cause of action where should be permitted. Papers opposing the motion
the judgment does not dispose of either of the may be filed within ten days after the filing of the
following: (1) an entire complaint, counterclaim or motion. The motion and any opposition papers
cross complaint, or (2) all the causes of action shall be referred to the chief justice or chief judge
in a complaint, counterclaim or cross complaint to rule on the motion. If the chief justice or chief
brought by or against a party. If the order sought judge is unavailable or disqualified, the most sen-
to be appealed does not meet these exact criteria, ior justice or judge who is available and is not
the trial court is without authority to make the disqualified shall rule on the motion.
determination necessary to the order’s being The appellate clerk shall send notice to the par-
immediately appealed. ties of the decision of the chief justice or chief
This section does not apply to a judgment that judge on the motion for permission to file an
disposes of an entire complaint, counterclaim or appeal. For purposes of counting the time within
cross complaint (see Section 61-2); and it does which the appeal must be filed, the date of the
not apply to a trial court judgment that partially issuance of notice of the decision on this motion
disposes of a complaint, counterclaim or cross shall be considered the date of issuance of notice
complaint, if the order disposes of all the causes of the rendition of the judgment or decision from
of action in that pleading brought by or against which the appeal is filed.
one or more parties (see Section 61-3). (P.B. 1978-1997, Sec. 4002C.) (Amended July 23, 1998,
When the trial court renders a judgment to to take effect Jan. 1, 1999; amended Sept. 16, 2015, to take
effect Jan. 1, 2016.)
which this section applies, such judgment shall not
ordinarily constitute an appealable final judgment. Sec. 61-5. Deferring Appeal until Judgment
Such a judgment shall be considered an appeal- Rendered that Disposes of Case for All Pur-
able final judgment only if the trial court makes a poses and as to All Parties
written determination that the issues resolved by (a) When notice of intent to appeal required;
the judgment are of such significance to the deter- procedure for filing
mination of the outcome of the case that the delay An appeal of a judgment described in Section
incident to the appeal would be justified, and the 61-2 or 61-3 may be deferred until the judgment
chief justice or chief judge of the court having that disposes of the case for all purposes and
appellate jurisdiction concurs. as to all parties is rendered. In the following two
If the procedure outlined in this section is fol- instances only, a notice of intent to appeal must
lowed, such judgment shall be an appealable final be filed in order to defer the taking of an appeal
judgment, regardless of whether judgment was until the final judgment that disposes of the case
rendered on the granting of a motion to strike for all purposes and as to all parties is rendered:
pursuant to Section 10-44, by dismissal pursuant (1) when the deferred appeal is to be filed from
to Section 10-30, by summary judgment pursuant a judgment that not only disposes of an entire
to Section 17-44 or otherwise. complaint, counterclaim or cross complaint but
A party entitled to appeal under this section also disposes of all the causes of action brought
may appeal regardless of which party moved for by or against a party or parties so that that party or
the judgment to be made final. parties are not parties to any remaining complaint,
(b) Procedure for obtaining written determi- counterclaim or cross complaint; or
nation and chief justice’s or chief judge’s con- (2) when the deferred appeal is to be filed from a
currence; when to file appeal judgment that disposes of only part of a complaint,
If the trial court renders a judgment described counterclaim or cross complaint but nevertheless
in this section without making a written determina- disposes of all causes of action in that pleading
tion, any party may file a motion in the trial court for brought by or against a particular party or parties.
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Sec. 61-5 RULES OF APPELLATE PROCEDURE
In the event that the party aggrieved by a judg- The defendant may appeal from a conviction
ment described in (1) or (2) above elects to defer for an offense when the conviction has become
the taking of the appeal until the disposition of the a final judgment. The conviction becomes a final
entire case, the aggrieved party must, within the judgment after imposition of sentence. In cases
appeal period provided by statute, or, if there is no where a final judgment has been rendered on
applicable statutory appeal period, within twenty fewer than all counts in the information or com-
days after issuance of notice of the judgment plaint, the defendant may appeal from that judg-
described in (1) or (2) above, file in the trial court ment at the time it is rendered.
a notice of intent to appeal the judgment, accom- (2) Appeal of ruling following judgment ren-
panied by a certification that a copy thereof has dered upon conditional plea of nolo con-
been delivered to each counsel of record in
tendere
accordance with the provisions of Section 62-7.
When a notice of intent to appeal has been filed (A) On motion to dismiss or suppress
in accordance with this subsection, an objection When a defendant, prior to the commencement
to the deferral of the appeal may be made by (1) of trial, enters a plea of nolo contendere condi-
any party who, after the rendering of judgment on tional on the right to file an appeal from the court’s
an entire complaint counterclaim or cross com- denial of the defendant’s motion to suppress or
plaint, is no longer a party to any remaining com- motion to dismiss, the defendant, after the imposi-
plaint, counterclaim or cross complaint, or (2) any tion of sentence, may file an appeal within the time
party who, by virtue of a judgment on a portion prescribed by law. The issue to be considered in
of any complaint, counterclaim or cross complaint, such appeal shall be limited to whether it was
is no longer a party to that complaint, counterclaim proper for the court to have denied the motion to
or cross complaint. Objection shall be filed in the suppress or the motion to dismiss. A plea of nolo
trial court, within twenty days of the filing of the contendere by a defendant under this subsection
notice of intent to appeal, accompanied by a certi- shall not constitute a waiver by the defendant of
fication that a copy thereof has been delivered to nonjurisdictional defects in the criminal prosecu-
each counsel of record in accordance with the tion. The court shall not accept a nolo contendere
provisions of Section 62-7. plea pursuant to this subsection where the denial
When such a party has filed a notice of objection of the motion to suppress or motion to dismiss
to the deferral of the appeal, the appeal shall not would not be dispositive of the case in the trial
be deferred, and the appellant shall file the appeal
court. The court shall also decline to accept such
within twenty days of the filing of such notice of
objection. a nolo contendere plea where the record available
(b) Effect of failure to file notice of intent to for review of the denial of the motion to suppress
appeal when required; effect of filing notice of or motion to dismiss is inadequate for appellate
intent to appeal when not required review of the court’s determination thereof.
If an aggrieved party, without having filed a (B) On any motion made prior to close of
timely notice of intent to appeal, files an appeal evidence
claiming that a judgment described in (1) or (2) With the approval of the court, after a hearing
of subsection (a) of this section was rendered to consider any objections thereto, a defendant
improperly, the issues relating to such earlier judg- may enter a conditional plea of guilty or nolo con-
ment will be subject to dismissal as untimely. tendere, reserving in writing the right, on appeal
The use of the notice of intent to appeal is abol- from the judgment, to review of the adverse deter-
ished in all instances except as provided in sub- mination of any motion made prior to the close of
section (a) of this section, which sets forth the two evidence, which motion must be specified in such
instances in which a notice of intent must be filed. written reservation. If the defendant prevails on
Except as provided in subsection (a), the filing appeal, the judgment shall be set aside and the
of a notice of intent to appeal will preserve no defendant shall be allowed to withdraw the condi-
appeal rights. tional plea of guilty or nolo contendere after the
(P.B. 1978-1997, Sec. 4002D.) (Amended Sept. 16, 2015,
to take effect Jan. 1, 2016.) case has been remanded to the trial court. A plea
of guilty or nolo contendere under this subsection
Sec. 61-6. Appeal of Judgment or Ruling in shall not constitute a waiver of nonjurisdictional
Criminal Case defects in the criminal prosecution. The court shall
(Amended July 26, 2000, to take effect Jan. 1, 2001.) not accept a plea of guilty or nolo contendere
(a) Appeal by defendant pursuant to this subsection where the adverse
(1) Appeal from final judgment determination of the specified motion would not
444
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RULES OF APPELLATE PROCEDURE Sec. 61-9
be dispositive of the case in the trial court. The (4) There shall be no refund of fees if appeals
court shall also decline to accept such a nolo are consolidated.
contendere or guilty plea where the record avail- (c) Whenever appeals are jointly filed or are
able for review of the ruling upon the specified consolidated, all appellants shall file a single, con-
motion is inadequate for appellate review of the solidated brief and party appendix, if any, and a
court’s determination thereof. single, consolidated reply brief, if any. All appel-
(b) Appeal by state lees shall file a single, consolidated brief or, if
The state, with the permission of the presiding applicable, a single, consolidated brief and party
judge of the trial court and as provided by law, appendix. If the parties cannot agree upon the
may appeal from a final judgment. In cases where contents of the brief, reply brief or party appendix,
an appealable judgment has been rendered on or if the issues to be briefed are not common to
fewer than all counts of the information or com- the joint parties, any party may file a motion for
plaint, the state may appeal from the judgment at permission to file a separate brief, reply brief or
the time it is rendered. party appendix.
(c) Appeal from a ruling (P.B. 1978-1997, Sec. 4004.) (Amended June 5, 2013, to
To the extent provided by law, the defendant take effect July 1, 2013; amended Sept. 16, 2015, to take
or the state may appeal from a ruling that is not effect Jan. 1, 2016; amended April 17, 2019, to take effect
a final judgment or from an interlocutory ruling Jan. 1, 2020; amended June 15, 2021, to take effect Jan.
deemed to be a final judgment. 1, 2022.)
(P.B. 1978-1997, Sec. 4003.) (Amended July 26, 2000, to
take effect Jan. 1, 2001; amended June 17, 2008, to take Sec. 61-8. Cross Appeals
effect Jan. 1, 2009; amended Sept. 16, 2015, to take effect
Jan. 1, 2016.) Any appellee or appellees aggrieved by the
judgment or decision from which the appellant
Sec. 61-7. Joint and Consolidated Appeals has appealed may jointly or severally file a cross
(a) (1) Two or more plaintiffs or defendants in appeal within ten days from the filing of the appeal.
the same case may appeal jointly or severally. Except where otherwise provided, the filing and
Separate cases heard together and involving at form of cross appeals, extensions of time for filing
least one common party may as of right be them, and all subsequent proceedings shall be
appealed jointly, provided all the trial court docket the same as though the cross appeal were an
numbers are shown on the appeal form (JD- original appeal. No entry fee is required.
SC-033). (P.B. 1978-1997, Sec. 4005.) (Amended Sept. 16, 2015,
(2) Prior to the filing of an appeal, the trial court, to take effect Jan. 1, 2016.)
on motion of any party or on its own motion, may (Commentary applicable to appeals filed on or after July
order that a joint appeal be filed in any situation 1, 2013.)
not covered by the preceding paragraph. COMMENTARY—July, 2013: With respect to cross
appeals, the cross appellant shall have all the obligations of
(3) In the case of a joint appeal, only one entry the appellant with respect to the preparation and filing of the
fee is required. The appellant filing the appeal party appendix, if any.
shall pay the entry fee. When additional appellants
are represented by other counsel or are self-rep- Sec. 61-9. Decisions Subsequent to Filing of
resented, a single joint appeal consent form (JD- Appeal; Amended Appeals
SC-035) signed by all joint appellants shall be
Should the trial court, subsequent to the filing
filed on the same business day the appeal is filed.
of a pending appeal, make a decision that the
(b) (1) The Supreme Court, on motion of any
appellant desires to have reviewed, the appellant
party or on its own motion, may order that appeals
pending in the Supreme Court be consolidated. shall file an amended appeal within twenty days
(2) When an appeal pending in the Supreme from the issuance of notice of the decision as
Court involves the same cause of action, transac- provided for in Section 63-1.
tion or occurrence as an appeal pending in the The amended appeal shall be filed in the pend-
Appellate Court, the Supreme Court may, on ing appeal using form JD-SC-033, along with a
motion of any party or on its own motion, order certification pursuant to Section 62-7. No addi-
that the appeals be consolidated in the Supreme tional fee is required to be paid upon the filing of
Court. The court may order consolidation at any an amended appeal.
time before the assignment of the appeals for Within ten days of filing the amended appeal,
hearing. the appellant shall file with the appellate clerk
(3) The Appellate Court, on motion of any party either a certificate stating that there are no
or on its own motion, may order that appeals changes to the Section 63-4 papers filed with the
pending in the Appellate Court be consolidated. original appeal or any amendments to those
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Sec. 61-9 RULES OF APPELLATE PROCEDURE
papers. Any other party may file responsive Sec- may include, but is not limited to, supplemental
tion 63-4 papers within twenty days of the filing briefs, oral argument and provision of copies of
of the certificate or the amendments. transcripts and exhibits.
If the original appeal is dismissed for lack of (P.B. 1978-1997, Sec. 4007.) (Amended Oct. 18, 2012, to
jurisdiction, any amended appeal shall remain take effect Jan. 1, 2013; amended June 5, 2013, to take effect
July 1, 2013; amended July 8, 2015, to take effect Jan. 1,
pending if it was filed from a judgment or order 2016.)
from which an original appeal properly could have COMMENTARY—January, 2013: Subsection (b) was
been filed. adopted to effect a change in appellate procedure by limiting
After disposition of an appeal where no the use of the forfeiture sanction imposed when an appellant
amended appeals related to that appeal are pend- fails to seek an articulation from the trial court pursuant to
ing, a subsequent appeal shall be filed as a Section 66-5 with regard to an issue on appeal, and the court
therefore declines to review the issue for lack of an adequate
new appeal. record for review. In lieu of refusing to review the issue, when
If an amended appeal is filed after the filing of the court determines that articulation is appropriate, the court
the appellant’s brief but before the filing of the may now order an articulation and then address the merits
appellee’s brief, the appellant may move for leave of the issue after articulation is provided. The adoption of
to file a supplemental brief. If an amended appeal subsection (b) is not intended to preclude the court from declin-
is filed after the filing of the appellee’s brief, either ing to review an issue where the record is inadequate for
party may move for such leave. In any event, reasons other than solely the failure to seek an articulation,
such as, for example, the failure to procure the trial court’s
the court may order that an amended appeal be decision pursuant to Section 64-1 (b) or the failure to provide
briefed or heard separately from the original a transcript, exhibits or other documents necessary for appel-
appeal. late review.
If the appellant files a subsequent appeal from
a trial court decision in a case where there is a Sec. 61-11. Stay of Execution in Noncrimi-
pending appeal, the subsequent appeal may be nal Cases
treated as an amended appeal, and, if it is treated (Amended July 21, 1999, to take effect Jan. 1, 2000.)
as an amended appeal, there will be no refund of (a) Automatic stay of execution
the fees paid. Except where otherwise provided by statute or
(P.B. 1978-1997, Sec. 4006.) (Amended July 30, 2009, to other law, proceedings to enforce or carry out the
take effect Jan. 1, 2010; amended July 11, 2012, to take effect judgment or order shall be automatically stayed
Jan. 1, 2013; amended June 5, 2013, to take effect July 1, until the time to file an appeal has expired. If an
2013; amended April 30, 2014, to take effect Aug. 1, 2014;
amended Sept. 16, 2015, to take effect Jan. 1, 2016; amended
appeal is filed, such proceedings shall be stayed
July 23, 2020, to take effect Jan. 1, 2021; amended July 19, until the final determination of the cause. If the
2022, to take effect Jan. 1, 2023.) case goes to judgment on appeal, any stay there-
HISTORY—2023: In the second paragraph, ‘‘in the same after shall be in accordance with Section 71-6
manner as an original appeal pursuant to Section 63-3’’ was (motions for reconsideration), Section 84-3 (peti-
deleted and replaced with ‘‘in the pending appeal using form tions for certification by the Connecticut Supreme
JD-SC-033, along with a certification pursuant to Section
62-7.’’
Court), and Section 71-7 (petitions for certiorari
COMMENTARY—2023: The purpose of this amendment by the United States Supreme Court).
is to more closely conform the text of the rule to e-filing practice. (b) Matters in which no automatic stay is
available under this rule
Sec. 61-10. Responsibility of Appellant To Under this section, there shall be no automatic
Provide Adequate Record for Review stay in actions concerning attorneys pursuant to
(a) It is the responsibility of the appellant to Chapter 2 of these rules, in juvenile matters
provide an adequate record for review. The appel- brought pursuant to Chapters 26 through 35a, or
lant shall determine whether the entire record is in any administrative appeal except as otherwise
complete, correct and otherwise perfected for pre- provided in this subsection.
sentation on appeal. Unless a court shall otherwise order, any stay
(b) The failure of any party on appeal to seek that was in effect during the pendency of any
articulation pursuant to Section 66-5 shall not be administrative appeal in the trial court shall con-
the sole ground upon which the court declines to tinue until the filing of an appeal or the expiration
review any issue or claim on appeal. If the court of the appeal period, or any new appeal period,
determines that articulation of the trial court deci- as provided in Section 63-1. If an appeal is filed,
sion is appropriate, it may, pursuant to Section any further stay shall be sought pursuant to Sec-
60-5, order articulation by the trial court within a tion 61-12.
specified time period. The trial court may, in its For purposes of this rule, ‘‘administrative
discretion, require assistance from the parties in appeal’’ means an appeal filed from a final judg-
order to provide the articulation. Such assistance ment of the trial court or the Compensation
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RULES OF APPELLATE PROCEDURE Sec. 61-11
Review Board rendered in an appeal from a deci- provided in this subsection or sua sponte, after
sion of any officer, board, commission, or agency considering the factors set forth in this subsection
of the state or of any political subdivision thereof. or if the judge is of the opinion that an extension
In addition to appeals filed pursuant to the Uni- of time to appeal is sought or the appeal is filed
form Administrative Procedure Act, ‘‘administra- only for delay. Whether acting on a motion of a
tive appeal’’ includes, among other matters, zon- party or sua sponte, the judge shall hold a hearing
ing appeals, teacher tenure appeals, tax appeals prior to terminating the stay.
and unemployment compensation appeals. (d) Termination of stay
(c) Stays in family matters and cases involv- In all cases not governed by subsection (c),
ing orders of civil protection, and appeals from termination of a stay may be sought in accordance
decisions of the Superior Court in family sup- with subsection (e) of this rule. If the judge who
port magistrate matters tried the case is of the opinion that (1) an exten-
Unless otherwise ordered, no automatic stay sion to appeal is sought, or the appeal is filed,
shall apply to orders of relief from physical abuse only for delay or (2) the due administration of
pursuant to General Statutes § 46b-15, to orders
justice so requires, the judge may at any time,
of civil protection pursuant to General Statutes
§ 46b-16a, to orders for exclusive possession of upon motion or sua sponte, order that the stay be
a residence pursuant to General Statutes § 46b- terminated. Whether acting on a motion of a party
81 or § 46b-83 or to orders of periodic alimony, or sua sponte, the judge shall hold a hearing prior
support, custody or visitation in family matters to terminating the stay.
brought pursuant to Chapter 25, or to any decision (e) Motions to terminate stay
of the Superior Court in an appeal of a final deter- A motion to terminate a stay of execution filed
mination of a support order by a family support before judgment is entered shall be filed with the
magistrate brought pursuant to Chapter 25a, or trial court, and the judge who tried or presided
to any later modification of such orders. The auto- over the matter may rule upon the motion when
matic orders set forth in Section 25-5 (b) (1), (2), judgment is entered. If such a motion is filed after
(3), (5) and (7) shall remain in effect during any judgment but before an appeal is filed, the motion
appeal period and, if an appeal is filed, until the shall be filed with the clerk of the trial court and
final determination of the cause unless termina- may be ruled upon by the trial judge thereafter.
ted, modified or amended further by order of a After an appeal is filed, such a motion shall be filed
judicial authority upon motion of either party. with the appellate clerk and shall be forwarded by
Any party may file a motion to terminate or the appellate clerk to the trial judge for a decision.
impose a stay in matters covered by this subsec- If the judge who tried or presided over the case
tion, either before or after judgment is rendered, is unavailable, the motion shall be forwarded to
based upon the existence or expectation of an the clerk of the trial court in which the case was
appeal. Such a motion shall be filed in accordance tried, who shall assign the motion for a hearing
with the procedures in subsection (e) of this rule and decision to any judge of the Superior Court.
or Section 61-12. The judge hearing such motion Upon hearing and consideration of the motion,
may terminate or impose a stay of any order, the trial court shall file with the clerk of the trial
pending appeal, as appropriate, after considering court its written or oral memorandum of decision
(1) the needs and interests of the parties, their that shall include the factual and legal basis there-
children and any other persons affected by such
for. If oral, the decision shall be transcribed by an
order; (2) the potential prejudice that may be
official court reporter or court recording monitor
caused to the parties, their children and any other
persons affected, if a stay is entered, not entered and signed by the trial court. If an appeal has not
or is terminated; (3) if the appeal is from a judg- been filed, the clerk shall enter the decision on
ment of dissolution, the need to preserve, pending the trial court docket and shall send notice of the
appeal, the mosaic of orders established in the decision to counsel of record. If an appeal has
judgment; (4) the need to preserve the rights of been filed, the clerk of the trial court shall enter
the party taking the appeal to obtain effective relief the decision on the trial court docket and send
if the appeal is successful; (5) the effect, if any, notice of the decision to the appellate clerk, and
of the automatic orders under Section 25-5 on the appellate clerk shall issue notice of the deci-
any of the foregoing considerations; and (6) any sion to all counsel of record.
other factors affecting the equities of the parties. (f) Motions to request stay
The judge who entered the order in a family Requests for a stay pending appeal where there
matter from which an appeal lies may terminate is no automatic stay shall be governed by Section
any stay in that matter upon motion of a party as 61-12.
447
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Sec. 61-11 RULES OF APPELLATE PROCEDURE
(For stays of execution in criminal cases, see TECHNICAL CHANGE: In subsections (b) and (c), ‘‘Chap-
Section 61-13; for stays in death penalty cases, ter’’ and ‘‘Chapters’’ were capitalized for consistency
purposes.
see Section 61-15.)
(g) Strict foreclosure—motion rendering Sec. 61-12. Discretionary Stays
ineffective a judgment of strict foreclosure (Amended July 21, 1999, to take effect Jan. 1, 2000.)
In any action for foreclosure in which the owner In noncriminal matters in which the automatic
of the equity has filed, and the court has denied, stay provisions of Section 61-11 are not applic-
at least two prior motions to open or other similar able and in which there are no statutory stay provi-
motion, no automatic stay shall arise upon the sions, any motion for a stay of the judgment or
court’s denial of any subsequent contested motion order of the Superior Court pending appeal shall
by that party, unless the party certifies under oath, be filed in the trial court. If the judge who tried the
in an affidavit accompanying the motion, that the case is unavailable, the motion may be decided
motion was filed for good cause arising after the by any judge of the Superior Court. Such a motion
court’s ruling on the party’s most recent motion. may also be filed before judgment and may be ruled
Such affidavit shall recite the specific facts relied upon at the time judgment is rendered unless the
on in support of the moving party’s claim of good court concludes that a further hearing or consi-
cause. If, notwithstanding the submission of such deration of such motion is necessary. A temporary
an affidavit of good cause, the plaintiff contends stay may be ordered sua sponte or on written or
that there is no good cause to stay the court’s oral motion, ex parte or otherwise, pending the
judgment of strict foreclosure pending resolution filing or consideration of a motion for stay pending
of the appeal, the plaintiff may seek termination appeal. The motion shall be considered on an
of the automatic stay by filing a motion requesting expedited basis and the granting of a stay of an
such relief accompanied by an affidavit stating the order for the payment of money may be conditional
basis for the plaintiff’s claim. In the event such a on the posting of suitable security.
motion to terminate stay is filed, it shall be set In the absence of a motion filed under this sec-
down for argument and the taking of evidence, tion, the trial court may order, sua sponte, that
if necessary, on the second short calendar next proceedings to enforce or carry out the judgment
following the filing of the motion. There shall be or order be stayed until the time to file an appeal
no automatic appellate stay in the event that the has expired or, if an appeal has been filed, until
court grants the motion to terminate the stay and, the final determination of the cause. A party may
if necessary, sets new law dates. There shall be file a motion to terminate such a stay pursuant to
no automatic stay pending a motion for review of Section 61-11.
an order terminating a stay under this subsection. In determining whether to impose a stay in a
(h) Foreclosure by sale—motion rendering family matter, the court shall consider the factors
ineffective a judgment of foreclosure by sale set forth in Section 61-11 (c).
(P.B. 1978-1997, Sec. 4047.) (Amended July 21, 1999, to
In any action for foreclosure in which the owner take effect Jan. 1, 2000; amended July 26, 2012, to take effect
of the equity has filed a motion to open or other Jan. 1, 2013; amended Sept. 16, 2015, to take effect Jan.
similar motion, which motion was denied fewer 1, 2016.)
than twenty days prior to the scheduled auction
date, the auction shall proceed as scheduled not- Sec. 61-13. Stay of Execution in Criminal
withstanding the court’s denial of the motion, but Case
no motion for approval of the sale shall be filed (Amended July 21, 1999, to take effect Jan. 1, 2000.)
until the expiration of the appeal period following Except as otherwise provided in this rule, a
the denial of the motion without an appeal having judgment in a criminal case shall be stayed from
been filed. The trial court shall not vacate the auto- the time of the judgment until the time to file an
matic stay following its denial of the motion during appeal has expired, and then, if an appeal is filed,
such appeal period. until ten days after its final determination. The stay
(P.B. 1978-1997, Sec. 4046.) (Amended July 23, 1998, to provisions apply to an appeal from a judgment,
take effect Jan. 1, 1999; amended July 21, 1999, to take effect to an appeal from a judgment on a petition for
Jan. 1, 2000; amended July 26, 2000, to take effect Jan. 1, a new trial and to a writ of error, where those mat-
2001; amended Oct. 10, 2001, to take effect Jan. 1, 2002; ters arise from a criminal conviction or sentence.
amended May 12, 2004, to take effect Jan. 1, 2005; amended Unless otherwise provided in this rule, all stays
July 26, 2012, to take effect Jan. 1, 2013; amended July 11,
2013, to take effect Oct. 1, 2013; amended Sept. 16, 2015,
are subject to termination under subsection (d).
to take effect Jan. 1, 2016; amended March 15, 2017, to take (a) Appeal by defendant arising from a
effect June 15, 2017; amended July 23, 2019, to take effect sentence
Jan. 1, 2020.) (1) Sentence of imprisonment
448
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RULES OF APPELLATE PROCEDURE Sec. 61-14
A sentence of imprisonment shall be stayed A motion for stay or a motion to terminate a
automatically by an appeal, provided the defend- stay filed before an appeal is filed shall be filed
ant is released on bail. with the trial court. After an appeal is filed, such
(2) Sentence of probation or conditional dis- motions shall be filed with the appellate clerk and
charge shall be forwarded by the appellate clerk to the
Upon motion by the defendant to the trial court, trial judge for a decision. If the judge who tried or
a sentence of probation or conditional discharge presided over the case is unavailable, the motion
may be stayed if an appeal is filed. If the sentence shall be forwarded to the clerk of the court in which
is stayed, the court shall fix the terms of the stay. the case was tried and shall be assigned for
If the sentence on appeal is not stayed, the court a hearing and decision to any judge of the Supe-
shall specify when the term of probation shall com- rior Court. Upon hearing and consideration of the
mence. If the sentence is not stayed and a condi- motion, the trial court shall file with the clerk of
tion of the sentence is restitution or other payment the trial court a written or oral memorandum of
of money, the court shall order that such payments decision that shall include the factual and legal
be made to the clerk of the trial court to be held basis therefor. If oral, the decision shall be tran-
by said clerk until ten days after final determination scribed by an official court reporter or court record-
of the appeal. ing monitor and signed by the trial court. The trial
(3) Sentence of a fine court shall send notice of the decision to the appel-
A sentence to pay a fine shall be stayed auto- late clerk who shall issue notice of the decision
matically by an appeal, and the stay shall not be to all counsel of record. If an appeal has not been
subject to termination. filed, the clerk of the trial court shall enter the
(4) Sentencing sanctions of restitution and decision on the trial court docket and shall send
forfeiture notice of the decision to counsel of record. Pend-
ing the filing or consideration of a motion for stay,
The execution of a sanction of restitution or
a temporary stay may be ordered sua sponte or
forfeiture of property, which was imposed as part
on written or oral motion.
of a sentence, shall be stayed automatically by
In appeals by the defendant from a presentence
an appeal. Upon motion by the state or upon its
order and appeals by the state from a judgment,
own motion, the trial court may issue orders rea- the judge who tried the case may terminate any
sonably necessary to ensure compliance with the stay, upon motion and hearing, if the judge is of
sanction upon final disposition of the appeal. the opinion that (1) an extension to appeal is
(5) Other sentencing sanctions sought, or the appeal is filed only for delay, or (2)
Upon motion by the defendant, other sanctions the due administration of justice so requires.
imposed as part of a sentence, including those (For stays of execution in death penalty cases,
imposed under General Statutes §§ 53a-40c, see Section 61-15.)
53a-40e, 54-102b, 54-102g, and 54-260, may be (P.B. 1978-1997, Sec. 4048.) (Amended July 21, 1999, to
stayed by an appeal. If the sanction is stayed, the take effect Jan. 1, 2000; amended Oct. 10, 2001, to take effect
trial court may issue orders reasonably necessary Jan. 1, 2002; amended Sept. 16, 2015, to take effect Jan.
to ensure compliance with the sanction upon final 1, 2016.)
disposition of the appeal. Sec. 61-14. Review of Order concerning
(b) Appeal by defendant from presentence Stay; When Stay May Be Requested from
order Court Having Appellate Jurisdiction
In an appeal from a presentence order where (Amended July 23, 1998, to take effect Jan. 1, 1999.)
the defendant claims that an existing right, such The sole remedy of any party desiring the court
as a right not to be tried, will be irreparably lost if to review an order concerning a stay of execution
the order is not reviewed immediately, the appeal shall be by motion for review under Section 66-
shall stay automatically further proceedings in the 6. Execution of an order of the court terminating
trial court. a stay of execution shall be stayed for ten days
(c) Appeal by the state from a judgment from the issuance of notice of the order, and if a
In an appeal by the state, the appeal shall stay motion for review is filed within that period, the
automatically further proceedings in the trial court order shall be stayed pending decision of the
until ten days after the final determination of the motion, unless the court having appellate jurisdic-
appeal. The defendant shall be released pending tion rules otherwise. Any stay of proceedings that
determination of an appeal by the state from any was in effect during the pendency of the motion
judgment not resulting in a sentence, the effect for review shall continue, unless the court having
of which is to terminate the entire prosecution. appellate jurisdiction rules otherwise, until the
(d) Motion for stay or to terminate a stay time for filing a motion for reconsideration under
449
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Sec. 61-14 RULES OF APPELLATE PROCEDURE
Section 71-5 has expired. If such a timely motion within this rule for good cause shown. No appel-
for reconsideration is filed, any stay that was in late procedure shall be deemed to have termi-
effect shall continue until its disposition and, if it nated until the end of the period allowed by law
is granted, until the matter is finally determined. for the filing of a motion for reconsideration, or, if
A motion for extension of time to file a motion such motion is filed, until the proceedings conse-
for review of a ruling concerning a stay of execu- quent thereon are finally determined. When exe-
tion must be filed in the trial court but shall not cution is stayed under the provisions of this
automatically stay the execution after the ten days section, the clerk of the court shall forthwith give
has expired, except that the trial judge may order notice thereof to the warden of the institution in
a stay pending a ruling on the motion for extension which such defendant is in custody. If the original
of time. judgment of conviction has been affirmed or
A ruling concerning a stay is a judgment in a remains in full force at the time when the clerk
trial to the court for purposes of Section 64-1, and has received the notification of the termination of
the trial court making such a ruling shall state its any proceedings by appeal, writ of certiorari, writ
decision, either orally or in writing, in accordance of error, writ of habeas corpus, application for a
with the requirements of that section. pardon or petition for a new trial, and the day
designated for the infliction of the death penalty
In any case in which there is no automatic stay
has then passed or will pass within thirty days
of execution and in which the trial court denies, or
thereafter, the defendant shall, within said period
refuses to rule on, a motion for stay, an aggrieved
of thirty days, upon an order of the court in which
party may file a motion requesting a stay of execu-
the judgment was rendered at a regular or special
tion of the judgment from the court having appel-
criminal session thereof, be presented before said
late jurisdiction pending the filing of and ruling
court by the warden of the institution in which the
upon a motion for review. The motion must be defendant is in custody or his deputy, and the
filed with the appellate clerk. court, with the judge assigned to hold the session
(P.B. 1978-1997, Sec. 4049. See also Secs. 66-2 and 66-3.)
(Amended July 23, 1998, to take effect Jan. 1, 1999; amended presiding, shall thereupon designate a day for the
Sept. 16, 2015, to take effect Jan. 1, 2016; amended June infliction of the death penalty and the clerk of the
15, 2021, to take effect Jan. 1, 2022.) court shall issue a warrant of execution, reciting
therein the original judgment, the fact of the stay
Sec. 61-15. Stay of Execution in Death Pen- of execution and the final order of the court, which
alty Case warrant shall be forthwith served upon the warden
If the defendant is sentenced to death, the sen- or his deputy. (For stays of execution in other
tence shall be stayed for the period within which criminal cases, see Section 61-13.)
to file an appeal. If the defendant has taken an (Adopted July 21, 1999, to take effect Jan. 1, 2000;
amended Sept. 16, 2015, to take effect Jan. 1, 2016.)
appeal to the Supreme or Appellate Court of this
state or to the United States Supreme Court or Sec. 61-16. Notice of Bankruptcy Filing,
brought a writ of error, writ of certiorari, writ of Order of Bankruptcy Court Granting Relief
habeas corpus, application for a pardon or petition from Automatic Stay and Disposition of
for a new trial, the taking of the appeal, the making Bankruptcy Case
of the application for a writ of certiorari or for a (Amended Sept. 16, 2015, to take effect Jan. 1, 2016;
pardon, or the return into court of the writ of error, amended July 23, 2020, to take effect Jan. 1, 2021.)
writ of habeas corpus, or petition for a new trial (a) If a party to an appeal files a bankruptcy
shall, unless, upon application by the state’s attor- petition or is a debtor named in an involuntary
ney and after hearing, the Supreme Court other- bankruptcy petition, that party shall immediately
wise orders, stay the execution of the death pen- file a notice with the appellate clerk, including any
alty until the clerk of the court where the trial was supporting documentation from the Bankruptcy
had has received notification of the termination of Court file, setting forth the date the bankruptcy
any such proceeding by decision or otherwise, petition was filed, the Bankruptcy Court in which
and for thirty days thereafter. Upon motion by the petition was filed, the name of the bankruptcy
the defendant, filed with the appellate clerk, the debtor, the docket number of the bankruptcy case
Supreme Court may grant a stay of execution to and how the automatic bankruptcy stay applies
prepare a writ of error, a writ of certiorari, writ of to the case on appeal. Any appearing party seek-
habeas corpus, application for a pardon or petition ing to challenge the application of the automatic
for a new trial. Upon motion by the defendant and bankruptcy stay shall immediately file a notice
after hearing, the Supreme Court may extend a with the appellate clerk, including any supporting
stay of execution beyond the time limits stated documentation from the Bankruptcy Court file.
450
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RULES OF APPELLATE PROCEDURE Sec. 61-16
(b) If the Bankruptcy Court grants relief from the appellate clerk, including any supporting docu-
automatic bankruptcy stay, in rem relief regarding mentation from the Bankruptcy Court file, indicat-
the property or any other pertinent relief, the party ing that the case has been resolved in the
Bankruptcy Court. Any other appearing party may
obtaining such relief shall immediately file a notice also file a notice with the appellate clerk, including
with the appellate clerk indicating such relief. any supporting documentation from the Bank-
(c) Upon resolution of the bankruptcy case, the ruptcy Court file, indicating that the case has been
party who filed the bankruptcy petition or who was resolved in the Bankruptcy Court.
(Adopted July 24, 2002, to take effect Oct. 1, 2002;
the debtor named in an involuntary bankruptcy amended Sept. 16, 2015, to take effect Jan. 1, 2016; amended
petition shall immediately file a notice with the July 23, 2020, to take effect Jan. 1, 2021.)
451
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Sec. 62-1 RULES OF APPELLATE PROCEDURE
CHAPTER 62
CHIEF JUDGE, APPELLATE CLERK AND DOCKET: GENERAL
ADMINISTRATIVE MATTERS
Sec. Sec.
62-1. Chief Judge 62-8. Names of Counsel; Appearance
62-2. Clerk 62-8A. Attorneys of Other Jurisdictions Participating Pro
62-3. Entry of Cases Hac Vice on Appeal
62-4. Case To Remain on Docket of Trial Court 62-9. Withdrawal of Appearance
62-5. Changes in Parties 62-9A. Hybrid Representation; Removal or Substitution of
62-6. Signature on Documents Counsel in Criminal and Habeas Corpus Appeals
62-7. Matters of Form; Filings; Delivery and Certification 62-10. Files To Be Available to Parties
to Counsel of Record 62-11. Files and Records Not To Be Removed
For previous Histories and Commentaries see the editions of the Practice Book
corresponding to the years of the previous amendments.
Sec. 62-1. Chief Judge Sec. 62-5. Changes in Parties
(a) The chief justice shall designate one of the Any change in the parties to an action pending
judges of the Appellate Court as chief judge of an appeal shall be made in the court in which the
the Appellate Court. appeal is pending. The appellate clerk shall notify
(b) With the approval of the chief justice, the the clerk of the trial court of any change.
chief judge shall (1) schedule such sessions as If any party to a civil action is an entity as defined
may be necessary, at such locations as the facili- in Section 60-4, counsel of record shall include a
tation of court business requires, (2) designate as
certificate of interested entities or individuals with
many panels as may be necessary, and assign
three judges to each panel, and (3) designate a any motion seeking a change in the parties filed
presiding judge for each panel on which the chief with the appellate clerk.
(P.B. 1978-1997, Sec. 4033.) (Amended July 19, 2022, to
judge does not sit. take effect Jan. 1, 2023.)
(P.B. 1978-1997, Sec. 4028.)
HISTORY—2023: The second paragraph was added.
Sec. 62-2. Clerk COMMENTARY—2023: This amendment describes when
The justices of the Supreme Court shall appoint a certificate of interested entities or individuals is required to
an appellate clerk who shall be the chief clerk of be filed.
the Supreme Court and of the Appellate Court,
but who shall not be the chief clerk of any judicial Sec. 62-6. Signature on Documents
district. As used in these rules, the clerk of any (Amended March 15, 2017, to take effect June 15, 2017.)
trial court from which an appeal is filed shall be All documents shall be signed by counsel of
referred to as the clerk of the trial court. record. Attorneys shall sign electronically filed
(P.B. 1978-1997, Sec. 4029.) (Amended Sept. 16, 2015, documents and electronically submitted briefs by
to take effect Jan. 1, 2016.) entering their individual juris number during the
Sec. 62-3. Entry of Cases filing transaction. Self-represented parties shall
Appeals, reservations, writs of error, original sign electronically filed documents and electroni-
jurisdiction actions, and other matters filed in cally submitted briefs by entering their self-repre-
accordance with the procedures set forth in Sec- sented party user identification number during the
tions 60-7, 60-8, and 63-3, shall be docketed upon filing transaction. See Section 60-4.
filing subject to return or rejection for noncompli- Paper briefs and appendices and documents
ance with the Rules of Appellate Procedure. filed by counsel of record who are exempt from
(P.B. 1978-1997, Sec. 4031.) (Amended Sept. 16, 2015, electronic filing requirements shall be signed and
to take effect Jan. 1, 2016; amended Oct. 24, 2018, to take
effect Jan. 1, 2019.) shall set forth the signer’s telephone number, mail-
ing address, and e-mail address below the sig-
Sec. 62-4. Case To Remain on Docket of nature.
Trial Court (P.B. 1978-1997, Sec. 4030.) (Amended Sept. 16, 2015,
A case that has been appealed shall remain on to take effect Jan. 1, 2016; amended June 15, 2016, to take
the docket of the court where it was tried until the effect Aug. 1, 2016; amended Oct. 18, 2016, to take effect
appeal is decided or terminated. Jan. 1, 2017; amended March 15, 2017, to take effect June
(P.B. 1978-1997, Sec. 4032.) 15, 2017.)
452
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RULES OF APPELLATE PROCEDURE Sec. 62-8
Sec. 62-7. Matters of Form; Filings; Delivery deemed to have consented to electronic delivery
and Certification to Counsel of Record under this section. Delivery by e-mail is complete
(a) It is the responsibility of counsel of record upon sending the electronic notice unless the
to file papers in a timely manner and in the proper party sending notice learns that the attempted
form. The appellate clerk may return any papers delivery did not reach the e-mail address of the
filed in a form not in compliance with these rules; intended recipient.
in returning, the appellate clerk shall indicate how If the intended recipient has declined to accept
the papers have failed to comply. The clerk shall electronic delivery or is exempt from the require-
note the date on which they were received before ments of electronic filing, a document may be
returning them, and shall retain an electronic copy delivered to counsel of record by hand or by first
thereof. Any papers correcting a timely, noncomply- class or express mail delivered by the United
ing filing shall be deemed to be timely filed if a States Postal Service or an equivalent commer-
complying document is refiled with the appellate cial service, postage prepaid, to the last known
clerk within fifteen days of the official notice date, address of the intended recipient.
which is the notice date indicated on the return (P.B. 1978-1997, Sec. 4014.) (Amended July 23, 1998, to
take effect Jan. 1, 1999; amended July 24, 2002, to take effect
form. The official notice date is not the date the Oct. 1, 2002; amended May 15, 2003, to take effect Jan. 1,
return form is received. Subsequent returns for 2004; amended June 5, 2013, to take effect July 1, 2013;
the same filing will not initiate a new fifteen day amended June 18, 2014, to take effect Sept. 1, 2014; amended
refiling period. The time for responding to any Sept. 16, 2015, to take effect Jan. 1, 2016; amended July 19,
such paper shall not start to run until a complying 2017, to take effect Oct. 8, 2017; amended Oct. 18, 2017, to
paper is filed. take effect Jan. 1, 2018; amended Oct. 24, 2018, to take effect
Jan. 1, 2019; amended June 15, 2021, to take effect Jan.
(b) All papers except the transcript and regula- 1, 2022.)
tions filed pursuant to Section 81-6 shall contain: TECHNICAL CHANGE: In subsections (b) and (c), the refer-
(1) certification that a copy has been delivered to ences to Section 63-4 (a) (4) were updated.
each other counsel of record, except as provided
in Section 63-4 (a) (4), which certification shall Sec. 62-8. Names of Counsel; Appearance
include names, addresses, e-mail addresses, and Counsel of record for all parties appearing in
telephone numbers; (2) certification that the docu- the trial court at the time of the appellate filing
ment has been redacted or does not contain any shall be deemed to have appeared in the appeal
names or other personal identifying information unless permission to withdraw has been granted
that is prohibited from disclosure by rule, statute, pursuant to Section 62-9 or unless an in place of
court order or case law; and (3) certification that appearance pursuant to Section 3-8 has been
the document complies with all applicable Rules filed by other counsel or unless the other provi-
of Appellate Procedure. sions of Section 3-9 apply. Counsel of record who
Electronic papers shall contain a certification filed the appeal or filed an appearance in the
as set forth in subsection (b) (1), but filers can Appellate Court after the appeal was filed shall
comply with the certification requirements set forth be deemed to have appeared in the trial court for
in subsections (b) (2) and (b) (3) during the elec- the limited purpose of prosecuting or defending
tronic filing process. Any request to deviate from the appeal. Unless otherwise provided by statute
the requirement regarding personal identifying or rule, counsel who have so appeared shall be
information shall be filed with the appellate clerk entitled to review all trial court docket sheets and
pursuant to Section 67-2 or 67-2A. Briefs and files, including sealed files, and shall be entitled
appendices require additional certifications pursu- to participate in proceedings in the trial court on
ant to Section 67-2 or 67-2A. Other certifications motions filed in the trial court pursuant to Section
may be required by the rules under which specific 66-1 and motions filed in the Appellate Court but
documents are filed. referred to the trial court for decision.
(c) Any counsel of record who files a document An appearance filed after the case is ready pur-
electronically with the court must deliver it elec- suant to Section 69-2 requires permission of the
tronically to all other counsel of record, except court.
as provided in Section 63-4 (a) (4), unless the This rule shall not be deemed to permit appel-
intended recipient has notified the appellate clerk late counsel to review records that were sealed
and all other counsel of record in writing that the as to trial counsel but retained in the trial court
recipient declines to accept electronic delivery of file for appellate review.
documents or the intended recipient is exempt This rule shall not be deemed to excuse trial
from the requirements of electronic filing pursuant counsel with respect to preserving a defendant’s
to Section 60-8. Any counsel of record who has right to appeal pursuant to Section 63-7; nor shall
signed an electronically filed document shall be this rule prevent trial counsel from moving for a
453
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Sec. 62-8 RULES OF APPELLATE PROCEDURE
withdrawal of appearance pursuant to Section (E) certifying that the applicant agrees to regis-
62-9. ter with the Statewide Grievance Committee in
(P.B. 1978-1997, Sec. 4034.) (Amended Sept. 8, 2004, to accordance with the provisions of Chapter 2 of
take effect Jan. 1, 2005; amended May 4, 2006, to take effect the rules of practice while appearing in the appeal
Jan. 1, 2007; amended Jan. 4, 2007, to take effect Jan. 1,
2008; amended Sept. 16, 2015, to take effect Jan. 1, 2016;
and for two years after the completion of the mat-
amended Oct. 18, 2016, to take effect Jan. 1, 2017.) ter in which the attorney appeared and to notify
the Statewide Grievance Committee of the expira-
Sec. 62-8A. Attorneys of Other Jurisdictions tion of the two year period;
Participating Pro Hac Vice on Appeal (F) identifying the number of cases in which the
(a) An attorney, who upon written application attorney has appeared pro hac vice in any court
pursuant to Section 2-16 has been permitted by of this state since the attorney first appeared pro
a judge of the Superior Court to participate in the hac vice in this state as well as any previously
presentation of a cause or appeal pending in this assigned juris number;
state, shall be allowed to participate in any appeal (G) stating the number of applications pre-
of said cause without filing a written application viously filed in the Superior Court pursuant to Sec-
to the court having jurisdiction over the appeal tion 2-16 and whether any of those applications
and without paying the filing fee. All terms, condi- were denied and the reason for that denial;
tions and obligations set forth in Section 2-16 shall (H) identifying the number of attorneys in his or
remain in full effect. The chief clerk of the Superior her firm who are appearing pro hac vice in the
Court for the judicial district in which the cause cause now on appeal or who have filed or intend
originated shall continue to serve as the agent to file an application to appear pro hac vice in this
upon whom process and notice of service may appeal; and
be served. (2) the filing fee shall be paid with the court
(b) Any attorney who is in good standing at the for the application submitted pursuant to General
bar of another state and who has not appeared Statutes § 52-259 (i); and
pro hac vice in the Superior Court to participate (3) a member of the bar of this state must be
in the cause now pending on appeal, may for good present at all proceedings and arguments and
cause shown, upon written application, on form must sign all motions, briefs and other papers filed
JD-CL-141, Application for Permission for Attor- with the court having jurisdiction over the appeal
ney to Appear Pro Hac Vice in a Court Case, and assume full responsibility for them and for the
presented by a member of the bar of this state, conduct of the appeal and of the attorney to whom
be permitted in the discretion of the court having such privilege is accorded. Good cause for
jurisdiction over the appeal to participate in the according such privilege may include a showing
presentation of the appeal, provided, however, that by reason of a long-standing attorney-client
that: relationship, predating the cause of action or sub-
(1) such application shall be accompanied by an ject matter of the appeal, the attorney has
affidavit on form JD-CL-143, Affidavit of Attorney acquired a specialized skill or knowledge with
Seeking Permission to Appear Pro Hac Vice respect to issues on appeal or to the client’s affairs
(A) providing the full legal name of the applicant that are important to the appeal, or that the litigant
with contact information, including firm name, is unable to secure the services of Connecticut
business mailing address, telephone number and counsel. Upon the granting of an application to
e-mail address, as applicable; appear pro hac vice, the clerk of the court in which
(B) certifying whether such applicant has a the application is granted shall immediately notify
grievance pending against him or her in any other the Statewide Grievance Committee of such
jurisdiction, has ever been reprimanded, sus- action.
pended, placed on inactive status, disbarred or (c) No application to appear pro hac vice shall
otherwise disciplined, or has resigned from the be permitted after the due date of the final reply
practice of law and, if so, setting forth the circum- brief as set forth in Section 67-3 or 67-5A without
stances concerning such action; leave of the court.
(C) certifying that the applicant has paid the (Adopted May 4, 2006, to take effect Jan. 1, 2007; amended
client security fund fee due for the calendar year Jan. 4, 2007, to take effect Jan. 1, 2008; amended June 27,
in which the application is made; 2013, to take effect Oct. 1, 2013; amended Sept. 16, 2015,
to take effect Jan. 1, 2016; amended July 19, 2017, to take
(D) designating the chief clerk of the Superior effect Oct. 8, 2017; amended June 15, 2021, to take effect
Court for the judicial district in which the cause Jan. 1, 2022.)
originated as his or her agent upon whom process TECHNICAL CHANGE: In subsection (b) (1) (E), ‘‘Chapter’’
and notice of service may be served; was capitalized for consistency purposes.
454
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RULES OF APPELLATE PROCEDURE Sec. 62-9A
Sec. 62-9. Withdrawal of Appearance memorandum of law has been delivered to the
(a) An attorney or party whose appearance has petitioner or defendant.
been filed shall be deemed to have withdrawn (3) The motion, brief or memorandum of law,
such appearance upon failure to file a written and transcript shall be referred to the trial court
objection within ten days after written notice has for decision. If the trial court grants the motion to
been given or mailed to such attorney or party withdraw, counsel shall immediately notify his or
that a new appearance has been filed in place her former client, by letter, of the status of the
of the appearance of such attorney or party in appeal, of the responsibilities necessary to prose-
accordance with Section 62-8. cute the appeal, and that, if the former client
(b) An attorney may, by motion, withdraw his wishes to challenge the trial court’s decision
or her appearance for a party after an additional allowing counsel to withdraw, the former client
appearance representing the same party has must file a motion for review with the Appellate
been entered on the docket. A motion to withdraw Court in accordance with Section 66-6. Counsel
pursuant to this subsection shall state that an shall file a copy of the letter with the appellate
additional appearance has been entered on appeal. clerk. The trial court’s decision shall be sealed
The appellate clerk may as of course grant the and may be reviewed pursuant to Section 66-
motion if the additional appearance has been 6. Subsequent motions regarding the trial court’s
entered. decision on the motion to withdraw appointed
(c) Except as provided in subsections (a) and (b), counsel shall also be filed under seal.
no attorney whose appearance has been entered (4) The appellate clerk shall maintain all filings
on the docket shall withdraw his or her appear- and related decisions pursuant to this subsection
ance without leave of the court. A motion for leave under seal. The panel hearing the merits of the
to withdraw shall be filed with the appellate clerk appeal shall not view any briefs and materials filed
in accordance with Sections 66-2 and 66-3. The under seal pursuant to this subsection.
motion shall include the current address of the (P.B. 1978-1997, Sec. 4035.) (Amended Jan. 29, 2009, to
party as to whom the attorney seeks to withdraw. take effect March 1, 2009; amended Sept. 16, 2015, to take
effect Jan. 1, 2016; amended Oct. 18, 2016, to take effect
No motion for leave to withdraw shall be granted Jan. 1, 2017; amended July 23, 2020, to take effect Jan.
until the court is satisfied that reasonable notice 1, 2021.)
has been given to the party being represented
and to other counsel of record. Reasonable notice Sec. 62-9A. Hybrid Representation; Remov-
to the party or parties may be satisfied by filing al or Substitution of Counsel in Criminal and
along with the motion, a certified or registered Habeas Corpus Appeals
mail return receipt signed by the individual party (Amended Jan. 29, 2009, to take effect March 1, 2009.)
or parties represented by the attorney. On appeal, a defendant or habeas petitioner
(d) (1) A motion for leave to withdraw appear- has no right to self-representation while repre-
ance of appointed appellate counsel filed pursu- sented by counsel. If an indigent defendant or
ant to Section 23-41 (a) or 43-34, and supporting habeas petitioner wishes to replace appointed
documentation, shall be filed under seal with the counsel or remove appointed counsel and appear
appellate clerk. Except as otherwise provided as a self-represented party, in lieu of such coun-
herein, the form of the motion shall comply with sel, the defendant or habeas petitioner shall file
Sections 66-2 and 66-3. The brief or memoran- a motion with the appellate clerk making such
dum of law accompanying the motion shall comply request and setting forth the reasons therefor. A
with Section 23-41 (b) or 43-35 in form and sub- copy of such motion shall be delivered, in accord-
stance. The transcript of the relevant proceedings ance with Section 62-7, to the attorney sought to
shall be filed concurrently with the motion to be removed or replaced and to the state.
withdraw.
The appellate clerk shall forward the motion to
(2) The motion and supporting brief or memo-
the trial judge, who shall conduct a hearing and
randum of law shall be delivered to the petitioner
enter appropriate orders consistent with the rele-
or defendant. Counsel shall deliver a notice that a
vant provisions of Chapter 44 of these rules. The
motion for leave to withdraw as appointed counsel
trial court shall send notice of the order to all
has been filed, but shall not deliver a copy of the
counsel of record and to the appellate clerk.
motion and supporting brief or memorandum of (Adopted Sept. 8, 2004, to take effect Jan. 1, 2005;
law to opposing counsel of record. The motion amended Jan. 29, 2009, to take effect March 1, 2009;
shall contain a certification that such notice has amended Sept. 16, 2015, to take effect Jan. 1, 2016.)
been delivered to opposing counsel of record and TECHNICAL CHANGE: In the second paragraph, ‘‘Chap-
that a copy of the motion and supporting brief or ter’’ was capitalized for consistency purposes.
455
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Sec. 62-10 RULES OF APPELLATE PROCEDURE
Sec. 62-10. Files To Be Available to Parties contain protected information, a case summary page and elec-
tronically filed documents in that case are available to the
Subject to the provisions of Section 62-11, the public on the Judicial Branch website. In family and child pro-
clerk of the trial court and the appellate clerk or tection matters and in cases that contain protected information,
the appellate messenger having custody of the attorneys and self-represented parties who have valid appear-
ances in the case may view the case summary page and
files, evidence and exhibits in any case shall make electronically filed documents in that case through E-Services.
them available for the use of any party or counsel The applicable procedures for obtaining on-line access to
to that party, whether or not the file is sealed. This these documents, set forth in the Appellate E-filing Procedures
provision applies to counsel who have appeared and Technical Standards, require a self-represented party to
in either the trial court or the Appellate Court. submit an ‘‘Appellate Electronic Access Form’’ and to provide
the appellate clerk’s office with a valid photo identification.
This rule shall not be deemed to permit appellate
counsel to review records that were sealed as to Sec. 62-11. Files and Records Not To Be
trial counsel but retained in the trial court file for Removed
appellate review. No files, records or exhibits in the custody of
(P.B. 1978-1997, Sec. 4036.) (Amended Sept. 8, 2004, to officers of the court shall be removed from the
take effect Jan. 1, 2005; amended June 15, 2016, to take court except by the appellate clerk, the reporter
effect Aug. 1, 2016.) of judicial decisions or by order or permission of
COMMENTARY—August, 2016: In civil and criminal cases an appellate jurist.
that were filed on or after January 1, 2016, and that do not (P.B. 1978-1997, Sec. 4037.)
456
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RULES OF APPELLATE PROCEDURE Sec. 63-1
CHAPTER 63
FILING THE APPEAL; WITHDRAWALS
Sec. Sec.
63-1. Time To Appeal 63-5. Fees [Repealed]
63-2. Expiration of Time Limitations; Counting Days; 63-6. Waiver of Fees, Costs and Security—Civil Cases
Hours of Operation 63-7. Waiver of Fees, Costs and Security—Criminal Cases
63-3. Filing of Appeal 63-8. Ordering and Filing of Paper Transcripts
63-3A. Appeals in E-Filed Cases [Repealed] 63-8A. Electronic Copies of Transcripts
63-4. Additional Papers To Be Filed by Appellant and 63-9. Filing Withdrawals of Appeals or Writs of Error
Appellee Subsequent to the Filing of the Appeal 63-10. Preargument Conferences
For previous Histories and Commentaries see the editions of the Practice Book
corresponding to the years of the previous amendments.
Sec. 63-1. Time To Appeal new twenty day period or applicable statutory time
(a) General provisions period for filing the appeal shall begin on the day
Unless a different time period is provided by that notice of the ruling is given on the last such
statute, an appeal must be filed within twenty days outstanding motion, except as provided for additur
of the date notice of the judgment or decision or remittitur in the next paragraph.
is given. The appeal period may be extended if If a motion for additur or remittitur is filed within
permitted by Section 66-1 (a). If circumstances the appeal period and granted, a new twenty day
give rise to a new appeal period as provided in appeal period shall begin upon the earlier of (A)
subsection (c) of this rule, such new period may acceptance of the additur or remittitur or (B) expi-
be similarly extended as long as no extension of ration of the time set for the acceptance. If the
the original appeal period was obtained. motion is denied, the new appeal period shall
If a motion is filed within the appeal period that begin on the day that notice of the ruling is given.
might give rise to a new appeal period as provided Motions that, if granted, would render a judg-
in subsection (c) of this rule, the appeal may be ment, decision or acceptance of the verdict inef-
filed either in the original appeal period, which fective include, but are not limited to, motions that
continues to run, or in the new appeal period. seek: the opening or setting aside of the judgment;
As used in this rule, ‘‘appeal period’’ includes a new trial; the setting aside of the verdict; judg-
any extension of such period obtained pursuant ment notwithstanding the verdict; reargument of
to Section 66-1 (a).
the judgment or decision; collateral source reduc-
(b) When appeal period begins tion; additur; remittitur; or any alteration of the
If notice of the judgment or decision is given in terms of the judgment.
open court, the appeal period shall begin on that
day. If notice is given only by mail or by electronic Motions that do not give rise to a new appeal
delivery, the appeal period shall begin on the day period include those that seek: clarification or
that notice was sent to counsel of record by the articulation, as opposed to alteration, of the terms
clerk of the trial court. The failure to give notice of the judgment or decision; a written or tran-
of judgment to a nonappearing party shall not scribed statement of the trial court’s decision; or
affect the running of the appeal period. reargument of a motion listed in the previous para-
In criminal cases where the appeal is from a graph.
judgment of conviction, the appeal period shall If, within the appeal period, any motion is filed,
begin when sentence is pronounced in open court. pursuant to Section 63-6 or 63-7, seeking waiver
In civil jury cases, the appeal period shall begin of fees, costs and security or appointment of coun-
when the verdict is accepted. sel, a new twenty day appeal period or statutory
(c) New appeal period period for filing the appeal shall begin on the day
(1) How new appeal period is created that notice of the ruling is given on the last such
If a motion is filed within the appeal period that, outstanding motion. If a party files, pursuant to
if granted, would render the judgment, decision Section 66-6, a motion for review of any such
or acceptance of the verdict ineffective, either a motion, the new appeal period shall begin on the
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Sec. 63-1 RULES OF APPELLATE PROCEDURE
day that notice of the ruling is given on the motion the appellate clerk is closed, the document may
for review. be filed on the next day when such office is open.
(2) Who may appeal during new appeal The appellate clerk’s office shall be open from
period 8:30 a.m. until 5 p.m. on weekdays, with the
If a new appeal period arises due to the filing exception of legal holidays and closures for exi-
of a motion that, if granted, would render a judg- gent circumstances. The window at the appellate
ment, decision or acceptance of the verdict inef- clerk’s office shall be open from 8:30 a.m. until
fective, any party may file an appeal during the 4:30 p.m. From 4:30 p.m. until 5 p.m., paper briefs,
new appeal period regardless of who filed or pre- transcripts filed pursuant to Section 63-8 (e) (1),
vailed upon such motion. If, however, a new and paper documents filed by counsel of record
appeal period arises due to the filing of a motion who have received an exemption from the elec-
for waiver of fees, costs and security or a motion tronic filing requirements pursuant to Section
for appointment of counsel, only the party who 60-8, shall be placed in the lobby of the appellate
filed such motion may file an appeal during the clerk’s office. All submissions placed in the lobby
new appeal period. shall be considered filed as of that date. Upon
(3) What may be appealed during new review, the appellate clerk may return any non-
appeal period compliant submission pursuant to Section 62-7
The new appeal period may be used for appeal- (a).
ing the original judgment or decision and/or for A document that is electronically received by
appealing any order that gave rise to the new
the appellate clerk’s office for filing after 5 p.m.
appeal period. Such period may also be used for
on a day in which that office was open or is elec-
amending an existing appeal pursuant to Section
61-9 to challenge the ruling that gave rise to the tronically received by that office for filing at any
new appeal period. Rulings on motions for waiver time on a day in which that office is closed, shall
of fees, costs and security or motions for appoint- be deemed filed on the next business day that
ment of counsel may not be appealed during the office is open. If a party is unable to electronically
new appeal period but may be challenged by file a document because the court’s electronic
motion for review in accordance with Section 66-6. filing system is nonoperational for thirty consecu-
(d) When motion to stay briefing obligations tive minutes from 9 a.m. to 3 p.m. or for any period
may be filed of time from 3 p.m. to 5 p.m. on the day on which
If, after an appeal has been filed but before the the electronic filing is attempted, and such day is
appeal period has expired, any motion is filed that, the last day for filing the document, the document
if granted, would render the judgment, decision shall be deemed to be timely filed if received by
or acceptance of the verdict ineffective, any party the appellate clerk’s office on the next business
may move to stay the briefing obligations of the day the electronic filing system is operational.
parties in accordance with Section 67-12. (P.B. 1978-1997, Sec. 4010.) (Amended Sept. 16, 2015,
(e) Simultaneous filing of motions to take effect Jan. 1, 2016; amended Oct. 18, 2016, to take
effect Jan. 1, 2017.)
Any party filing more than one motion that, if
granted, would render the judgment, decision or Sec. 63-3. Filing of Appeal
acceptance of the verdict ineffective, shall file
such motions simultaneously insofar as simulta- All appeals shall be filed and all fees paid in
neous filing is possible. accordance with the provisions of Section 60-7 or
(P.B. 1978-1997, Sec. 4009.) (Amended July 21, 1999, to 60-8. The appeal will be docketed upon filing but
take effect Jan. 1, 2000; amended Sept. 22, 2004, to take may be returned or rejected for noncompliance
effect Jan. 1, 2005; amended June 17, 2008, to take effect with the Rules of Appellate Procedure.
Jan. 1, 2009; amended Sept. 16, 2015, to take effect Jan. 1,
2016; amended July 19, 2017, to take effect Oct. 8, 2017.)
The appellant must certify that a copy of the
appeal form generated at the time of electronic
Sec. 63-2. Expiration of Time Limitations; filing and bearing the assigned docket number
Counting Days; Hours of Operation and electronic signature of the filer will immedi-
(Amended Oct. 18, 2016, to take effect Jan. 1, 2017.) ately be delivered pursuant to Section 62-7 (c) to
In determining the last day for filing any docu- all counsel of record and, in criminal and habeas
ments, the last day shall, and the first day shall corpus matters, to the Office of the Chief State’s
not, be counted. Time shall be counted by calen- Attorney, Appellate Bureau. The appellate clerk,
dar, not working, days. When the last day of any upon receipt of the foregoing, shall deliver a copy
limitation of time for filing any document under of the appeal form to the clerk of the trial court. In
these rules or an order of the court falls on a day criminal and habeas corpus matters, the appellate
when the office of the clerk of the trial court or of clerk shall deliver a copy of the appeal form to
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RULES OF APPELLATE PROCEDURE Sec. 63-4
the Office of the Chief State’s Attorney, Appellate the filing of the appellant’s designation of the pro-
Bureau, or to the attorney general, as appropriate. posed contents of the clerk appendix, file its own
(P.B. 1978-1997, Sec. 4012.) (Amended July 30, 2009, to designation of the proposed contents of the
take effect Jan. 1, 2010; amended March 25, 2010, to take clerk appendix.
effect May 1, 2010; amended June 27, 2013, to take effect
Oct. 1, 2013; amended Sept. 16, 2015, to take effect Jan. 1, (3) A certificate stating that no transcript is
2016; amended Oct. 24, 2018, to take effect Jan. 1, 2019; deemed necessary or a transcript order confirma-
amended July 19, 2022, to take effect Jan. 1, 2023.) tion from the official court reporter pursuant to
HISTORY—2023: In the second sentence of the second Section 63-8. If the appellant is to rely on any
paragraph, ‘‘original’’ was deleted before ‘‘trial court,’’ and ‘‘, transcript delivered prior to the filing of the appeal,
to the clerk of any trial courts to which the matter was trans-
ferred, and to each party to the appeal’’ was deleted after the transcript order confirmation shall indicate that
‘‘trial court.’’ an electronic version of a previously delivered
COMMENTARY—2023: These amendments conform the transcript has been ordered.
rule to e-filing practice and available technological capabilities. If any other party deems any other parts of the
Notices from the appellate clerk will replace the delivery of transcript necessary that were not ordered by the
the copy of the appeal form as required under the present rule.
appellant, that party shall, within twenty days of
Sec. 63-3A. Appeals in E-Filed Cases the filing of the appellant’s transcript papers, file
[Repealed as of Jan. 1, 2016.] a transcript order confirmation for an order placed
in compliance with Section 63-8. If the order is for
Sec. 63-4. Additional Papers To Be Filed by any transcript delivered prior to the filing of the
Appellant and Appellee Subsequent to the appeal, the transcript order confirmation shall indi-
Filing of the Appeal cate that an electronic version of a previously
(a) Within ten days of filing an appeal, the appel- delivered transcript has been ordered.
lant shall also file with the appellate clerk the fol- (4) A docketing statement containing the follow-
lowing: ing information to the extent known or reasonably
(1) A preliminary statement of the issues ascertainable by the appellant: (A) the names and
intended for presentation on appeal. If any appel- addresses of all parties to the appeal, and the
lee wishes to: (A) present for review alternative names, addresses, and e-mail addresses of trial
grounds upon which the judgment may be and appellate counsel of record; (B) the case
affirmed; (B) present for review adverse rulings names and docket numbers of all pending appeals
or decisions of the court which should be consid- to the Supreme Court or Appellate Court which
ered on appeal in the event the appellant is arise from substantially the same controversy as
awarded a new trial; or (C) claim that a new trial the cause on appeal, or involve issues closely
rather than a directed judgment should be ordered related to those presented by the appeal; (C)
if the appellant is successful on the appeal, that whether a criminal protective order, civil protective
appellee shall file a preliminary statement of order, or civil restraining order was requested or
issues within twenty days from the filing of the issued during any of the underlying proceedings;
appellant’s preliminary statement of the issues. and (D) in criminal and habeas cases, the defend-
Whenever the failure to identify an issue in a ant’s or petitioner’s conviction(s) and sentence(s)
preliminary statement of issues prejudices an that are the subject of the direct criminal or habeas
opposing party, the court may refuse to consider
appeal and whether the defendant or petitioner is
such issue.
incarcerated. If additional information is or
(2) A designation of the proposed contents of
the clerk appendix that is to be prepared by the becomes known to, or is reasonably ascertainable
appellate clerk under Section 68-2A listing the by the appellee, the appellee shall file a docketing
specific documents docketed in the case file that statement supplementing the information required
the appellant deems are necessary to include in to be provided by the appellant.
the clerk appendix for purposes of presenting the When an appellant or an appellee is aware that
issues on appeal, including their dates of filing in one or more appellees have no interest in partici-
the proceedings below, and, if applicable, their pating in the appeal, the appellant and any other
number as listed on the docket sheet. The appel- appellees may be relieved of the requirement of
lant shall limit the designation to the documents certifying copies of filings to those appellees by
referenced in Section 68-3A for inclusion in the designating the nonparticipating appellee(s) in a
clerk appendix. If any other party disagrees with section of the docketing statement named ‘‘Non-
the inclusion of any documents designated by the participating Appellee(s).’’ This designation shall
appellant, or deems it necessary to include other indicate that if no docketing statement in disagree-
documents docketed in the case file in the clerk ment is filed, subsequent filings will not be certified
appendix, that party may, within seven days from to those appellees.
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Sec. 63-4 RULES OF APPELLATE PROCEDURE
If an appellee disagrees with the nonparticipat- to the preargument conference statement shall
ing designation, that appellee shall file a docketing not be presented in writing but may be presented
statement indicating such disagreement within orally at the preargument conference, if one is
twenty days of the filing of that designation. All held.
documents filed on or before the expiration of the (c) Failure to comply with this rule shall be
time for an appellee to file a docketing statement deemed as sufficient reason to schedule a case
in disagreement as stated above shall be deliv- for sanctions under Section 85-3 or for dismissal
ered pursuant to Section 62-7 (b) to all counsel under Section 85-1.
of record. If no docketing statement in disagree- (P.B. 1978-1997, Sec. 4013.) (Amended April 3, 2002, to
ment is filed, subsequent filings need not be certi- take effect Nov. 1, 2002; amended Oct. 14, 2003, to take
fied to nonparticipating appellees. effect Jan. 1, 2004; amended Jan. 4, 2007, to take effect Jan.
1, 2008; amended April 6, 2011, to take effect Jan. 1, 2012;
(5) In all noncriminal matters, except for matters amended June 5, 2013, to take effect July 1, 2013; amended
exempt from a preargument conference pursuant Sept. 16, 2015, to take effect Jan. 1, 2016; amended March
to Section 63-10, a preargument conference 15, 2017, to take effect June 15, 2017; amended Oct. 18,
statement. 2017, to take effect Jan. 1, 2018; amended June 6, 2018, to
(6) A constitutionality notice, in all noncriminal take effect Sept. 1, 2018; amended Jan. 2, 2020, on an interim
basis, to take effect Feb. 11, 2020, and amendment adopted
cases where the constitutionality of a statute has July 23, 2020, to take effect Aug. 4, 2020; amended June 15,
been challenged. Said notice shall identify the 2021, to take effect Oct. 1, 2021; amended July 19, 2022, to
statute, the name and address of the party chal- take effect Jan. 1, 2023.)
lenging it, and whether the statute’s constitutional- HISTORY—2023: In subsection (a) (4) (A), ‘‘and’’ was
ity was upheld by the trial court. The appellate added after ‘‘to the appeal,’’ and ‘‘, and the names and
clerk shall deliver a copy of such notice to the addresses of all persons having a legal interest in the cause
on appeal sufficient to raise a substantial question whether a
attorney general. This section does not apply to judge should be disqualified from participating in the decision
habeas corpus matters based on criminal convic- on the case by virtue of that judge’s personal or financial
tions, or to any case in which the attorney general interest in any such persons’’ was deleted following ‘‘record.’’
is a party, has appeared on behalf of a party, or In addition, what was subsection (a) (4) (D) was deleted
has filed an amicus brief in proceedings prior to and what was subsection (a) (4) (E) was designated as subsec-
the appeal. tion (a) (4) (D).
In addition, subsection (a) (8) was added.
(7) In matters in which documents are under
COMMENTARY—2016: Counsel of record should no
seal, conditionally or otherwise, or limited as to longer file a draft judgment file with the appellate clerk; instead,
disclosure, a notice identifying the time, date, a draft judgment file should be filed with the trial court clerk.
scope and duration of the sealing order with a Counsel should prepare a draft judgment file in accordance
copy of the order. (See Section 77-2.) with Sections 6-2 and 6-3, file it with the trial court clerk, and
(8) If an entity as defined in Section 60-4 is an deliver a copy to opposing counsel. Opposing counsel may
submit any response or opposition to the trial court clerk. The
appellant, counsel of record for that entity shall trial court clerk then signs the judgment file, places it in the
file a certificate of interested entities or individuals trial court file and provides a copy to counsel of record for
as defined in Section 60-4 in any civil appeal to inclusion in part one of the appendix to the appellant’s brief.
assist the appellate jurists in making an informed Subsequently, any objections to the form of the judgment file
decision regarding possible disqualification from may be raised only by a motion for rectification pursuant to
the appeal. If an entity in a civil appeal is an appel- Section 66-5.
lee, counsel of record for the entity shall file a COMMENTARY—2018: The designation of an appellee as
nonparticipating pursuant to Section 63-4 (a) (3) in no way
certificate of interested entities or individuals affects that appellee’s status in the appeal. The appellate clerk
within twenty days of the filing of the appellant’s will continue to send notice to all parties pursuant to Section
preliminary statement of the issues. Counsel of 60-4.
record has a continuing duty to amend the certifi- COMMENTARY—August, 2020: The purpose of this
cate of interested entities or individuals during the amendment is to require the appellant, at the time of the filing
pendency of the appeal if any changes occur. of the appeal, to indicate in the docketing statement whether
a criminal protective order, civil protective order, or civil
(b) Except as otherwise provided, a party may restraining order was requested or issued during any of the
as of right file amendments to the preliminary underlying proceedings to better enable the appellate clerk to
statement of issues at any time until that party’s ensure that protected information is not published on the
brief is filed. Amendments to the docketing state- Internet.
ment may be filed at any time. Amendments to COMMENTARY—October, 2021: A new subdivision requir-
the transcript statement may be made only with ing the appellant or other party to designate the proposed
contents of the clerk appendix that is to be prepared by the
leave of the court. If leave to file such an amend- appellate clerk pursuant to Section 68-2A was added.
ment is granted, the adverse party shall have the COMMENTARY—2023: The purpose of these amend-
right to move for permission to file a supplemental ments is to remove subsection (a) (4) (D) in light of changes
brief and for an extension of time. Amendments to how the appellate clerk receives exhibits from the trial court
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RULES OF APPELLATE PROCEDURE Sec. 63-7
and to describe when a certificate of interested entities or costs and security shall be by motion for review
individuals is required to be filed. under Section 66-6.
(P.B. 1978-1997, Sec. 4017.) (Amended July 21, 1999, to
Sec. 63-5. Fees take effect Jan. 1, 2000; amended June 2, 2005, to take effect
[Repealed as of Jan. 1, 2016.] Jan. 1, 2006; amended June 18, 2014, to take effect Sept. 1,
2014; amended Sept. 16, 2015, to take effect Jan. 1, 2016.)
Sec. 63-6. Waiver of Fees, Costs and Secu-
rity—Civil Cases Sec. 63-7. Waiver of Fees, Costs and Secu-
If a party in any case where fees and costs rity—Criminal Cases
may lawfully be waived is indigent and desires to Any defendant in a criminal case who is indigent
appeal, that party may, within the time provided and desires to appeal may, within the time pro-
by the rules for taking an appeal, make written vided by the rules for taking an appeal, make writ-
application to the trial court for relief from payment ten application to the trial court for relief from pay-
of fees, costs and expenses. The application must ment of fees, costs and expenses. The applica-
be under oath and recite, or it must be accompa- tion must be under oath and recite, or it must be
nied by an affidavit reciting, the grounds upon accompanied by an affidavit reciting, the grounds
which the applicant proposes to appeal and the upon which the applicant proposes to appeal and
facts concerning the applicant’s financial status. the facts concerning the applicant’s financial
Where an application arises out of a habeas cor- status.
pus proceeding, the application shall be handled The application must be sent to the public
pursuant to Section 63-7. Where an application defender’s office for investigation. The judicial
arises out of a child protection matter, the applica- authority shall assign the request for waiver of
tion shall be handled pursuant to Section 79a-4. fees, costs and expenses for hearing within twenty
The judicial authority shall act promptly on the days after filing, and the trial counsel, the trial
application for waiver of fees, costs and expenses. public defender’s office to which the application
If the application is denied in whole or in part, and had been sent for investigation and the chief of
the applicant wishes to challenge that denial, the legal services of the public defender’s office shall
applicant shall file a written request for a hearing, be notified in writing by the clerk’s office of the
pursuant to Section 8-2, within ten days of the
date of such hearing.
issuance of notice of the denial of the application.
The clerk of the trial court shall assign the applica- The judicial authority shall act promptly on the
tion for a hearing within twenty days of the filing application following the hearing. Upon determi-
of the request and the judicial authority shall act nation by the judicial authority that a defendant in
promptly on the application following the hearing. a criminal case is indigent, the trial court may (1)
If the court is satisfied that the applicant is waive payment by the defendant of fees specified
indigent and has a statutory or constitutional right by statute and of taxable costs, (2) order that the
to court appointed counsel or a statutory right necessary expenses of prosecuting the appeal be
to appeal without payment of fees, costs and paid by the state, and (3) appoint appellate coun-
expenses, the court may (1) waive payment by sel and permit the withdrawal of the trial attorney’s
the applicant of fees specified by statute and of appearance provided the judicial authority is satis-
taxable costs, and (2) order that the necessary fied that that attorney has cooperated fully with
expenses of prosecuting the appeal be paid by appellate counsel in the preparation of the defend-
the state. The court may not consider the relative ant’s appeal as set forth in Section 43-33.
merits of a proposed appeal in acting upon an When the judicial authority has appointed an
application pursuant to this section except that attorney in private practice to represent the
the court may consider the criteria contained in defendant upon appeal, the attorney shall obtain
General Statutes § 52-259b. the approval of the judicial authority who presided
Before incurring any expense in excess of $100, at the trial before incurring any expense in excess
including the expense of obtaining a transcript of $100, including the expense of obtaining a tran-
of the necessary proceedings or testimony, the script of the necessary proceedings or testimony.
applicant shall obtain the permission of the judge The judicial authority shall authorize a transcript
who presided at the applicant’s trial. The judge at state expense only of the portions of proceed-
shall authorize a transcript at state expense only ings or testimony which may be pertinent to the
of the portions of testimony or proceedings which issues on appeal.
may be pertinent to the issues on appeal. The sole remedy of any defendant desiring the
The sole remedy of any party desiring the court court to review an order concerning the waiver of
to review an order concerning the waiver of fees, fees, costs and security or the appointment of
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Sec. 63-7 RULES OF APPELLATE PROCEDURE
counsel shall be by motion for review under Sec- obtain a receipt acknowledging delivery. The date
tion 66-6. of the receipt is the date of delivery. Each court
(P.B. 1978-1997, Sec. 4018.) (Amended July 21, 1999, to recording monitor shall forward the certificates of
take effect Jan. 1, 2000; amended Sept. 16, 2015, to take delivery to the official court reporter. Upon receipt
effect Jan. 1, 2016; amended July 23, 2019, to take effect
Jan. 1, 2020.)
of all the certificates of delivery, the official court
reporter shall deliver to the ordering party a certifi-
Sec. 63-8. Ordering and Filing of Paper Tran- cate of completion stating the total number of
scripts pages in the entire transcript order and the date
(Amended Sept. 16, 2015, to take effect Jan. 1, 2016.) of final delivery of the transcript order.
(a) Prior to the deadline for compliance with (d) Upon receipt of the certificate of completion
Section 63-4 (a) (3), the appellant shall, subject from the official court reporter, the ordering party
to Section 63-6 or 63-7 if applicable, order from shall file with the appellate clerk the certificate of
an official court reporter a transcript of the parts completion along with a certification that a copy
of the proceedings not already on file which the of the certificate of completion has been delivered
appellant deems necessary for the proper presen- to all counsel of record in accordance with Section
tation of the appeal. Such order shall specify the 62-7.
case name, docket number, judge’s name(s), and (e) (1) The appellant is required, either before
hearing date(s), and include a brief, detailed state- or simultaneously with the filing of the appellant’s
ment describing the parts of the proceedings of brief, to file with the appellate clerk one unmarked,
which a transcript has been ordered. If any other nonreturnable copy of the transcript, including a
party deems other parts of the transcript neces- copy of the official court reporter’s certification
sary that were not ordered by the appellant, that page, ordered pursuant to subsection (a).
party shall, within twenty days from the filing of (2) All other parties are likewise required, either
the appellant’s transcript papers, similarly order before or simultaneously with the filing of their
those parts from an official court reporter. Upon briefs, to file those additional portions ordered pur-
submission of a transcript order, the ordering party suant to subsection (a) but shall not include the
will be provided with an order confirmation that portions already filed by the appellant.
includes the information required above. (3) The party filing the transcript shall provide
(b) A party shall promptly make satisfactory the appellate clerk and all opposing counsel with
arrangements for payment of the costs of the tran- a list of the number, and inclusive dates, of the
script, pursuant to guidelines established by the volumes being filed. Form JD-CL-62, or one simi-
chief court administrator. After those arrange- lar to it, should be used to satisfy this subsection.
ments have been made, an official court reporter (P.B. 1978-1997, Sec. 4019.) (Amended April 3, 2002, to
shall provide to the ordering party an acknowledg- take effect Nov. 1, 2002; amended July 11, 2012, to take effect
Jan. 1, 2013; amended Sept. 16, 2015, to take effect Jan. 1,
ment of the order, with an estimated date of deliv- 2016; amended Oct. 18, 2016, to take effect Jan. 1, 2017;
ery and estimated number of pages in the amended June 15, 2021, to take effect Oct. 1, 2021.)
transcript order. The ordering party shall file the TECHNICAL CHANGE: In subsection (a), the reference to
acknowledgment with the appellate clerk with cer- Section 63-4 (a) (3) was updated.
tification pursuant to Section 62-7. If the final por-
tion of the transcript cannot be delivered on or Sec. 63-8A. Electronic Copies of Tran-
before the estimated delivery date on the acknowl- scripts
edgment, the official court reporter will, not later In addition to the requirements of Section 63-8:
than the next business day, provide to the ordering (a) Any party ordering a transcript of evidence
party an amended transcript order acknowledg- as part of an appeal, a writ of error, or a motion
ment with a revised estimated delivery date. The for review shall, at the same time, order from a
ordering party shall file the amended acknowledg- court recording monitor an electronic version of
ment form immediately with the appellate clerk the transcript. If the party received the paper tran-
with certification pursuant to Section 62-7. script prior to the filing of the appeal, the party
(c) An official court reporter shall cause each shall order an electronic version of the transcript
court recording monitor involved in the production within the period specified by these rules for the
of the transcript to prepare a certificate of delivery ordering of a transcript.
stating the number of pages in the transcript and (b) Whenever an electronic transcript is ordered
the date of its delivery to the party who ordered in accordance with this section, the court
it. If delivery is by mail, the transcript shall be recording monitor shall produce an electronic ver-
mailed first class certified, return receipt requested. sion of the transcript and deliver it to the ordering
The date of mailing is the date of delivery. If deliv- party and the official court reporter. Upon receipt
ery is by hand, the court recording monitor shall of all electronic versions of the transcript ordered,
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RULES OF APPELLATE PROCEDURE Sec. 63-10
the official court reporter shall deliver them to the to adhere to the times set for the filing of briefs.
appellate clerk, with a certification that the elec- Failure of counsel of record to attend a preargu-
tronic version of the transcript is accurate and a ment conference may result in the imposition of
copy of the certificate of completion. sanctions under Section 85-2. Unless other arrange-
(Adopted Sept. 12, 2002, to take effect Nov. 1, 2002; ments have been approved in advance by the
amended Sept. 16, 2015, to take effect Jan. 1, 2016; amended presiding judge, parties shall be present at the
Oct. 18, 2016, to take effect Jan. 1, 2017.)
preargument conference site and available for
Sec. 63-9. Filing Withdrawals of Appeals or consultation. When a party against whom a claim
Writs of Error is made is insured, an insurance adjuster for such
Prior to oral argument or the date the appeal insurance company shall be available by tele-
is assigned for disposition without oral argument, phone at the time of such preargument confer-
an appeal or writ of error may be withdrawn as ence unless the presiding judge, in his or her
of right by filing form JD-AC-008 with the appellate discretion, requires the attendance of the adjuster
clerk. The appellate clerk shall forward a copy to at the preargument conference. The preargument
the trial judge and the clerk of the trial court. conference proceedings shall not be brought to
After oral argument or the date the appeal is the attention of the court by the presiding judge
assigned for disposition without oral argument, an or any of the parties unless the preargument con-
appeal or writ of error may be withdrawn only on ference results in a final disposition of the appeal.
the granting of a motion to the court in which the The following matters may be considered:
matter is pending. (1) Possibility of settlement;
Unless an appeal or writ of error is withdrawn (2) Simplification of issues;
on the consent of the appellee without costs, costs (3) Amendments to the preliminary statement
shall be taxed as if the trial court judgment had of issues;
been affirmed. (4) Transfer to the Supreme Court;
(P.B. 1978-1997, Sec. 4038.) (Amended Sept. 16, 2015, (5) Timetable for the filing of briefs;
to take effect Jan. 1, 2016; amended June 15, 2016, to take (6) En banc review; and
effect Sept. 30, 2016.) (7) Such other matters as the presiding judge
shall consider appropriate.
Sec. 63-10. Preargument Conferences All matters scheduled for a preargument confer-
The chief justice or the chief judge or a designee ence before a judge trial referee are referred to
may, in cases deemed appropriate, direct that that official by the chief court administrator pursu-
conferences of the parties be scheduled in advance ant to General Statutes § 52-434a, which vests
of oral argument. All civil cases are eligible for judge trial referees with the same powers and
preargument conferences except habeas corpus jurisdiction as Superior Court judges and senior
appeals, appeals involving juvenile matters, judges, including the power to implement settle-
including child protection appeals as defined in ments by opening and modifying judgments.
Section 79a-1, summary process appeals, fore- (P.B. 1978-1997, Sec. 4103.) (Amended July 21, 1999, to
closure appeals, and appeals from the suspen- take effect Jan. 1, 2000; amended April 6, 2011, to take effect
sion of a motor vehicle license due to operating Jan. 1, 2012; amended July 8, 2015, to take effect Jan. 1,
2016; amended Oct. 24, 2018, to take effect Jan. 1, 2019;
under the influence of liquor or drugs. amended July 31, 2019, to take effect Jan. 1, 2020; amended
In any exempt case, all parties appearing and Jan. 12, 2021, on an interim basis, to take effect Jan. 26,
participating in the appeal may file a joint request 2021, and amendment adopted June 15, 2021, to take effect
for a preargument conference. In a foreclosure Jan. 1, 2022; amended July 19, 2022, to take effect Jan.
case, the request for a preargument conference 1, 2023.)
is sufficient if jointly submitted by the owner of the HISTORY—2023: In the third paragraph, ‘‘preargument’’
was added before each instance of ‘‘conference,’’ and ‘‘confer-
equity and the foreclosing party. In any exempt ence’’ was deleted and replaced with ‘‘presiding’’ before each
case, however, the chief justice or the chief judge instance of ‘‘judge.’’ In addition, in the last sentence of the
or a designee may, if deemed appropriate, order third paragraph, ‘‘officer’’ was deleted after ‘‘presiding,’’ and
a preargument conference. was replaced with ‘‘judge.’’
The chief justice may designate a judge of the In addition, in subdivision (7), ‘‘conference’’ was deleted
and replaced with ‘‘presiding’’ before ‘‘judge.’’
Superior Court, a senior judge or a judge trial COMMENTARY—2023: These amendments make techni-
referee to preside at a preargument conference. cal changes to the rule to refer to the presiding judge at the
The scheduling of or attendance at a preargument preargument conference in a consistent manner.
conference shall not affect the duty of the parties
463
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Sec. 64-1 RULES OF APPELLATE PROCEDURE
CHAPTER 64
PROCEDURE CONCERNING MEMORANDUM OF DECISION
Sec. Sec.
64-1. Statement of Decision by Trial Court; When Required; 64-2. Exceptions to Section 64-1
How Stated; Contents
For previous Histories and Commentaries see the editions of the Practice Book
corresponding to the years of the previous amendments.
Sec. 64-1. Statement of Decision by Trial in any case covered by subsection (a), the appel-
Court; When Required; How Stated; Contents lant may file with the appellate clerk a notice that
(Amended July 23, 1998, to take effect Jan. 1, 1999.) the decision has not been filed in compliance with
(a) The trial court shall state its decision either subsection (a). The notice shall specify the trial
judge involved and the date of the ruling for which
orally or in writing, in all of the following: (1) in
no memorandum of decision was filed. The appel-
rendering judgments in trials to the court in civil late clerk shall promptly notify the trial judge of
and criminal matters, including rulings regarding the filing of the appeal and the notice. The trial
motions for stay of executions, (2) in ruling on court shall thereafter comply with subsection (a).
aggravating and mitigating factors in capital pen- (P.B. 1978-1997, Sec. 4059.) (Amended July 23, 1998, to
alty hearings conducted to the court, (3) in ruling take effect Jan. 1, 1999; amended June 2, 2010, to take effect
Jan. 1, 2011; amended Sept. 16, 2015, to take effect Jan.
on motions to dismiss under Section 41-8, (4) in 1, 2016.)
ruling on motions to suppress under Section 41-
12, (5) in granting a motion to set aside a verdict Sec. 64-2. Exceptions to Section 64-1
under Section 16-35, and (6) in making any other (a) In any uncontested matter where no aspect
rulings that constitute a final judgment for pur- of the matter is in dispute, in any pendente lite
poses of appeal under Section 61-1, including family relations matter whether contested or
uncontested, or in any dismissal under Section
those that do not terminate the proceedings. The 14-3, the oral or written decision as provided in
court’s decision shall encompass its conclusion Section 64-1 is not required. The trial clerk shall,
as to each claim of law raised by the parties and however, promptly notify the trial judge of the filing
the factual basis therefor. If oral, the decision shall of the appeal.
be recorded by an official court reporter or court (b) Within twenty days from the filing of an
recording monitor, and, if there is an appeal, the appeal from a contested pendente lite order or
trial court shall create a memorandum of decision from a dismissal under Section 14-3 in which an
for use in the appeal by ordering a transcript of oral or written decision has not been made pursu-
the portion of the proceedings in which it stated ant to subsection (a), each party to the appeal
its oral decision. The transcript of the decision shall shall file a brief with the trial court discussing
be signed by the trial judge and filed with the clerk the legal and factual issues in the matter. Within
of the trial court. This section does not apply in twenty days after the briefs have been filed by
the parties, the court shall file a written memoran-
small claims actions and to matters listed in Sec- dum of decision stating the factual basis for its
tion 64-2. decision on the issues in the matter and its conclu-
(b) If the trial judge fails to file a memorandum sion as to each claim of law raised by the parties.
of decision or sign a transcript of the oral decision (P.B. 1978-1997, Sec. 4060.)
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RULES OF APPELLATE PROCEDURE Sec. 65-3
CHAPTER 65
TRANSFER OF MATTERS
(Amended July 19, 2022, to take effect Jan. 1, 2023.)
HISTORY—2023: ‘‘Cases’’ was deleted and replaced with ‘‘Matters.’’
Sec. Sec.
65-1. Transfer of Matter by Supreme Court 65-3. Transfer of Petition for Review of Bail Order from
65-1A. Transfer of Matter on Recommendation of Appel- Appellate Court to Supreme Court
late Court 65-4. Transfer of Matter Brought to Wrong Court
65-2. Party Motion to Transfer Appeal, Writ of Error or 65-5. Proceedings after Transfer
Reservation
For previous Histories and Commentaries see the editions of the Practice Book
corresponding to the years of the previous amendments.
Sec. 65-1. Transfer of Matter by Supreme may move for transfer to the Supreme Court. The
Court motion, addressed to the Supreme Court, shall
(Amended July 19, 2022, to take effect Jan. 1, 2023.) specify, in accordance with provisions of Section
Pursuant to General Statutes § 51-199 (c), the 66-2, the reasons why the party believes that the
Supreme Court may transfer a matter to itself from Supreme Court should hear the matter directly. A
the Appellate Court or from itself to the Appel- copy of the memorandum of decision of the trial
late Court. court, if any, shall be attached to the motion. The
(P.B. 1978-1997, Sec. 4023.) (Amended June 5, 2013, to filing of a motion for transfer shall not stay pro-
take effect July 1, 2013; amended July 19, 2022, to take effect
Jan. 1, 2023.)
ceedings in the Appellate Court.
(P.B. 1978-1997, Secs. 4024; 4135.) (Amended Sept. 16,
HISTORY—2023: Prior to 2023, this section provided:
‘‘When, pursuant to General Statutes § 51-199 (c), the 2015, to take effect Jan. 1, 2016; amended July 19, 2022, to
Supreme Court (1) transfers to itself a cause in the Appellate take effect Jan. 1, 2023.)
Court, or (2) transfers a cause or a class of causes from itself HISTORY—2023: Prior to 2023, this section was titled
to the Appellate Court, the appellate clerk shall notify all parties ‘‘Motion for Transfer from Appellate Court to Supreme Court.’’
and the clerk of the trial court that the appeal has been trans- In addition, in the first sentence, ‘‘, writ of error or reserva-
ferred. A case so transferred shall be entered upon the docket tion’’ was added after ‘‘appeal,’’ and ‘‘the case’’ was deleted
of the court to which it has been transferred. There shall be after ‘‘in no event after’’ and replaced with ‘‘it.’’ In addition, in
no fee on such transfer. The appellate clerk may require the the second sentence, ‘‘appeal’’ was deleted before ‘‘directly’’
parties to take such steps as may be necessary to make the and replaced with ‘‘matter.’’
appeal conform to the rules of the court to which it has been In addition, what had been the second paragraph was
transferred, for example, supply the court with additional cop- deleted.
ies of the briefs and party appendices, if any.’’ COMMENTARY—2023: These amendments clarify existing
COMMENTARY—2023: These amendments clarify appellate practice.
existing appellate practice.
Sec. 65-3. Transfer of Petition for Review of
Sec. 65-1A. Transfer of Matter on Recom- Bail Order from Appellate Court to
mendation of Appellate Court Supreme Court
If, at any time before the final determination of (Amended July 19, 2022, to take effect Jan. 1, 2023.)
a matter, the Appellate Court is of the opinion Whenever a petition for review of an order of
that the matter is appropriate for Supreme Court
the Superior Court concerning release is filed in
review, the Appellate Court may notify the
the Appellate Court pursuant to General Statutes
Supreme Court of the reasons why transfer is
appropriate. The Supreme Court will then deter- § 54-63g in any case on appeal to the Supreme
mine if the matter will be transferred. Court or where the defendant could appeal to the
(Adopted July 19, 2022, to take effect Jan. 1, 2023.) Supreme Court if convicted, such petition shall be
COMMENTARY—2023: This new section clarifies existing transferred to the Supreme Court pursuant to the
appellate practice. exercise of the Supreme Court’s transfer jurisdic-
Sec. 65-2. Party Motion to Transfer Appeal, tion under General Statutes § 51-199 (c) for review
Writ of Error or Reservation of such order.
(P.B. 1978-1997, Sec. 4025.) (Amended July 19, 2022, to
(Amended July 19, 2022, to take effect Jan. 1, 2023.) take effect Jan. 1, 2023.)
After the filing of an appeal, writ of error or HISTORY—2023: Prior to 2023, this section was titled
reservation in the Appellate Court, but in no event ‘‘Transfer of Petitions for Review of Bail Orders from Appellate
after it has been assigned for hearing, any party Court to Supreme Court.’’
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Sec. 65-3 RULES OF APPELLATE PROCEDURE
COMMENTARY—2023: These amendments were made and entered on its docket. Any timely filed appeal or cause
for consistency. transferred shall be considered timely filed in the appropriate
court. The appellate clerk shall notify all parties and the clerk
Sec. 65-4. Transfer of Matter Brought to of the trial court that the appeal or cause has been transferred.
Wrong Court In the event that an appeal or cause is so transferred, no
(Amended July 19, 2022, to take effect Jan. 1, 2023.) additional fees will be due.’’
COMMENTARY—2023: These amendments clarify existing
Any matter brought to the Supreme Court or appellate practice.
the Appellate Court which is not properly within
the jurisdiction of the court to which it is brought Sec. 65-5. Proceedings after Transfer
shall not be dismissed for the reason that it was The appellate clerk shall notify all parties and
brought to the wrong court but shall be transferred the clerk of the trial court that a matter has been
by the appellate clerk to the court with jurisdiction transferred. The transferred matter shall be
and entered on its docket. Any timely filed matter entered upon the docket of the court to which it
that is transferred shall be considered timely filed was transferred. There shall be no fee on such
in the appropriate court. transfer. The appellate clerk may require the par-
(P.B. 1978-1997, Sec. 4027.) (Amended Sept. 16, 2015, ties to take such steps as may be necessary to
to take effect Jan. 1, 2016; amended July 19, 2022, to take
effect Jan. 1, 2023.)
make the matter conform to the rules of the court
HISTORY—2023: Prior to 2023, this section was titled to which it has been transferred, for example, sup-
‘‘Transfer of Matters Brought to Wrong Court,’’ and provided: ply the court with additional copies of briefs and
‘‘Any appeal or cause brought to the Supreme Court or the party appendices, if any.
Appellate Court which is not properly within the jurisdiction of (Adopted July 19, 2022, to take effect Jan. 1, 2023.)
the court to which it is brought shall not be dismissed for the COMMENTARY—2023: This new section clarifies existing
reason that it was brought to the wrong court but shall be appellate practice and consolidates information previously
transferred by the appellate clerk to the court with jurisdiction contained in multiple rules.
466
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RULES OF APPELLATE PROCEDURE Sec. 66-1
CHAPTER 66
MOTIONS AND OTHER PROCEDURES
Sec. Sec.
66-1. Extension of Time 66-4. Hearings on Motions
66-2. Motions, Petitions and Applications; Supporting 66-5. Motion for Rectification; Motion for Articulation
Memoranda 66-6. Motion for Review; In General
66-2A. Supreme Court Briefs on Compact Disc; Hyperlink- 66-7. Motion for Review of Motion for Rectification of
ing [Repealed] Appeal or Articulation
66-3. Motion Procedures and Filing 66-8. Motion To Dismiss
For previous Histories and Commentaries see the editions of the Practice Book
corresponding to the years of the previous amendments.
Sec. 66-1. Extension of Time (c) The appellate clerk is authorized to grant or
(a) Motions to extend the time limit for filing an to deny motions for extension of time promptly
appeal shall be filed with the clerk of the trial court. upon their filing. Motions for extension of time to
Except as otherwise provided in these rules, the complete any step necessary to prosecute or to
judge who tried the case may, for good cause defend the appeal, to move for or to oppose a
shown, extend the time limit provided for filing the motion for reconsideration, or to petition for or to
appeal, except that such extension shall be of no oppose a petition for certification will not be
effect if the time within which the appeal must be granted except for good cause. Claims of good
filed is set by statute and is a time limit that the cause shall be raised promptly after the cause
legislature intended as a limit on the subject mat- arises.
ter jurisdiction of the court in which the appeal is (d) An opposing party who objects to a motion
filed. In no event shall the trial judge extend the for extension of time filed pursuant to subsection
time for filing the appeal to a date which is more (b) of this section shall file an objection with rea-
than twenty days from the expiration date of the sons in support thereof with the appellate clerk
appeal period. Where a motion for extension of within five days from the filing of the motion. Par-
the period of time within which to appeal has been ties that are exempt from electronic filing pursuant
filed at least ten days before expiration of the time to Section 60-8 shall file the objection within ten
limit sought to be extended, the party seeking days from the filing of the motion.
to appeal shall have no less than ten days from (e) No motion under this rule shall be granted
issuance of notice of denial of the motion to file unless it is filed before the time limit sought to be
the appeal. extended by such motion has expired.
(b) Motions to extend the time limit for filing any (f) Any action by the trial judge pursuant to sub-
appellate document, other than the appeal or a section (a) of this section or the appellate clerk
motion for review of a ruling concerning a stay of pursuant to subsection (c) of this section is review-
execution pursuant to Section 61-14, shall be filed able pursuant to Section 66-6.
with the appellate clerk. The motion shall set forth (P.B. 1978-1997, Sec. 4040.) (Amended July 21, 1999, to
the reason for the requested extension and shall take effect Jan. 1, 2000; amended Feb. 1, 2005, to take effect
be accompanied by a certification that complies Jan. 1, 2006; amended Jan. 29, 2009, to take effect March
with Section 62-7. An attorney filing such a motion 1, 2009; amended July 30, 2009, to take effect Jan. 1, 2010;
amended Sept. 16, 2015, to take effect Jan. 1, 2016; amended
on a client’s behalf shall also indicate that a copy July 23, 2020, to take effect Jan. 1, 2021; amended July 19,
of the motion has been delivered to each of his 2022, to take effect Jan. 1, 2023.)
or her clients who are parties to the appeal. The HISTORY—2023: In subsection (d), what is now the last
moving party shall also include a statement as to sentence was added. In addition, in subsection (e), what had
whether the other parties consent or object to the been the first sentence, ‘‘A motion for extension of time shall
motion. A motion for extension of time to file a be filed at least ten days before the expiration of the time limit
brief must specify the current status of the brief sought to be extended or, if the cause for such extension arises
during the ten day period, as soon as reasonably possible
or preparations therefor, indicate the estimated after such cause has arisen.’’ was deleted.
date of completion, and, in criminal cases, state COMMENTARY—2023: The purpose of the amendment
whether the defendant is incarcerated as a result to subsection (d) is to give parties who are exempt from e-
of the proceeding in which the appeal has been filing, which includes incarcerated self-represented litigants,
filed. an additional five days to object to a motion for an extension
467
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Sec. 66-1 RULES OF APPELLATE PROCEDURE
of time. The amendment to subsection (e) conforms the rule numbers in the caption of the case; (2) state in
to what has been treated as mandatory as a matter of practice. the first paragraph the name of the trial judge, or
Sec. 66-2. Motions, Petitions and Applica- panel of judges, who issued the order or orders
tions; Supporting Memoranda to be reviewed; (3) include a proper order for the
trial court if required by Section 11-1; and (4) com-
(a) Motions, petitions and applications shall be ply with the requirements of Section 66-3. Such
specific. No motion, petition or application will be motions will be forwarded to the trial court by the
considered unless it clearly sets forth in separate appellate clerk.
paragraphs appropriately captioned: (1) a brief (f) When the appellate clerk issues an order on
history of the case; (2) the specific facts upon a motion, petition or application, the official notice
which the moving party relies; and (3) the legal date shall be the date indicated on the order for
grounds upon which the moving party relies. A notice to the clerk of the trial court and all counsel
separate memorandum of law may but need not of record. The official notice date is not the date
be filed. If the moving party intends to file a memo- that such order is received.
randum of law in support of the motion, petition (P.B. 1978-1997, Sec. 4041.) (Amended June 2, 2010, to
or application, however, such memorandum shall take effect Jan. 1, 2011; amended July 26, 2012, to take effect
be filed either as an appendix to or as a part of the Jan. 1, 2013; amended Sept. 16, 2015, to take effect Jan. 1,
motion, petition or application. A party intending 2016; amended Oct. 18, 2017, to take effect Jan. 1, 2018.)
to oppose a motion, petition or application shall file Sec. 66-2A. Supreme Court Briefs on Com-
a brief statement clearly setting forth in separate pact Disc; Hyperlinking
paragraphs appropriately captioned the factual
[Repealed as of Jan. 1, 2016.]
and legal grounds for opposition within ten days
after the filing of the motion, petition or application. Sec. 66-3. Motion Procedures and Filing
If an opposing party chooses to file a memoran- All motions, petitions, applications, memoranda
dum of law in opposition to a motion, petition or of law, stipulations, and oppositions shall be filed
application, that party shall do so within ten days with the appellate clerk in accordance with the
after the filing of the motion, petition or applica- provisions of Sections 60-7 and 60-8 and dock-
tion. An opposition shall not include any request eted upon filing. The submission may be returned
for relief that should be filed as a separate motion or rejected for noncompliance with the Rules of
by the opposing party to the motion, petition or Appellate Procedure. All papers shall contain a
application. Responses to oppositions are not certification that a copy has been delivered to
permitted. Except as provided in subsection (e) each other counsel of record in accordance with
below, no proposed order is required. the provisions of Section 62-7.
(b) Except with special permission of the appel- No paper mentioned above shall be filed after
late clerk, the motion, petition or application and expiration of the time for its filing unless the filer
memorandum of law filed together shall not demonstrates good cause for its untimeliness in
exceed ten pages, and the memorandum of law a separate section captioned ‘‘good cause for late
in opposition thereto shall not exceed ten pages. filing.’’ No motion directed to the trial court that is
(c) Where counsel for the moving party certifies required to be filed with the appellate clerk shall
that all other parties to the appeal have consented be filed after expiration of the time for its filing,
to the granting of the motion, petition or applica- except on separate written motion accompanied
tion, the motion, petition or application may be by the proposed trial court motion and by consent
submitted to the court immediately upon filing and of the Supreme or Appellate Court. No amend-
may be acted upon without awaiting expiration of ment to any of the above mentioned papers shall
the time for filing opposition papers. Notice of such be filed except on written motion and by consent
consent certification shall be indicated on the first of the court.
page of the document. Motions shall be typewritten and fully double
(d) Motions which are not dispositive of the spaced, and shall not exceed three lines to the
appeal may be ruled upon by one or more mem- vertical inch or twenty-seven lines to the page.
bers of the court subject to review by a full panel Footnotes and block quotations may be single
upon a motion for reconsideration pursuant to spaced. Only the following two fonts, of 12 point
Section 71-5. or larger size, are approved for use in motions:
(e) Motions that are directed to the trial court, Arial and Univers. Each page of a motion, petition,
such as motions to terminate stay pursuant to application, memorandum of law, stipulation and
Section 61-11 or motions for rectification or articu- opposition shall have as a minimum the following
lation pursuant to Section 66-5, shall: (1) include margins: top, 1 inch; left, 1 and 1/4 inch; right, 1/2
both the trial court and the Appellate Court docket inch; and bottom, 1 inch.
468
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RULES OF APPELLATE PROCEDURE Sec. 66-5
Any preappeal motion, petition, application or over, the subject matter of the motion for rectifica-
opposition filed by an entity as defined in Section tion or articulation for a decision on the motion. If
60-4 in a civil matter shall be accompanied by a any party requests it and it is deemed necessary
certificate of interested entities or individuals filed by the trial court, the trial court shall hold a hearing
by counsel of record. at which arguments may be heard, evidence taken
(P.B. 1978-1997, Sec. 4042.) (Amended Oct. 16, 2002, to or a stipulation of counsel received and approved.
take effect Jan. 1, 2003; amended May 15, 2003, to take effect The trial court may make such corrections or addi-
Jan. 1, 2004; amended Sept. 16, 2015, to take effect Jan. 1,
2016; amended June 15, 2016, to take effect Sept. 30, 2016;
tions as are necessary for the proper presentation
amended Oct. 24, 2018, to take effect Jan. 1, 2019; amended of the issues. The clerk of the trial court shall list
July 19, 2022, to take effect Jan. 1, 2023.) the decision on the trial court docket and shall
HISTORY—2023: What is now the last paragraph was send notice of the court’s decision on the motion
added. to the appellate clerk, and the appellate clerk shall
COMMENTARY—September, 2016: These amendments issue notice of the decision to all counsel of
eliminate the requirement of filing a motion for permission to file record.
a late paper in the Supreme or Appellate Court. For example,
a party may file a late motion for review, provided that the
Nothing herein is intended to affect the existing
motion includes a separate section demonstrating good cause practice with respect to opening and correcting
for its untimeliness. Motions that are directed to the trial court judgments and the records on which they are
that are filed with the appellate clerk’s office, for example, based. The trial court shall file any such order
motions for articulation or rectification, still require a separate changing the judgment or the record with the
motion for permission to file late and must include the proposed appellate clerk.
trial court motion. This section does not apply to the late filing
of the following: briefs, preliminary papers, writs of error, reser- Corrections or articulations made before the
vations, appeals, certified questions, and certification pursuant clerk appendix is prepared shall be included in
to General Statutes § 52-265a. See Section 60-2. the clerk appendix. Corrections or articulations
COMMENTARY—2023: This amendment describes when made after the clerk appendix is prepared but
a certificate of interested entities or individuals is required to before the appellant’s brief is prepared shall be
be filed. included in the appellant’s party appendix. Correc-
Sec. 66-4. Hearings on Motions tions or articulations made after the appellant’s
brief has been filed, but before the appellee’s brief
Hearings on motions will be assigned only upon has been filed, shall be included in the appellee’s
order of the court and only in exceptional cases. party appendix.
In cases involving incarcerated self-represented The sole remedy of any party desiring the court
parties, hearings on motions may be conducted having appellate jurisdiction to review the trial
by videoconference upon direction of the court. court’s decision on the motion filed pursuant to
(P.B. 1978-1997, Sec. 4043.) (Amended April 6, 2011, to
take effect Jan. 1, 2012; amended June 15, 2016, to take this section or any other correction or addition
effect Sept. 30, 2016.) ordered by the trial court during the pendency of
the appeal shall be by motion for review under
Sec. 66-5. Motion for Rectification; Motion Section 66-7.
for Articulation Upon the filing of a timely motion pursuant to
A motion seeking corrections in the transcript Section 66-1, the appellate clerk may extend the
or the trial court record or seeking an articulation time for filing briefs until after the trial court has
or further articulation of the decision of the trial ruled on a motion made pursuant to this section
court shall be called a motion for rectification or or until a motion for review under Section 66-7
a motion for articulation, whichever is applicable. is decided.
Any motion filed pursuant to this section shall state Any motion for rectification or articulation shall
with particularity the relief sought and shall be be filed at least ten days prior to the deadline
filed with the appellate clerk. Any other party may for filing the appellant’s brief, unless otherwise
oppose the motion by filing an opposition with the ordered by the court. If a final order has been
appellate clerk within ten days of the filing of the issued for the appellant’s brief, no motion for recti-
motion for rectification or articulation. The trial fication or articulation shall be filed without permis-
court may, in its discretion, require assistance sion of the court. No motion for rectification or
from the parties in providing an articulation. Such articulation shall be filed after the filing of the
assistance may include, but is not limited to, provi- appellant’s brief except for good cause shown.
sion of copies of transcripts and exhibits. A motion for further articulation may be filed by
The appellate clerk shall forward the motion for any party within twenty days after issuance of
rectification or articulation and the opposition, if notice of the filing of an articulation by the trial
any, to the trial judge who decided, or presided judge. A motion for extension of time to file a
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Sec. 66-5 RULES OF APPELLATE PROCEDURE
motion for articulation shall be filed in accordance withdrawal of appointed appellate counsel pursu-
with Section 66-1. ant to Section 62-9 (d). Motions for review shall
(P.B. 1978-1997, Sec. 4051.) (Amended July 21, 1999, to be filed within ten days from the issuance of notice
take effect Jan. 1, 2000; amended July 24, 2002, to take effect of the order sought to be reviewed. Motions for
Oct. 1, 2002; amended June 5, 2013, to take effect July 1, review of the clerk’s taxation of costs under judg-
2013; amended Sept. 16, 2015, to take effect Jan. 1, 2016;
amended March 15, 2017, to take effect June 15, 2017;
ments of the court having appellate jurisdiction
amended July 19, 2022, to take effect Jan. 1, 2023.) shall be governed by Section 71-3.
HISTORY—2023: Prior to 2023, the fourth paragraph pro- If a motion for review of a decision depends on
vided: ‘‘Corrections or articulations made before the clerk a transcript of evidence or proceedings taken by
appendix, if applicable, is prepared shall be included in the an official court reporter or court recording moni-
clerk appendix. Corrections or articulations made after the tor, the moving party shall file with the motion
clerk appendix, if applicable, is prepared but before the appel-
either a transcript or a copy of the transcript order
lant’s brief and appendix or party appendix are prepared shall
be included in the appellant’s appendix or party appendix. confirmation. The opposing party may, within one
Corrections or articulations made after the appellant’s brief week after the transcript or the copy of the order
and appendix or party appendix have been filed, but before confirmation is filed by the moving party, file either
the appellee’s brief and appendix or party appendix have been a transcript of additional evidence or a copy of the
filed, shall be included in the appellee’s appendix or party order confirmation for additional transcript. Parties
appendix. When corrections or articulations are made after filing or ordering a transcript shall order an elec-
both parties’ briefs and appendices have been filed, the appel-
lant shall file the corrections or articulations as an addendum
tronic version of the transcript in accordance with
to its appendix or party appendix. Any addendum shall be filed Section 63-8A.
within ten days after issuance of notice of the trial court’s order (P.B. 1978-1997, Sec. 4053.) (Amended April 3, 2002, to
correcting the record or articulating the decision.’’ take effect Nov. 1, 2002; amended June 2, 2005, to take effect
In addition, prior to 2023, the seventh paragraph provided: Jan. 1, 2006; amended June 15, 2021, to take effect Oct.
‘‘Any motion for rectification or articulation shall be filed within 1, 2021.)
thirty-five days after the delivery of the last portion of the TECHNICAL CHANGE: The changes to this section are
transcripts or, if none, after the filing of the appeal, or, if no consistent with the adoption of Public Acts 2021, No. 21-
memorandum of decision was filed before the filing of the 18, § 1, codified at General Statutes (Supp. 2022) § 31-275d,
appeal, after the filing of the memorandum of decision. If the which replaced the term ‘‘workers’ compensation commis-
court, sua sponte, sets a different deadline from that provided sioner’’ with ‘‘administrative law judge.’’
in Section 67-3 or 67-3A for filing the appellant’s brief, a motion
for rectification or articulation shall be filed ten days prior to
Sec. 66-7. Motion for Review of Motion for
the deadline for filing the appellant’s brief, unless otherwise Rectification of Appeal or Articulation
ordered by the court. The filing deadline may be extended for Any party aggrieved by the action of the trial
good cause. No motion for rectification or articulation shall be judge regarding rectification of the appeal or artic-
filed after the filing of the appellant’s brief except for good ulation under Section 66-5 may, within ten days
cause shown.’’
COMMENTARY—2023: These amendments make the rule
of the issuance of notice by the appellate clerk
consistent with the recently enacted amendments regarding of the decision from the trial court sought to be
the preparation of the clerk appendix and to reflect the current reviewed, file a motion for review with the appel-
practice that, if a final order has been issued for the appellant’s late clerk, and the court may, upon such a motion,
brief, the appellant must obtain permission of the court before direct any action it deems proper. If the motion
filing a motion for rectification or articulation. depends upon a transcript of evidence or pro-
TECHNICAL CHANGE: Technical changes were made to
the fourth paragraph for purposes of consistency.
ceedings taken by an official court reporter or
court recording monitor, the procedure set forth
Sec. 66-6. Motion for Review; In General in Section 66-6 shall be followed. Corrections or
The court may, on written motion for review articulations which the trial court makes or orders
stating the grounds for the relief sought, modify made pursuant to this section shall be included
or vacate any order made by the trial court under in the appendices as indicated in Section 66-5.
(P.B. 1978-1997, Sec. 4054.) (Amended June 5, 2013, to
Section 66-1 (a); any action by the appellate clerk take effect July 1, 2013; amended Sept. 16, 2015, to take
under Section 66-1 (c); any order made by the effect Jan. 1, 2016.)
trial court, or by the administrative law judge in
cases arising under General Statutes § 31-290a Sec. 66-8. Motion To Dismiss
(b), relating to the perfecting of the record for an Any claim that an appeal or writ of error should
appeal or the procedure of prosecuting or defending be dismissed, whether based on lack of jurisdic-
against an appeal; any order made by the trial tion, failure to file papers within the time allowed
court concerning a stay of execution in a case on or other defect, shall be made by a motion to
appeal; any order made by the trial court concern- dismiss the appeal or writ. Any such motion must
ing the waiver of fees, costs and security under be filed in accordance with Sections 66-2 and 66-
Section 63-6 or 63-7; or any order concerning the 3. A motion to dismiss an appeal or writ of error
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that claims a lack of jurisdiction may be filed at the writ of error, and such defendant in error
any time. A motion for sanctions filed pursuant to claims a defect in the writ other than lack of juris-
Section 85-1, 85-2 or 85-3 may be filed at any time. diction, a motion to dismiss must be filed within
A motion to dismiss an appeal that claims any thirty days after the return day.
defect other than a lack of jurisdiction must be If the ground alleged for dismissal of an appeal
filed within ten days after the filing of the appeal. or writ of error, other than a lack of jurisdiction,
A motion to dismiss a writ of error that claims subsequently arises, a motion to dismiss must be
any defect other than a lack of jurisdiction must filed within ten days after such ground for dis-
missal arises.
be filed within ten days after the filing of an elec- The court may on its own motion order that an
tronically filed writ of error or, if the plaintiff in error appeal or writ of error be dismissed for lack of
is exempt from the electronic filing requirements, jurisdiction or other defect.
within ten days after the return day. If a defendant (P.B. 1978-1997, Sec. 4056.) (Amended July 19, 2017, to
in error was not a party to any action underlying take effect Oct. 8, 2017.)
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Sec. 67-1 RULES OF APPELLATE PROCEDURE
CHAPTER 67
BRIEFS
Sec. Sec.
67-1. Brief and Appendix (Applicable to appeals filed 67-5. The Appellee’s Brief; Contents and Organization
before October 1, 2021.) 67-5A. The Reply Brief (Applicable to appeals filed on or
67-1. Brief and Appendix (Applicable to appeals filed on after October 1, 2021.)
or after October 1, 2021.) 67-6. Statutory (§ 53a-46b) Review of Death Sentences
67-2. Format of Briefs and Appendices; Copies; Elec- 67-7. The Amicus Curiae Brief (Applicable to appeals
tronic Briefing Requirement (Applicable to filed before October 1, 2021.)
appeals filed before October 1, 2021.) 67-7A. The Amicus Curiae Electronic Brief (Applicable to
67-2. Format of Paper Briefs and Appendices for Filers appeals filed on or after October 1, 2021.)
Excluded or Exempt from Electronic Filing Pursu- 67-8. The Appendix; Contents and Organization (Appli-
ant to Section 60-8; Copies (Applicable to cable to appeals filed before October 1, 2021.)
appeals filed on or after October 1, 2021.) 67-8. The Party Appendix (Applicable to appeals filed on
67-2A. Format of Electronic Briefs and Party Appendices; or after October 1, 2021.)
Copies (Applicable to appeals filed on or after 67-8A. The Appendix in Administrative Appeals; Excep-
October 1, 2021.) tions (Transferred from Section 68-10.) (Applica-
67-3. Page Limitations; Time for Filing Briefs and Appen- ble to appeals filed before October 1, 2021.)
dices (Applicable to appeals filed before October 67-9. Citation of Unreported Decisions [Repealed only
1, 2021.) as to appeals filed on or after July 1, 2013.]
67-3. Page Limitations; Time for Filing Paper Briefs and 67-10. Citation of Supplemental Authorities after Brief Is
Appendices (Applicable to appeals filed on or after Filed
October 1, 2021.) 67-11. Table of Authorities; Citation of Cases
67-3A. Word Limitations; Time for Filing Electronic Briefs and 67-12. Stay of Briefing Obligations upon Filing of Certain
Party Appendices (Applicable to appeals filed on or Motions after Appeal Is Filed
after October 1, 2021.) 67-13. Briefs in Family and Juvenile Matters and Other
67-4. The Appellant’s Brief; Contents and Organization Matters involving Minor Children
For previous Histories and Commentaries see the editions of the Practice Book
corresponding to the years of the previous amendments.
Sec. 67-1. Brief and Appendix page by itself. The court may refuse to receive a
(Applicable to appeals filed before October 1, 2021.) brief not complying with this requirement.
In any brief or appendix, the plaintiff and (P.B. 1978-1997, Sec. 4064.) (Amended June 5, 2013, to
defendant shall be referred to as such rather than take effect July 1, 2013; amended June 18, 2014, to take
effect Sept. 1, 2014; amended June 15, 2021, to take effect
as appellant and appellee, wherever it is possible Oct. 1, 2021.)
to do so; on a reservation the plaintiff below shall
be regarded as the appellant. Sec. 67-2. Format of Briefs and Appendices;
Each brief shall contain a concise statement of Copies; Electronic Briefing Requirement
the principal issue or issues involved in the appeal. (Applicable to appeals filed before October 1, 2021.)
The statement ordinarily should not exceed one (Amended Jan. 29, 2009, to take effect March 1, 2009;
page in length and should be on a page by itself. amended June 5, 2013, to take effect July 1, 2013; amended
The court may refuse to receive a brief not comply- June 18, 2014, to take effect Sept. 1, 2014.)
ing with this requirement. (a) Briefs and appendices shall be typewritten
(P.B. 1978-1997, Sec. 4064.) (Amended June 5, 2013, to or clearly photocopied from a typewritten original
take effect July 1, 2013; amended June 18, 2014, to take on white 8 1/2 by 11 inch paper. Unless ordered
effect Sept. 1, 2014.)
otherwise, briefs shall be copied on one side of
Sec. 67-1. Brief and Appendix the page only. Appendices may be copied on both
(Applicable to appeals filed on or after October 1, 2021.) sides of the page. The page number for briefs
In any brief or appendix, the plaintiff and and appendices shall be centered on the bottom
defendant shall be referred to as such rather than of each page. The brief shall be fully double
as the appellant and appellee, wherever it is possi- spaced and shall not exceed three lines to the
ble to do so; on a reservation the plaintiff below vertical inch or twenty-seven lines to the page;
shall be regarded as the appellant. footnotes and block quotations may, however, be
Each brief shall contain a concise statement of single spaced. Only the following two typefaces,
the principal issue or issues involved in the of 12 point or larger size, are approved for use in
appeal. The statement ordinarily should be on one briefs: arial and univers. Each page of a brief or
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RULES OF APPELLATE PROCEDURE Sec. 67-2
appendix shall have as a minimum the following address, telephone number and e-mail address
margins: top, 1 inch; left, 1 and 1/4 inch; right, 1/2 of individual counsel who is to argue the appeal
inch; and bottom, 1 inch. Briefs and appendices and, if different, the name, address, telephone
shall be firmly bound 1/4 inch from the left side, number and e-mail address of the party’s counsel
at points approximately 1/4, 1/2 and 3/4 of the length of record. The foregoing shall be displayed in the
of the page, so as to make an easily opened upper case of an arial or univers typeface of 12
volume. point or larger size.
(b) When possible, parts one and two of the (g) Counsel of record filing a brief shall submit
appendix shall be bound together. In addition, an electronic version of the brief and appendix
parts one and two of the appendix may be bound in accordance with guidelines established by the
together with the brief. When, however, binding court and published on the Judicial Branch web-
the brief and appendix together would affect the site. The brief and appendix shall be submitted
integrity of the binding, the appendix shall be electronically as separate documents. The elec-
bound separately from the brief. When either part tronic version shall be submitted prior to the timely
of the appendix exceeds one hundred and fifty filing of the party’s paper brief and appendix pur-
pages, parts one and two of the appendix shall suant to subsection (h) of this section. Counsel
be separately bound. of record must certify that electronically submitted
(c) An appendix shall be paginated separately briefs and appendices: (1) have been delivered
from the brief. The appendix shall be numbered electronically to the last known e-mail address of
consecutively, beginning with the first page of part each counsel of record for whom an e-mail
one and ending with the last page of part two, address has been provided; and (2) have been
and preceded by the letter ‘‘A’’ (e.g., A1 . . . A25 redacted or do not contain any names or other
. . . A53). An appendix shall have an index of personal identifying information that is prohibited
the names of witnesses whose testimony is cited from disclosure by rule, statute, court order or
within it. If any part of the testimony of a witness case law.
is omitted, this shall be indicated by asterisks.
(h) If the appeal is in the Supreme Court, twelve
After giving the name of a witness, the party who
legible photocopies of each brief and appendix,
called that witness shall be designated, and it shall
be stated whether the testimony quoted was given if any, shall be filed with the appellate clerk. If
on direct, cross or other examination. the appeal is in the Appellate Court, eight legible
photocopies of each brief and appendix, if any,
(d) If constitutional provisions, statutes, ordi-
nances, regulations, or portions of the transcript shall be filed with the appellate clerk.
are contained in an appendix, they may be repro- (i) All copies of the brief filed with the Supreme
duced in their original form so long as the docu- Court or the Appellate Court must be accompa-
ment is not reduced to less than 75 percent of its nied by: (1) certification that a copy of the brief
original form. and appendix has been sent to each counsel of
(e) Briefs and separately bound appendices record in compliance with Section 62-7; (2) certifi-
shall have a suitable front cover of heavy paper cation that the brief and appendix being filed with
in the color indicated: briefs for appellants and the appellate clerk are true copies of the brief
plaintiffs in error, light blue; briefs for appellees and appendix that were submitted electronically
and defendants in error, pink; reply briefs, white; pursuant to subsection (g) of this section; (3) certi-
briefs for amicus curiae, light green. Covers of fication that the brief and appendix have been
briefs filed for cross appeals shall be of the same redacted or do not contain any names or other
color as indicated for that party on the original personal identifying information that is prohibited
appeal briefs. If a supplemental brief is ordered from disclosure by rule, statute, court order or
or permitted by the court, the cover shall be the case law; and (4) certification that the brief com-
same color as indicated for that party’s original plies with all provisions of this rule. The certifica-
brief. A back cover is not necessary; however, if tion that a copy of the brief and appendix has
one is used, it must be white. been sent to each counsel of record in compliance
(f) Briefs and separately bound appendices with Section 62-7 may be signed by counsel of
must bear on the cover, in the following order, record or the printing service, if any. All other
from the top of the page: (1) the name of the court; certifications pursuant to this subsection shall be
(2) the appellate docket number; (3) the appellate signed by counsel of record only.
case name; (4) the nature of the brief (e.g., brief (j) A copy of the electronic confirmation receipt
of the defendant-appellant; brief of the plaintiff- indicating that the brief and appendix were submit-
appellee on the appeal and of the plaintiff-cross ted electronically in compliance with subsection
appellant on the cross appeal); and (5) the name, (g) of this section shall be filed with the briefs.
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Sec. 67-2 RULES OF APPELLATE PROCEDURE
(k) Any request for deviation from the above on the bottom of each page and shall be written
requirements, including requests to deviate from as ‘‘Page X of XX’’ (e.g., Page 1 of 55 . . . Page
the requirement to redact or omit personal identi- 32 of 55 . . . Page 55 of 55). A party appendix
fying information or information that is prohibited shall have an index of the names of witnesses
from disclosure by rule, statute, court order or whose testimony is cited within it. If any part of
case law, shall be filed with the appellate clerk. the testimony of a witness is omitted, this shall
(P.B. 1978-1997, Sec. 4064A.) (Amended June 7, 2001, be indicated by asterisks. After giving the name
to take effect Sept. 1, 2001; amended Jan. 29, 2009, to take of a witness, the party who called that witness
effect March 1, 2009; amended June 2, 2010, to take effect shall be designated, and it shall be stated whether
Jan. 1, 2011; amended June 5, 2013, to take effect July 1,
2013; amended June 18, 2014, to take effect Sept. 1, 2014;
the testimony quoted was given on direct, cross
amended Sept. 16, 2015, to take effect Jan. 1, 2016; amended or other examination.
June 15, 2016, to take effect Aug. 1, 2016; amended Oct. 18, (d) If constitutional provisions, statutes, ordi-
2017, to take effect Jan. 1, 2018; amended Oct. 24, 2018, to nances, regulations, or portions of the transcript
take effect Jan. 1, 2019; amended June 15, 2021, to take are contained in a party appendix, they may be
effect Oct. 1, 2021.) reproduced in their original form so long as the
Sec. 67-2. Format of Paper Briefs and document is not reduced to less than 75 percent
Appendices for Filers Excluded or Exempt of its original form.
from Electronic Filing Pursuant to Section (e) Briefs and separately bound party appendi-
60-8; Copies ces, if any, shall have a suitable front cover of
white heavy paper. A back cover is not necessary;
(Applicable to appeals filed on or after October 1, 2021.)
(Amended Jan. 29, 2009, to take effect March 1, 2009; however, if one is used, it must be white.
amended June 5, 2013, to take effect July 1, 2013; amended (f) Briefs and separately bound party appendi-
June 18, 2014, to take effect Sept. 1, 2014; amended June ces, if any, must bear on the cover, in the following
15, 2021, to take effect Oct. 1, 2021.) order, from the top of the page: (1) the name of
(a) Briefs and party appendices, if any, shall the court; (2) the appellate docket number; (3) the
be typewritten or clearly photocopied from a type- appellate case name; (4) the nature of the brief
written original on white 8 1/2 by 11 inch paper. (e.g., brief of the defendant-appellant; brief of the
Unless ordered otherwise, briefs shall be copied plaintiff-appellee on the appeal and of the plaintiff-
on one side of the page only. Party appendices cross appellant on the cross appeal); and (5) the
may be copied on both sides of the page. The name, address, telephone number and e-mail
page number for briefs and party appendices shall address of individual counsel who is to argue the
be centered on the bottom of each page. The brief appeal and, if different, the name, address, tele-
shall be fully double spaced and shall not exceed phone number and e-mail address of the party’s
three lines to the vertical inch or twenty-seven counsel of record. The foregoing shall be dis-
lines to the page; footnotes and block quotations played in Arial or Univers font of 12 point or
may, however, be single spaced. Only the follow- larger size.
ing two fonts, of 12 point or larger size, are (g) If the appeal is in the Supreme Court, twelve
approved for use in briefs: Arial and Univers. Each legible photocopies of each brief and party appen-
page of a brief or party appendix shall have as a dix, if any, shall be filed with the appellate clerk.
minimum the following margins: top, 1 inch; left, If the appeal is in the Appellate Court, eight legible
1 and 1/4 inches; right, 1/2 inch; and bottom, 1 photocopies of each brief and party appendix, if
inch. Briefs and party appendices shall be firmly any, shall be filed with the appellate clerk.
bound 1/4 inch from the left side, at points approxi- (h) All copies of the brief filed with the Supreme
mately 1/4, 1/2 and 3/4 of the length of the page, Court or the Appellate Court must be accompa-
so as to make an easily opened volume. nied by a: (1) certification that a copy of the brief
(b) The brief and the party appendix, if any, and party appendix, if any, has been sent to each
may be bound together. When, however, binding counsel of record in compliance with Section 62-
the brief and party appendix together would affect 7; (2) certification that the brief and appendix have
the integrity of the binding, the party appendix been redacted or do not contain any names or
shall be bound separately from the brief. other personal identifying information that is pro-
(c) The brief and party appendix, if any, shall hibited from disclosure by rule, statute, court order
include a single pagination scheme that starts on or case law, except for briefs filed pursuant to
the cover page of the brief and continues through- Section 79a-6; and (3) certification that the brief
out the entire document, on every page, including complies with all provisions of this rule. The certifi-
the cover and table of contents for the party cation that a copy of the brief and party appendix
appendix through to the last page of the party has been sent to each counsel of record in compli-
appendix. The page numbers shall be centered ance with Section 62-7 may be signed by counsel
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of record or the printing service, if any. All other the cover and table of contents for the party
certifications pursuant to this subsection shall be appendix through to the last page of the party
signed by counsel of record only. appendix. The page numbers shall be centered
(i) Any request for deviation from the above on the bottom of each page and shall be written
requirements, including requests to deviate from as ‘‘Page X of XX’’ (e.g., Page 1 of 55 . . . Page
the requirement to redact or omit personal identi- 32 of 55 . . . Page 55 of 55). The party appendix
fying information or information that is prohibited shall have an index of the names of witnesses
from disclosure by rule, statute, court order or whose testimony is cited within it. Any part of the
case law, shall be filed with the appellate clerk. testimony of a witness that is omitted shall be
(P.B. 1978-1997, Sec. 4064A.) (Amended June 7, 2001, indicated by asterisks. After giving the name of a
to take effect Sept. 1, 2001; amended Jan. 29, 2009, to take witness, the party who called that witness shall
effect March 1, 2009; amended June 2, 2010, to take effect
Jan. 1, 2011; amended June 5, 2013, to take effect July 1,
be designated, and it shall be stated whether the
2013; amended June 18, 2014, to take effect Sept. 1, 2014; testimony quoted was given on direct, cross or
amended Sept. 16, 2015, to take effect Jan. 1, 2016; amended other examination.
June 15, 2016, to take effect Aug. 1, 2016; amended Oct. 18, (d) Two legible photocopies of each brief and
2017, to take effect Jan. 1, 2018; amended Oct. 24, 2018, to party appendix, if any, shall be filed with the appel-
take effect Jan. 1, 2019; amended June 15, 2021, to take late clerk. The party appendix may be printed on
effect Oct. 1, 2021.)
both sides of a page. The brief and party appendix
Sec. 67-2A. Format of Electronic Briefs and may be bound together or separately. No specific
Party Appendices; Copies type or style of binding is required as long as the
(Applicable to appeals filed on or after October 1, 2021.) documents are securely bound.
(a) Briefs filed under this rule shall include the (e) Briefs and separately bound party appendi-
words ‘‘Filed Under the Electronic Briefing Rules’’ ces, if any, must bear on the cover, in the following
at the top center of the cover of the brief. Briefs order, from the top of the page: (1) the name of
and party appendices, if any, shall be uploaded the court; (2) the appellate docket number; (3) the
together as a text searchable single document. appellate case name; (4) the nature of the brief
Bookmarks are required and must link to sections (e.g., brief of the defendant-appellant; brief of the
of the brief and to items included in the party plaintiff-appellee on the appeal and of the plaintiff-
appendix. Briefs shall include internal hyperlinks cross appellant on the cross appeal); and (5) the
for citations to items included in the party appen- name, address, telephone number and e-mail
dix. Internal hyperlinks must be clearly distin- address of individual counsel who is to argue the
guishable from other text in the brief (e.g., appeal and, if different, the name, address, tele-
underlined blue text or highlighted text). External phone number and e-mail address of the party’s
hyperlinks are not permitted. Visual aids that com- counsel of record. The foregoing shall be dis-
ply with the guidelines published on the Judicial played in Century Schoolbook or New Century
Branch website are permitted to be included in Schoolbook font of 12 point size.
the brief. Additional formatting information and (f) Counsel of record filing a brief shall submit
recommendations can be found in the guidelines the electronic version of the brief and party appen-
published on the Judicial Branch website. dix, if any, in accordance with guidelines estab-
(b) Briefs shall be typed in 12 point Century lished by the court and published on the Judicial
Schoolbook or New Century Schoolbook font, Branch website. The electronic version shall be
including footnotes but excluding headings. Head- submitted prior to the timely filing of the party’s
ings must be in 14 point Georgia or New Basker- paper copies of the brief and party appendix pur-
ville Book font. Margins shall be 1 and 1/2 inches suant to subsection (d) of this section.
on all sides. All text must be left aligned. Line (g) All electronic and paper copies of the brief
spacing is 1.3x and must be uniform throughout, submitted and filed with the Supreme Court or the
including the body of the document, footnotes, Appellate Court must be accompanied by a: (1)
and block quotes. Bold face or italic emphasis certification that a copy of the brief and party
tools shall be used in place of underlining. Sec- appendix, if any, has been sent electronically to
tions shall be marked sequentially using numbers each counsel of record in compliance with Section
or letters (e.g., 1. Introduction, 2. Statement of the 62-7, except for counsel of record exempt from
facts . . . 6. Conclusion; or A. Introduction, B. electronic filing pursuant to Section 60-8, to whom
Statement of the facts . . . F. Conclusion). a paper copy of the brief and party appendix, if
(c) The brief and party appendix, if any, shall any, must be sent; (2) certification that the brief
include a single pagination scheme that starts on and party appendix being filed with the appellate
the cover page of the brief and continues through- clerk are true copies of the brief and party appen-
out the entire document, on every page, including dix that were submitted electronically pursuant to
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Sec. 67-2A RULES OF APPELLATE PROCEDURE
subsection (f) of this section; (3) certification that Except as otherwise ordered, the brief of the
the brief and party appendix have been redacted appellee shall not exceed thirty-five pages, and
or do not contain any names or other personal shall be filed with any appendix within thirty days
identifying information that is prohibited from dis- after the filing of the appellant’s brief or the deliv-
closure by rule, statute, court order or case law, ery date of the portions of the transcript ordered
unless the brief is filed pursuant to Section 79a- only by that appellee, whichever is later.
6; (4) certification of the word count in the brief; The appellant may within twenty days after the
(5) certification that the brief complies with all pro- filing of the appellee’s brief file a reply brief which
visions of this rule; and (6) certification listing the shall not exceed fifteen pages.
approved deviations from this rule or that no devi- Where there is a cross appeal, the brief and
ations were requested/approved. The certification appendix of the cross appellant shall be combined
that a copy of the brief and party appendix has with the brief and appendix of the appellee. The
been sent to each counsel of record in compliance brief shall not exceed fifty pages and shall be filed
with Section 62-7 may be signed by counsel of with any appendix at the time the appellee’s brief
record or the printing service, if any; and if copies is due. The brief and appendix of the cross appel-
are sent by a printing service, that certification is lee shall be combined with the appellant’s reply
not required to be included in the electronic ver- brief, if any. This brief shall not exceed forty pages
sion of the brief and party appendix. All other and shall be filed within thirty days after the filing
certifications pursuant to this subsection shall be of the original appellee’s brief. The cross appellant
signed by counsel of record only. may within twenty days after the filing of the cross
(h) A copy of the electronic confirmation receipt appellee’s brief file a cross appellant’s reply brief
indicating that the brief and party appendix, if any, which shall not exceed fifteen pages.
were submitted electronically in compliance with Where cases are consolidated or a joint appeal
subsection (f) of this section shall be filed with the has been filed, the brief of the appellants and
paper briefs and party appendices. that of the appellees shall not exceed the page
(i) Any request for deviation from the above limitations specified above.
requirements, including requests to deviate from All page limitations shall be exclusive of appen-
the requirement to redact or omit personal identi- dices, the statement of issues, the table of authori-
fying information or information that is prohibited ties, the table of contents, and, in the case of an
from disclosure by rule, statute, court order or amicus brief, the statement of the interest of the
case law, shall be filed with the appellate clerk. amicus curiae required by Section 67-7. The last
page of a brief shall likewise not be counted if it
Sec. 67-3. Page Limitations; Time for Filing contains only the signature of counsel of record.
Briefs and Appendices Briefs shall not exceed the page limitations set
(Applicable to appeals filed before October 1, 2021.) forth herein except by permission of the chief jus-
Except as otherwise ordered, the brief of the tice or chief judge. Requests for permission to
appellant shall not exceed thirty-five pages and exceed the page limitations shall be filed with the
shall be filed with the appendix within forty-five appellate clerk, stating both the compelling reason
days after the delivery date of the transcript for the request and the number of additional
ordered by the appellant. In cases where no tran- pages sought.
script is required or the transcript has been Where a claim relies on the state constitution
received by the appellant prior to the filing of the as an independent ground for relief, the clerk shall,
appeal, the appellant’s brief and appendix shall upon request, grant an additional five pages for
the appellant and appellee briefs, and an addi-
be filed within forty-five days of the filing of the
tional two pages for the reply brief, which pages
appeal.
are to be used for the state constitutional argu-
The delivery date of the paper—not electronic— ment only.
transcript shall be used, where applicable, in (P.B. 1978-1997, Sec. 4064B.) (Amended June 2, 2010,
determining the filing date of briefs. to take effect Jan. 1, 2011; amended June 5, 2013, to take
Any party whose interest in the judgment will effect July 1, 2013; amended Sept. 16, 2015, to take effect
not be affected by the appeal and who intends Jan. 1, 2016; amended Oct. 24, 2018, to take effect Jan.
1, 2019.)
not to file a brief shall inform the appellate clerk
of this intent prior to the deadline for the filing of Sec. 67-3. Page Limitations; Time for Filing
the appellee’s brief. In the case of multiple appel- Paper Briefs and Appendices
lees, an appellee who supports the position of the (Applicable to appeals filed on or after October 1, 2021.)
appellant shall meet the appellant’s time schedule (Amended July 28, 2021, on an interim basis, to take effect
for filing a brief. Oct. 1, 2021.)
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Except as otherwise ordered, the brief of the Briefs shall not exceed the page limitations set
appellant shall not exceed thirty-five pages and forth herein except by permission of the chief jus-
shall be filed with the party appendix, if any, within tice or chief judge. Requests for permission to
forty-five days after the delivery date of the tran- exceed the page limitations shall be filed with the
script ordered by the appellant or forty-five days appellate clerk, stating both the compelling reason
after the clerk appendix is sent to the parties, for the request and the number of additional
whichever is later. In cases where no transcript pages sought.
is required or the transcript has been received by Where a claim relies on the state constitution
the appellant prior to the filing of the appeal, the as an independent ground for relief, the clerk shall,
appellant’s brief and party appendix, if any, shall upon request, grant an additional five pages for
be filed within forty-five days of the filing of the the appellant and appellee briefs, which pages
appeal or forty-five days after the clerk appendix are to be used for the state constitutional argu-
is sent to the parties, whichever is later. ment only.
The delivery date of the paper—not electronic— (P.B. 1978-1997, Sec. 4064B.) (Amended June 2, 2010,
to take effect Jan. 1, 2011; amended June 5, 2013, to take
transcript shall be used, where applicable, in effect July 1, 2013; amended Sept. 16, 2015, to take effect
determining the filing date of briefs. Jan. 1, 2016; amended Oct. 24, 2018, to take effect Jan. 1,
Any party whose interest in the judgment will 2019; amended June 15, 2021, to take effect Oct. 1, 2021;
not be affected by the appeal and who intends amended July 28, 2021, on an interim basis, to take effect
not to file a brief shall inform the appellate clerk Oct. 1, 2021.)
of this intent prior to the deadline for the filing of Sec. 67-3A. Word Limitations; Time for Fil-
the appellee’s brief. In the case of multiple appel- ing Electronic Briefs and Party Appendices
lees, an appellee who supports the position of the (Applicable to appeals filed on or after October 1, 2021.)
appellant shall meet the appellant’s time schedule Except as otherwise ordered, the brief of the
for filing a brief. appellant shall not exceed 13,500 words. The brief
Except as otherwise ordered, the brief of the shall be filed with the party appendix, if any, either
appellee shall not exceed thirty-five pages, and within forty-five days after the delivery date of the
shall be filed with any party appendix within thirty transcript ordered by the appellant or forty-five
days after the filing of the appellant’s brief or the days after the clerk appendix is sent to the parties,
delivery date of the portions of the transcript whichever is later. In cases where no transcript
ordered only by that appellee, whichever is later. is required or the transcript has been received by
The appellant may file a reply brief in accord- the appellant prior to the filing of the appeal, the
ance with Section 67-5A. appellant’s brief and party appendix, if any, shall
Where there is a cross appeal, the brief and be filed either within forty-five days of the filing of
party appendix, if any, of the cross appellant shall the appeal or forty-five days after the clerk appen-
be combined with the brief and party appendix, if dix is sent to the parties, whichever is later.
any, of the appellee. The brief shall not exceed The delivery date of the paper—not electronic—
fifty pages and shall be filed with any party appen- transcript shall be used, where applicable, in
dix at the time the appellee’s brief is due. The determining the filing date of briefs.
brief and party appendix, if any, of the cross appel- Any party whose interest in the judgment will
lee shall be combined with the appellant’s reply not be affected by the appeal and who intends
brief, if any. This brief shall not exceed forty pages not to file a brief shall inform the appellate clerk
and shall be filed within thirty days after the filing of this intent prior to the deadline for the filing of
of the original appellee’s brief. The cross appellant the appellee’s brief. In the case of multiple appel-
may file a cross appellant’s reply brief in accord- lees, an appellee who supports the position of the
ance with Section 67-5A. appellant shall meet the appellant’s time schedule
Where cases are consolidated or a joint appeal for filing a brief.
has been filed, the brief of the appellants and Except as otherwise ordered, the brief of the
that of the appellees shall not exceed the page appellee shall not exceed 13,500 words, and shall
limitations specified above. be filed with any party appendix within thirty days
All page limitations shall be exclusive of party after the filing of the appellant’s brief or the deliv-
appendices, if any, the cover page, the table of ery date of the portions of the transcript ordered
contents, the table of authorities, the statement only by that appellee, whichever is later.
of issues, the signature block of counsel of record, The appellant may file a reply brief in accord-
certifications and, in the case of an amicus brief, ance with Section 67-5A.
the statement of the interest of the amicus curiae Where there is a cross appeal, the brief and
required by Section 67-7. party appendix, if any, of the cross appellant shall
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Sec. 67-3A RULES OF APPELLATE PROCEDURE
be combined with the brief and party appendix, if form, shall be supported by appropriate refer-
any, of the appellee. The brief shall not exceed ences to the page or pages of the transcript or to
18,000 words and shall be filed with any party the document upon which the party relies and
appendix at the time the appellee’s brief is due. shall not be unnecessarily detailed or voluminous.
The brief and party appendix, if any, of the cross (e) The argument, divided under appropriate
appellee shall be combined with the appellant’s headings into as many parts as there are points
reply brief, if any. This brief shall not exceed to be presented, with appropriate references to
16,000 words and shall be filed within thirty days the statement of facts or to the page or pages of
after the filing of the original appellee’s brief. The the transcript or to the relevant document. The
cross appellant may file a cross appellant’s reply argument on each point shall include a separate,
brief in accordance with Section 67-5A. brief statement of the standard of review the
Where cases are consolidated or a joint appeal appellant believes should be applied.
has been filed, the brief of the appellants and (1) When error is claimed in the trial court’s
that of the appellees shall not exceed the word refusal to charge the jury as requested, the party
limitations specified above. claiming such error shall include in the brief of
All word limitations shall be exclusive of party that party or the appendix thereto a verbatim
appendices, if any, the cover page, the table of statement of the relevant portions of the charge
contents, the table of authorities, the statement as requested and as given by the court and any
of issues, the signature block of counsel of record, relevant exceptions to the charge as given and
certifications and, in the case of an amicus brief, shall recite in narrative form any evidence which
the statement of the interest of the amicus curiae it is claimed would entitle that party to the charge
required by Section 67-7A. as requested, with appropriate references to the
Briefs shall not exceed the word limitations set page or pages of the transcript.
forth herein except by permission of the chief jus- (2) When error is claimed in the charge to the
tice or chief judge. Requests for permission to jury, the brief or appendix shall include a verbatim
exceed the word limitations shall be filed with the statement of all relevant portions of the charge
appellate clerk, stating both the compelling reason and all relevant exceptions to the charge. Unless
for the request and the number of additional words essential to review of a claimed error, a verbatim
sought. statement of the entire charge to the jury should
Where a claim relies on the state constitution not be included in the brief or appendix. Evidence
as an independent ground for relief, the clerk shall, relevant to the claimed error shall be recited in
upon request, grant an additional 2000 words for narrative form with appropriate references to the
the appellant and appellee briefs, which words page or pages of the transcript.
are to be used for the state constitutional argu- (3) When error is claimed in any evidentiary
ment only. ruling in a court or jury case, the brief or appendix
(Adopted June 15, 2021, to take effect Oct. 1, 2021.) shall include a verbatim statement of the following:
the question or offer of exhibit; the objection and
Sec. 67-4. The Appellant’s Brief; Contents the ground on which it was based; the ground on
and Organization which the evidence was claimed to be admissible;
The appellant’s brief shall contain the following: the answer, if any; and the ruling.
(a) A table of contents. (4) When error is claimed in any other ruling in
(b) A concise statement setting forth, in sepa- a court or jury case, the brief or appendix shall
rately numbered paragraphs, without detail or dis- include the pertinent motion or pleading as well
cussion, the principal issue or issues involved in as any other pertinent documents which are a part
the appeal, with appropriate references to the of the record of the proceedings below.
page or pages of the brief where the issue is (5) When the basis of an evidentiary or other
discussed, pursuant to subsection (e) hereof. ruling referred to in subsection (e) (3) or (e) (4)
Such statement shall be deemed in replacement cannot be understood without knowledge of the
of and shall supersede the preliminary statement evidence or proceeding which preceded or fol-
of issues. lowed the ruling, a brief narrative or verbatim
(c) A table of authorities cited in the brief, with statement of the evidence or proceeding should
references to the page or pages of the brief where be made. A verbatim excerpt from the transcript
the citations to those authorities appear. Citations should not be used if a narrative statement will
shall be in the form provided in Section 67-11. suffice. When the same ruling is repeated, the
(d) A statement of the nature of the proceedings brief should contain only a single ruling unless
and of the facts of the case bearing on the issues the other rulings are further illustrative of the rule
raised. The statement of facts shall be in narrative which determined the action of the trial court or
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RULES OF APPELLATE PROCEDURE Sec. 67-5
establish the materiality or harmfulness of the deemed in replacement of and shall supersede
error claimed. The statement of rulings in the brief the preliminary statement of the issues.
shall include appropriate references to the page (c) A table of authorities cited in the brief, with
or pages of the transcript. references to the page or pages of the brief where
(f) A short conclusion stating the precise the citations to those authorities appear. Citations
relief sought. shall be in the form provided in Section 67-11.
(g) The text of the pertinent portions of any (d) A counter statement of any fact as to which
constitutional provision, statute, ordinance or reg- the appellee disagrees with the statement of the
ulation at issue or on which the appellant relies. appellant. The counter statement of facts shall
Such text need not be included in the brief if it is be in narrative form and shall be supported by
included in the appendix to the appellant’s brief. appropriate references to the page or pages of
(h) In appeals filed pursuant to Section 81-4, a the transcript or to the relevant document upon
statement identifying the version of the land use which the appellee relies. An appellee may not
regulations filed with the appellate clerk. rely on any fact unless it is set forth in the appel-
(i) In civil appeals filed by an entity as defined lee’s counter statement of facts or in the appel-
in Section 60-4, counsel of record shall include a lant’s statement of facts or is incorporated in any
current certificate of interested entities or individu- brief of the parties in accordance with Section 67-
als in the appellant’s brief. 4 (e) or with subsection (e) hereof.
(j) The appellant’s brief shall be organized in (e) The argument of the appellee, divided as
the following order: if the appeal is in a civil matter provided in Section 67-4 (e). The argument on
and the appeal was filed by an entity, a current each point shall include a separate, brief state-
certificate of interested entities or individuals as ment of the standard of review the appellee
defined in Section 60-4; table of contents; state- believes should be applied. The argument may
ment of issues; table of authorities; if the appeal augment or take exception to the appellant’s pre-
was filed pursuant to Section 81-4, statement sentation of rulings or the charge by reference to
identifying version of land use regulations filed any relevant part of the court’s charge or any other
with the appellate clerk; statement of facts; argu- evidence in narrative or verbatim form which is
ment; conclusion and statement of relief relevant to such question, with appropriate refer-
requested; signature; and certification pursuant to ences to the statements of facts or to the page
Section 62-7. or pages of the transcript or to the relevant
(P.B. 1978-1997, Sec. 4064C.) (Amended July 21, 1999, document.
to take effect Jan. 1, 2000; amended July 24, 2002, to take (f) Claims, if any, directed to any rulings or deci-
effect Oct. 1, 2002; amended July 30, 2009, to take effect sions of the trial court adverse to the appellee.
Jan. 1, 2010; amended June 2, 2010, to take effect Jan. 1, These shall be made in the manner provided in
2011; amended June 5, 2013, to take effect July 1, 2013; Section 67-4 (e).
amended Oct. 24, 2018, to take effect Jan. 1, 2019; amended
July 19, 2022, to take effect Jan. 1, 2023.) (g) A short conclusion stating the precise
HISTORY—2023: A new subsection (i) was added. In addi- relief sought.
tion, what had been subsection (i) was redesignated as sub- (h) The text of the pertinent portions of any
section (j). In addition, ‘‘if the appeal is in a civil matter and the constitutional provision, statute, ordinance or reg-
appeal was filed by an entity, a current certificate of interested ulation at issue or on which the appellee relies.
entities or individuals as defined in Section 60-4;’’ was added Such text need not be included in the brief if it is
after ‘‘the following order:’’ in what is now subsection (j).
COMMENTARY—2023: These amendments describe
included in the appellant’s brief or appendix or in
when a certificate of interested entities or individuals is the appendix to the appellee’s brief.
required to be filed and dictate the order in which such certifi- (i) In appeals filed pursuant to Section 81-4, a
cate is to appear in the appellant’s brief. statement as to whether the appellee disputes
the applicability of the version of the land use
Sec. 67-5. The Appellee’s Brief; Contents regulations filed with the appellate clerk. If the
and Organization appellee disputes the applicability of such regula-
The brief of the appellee shall contain, in a form tions, it shall set forth its basis for maintaining that
corresponding to that stated in Section 67-4, such regulations do not apply.
the following: (j) If the appellee is an entity as defined in Sec-
(a) A table of contents. tion 60-4, counsel of record shall include a current
(b) A counterstatement of any issue involved certificate of interested entities or individuals in
as to which the appellee disagrees with the state- the appellee’s brief.
ment of the appellant or a statement of any other (k) The appellee’s brief shall be organized in the
grounds which were properly raised by an appel- following order: a current certificate of interested
lee under Section 63-4. Such statement shall be entities or individuals as defined in Section 60-4;
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Sec. 67-5 RULES OF APPELLATE PROCEDURE
table of contents; statement of issues; table of Sec. 67-6. Statutory (§ 53a-46b) Review of
authorities; statement of facts; argument; conclu- Death Sentences
sion and statement of relief requested; signature; (a) When a sentence of death has been
and certification pursuant to Section 62-7. imposed upon a defendant, following a conviction
(l) When the appellee is also the cross appel- of a capital felony in violation of General Statutes
lant, the issues on the cross appeal shall be § 53a-54b and the hearing upon imposition of the
briefed in accordance with Section 67-4. In such death penalty pursuant to General Statutes § 53a-
a case, the briefs shall clearly label which sections 46a, the briefs of the parties shall include a discus-
of the brief refer to the appeal and which refer to sion of the issues set forth in General Statutes
the cross appeal. § 53a-46b (b), to wit, whether (1) the sentence
(P.B. 1978-1997, Sec. 4064D.) (Amended July 21, 1999, was the product of passion, prejudice or any other
to take effect Jan. 1, 2000; amended July 24, 2002, to take arbitrary factor; (2) the evidence fails to support
effect Oct. 1, 2002; amended June 2, 2005, to take effect Jan. the finding of an aggravating circumstance speci-
1, 2006; amended July 30, 2009, to take effect Jan. 1, 2010; fied in subsection (h) of § 53a-46a; and (3) the
amended June 2, 2010, to take effect Jan. 1, 2011; amended sentence is excessive or disproportionate to the
June 5, 2013, to take effect July 1, 2013; amended Oct.
24, 2018, to take effect Jan. 1, 2019; amended July 19, 2022,
penalty imposed in similar cases, considering
to take effect Jan. 1, 2023.) both the circumstances of the crime and the char-
HISTORY—2023: A new subsection (j) was added. In addi- acter and record of the defendant.
tion, what had been subsection (j) was redesignated as sub- (b) For the purpose of reviewing the issue of
section (k). In addition, ‘‘a current certificate of interested disproportionality pursuant to General Statutes
entities or individuals as defined in Section 60-4;’’ was added § 53a-46b (b), the briefs of the parties shall con-
after ‘‘the following order:’’ in what is now subsection (k). In tain appendices setting forth the circumstances
addition, what had been subsection (k) was redesignated as of the crimes that are claimed to be similar to that
subsection (l). of which the defendant has been convicted and
COMMENTARY—2023: These amendments describe
when a certificate of interested entities or individuals is
the characters and records of the defendants
required to be filed and dictate the order in which such certifi- involved therein so far as these are ascertain-
cate is to appear in the appellee’s brief. able from the transcripts of those trials and hear-
ings on the imposition of the death penalty or
Sec. 67-5A. The Reply Brief may be judicially noticed. Only those capital fel-
(Applicable to appeals filed on or after October 1, 2021.) ony cases that have been prosecuted in this state
The appellant may file a reply brief, which should after October 1, 1973, and in which hearings on
respond directly and succinctly to the arguments the imposition of the death penalty have taken
in the appellee’s brief. The format of a reply brief place, whether or not the death penalty has been
shall be in accordance with Section 67-2 or 67-2A. imposed, shall be deemed eligible for consider-
The reply brief shall be filed within twenty days ation as ‘‘similar cases,’’ unless the court, on appli-
cation of a party claiming that the resulting pool of
of the appellee’s brief. If there are multiple appel-
eligible cases is inadequate for disproportionality
lees and they file separate briefs, then the time review, shall modify this limitation in a particular
to file a reply brief shall run from the filing date of case. Any such application shall identify the addi-
the last appellee’s brief. tional case or cases claimed to be similar and set
Except as otherwise ordered, the reply brief forth, in addition to the circumstances of the crime
shall not exceed fifteen pages or 6500 words and the character and record of the defendant
exclusive of the cover page, the table of contents, involved, the provisions of the applicable statutes
the table of authorities, the signature block of pertaining to the imposition of the death penalty
counsel of record, certifications and any appendix. with citations of pertinent decisions interpreting
Requests for permission to exceed fifteen pages such provisions.
or 6500 words shall be filed in accordance with Any such application shall be filed within thirty
Section 67-3 or 67-3A. days after the delivery date of the transcript
If there is a cross appeal, the cross appellant ordered by the appellant, or, if no transcript is
may file a reply brief as to the cross appeal in required or the transcript has been received by
accordance with the requirements of this rule. the appellant prior to the filing of the appeal, such
Where a claim relies on the state constitution application shall be filed within thirty days after
as an independent ground for relief, the clerk shall, filing the appeal.
(P.B. 1978-1997, Sec. 4064E.)
upon request, grant an additional two pages or
800 words for the reply brief, which pages or Sec. 67-7. The Amicus Curiae Brief
words are to be used for the state constitutional (Applicable to appeals filed before October 1, 2021.)
argument only. (a) A brief of an amicus curiae in cases before
(Adopted June 15, 2021, to take effect Oct. 1, 2021.) the court on the merits may be filed only with
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RULES OF APPELLATE PROCEDURE Sec. 67-7A
the permission of the court. An application for days after the filing of the brief of the party that
permission to appear as amicus curiae and to file the attorney general supports.
a brief shall be filed within twenty days after the (P.B. 1978-1997, Sec. 4064F.) (Amended June 17, 2008,
filing of the brief of the party, if any, whom the to take effect Jan. 1, 2009; amended Sept. 16, 2015, to take
effect Jan. 1, 2016; amended July 19, 2022, to take effect
applicant intends to support, and if there is no Jan. 1, 2023.)
such party, then the application shall be filed no HISTORY—2023: In subsection (b), what is now the second
later than twenty days after the filing of the appel- sentence was added. In addition, in subsection (c), what is
lee’s brief. now the second sentence was added.
COMMENTARY—2023: These amendments describe
(b) The application shall state concisely the when a certificate of interested entities or individuals is
nature of the applicant’s interest and the reasons required to be filed and the requirement that such a certificate
why a brief of an amicus curiae should be allowed. shall be included in an amicus brief filed in a civil matter.
If the applicant in a civil appeal is an entity as
defined in Section 60-4, a certificate of interested Sec. 67-7A. The Amicus Curiae Electronic
entities or individuals shall be attached to the Brief
application. The length of the brief shall not (Applicable to appeals filed on or after October 1, 2021.)
exceed ten pages unless a specific request is (a) A brief of an amicus curiae in cases before
made for a brief of more than that length. The the court on the merits may be filed only with the
application shall conform to the requirements set permission of the court unless Section 67-7A (f)
forth in Sections 66-2 and 66-3. The amicus appli- applies. An application for permission to appear
as amicus curiae and to file a brief shall be filed
cation should specifically set forth reasons to jus-
within twenty days after the filing of the brief of
tify the filing of a brief in excess of ten pages. A the party, if any, whom the applicant intends to
party in receipt of an application may, within ten support, and if there is no such party, then the
days after the filing of the application, file an objec- application shall be filed no later than twenty days
tion concisely stating the reasons therefor. after the filing of the appellee’s brief.
(c) All briefs filed under this section shall comply (b) The application shall state concisely the
with the applicable provisions of this chapter and nature of the applicant’s interest and the reasons
shall set forth the interest of the amicus curiae. If why a brief of an amicus curiae should be allowed.
the appeal is in a civil matter and the amicus If the applicant in a civil appeal is an entity as
curiae is an entity as defined in Section 60-4, a defined in Section 60-4, a certificate of interested
certificate of interested entities or individuals shall entities or individuals shall be attached to the
be included in the brief. application. The length of the brief shall not
(d) An amicus curiae may argue orally only exceed 4000 words unless a specific request is
when a specific request for such permission is made for a brief of more than that length. The
granted by the court in which the appeal is application shall conform to the requirements set
pending. forth in Sections 66-2 and 66-3. The amicus appli-
(e) With the exception of briefs filed by the attor- cation should specifically set forth reasons to jus-
ney general as provided by this rule, all briefs tify the filing of a brief in excess of 4000 words.
shall indicate whether counsel for a party wrote A party in receipt of an application may, within
the brief in whole or in part and whether such ten days after the filing of the application, file an
counsel or a party contributed to the cost of the objection concisely stating the reasons therefor.
preparation or submission of the brief and shall (c) All briefs filed under this section shall comply
with the applicable provisions of this chapter and
identify those persons, other than the amicus
shall set forth the interest of the amicus curiae. If
curiae, its members or its counsel, who made the appeal is in a civil matter and the amicus
such monetary contribution. The disclosure shall curiae is an entity as defined in Section 60-4, a
be made in the first footnote on the first page certificate of interested entities or individuals shall
of text. be included in the brief.
(f) Except for habeas corpus matters based on (d) An amicus curiae may argue orally only
criminal convictions, if an appeal in a noncriminal when a specific request for such permission is
matter involves an attack on the constitutionality granted by the court in which the appeal is
of a state statute, the attorney general may appear pending.
and file a brief amicus curiae as of right. Any such (e) With the exception of briefs filed by the attor-
appearance by the attorney general shall be filed ney general as provided by this rule, all briefs
no later than the date on which the brief of the shall indicate whether counsel for a party wrote
party that the attorney general supports is filed, the brief in whole or in part and whether such
and the attorney general’s brief will be due twenty counsel or a party contributed to the cost of the
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Sec. 67-7A RULES OF APPELLATE PROCEDURE
preparation or submission of the brief and shall General Statutes; and actions of foreclosure of
identify those persons, other than the amicus title to real property.
curiae, its members or its counsel, who made In administrative appeals, part one of the appel-
such monetary contribution. The disclosure shall lant’s appendix also shall meet the requirements
be made in the first footnote on the first page of Section 67-8A (a). In criminal or habeas appeals
of text. filed by incarcerated self-represented parties, part
(f) Except for habeas corpus matters based on one of the appendix shall be prepared by the
criminal convictions, if an appeal in a noncriminal appellee. See Section 68-1. In these appeals, the
matter involves an attack on the constitutionality filing of an appendix by incarcerated self-repre-
of a state statute, the attorney general may appear sented parties shall be in accordance with subsec-
and file a brief amicus curiae as of right. Any such tion (c) of this rule.
appearance by the attorney general shall be filed (2) Part two of the appellant’s appendix may
no later than the date on which the brief of the contain any other portions of the proceedings
party that the attorney general supports is filed, below that the appellant deems necessary for the
and the attorney general’s brief will be due twenty proper presentation of the issues on appeal. Part
days after the filing of the brief of the party that two of the appellant’s appendix may be used to
the attorney general supports. include excerpts from lengthy exhibits, to include
(Adopted June 15, 2021, to take effect Oct. 1, 2021; excerpts from the transcripts deemed necessary
amended July 19, 2022, to take effect Jan. 1, 2023.)
HISTORY—2023: In subsection (b), what is now the second by any parties pursuant to Section 63-4 (a) (2),
sentence was added. In addition, in subsection (c), what is provided that the transcript cover page and certifi-
now the second sentence was added. cation page are included, or to comply with other
COMMENTARY—2023: These amendments describe provisions of the Practice Book that require the
when a certificate of interested entities or individuals is inclusion of certain materials in the appendix. To
required to be filed and the requirement that such a certificate
shall be included in an amicus brief filed in a civil matter.
reproduce a full transcript or lengthy exhibit when
an excerpt would suffice is a misuse of an appen-
Sec. 67-8. The Appendix; Contents and Orga- dix. Where an opinion is cited that is not officially
nization published, the text of the opinion shall be included
(Applicable to appeals filed before October 1, 2021.) in part two of the appendix.
(a) An appendix shall be prepared in accordance (c) The appellee’s appendix should not include
with Section 67-2. the portions of the proceedings below already
(b) The appellant’s appendix shall be divided into included in the appellant’s appendix. If the appel-
two parts. lee determines that part one of the appellant’s
(1) Part one of the appellant’s appendix shall con- appendix does not contain portions of the pro-
tain: a table of contents giving the title or nature of ceedings below, the appellee shall include any
each item included; the docket sheets, a case detail, such items that are required to be included pursu-
or court action entries in the proceedings below; in ant to Section 67-8 (b) (1) in part one of its appen-
chronological order, all relevant pleadings, including dix. Where an appellee cites an opinion that is
the operative complaint and any other complaint at not officially published and is not included in the
issue, motions, requests, findings, and opinions or appellant’s appendix, the text of the opinion shall
decisions of the trial court or other decision-making be included in part two of the appellee’s appendix.
body (see Sections 64-1 and 64-2); the signed judg- Part two of the appellee’s appendix may also con-
ment file, if applicable, prepared in the form pre- tain any other portions of the proceedings below
scribed by Section 6-2 et seq.; the appeal form, that the appellee deems necessary for the proper
in accordance with Section 63-3; the docketing presentation of the issues on appeal. If the appel-
statement filed pursuant to Section 63-4 (a) (3); lee includes excerpts from the transcripts deemed
any relevant appellate motions or orders that com- necessary pursuant to Section 63-4 (a) (2) in the
plete or perfect the record on appeal; and, in appendix, the transcript cover page and the certifi-
appeals to the Supreme Court upon grant of certi- cation page shall be included with the excerpts.
fication for review, the order granting certification (d) In appeals where personal identifying infor-
and the opinion or order of the Appellate Court mation is protected by rule, statute, court order or
under review. case law, and in appeals that have been ordered
A signed judgment file is not required in the sealed in part or in their entirety or are subject to
following noncriminal matters: habeas corpus limited disclosure pursuant to Section 77-2, all
matters based on criminal convictions; pre- and briefs and appendices shall be prepared in
postjudgment orders in matters claiming dissolu- accordance with Section 67-2.
tion of marriage, legal separation or annulment; (P.B. 1978-1997, Sec. 4064G.) (Amended Jan. 29, 2009,
prejudgment remedies under chapter 903a of the to take effect March 1, 2009; amended June 5, 2013, to take
482
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RULES OF APPELLATE PROCEDURE Sec. 67-8A
effect July 1, 2013; amended Sept. 16, 2015, to take effect The transcript cover page and certification page
Jan. 1, 2016; amended March 15, 2017, to take effect June must be included with any transcript excerpt. To
15, 2017; amended July 19, 2017, to take effect Oct. 8, 2017;
amended July 23, 2020, to take effect Jan. 1, 2021.) reproduce a full transcript or exhibit when an
COMMENTARY—July, 2013: The appellate clerk pre- excerpt would suffice, or to include portions of the
viously had responsibility for compiling the prepared record. proceedings below that are not necessary for the
This rule has been amended to reflect that documents pre- proper presentation of the issues on appeal, is a
viously contained in the prepared record should now be misuse of a party appendix. Pursuant to Sections
included in part one of the appellant’s appendix. The appellant
should include nothing in part one of the appendix which is 67-2 (a) and 67-2A (a), briefs shall include internal
not necessary for the proper presentation of the issues and hyperlinks for citations to items included in the
was not part of the proceedings below. Generally, the appellate party appendix.
clerk did not include in the prepared record lengthy memo- (b) The party appendix, if any, shall be prepared
randa of law in support of motions, objections and replies,
and that material should not be contained in part one of the
in accordance with Section 67-2 or Section 67-
appendix. In addition, the appellate clerk did not include 2A. A party appendix shall have at its beginning a
lengthy exhibits attached to included complaints or motions table of contents of any items in it. If constitutional
that were not relevant to the issues on appeal. In the past, provisions, statutes, ordinances, regulations, or
the prepared record always contained affidavits attached to portions of the transcript are contained in a party
included motions for summary judgment, as well as some
affidavits attached to other motions deemed relevant to the appendix, they may be reproduced in their original
issues on appeal. No officer’s return or exhibit shall be included form so long as the document is not reduced to
in part one of the appendix unless it is at issue in the appeal. less than 75 percent of its original form.
The appellant must file part one of the appendix in all appeals, (c) All briefs and party appendices shall protect
with the exception of criminal and habeas appeals filed by
incarcerated self-represented parties, in which case part one
personal identifying information as defined by
is filed by the appellee. In all other cases, the appellee is not Section 4-7, or other information protected by rule,
required to file part one of the appendix unless the appellee statute, court order or case law. Appeals that have
believes that part one of the appellant’s appendix is incomplete been ordered sealed in part or in their entirety or
or inadequate. Part two of the appendix is optional for all are subject to limited disclosure shall comply with
parties.
COMMENTARY—2016: Effective January 1, 2016, the Section 77-2.
appellant’s appendix must include a copy of the signed judg- (P.B. 1978-1997, Sec. 4064G.) (Amended Jan. 29, 2009,
ment file, prepared in accordance with Sections 6-2 and 6-3. to take effect March 1, 2009; amended June 5, 2013, to take
This requirement replaces the former requirement to file a effect July 1, 2013; amended Sept. 16, 2015, to take effect
draft judgment file pursuant to Section 63-4. It is the appellant’s Jan. 1, 2016; amended March 15, 2017, to take effect June
responsibility to contact the trial court in order to obtain a copy 15, 2017; amended July 19, 2017, to take effect Oct. 8, 2017;
of the signed judgment file well in advance of the date for filing amended July 23, 2020, to take effect Jan. 1, 2021; amended
the appendix. June 15, 2021, to take effect Oct. 1, 2021.)
COMMENTARY—2021: The purpose of this amendment
is to require that the appellant’s appendix include the operative Sec. 67-8A. The Appendix in Administrative
complaint and any other complaint at issue, and to require Appeals; Exceptions
that the cover page and the certification page be included with
any transcripts included in the appellant’s appendix and the [Transferred from Section 68-10.]
appellee’s appendix. (Applicable to appeals filed before October 1, 2021.)
(a) Except as provided in subsection (c), in
Sec. 67-8. The Party Appendix appeals from administrative agencies, part one of
(Applicable to appeals filed on or after October 1, 2021.) the appellant’s appendix shall include the materi-
(Amended June 15, 2021, to take effect Oct. 1, 2021.)
als required by Section 67-8, the part of the return
(a) No party appendix is required in either a of the administrative agency which identifies the
court or a jury case, except where an opinion is papers returned to the trial court, and also such
cited that is not officially published, in which case
of the papers returned as consist of: (1) the appli-
the text of the opinion must be included in the
party appendix. cation or appeal to the agency; (2) the notice of
A party appendix may be used: (1) to include hearing and the affidavit of publication, if they are
excerpts from exhibits; (2) to include excerpts in issue on the appeal; and (3) any minutes or
from the transcripts deemed necessary by any decision showing the action taken by the agency,
parties pursuant to Section 63-4 (a) (3); (3) to the reasons assigned for that action, and any find-
provide other items from the proceedings below ings and conclusions of fact made by the agency.
that a party deems necessary for the proper pre- (b) The appellee’s appendix, if any, shall be
sentation of the issues on appeal; or (4) to comply prepared in accordance with the provisions of
with other provisions of the rules of practice that Section 67-8 (c).
require the inclusion of certain materials in the (c) Subsection (a) shall not apply to the follow-
party appendix. ing administrative appeals:
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Sec. 67-8A RULES OF APPELLATE PROCEDURE
(1) Appeals from municipal boards of tax review Court shall be to the United States Reports, if therein;
filed pursuant to General Statutes §§ 12-117a and otherwise, such citations shall be to the Supreme
12-119. Court Reporter, the Lawyer’s Edition, or United
(2) Appeals from municipal assessors filed pur- States Law Week, in that order of preference.
suant to General Statutes § 12-103. (b) In the argument portion of a brief, citations to
(3) Appeals from the Commissioner of Reve- Connecticut cases shall be to the official reporter
nue Services. only. Citations to other state cases may be to
(4) Appeals from the insurance commissioner either the official reporter or the regional reporter.
filed pursuant to General Statutes § 38a-139. United States Supreme Court cases should be
(5) Any other appeal in which the parties cited as they appear in the table of authorities.
received a trial de novo in the Superior Court. (c) If a case is not available in print and is avail-
The appendices in these matters shall be pre- able on an electronic database, such as LEXIS,
pared in accordance with the provisions of Section Westlaw, or CaseBase, the case shall be cited to
67-8. that database. In the table of authorities, citations
(Adopted June 5, 2013, to take effect July 1, 2013; amended to such cases shall include the case name; docket
Sept. 16, 2015, to take effect Jan. 1, 2016.)
number; name of the database and, if applicable,
Sec. 67-9. Citation of Unreported Decisions numeric identifiers unique to the database; court
[Repealed only as to appeals filed on or after name; and full date of the disposition of the case.
July 1, 2013.] Screen, page or paragraph numbers shall be pre-
ceded by an asterisk. In the argument portion of
Sec. 67-10. Citation of Supplemental Author- a brief, such cases shall be cited only by name
ities after Brief Is Filed and database. If such a case is published in a
When pertinent and significant authorities come print reporter after the filing of the party’s brief,
to the attention of a party after the party’s brief has but prior to the case on appeal being orally argued
been filed, or after oral argument but before deci- or submitted for decision on the record and briefs,
sion, a party may promptly file with the appellate the party who cited the unreported case shall, by
clerk a notice listing such supplemental authori- letter, inform the chief clerk of the print citation of
ties, including citations, with a copy certified to all that case.
counsel of record in accordance with Section 62-7. (Adopted July 21, 1999, to take effect Jan. 1, 2000.)
If the authority is an unreported decision, a copy
of the text of the decision must accompany the Sec. 67-12. Stay of Briefing Obligations
filing, unless the authority is an advance release upon Filing of Certain Motions after Appeal
opinion of the Supreme or Appellate Court that is Is Filed
available on the Judicial Branch website or a slip (Amended Sept. 16, 2015, to take effect Jan. 1, 2016.)
opinion of the United States Supreme Court avail- As provided in Section 63-1, if, after an appeal
able on that court’s website. The filing shall con- has been filed but before the appeal period has
cisely and without argument state the relevance expired, a motion is filed that would render the
of the supplemental citations and shall include, judgment, decision or acceptance of the verdict
where applicable, reference to the pertinent page(s) ineffective, any party may move to stay the brief-
of the brief. Any response shall be made promptly ing obligations of the parties. The appellate clerk
and shall be similarly limited. may grant such motions for up to sixty days. Any
This section may not be used after oral argu- further request for stay must be made by motion
ment to elaborate on points made or to address to the appellate court having jurisdiction prior to
points not made. the expiration of the stay granted by the appellate
(P.B. 1978-1997, Sec. 4064J.) (Amended July 23, 1998, clerk. Such request must describe the status of
to take effect Jan. 1, 1999; amended July 9, 2008, to take the motion in the trial court and must demonstrate
effect Jan. 1, 2009; amended Sept. 16, 2015, to take effect
Jan. 1, 2016; amended July 23, 2020, to take effect Jan. 1,
that a resolution of the motion is being actively
2021.) pursued. After all such motions have been decided
by the trial court, the appellant shall, within ten
Sec. 67-11. Table of Authorities; Citation of days of notice of the ruling on the last such out-
Cases standing motion, file a notice with the appellate
(a) In the table of authorities, citations to state clerk that such motions have been decided,
cases shall be to the official reporter first, if avail- together with a copy of the decisions on any such
able, followed by the regional reporter. Citations to motions. The filing of such notice shall reinstate
cases from jurisdictions having no official reporter the appellate obligations of the parties, and the
shall identify the court rendering the decision. date of notice of the ruling on the last outstanding
Citations to opinions of the United States Supreme motion shall be treated as the date of the filing of
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RULES OF APPELLATE PROCEDURE Sec. 67-13
the appeal for the purpose of briefing pursuant to child and/or counsel for the guardian ad litem
Section 67-3 or 67-3A. shall, within ten days of the filing of the appellee’s
(Adopted July 21, 1999, to take effect Jan. 1, 2000;
amended Sept. 16, 2015, to take effect Jan. 1, 2016.)
brief, file either: (1) a brief, (2) a statement adopt-
ing the brief of either the appellant or an appellee,
Sec. 67-13. Briefs in Family and Juvenile
Matters and Other Matters involving Minor or (3) a detailed statement that the factual or legal
Children issues on appeal do not implicate the child’s
In family and juvenile matters and other matters interests.
involving minor children, counsel for the minor (Adopted Nov. 4, 2004, to take effect Jan. 1, 2005.)
485
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Sec. 68-1 RULES OF APPELLATE PROCEDURE
CHAPTER 68
CASE FILE AND CLERK APPENDIX
(Amended June 5, 2013, to take effect July 1, 2013; amended June 15, 2021, to take effect Oct. 1, 2021.)
Sec. Sec.
68-1. Responsibilities of Clerk of the Trial Court regard- (Applicable to appeals filed on or after October
ing Copying Case File and Additions to Case 1, 2021.)
File Made after Appeal Is Filed; Exhibits and 68-6. Record where Several Cases Present Same
Lodged Records (Applicable to appeals filed Question
before October 1, 2021.) [Repealed only as to appeals filed on or after July
68-1. Responsibilities of Clerk of the Trial Court regard- 1, 2013.]
68-6A. Clerk Appendix when Several Cases Present
ing Copying Case File and Additions to Case
Same Question (Applicable to appeals filed on
File Made after Appeal Is Filed; Exhibits and
or after October 1, 2021.)
Lodged Records (Applicable to appeals filed on 68-7. Record Filing
or after October 1, 2021.) [Repealed only as to appeals filed on or after July
68-2. Record Preparation 1, 2013.]
[Repealed only as to appeals filed on or after July 68-8. Supplements
1, 2013.] [Repealed only as to appeals filed on or after July
68-2A. Assembly of the Clerk Appendix (Applicable to 1, 2013.]
appeals filed on or after October 1, 2021.) 68-8A. Supplements (Applicable to appeals filed on or
after October 1, 2021.)
68-3. Record Contents 68-9. Evidence Not To Be Included in Record
[Repealed only as to appeals filed on or after July [Repealed only as to appeals filed on or after July
1, 2013.] 1, 2013.]
68-3A. Clerk Appendix Contents (Applicable to appeals 68-10. Record in Administrative Appeals; Exceptions
filed on or after October 1, 2021.) [Repealed only as to appeals filed on or after July
68-4. Record Format 1, 2013.]
[Repealed only as to appeals filed on or after July (Transferred as of July 1, 2013, to Section 67-8A.)
1, 2013.] 68-10A. Clerk Appendix in Administrative Appeals; Excep-
68-4A. Clerk Appendix Format (Applicable to appeals filed tions (Applicable to appeals filed on or after
on or after October 1, 2021.) October 1, 2021.)
68-11. Decision To Be Part of Record
68-5. Record where More than One Appeal [Repealed only as to appeals filed on or after July
[Repealed only as to appeals filed on or after July 1, 2013.]
1, 2013.] 68-11A. Decision To Be Part of Clerk Appendix (Applicable
68-5A. Clerk Appendix when More than One Appeal to appeals filed on or after October 1, 2021.)
For previous Histories and Commentaries see the editions of the Practice Book
corresponding to the years of the previous amendments.
Sec. 68-1. Responsibilities of Clerk of the shall forward to the appellate clerk one copy of
Trial Court regarding Copying Case File and all additions made to the case file after the initial
Additions to Case File Made after Appeal Is preparation and transmittal of the case file.
Filed; Exhibits and Lodged Records Nothing in this section relieves the appellant
(Applicable to appeals filed before October 1, 2021.) and the appellee of their duty to comply with the
(Amended Sept. 16, 2015, to take effect Jan. 1, 2016.) appendix requirements of Section 67-8.
(a) With the exception of those appeals in which (b) (1) In criminal appeals filed by incarcerated
the contents of the case file consist solely of self-represented parties, the clerk of the trial court
papers filed by electronic means, the clerk of the shall forward to the Office of the Chief State’s
trial court shall, within ten days of the filing of the Attorney one complete copy of the case file and
appeal, prepare and forward to the appellate clerk all written requests to charge for use in preparing
one complete copy of the case file, including the part one of the appendix pursuant to Section 67-
case detail page for noncriminal cases and all 8 (b).
written requests to charge. No omissions may be (2) In habeas appeals filed by incarcerated self-
made from the case file except upon the authori- represented parties, the clerk of the trial court
zation of the appellate clerk. The appellate clerk shall forward to either the Office of the Chief
may direct the clerk of the trial court to prepare State’s Attorney or the Office of the Attorney Gen-
and to forward a case file in any other instance eral one complete copy of the case file, including
in which it is needed. The clerk of the trial court the case detail page and all written requests to
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RULES OF APPELLATE PROCEDURE Sec. 68-2A
charge for use in preparing part one of the appen- case detail page for noncriminal cases and all
dix pursuant to Section 67-8 (b). written requests to charge. No omissions may be
(3) In criminal and habeas appeals filed by made from the case file except upon the authori-
incarcerated self-represented parties, the Office zation of the appellate clerk. The appellate clerk
of the Chief State’s Attorney or the Office of the may direct the clerk of the trial court to prepare
Attorney General and the clerk of the trial court and to forward a case file in any other instance
may agree that the copy of the case file be pro- in which it is needed. The clerk of the trial court
vided by electronic means. shall, within five days of the filing, forward to the
(c) Each document of the case file must be appellate clerk one copy of all additions made
numbered, and the file must include a table of to the case file after the initial preparation and
contents listing each item entered in the file transmittal of the case file.
according to its number. Nothing in this section relieves the appellant
(d) In an appeal from an administrative agency, and the appellee of their duty to comply with the
the papers returned by the agency to the trial party appendix requirements of Section 67-8.
court, even though annexed to and incorporated (b) Each document of the case file must be
by reference in the answer, shall accompany the numbered, and the file must include a table of
copies of the file but need not be included in the contents listing each item entered in the file
copies of the file. according to its number.
(e) All exhibits in the trial court are deemed (c) In an appeal from an administrative agency,
exhibits on appeal and are deemed in the custody the papers returned by the agency to the trial
of the appellate clerk while the appeal is pending. court, even though annexed to and incorporated
The appellate clerk shall notify the clerk of the by reference in the answer, shall accompany the
trial court of the exhibits required by the court in copy of the file that is numbered and indexed
which the appeal is pending. Within ten days of pursuant to subsection (b).
such notice, the clerk of the trial court shall trans- (d) All exhibits in the trial court are deemed
mit those exhibits to the appellate clerk accompa- exhibits on appeal and are deemed in the custody
nied by a list of all exhibits in the case. The clerk of the appellate clerk while the appeal is pending.
of the trial court shall notify all counsel of record The appellate clerk shall notify the clerk of the
of the transmittal and provide them with a copy trial court of the exhibits required by the court in
of the exhibit list. The provisions of this paragraph which the appeal is pending. Within ten days of
shall apply to records lodged pursuant to Section such notice, the clerk of the trial court shall trans-
7-4C. mit those exhibits to the appellate clerk accompa-
(P.B. 1978-1997, Sec. 4084.) (Amended July 24, 2002, to
take effect Oct. 1, 2002; amended Oct. 15, 2003, to take effect nied by a list of all exhibits in the case. The clerk
Jan. 1, 2004; amended July 30, 2009, to take effect Jan. 1, of the trial court shall notify all counsel of record
2010; amended Jan. 31, 2013, to take effect March 1, 2013; of the transmittal and provide them with a copy
amended June 5, 2013, to take effect July 1, 2013; amended of the exhibit list. The provisions of this paragraph
Sept. 16, 2015, to take effect Jan. 1, 2016; amended Oct. 24, shall apply to records lodged pursuant to Section
2018, to take effect Jan. 1, 2019.)
COMMENTARY—July, 2013: Subsection (b) was added in 7-4C.
July, 2013. The purpose of this amendment is to ensure that (P.B. 1978-1997, Sec. 4084.) (Amended July 24, 2002, to
in criminal appeals and habeas appeals filed by incarcerated take effect Oct. 1, 2002; amended Oct. 15, 2003, to take effect
self-represented parties, either the Office of the Chief State’s Jan. 1, 2004; amended July 30, 2009, to take effect Jan. 1,
Attorney or the Office of the Attorney General, as the case 2010; amended Jan. 31, 2013, to take effect March 1, 2013;
may be, will receive a copy of the case file from the clerk of the amended June 5, 2013, to take effect July 1, 2013; amended
trial court for purposes of preparing part one of the appendix Sept. 16, 2015, to take effect Jan. 1, 2016; amended Oct. 24,
pursuant to Section 67-8 (b). 2018, to take effect Jan. 1, 2019; amended June 15, 2021,
to take effect Oct. 1, 2021.)
Sec. 68-1. Responsibilities of Clerk of the
Trial Court regarding Copying Case File and Sec. 68-2. Record Preparation
Additions to Case File Made after Appeal Is [Repealed only as to appeals filed on or after
Filed; Exhibits and Lodged Records July 1, 2013.]
(Applicable to appeals filed on or after October 1, 2021.)
(Amended Sept. 16, 2015, to take effect Jan. 1, 2016.) Sec. 68-2A. Assembly of the Clerk Appendix
(a) With the exception of those appeals in which (Applicable to appeals filed on or after October 1, 2021.)
the contents of the case file consist solely of As soon as possible after the filing of the appeal
papers filed by electronic means, the clerk of the and the delivery of the case file, the appellate
trial court shall, within ten days of the filing of the clerk shall assemble the clerk appendix. After
appeal, prepare and forward to the appellate clerk assembling the clerk appendix, the appellate clerk
one complete copy of the case file, including the shall upload the clerk appendix in a searchable
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Sec. 68-2A RULES OF APPELLATE PROCEDURE
portable document format to the appellate file and Sec. 68-5A. Clerk Appendix when More than
deliver it to the parties. One Appeal
(Adopted June 15, 2021, to take effect Oct. 1, 2021.) (Applicable to appeals filed on or after October 1, 2021.)
When more than one appeal is taken from the
Sec. 68-3. Record Contents same trial court docket number, the appellate
[Repealed only as to appeals filed on or after clerk has the discretion to assemble only one
July 1, 2013.] clerk appendix.
(Adopted June 15, 2021, to take effect Oct. 1, 2021.)
Sec. 68-3A. Clerk Appendix Contents
(Applicable to appeals filed on or after October 1, 2021.) Sec. 68-6. Record where Several Cases Pre-
The clerk appendix shall contain the oral or sent Same Question
written decision that is the subject of the appeal, [Repealed only as to appeals filed on or after
pleadings, motions, orders and other documents July 1, 2013.]
(but not memoranda of law) docketed in the case Sec. 68-6A. Clerk Appendix when Several
file that are necessary for presenting the issues Cases Present Same Question
on appeal. The appellate clerk shall assemble the (Applicable to appeals filed on or after October 1, 2021.)
clerk appendix based on a review of the case In the discretion of the appellate clerk, if several
file and the preliminary papers submitted by the cases are pending in which the same question of
parties pursuant to Section 63-4. The appellate law is presented, whether between the same or
clerk may confer with counsel and with the clerk different parties, such clerk may assemble only
of the trial court to determine the contents of the one clerk appendix.
clerk appendix. Officer’s returns, transcripts and (Adopted June 15, 2021, to take effect Oct. 1, 2021.)
exhibits shall not be included in the clerk appendix
unless they had been annexed to a document Sec. 68-7. Record Filing
docketed in the case file in the proceedings below. [Repealed only as to appeals filed on or after
Nevertheless, exhibits annexed to a document July 1, 2013.]
docketed in the case file in the proceedings below Sec. 68-8. Supplements
may be excluded from the clerk appendix at the
discretion of the appellate clerk. The contents of [Repealed only as to appeals filed on or after
the clerk appendix in administrative appeals is July 1, 2013.]
governed by Section 68-10A. Sec. 68-8A. Supplements
(Adopted June 15, 2021, to take effect Oct. 1, 2021.) (Applicable to appeals filed on or after October 1, 2021.)
Sec. 68-4. Record Format After the clerk appendix has been filed, the
appellate clerk may supplement the clerk appen-
[Repealed only as to appeals filed on or after dix as needed and shall upload any supplement
July 1, 2013.] to the appellate file and deliver it to the parties.
(Adopted June 15, 2021, to take effect Oct. 1, 2021.)
Sec. 68-4A. Clerk Appendix Format
(Applicable to appeals filed on or after October 1, 2021.) Sec. 68-9. Evidence Not To Be Included in
The cover of the clerk appendix shall include Record
the following in order from the top of the page: [Repealed only as to appeals filed on or after
(1) the name of the court; (2) the appellate docket July 1, 2013.]
number; and (3) the appellate case name. The Sec. 68-10. Record in Administrative Appeals;
appellate clerk shall prepare a table of contents Exceptions
giving the title or nature of each document
included in the clerk appendix, along with the cor- [Repealed only as to appeals filed on or after July
responding page number on which the document 1, 2013.]
[Transferred as of July 1, 2013, to Section 67-8A]
begins. The pages of the clerk appendix shall
be numbered sequentially. The date when each Sec. 68-10A. Clerk Appendix in Administrative
paper contained in the clerk appendix was filed Appeals; Exceptions
must be stated. (Applicable to appeals filed on or after October 1, 2021.)
(Adopted June 15, 2021, to take effect Oct. 1, 2021.) (a) If not already included in the copy of the case
file pursuant to subsection (c), in appeals from
Sec. 68-5. Record where More than One administrative agencies, the clerk appendix shall
Appeal include the part of the return of the administrative
[Repealed only as to appeals filed on or after agency which identifies the papers returned to the
July 1, 2013.] trial court, and also such of the papers returned as
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RULES OF APPELLATE PROCEDURE Sec. 68-11A
consist of (1) the application or appeal to the agency; (2) Appeals from municipal assessors filed pursu-
(2) the notice of hearing and the affidavit of publica- ant to General Statutes § 12-103.
tion, if they are at issue in the appeal; and (3) any (3) Appeals from the Commissioner of Revenue
minutes or decision showing the action taken by the Services.
agency, the reasons assigned for that action and (4) Appeals from the insurance commissioner filed
any findings and conclusions of fact made by the pursuant to General Statutes § 38a-139.
agency. The clerk appendix shall also contain such (5) Any other appeal in which the parties received
other portions of the returned agency record as the a trial de novo in the Superior Court.
The clerk appendix in these matters shall be
appellate clerk finds are needed for the proper pre- assembled pursuant to the rules applicable to the
sentation of any of the issues on appeal. Relevant clerk appendix in ordinary civil actions.
portions of the record before the agency returned by it (Adopted June 15, 2021, to take effect Oct. 1, 2021.)
to the trial court but not included in the clerk appendix Sec. 68-11. Decision To Be Part of Record
should be reproduced in the brief or party appendix
[Repealed only as to appeals filed on or after July
as provided in Section 67-8. 1, 2013.]
(b) The party appendix, if any, shall be prepared
in accordance with the provisions of Section 67-8. Sec. 68-11A. Decision To Be Part of Clerk
(c) Subsection (a) shall not apply to the following Appendix
(Applicable to appeals filed on or after October 1, 2021.)
administrative appeals: The oral or written decision that is the subject of
(1) Appeals from municipal boards of tax review the appeal shall be included as part of the clerk
filed pursuant to General Statutes §§ 12-117a and appendix. See Sections 64-1 and 64-2.
12-119. (Adopted June 15, 2021, to take effect Oct. 1, 2021.)
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Sec. 69-1 RULES OF APPELLATE PROCEDURE
CHAPTER 69
ASSIGNMENT OF CASES FOR ARGUMENT
Sec. Sec.
69-1. Docket 69-2. Cases Ready for Assignment
69-3. Time for Assignments; Order of Assignment
For previous Histories and Commentaries see the editions of the Practice Book
corresponding to the years of the previous amendments.
Sec. 69-1. Docket July 1, 2013; amended Sept. 16, 2015, to take effect Jan. 1,
The appellate clerk shall periodically prepare a 2016; amended June 15, 2016, to take effect Sept. 30, 2016;
amended Oct. 18, 2016, to take effect Jan. 1, 2017.)
docket of all pending cases which are not on a
current assignment list and which appear to be Sec. 69-3. Time for Assignments; Order of
ready for assignment under Section 69-2 or have Assignment
been ordered to be heard by the court. The appel-
late clerk shall post the docket on the Judicial Assignments of cases ordinarily will be made
Branch website. The electronic posting on the in the order in which the cases become ready for
Judicial Branch website shall be official notice of assignment pursuant to Section 69-2. Requests
the docket. Counsel of record who have received for variations from this order, stating the reason
an exemption from the electronic filing require- therefor, shall be made by filing an assignment
ments pursuant to Section 60-8 shall receive form (JD-SC-37) in the time frame specified on
paper notice of the inclusion of the case on the the docket with certification pursuant to Section
docket. 62-7.
(P.B. 1978-1997, Sec. 4100.) (Amended Sept. 16, 2015, An attorney making such a request shall also
to take effect Jan. 1, 2016; amended June 15, 2016, to take
effect Sept. 30, 2016; amended Oct. 18, 2016, to take effect
indicate that a copy of the request has been deliv-
Nov. 30, 2016.) ered to each of his or her clients who are parties
to the appeal.
Sec. 69-2. Cases Ready for Assignment
Assignments for oral argument in the Supreme
Cases will be considered ready for assignment Court and Appellate Court shall take precedence
when the briefs and appendices, if any, of all par-
over all other Judicial Branch assignments.
ties, including reply briefs, have been filed or the
time for filing reply briefs has expired. Any case The appellate clerk will post the assignment of
ready for assignment may be assigned pursuant cases on the Judicial Branch website. The elec-
to Section 69-3. After notice to counsel of record tronic posting on the Judicial Branch website shall
of a date and time to be heard, the chief justice, be official notice of the assignment. Counsel of
the chief judge, or a designee may order the record who have received an exemption from the
assignment of any appeal, notwithstanding the electronic filing requirements pursuant to Section
fact that the case on appeal does not appear on 60-8 shall receive paper notice of the assignment
the docket. of the case.
If an assigned case is settled or withdrawn for (P.B. 1978-1997, Sec. 4104.) (Amended Jan. 29, 2009, to
any reason, counsel for the appellant shall notify take effect March 1, 2009; amended Sept. 16, 2015, to take
the appellate clerk immediately. effect Jan. 1, 2016; amended Sept. 16, 2015, to take effect
(P.B. 1978-1997, Sec. 4101.) (Amended July 23, 1998, to Jan. 1, 2016; amended June 15, 2016, to take effect Sept. 30,
take effect Jan. 1, 1999; amended June 5, 2013, to take effect 2016; amended Oct. 18, 2016, to take effect Nov. 30, 2016.)
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RULES OF APPELLATE PROCEDURE Sec. 70-3
CHAPTER 70
ARGUMENTS AND MEDIA COVERAGE OF COURT PROCEEDINGS
Sec. Sec.
70-1. Oral Argument; Videoconferencing of Oral Argu- 70-6. Reconsideration when Court Evenly Divided
ment in Certain Cases 70-7. Appellate Court Consideration En Banc and Rear-
70-2. Submission without Oral Argument on Request gument En Banc
70-8. Special Sessions
of Parties 70-9. Coverage of Court Proceedings by Cameras and
70-3. Order of Oral Argument; Nonappearance at Oral Electronic Media
Argument 70-10. Cameras and Electronic Media; Coverage of
70-4. Time Allowed for Oral Argument; Who May Argue Supreme and Appellate Court Proceedings by
70-5. Points To Be Argued News Media [Repealed]
For previous Histories and Commentaries see the editions of the Practice Book
corresponding to the years of the previous amendments.
Sec. 70-1. Oral Argument; Videoconferenc- Sec. 70-2. Submission without Oral Argu-
ing of Oral Argument in Certain Cases ment on Request of Parties
(a) Oral argument will be allowed as of right in (Amended May 19, 2011, to take effect Jan. 1, 2012.)
all appeals except as provided in subsection (b) Counsel of record may, before or after a case
of this rule. has been assigned for a hearing, file a request to
submit the case for decision on the briefs and
(b) In civil cases where: (1) the dispositive issue record only, without oral argument. No request for
or set of issues has been recently authoritatively submission without oral argument will be granted
decided; or (2) the facts and legal arguments are unless the requesting party certifies that all other
adequately presented in the briefs and the deci- parties agree to waive oral argument. This rule
sional process would not be significantly aided by applies only to counsel of record who have filed
oral argument, notice will be sent to counsel of a brief or joined in the brief of another party.
record that the case will be decided on the briefs (P.B. 1978-1997, Sec. 4102.) (Amended May 19, 2011, to
and record only. This notice will be issued after take effect Jan. 1, 2012; amended Sept. 16, 2015, to take
all briefs and appendices, if any, have been filed. effect Jan. 1, 2016.)
Any party may file a request for argument stating
Sec. 70-3. Order of Oral Argument; Nonap-
briefly the reasons why oral argument is appro-
pearance at Oral Argument
priate and shall do so within ten days of the issu-
ance of the court’s notice. After receipt and (Amended Oct. 18, 2017, to take effect Jan. 1, 2018.)
consideration of such a request, the court will (a) Counsel of record for the appellant or plaintiff
either assign the case for oral argument or assign in error will be entitled to open and close oral
the case for disposition without oral argument, as argument. On a reservation, the plaintiff will open
it deems appropriate. and close, unless the court otherwise directs,
except in suits for the construction of wills or of
(c) In matters involving incarcerated self-repre- interpleader, when the court will fix the order of
sented parties, oral argument may be conducted oral argument. If there are cross appeals, the origi-
by videoconference upon direction of the court in nal appellant will open and the cross appellant
its discretion. will close unless the court otherwise orders for
(P.B. 1978-1997, Sec. 4106.) (Amended May 19, 2011, to cause shown. If there are consolidated appeals,
take effect Jan. 1, 2012; amended June 5, 2013, to take effect the parties in the appeal filed first will argue first
July 1, 2013; amended Sept. 16, 2015, to take effect Jan. 1,
2016; amended June 15, 2016, to take effect Sept. 30, 2016;
unless the court otherwise orders.
amended July 19, 2022, to take effect Jan. 1, 2023.) (b) If either party fails to appear at oral argu-
HISTORY—2023: In the third sentence of subsection (b), ment, the court may decide the case on the basis
‘‘seven’’ was deleted and replaced with ‘‘ten.’’ of the briefs, the record, and the oral argument
COMMENTARY—2023: The purpose of this amendment of the appearing party. If neither party appears at
is to increase the time from seven to ten days to file a request oral argument, the court may decide the case on
for oral argument following the issuance of notice from the the basis of the briefs and record only, without
court that the case will be decided on briefs and the record only. oral argument. The court may impose sanctions
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Sec. 70-3 RULES OF APPELLATE PROCEDURE
on a nonappearing party in accordance with Sec- waived because not argued orally. Rebuttal argu-
tion 85-3, including dismissal of the case. ment shall be confined to the points presented by
(P.B. 1978-1997, Sec. 4107.) (Amended Oct. 18, 2016, to the argument of opposing counsel of record.
take effect Jan. 1, 2017; amended Oct. 18, 2017, to take effect (P.B. 1978-1997, Sec. 4109.) (Amended Oct. 18, 2016, to
Jan. 1, 2018.) take effect Jan. 1, 2017.)
Sec. 70-4. Time Allowed for Oral Argument; Sec. 70-6. Reconsideration when Court
Who May Argue Evenly Divided
Unless the court grants a request for additional When the court is evenly divided as to the result,
time made before oral argument begins, argument the court shall reconsider the case, with or without
of any case shall not exceed thirty minutes on oral argument, with an odd number of justices
each side in the Supreme Court and twenty or judges.
(P.B. 1978-1997, Sec. 4111.)
minutes on each side in the Appellate Court. The
time allowed may be apportioned among counsel Sec. 70-7. Appellate Court Consideration En
on the same side of a case as they may choose. Banc and Reargument En Banc
The court may terminate the argument whenever (Amended July 21, 1999, to take effect Jan. 1, 2000;
in its judgment further argument is unnecessary. amended June 2, 2010, to take effect Jan. 1, 2011.)
Prior to the date assigned for hearing, counsel (a) Before a case is assigned for oral argument,
of record may file a request with the appellate the chief judge may order, on the motion of a party
clerk to allow more than one counsel to present or sua sponte, that a case be heard en banc.
oral argument for one party to the appeal. (b) After argument but before decision, the
In cases in which there is a firm appearance, entire court may order that the case be considered
or in which there are multiple appearances for the en banc with or without further oral argument or
same party, if an attorney from the appearing firm with or without supplemental briefs. The judges
or who already has an appearance wishes to who did not hear oral argument shall have avail-
argue the appeal but is not identified as the able to them the electronic recording or a tran-
arguing attorney on the brief, the attorney who script of the oral argument before participating in
will be arguing the appeal shall file a letter notifying the decision.
the court of the change as soon as possible prior (c) After decision, the entire court may order,
to argument. on the motion of a party pursuant to Section 71-5
No argument shall be allowed any party who or sua sponte, that reargument be heard en banc.
(P.B. 1978-1997, Sec. 4112.) (Amended July 21, 1999, to
has not filed a brief or who has not joined in the take effect Jan. 1, 2000; amended June 2, 2010, to take effect
brief of another party. Jan. 1, 2011.)
(P.B. 1978-1997, Sec. 4108.) (Amended Sept. 16, 2015,
to take effect Jan. 1, 2016; amended Oct. 18, 2016, to take Sec. 70-8. Special Sessions
effect Jan. 1, 2017; amended July 23, 2019, to take effect The Supreme Court will be deemed in special
Jan. 1, 2020; amended July 19, 2022, to take effect Jan.
1, 2023.)
session whenever the justices meet for consulta-
HISTORY—2023: Prior to 2023, the first paragraph pro-
tion; but the presence of the clerk or a judicial
vided: ‘‘Unless the court grants a request for additional time marshal will not be required, unless specially
made before oral argument begins, argument of any case directed.
shall not exceed one-half hour on each side. The time allowed (P.B. 1978-1997, Sec. 4115.) (Amended Oct. 10, 2001, to
may be apportioned among counsel on the same side of a case take effect Jan. 1, 2002.)
as they may choose. The court may terminate the argument
whenever in its judgment further argument is unnecessary.’’
Sec. 70-9. Coverage of Court Proceedings
COMMENTARY—2023: The intent of these amendments by Cameras and Electronic Media
is to clearly state in the rules the different practices of the (a) The broadcasting, televising, recording or
Supreme and Appellate Courts with respect to the time allotted photographing of proceedings in the Supreme or
for oral arguments. Appellate Court by the media as defined in Section
1-10A should be allowed unless the panel of
Sec. 70-5. Points To Be Argued
jurists partially or totally excludes coverage in the
(a) Oral argument should clarify and focus argu- interests of the administration of justice.
ments in the written briefs. The court discourages (b) Unless good cause is shown, any media or
oral argument read from a prepared text and pool representative who has been approved as
lengthy quotations from legal precedents, the media pursuant to Section 1-10A and wishes to
transcript, or the record. broadcast, televise, record or photograph a
(b) Counsel of record should assume that the Supreme or Appellate Court proceeding shall
court has read the briefs in advance of oral argu- send an e-mail request for electronic coverage to
ment. No points made in briefs will be considered a person designated by the chief court administra-
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RULES OF APPELLATE PROCEDURE Sec. 70-10
tor to receive such requests at least three busi- the panel is determined. The panel of jurists may consider a
ness days prior to the commencement of the late motion to limit or preclude coverage. Prior to acting on
such motion, the panel of jurists shall provide any media outlet
proceeding. Said designee shall promptly transmit expected to cover the proceeding an opportunity to respond
any such request to the panel of jurists assigned in writing to the motion.
to hear the matter. ‘‘(3) In acting on such motion or on its own motion, the panel
(c) The right to permit or to exclude coverage, of jurists will apply the presumption that all judicial courtroom
whether partially or totally, shall remain with the proceedings in the Supreme and Appellate Courts are subject
panel of jurists, consistent with subsection (a). to coverage by cameras and electronic media. In addition, it
will be guided by the principles that such coverage should be
(d) In any case involving: (1) sexual assault; (2) limited only if there is good cause to do so, there are no
risk of injury to, or impairing the morals of, a child; reasonable alternatives to such limitations, and the limitation
(3) abuse or neglect of a child; (4) termination of is no broader than necessary to protect the competing interests
parental rights; and (5) contested questions of at issue.
child custody or visitation, counsel of record shall ‘‘(4) In acting on such motion or its own motion, the panel
not disclose any information that would likely pub- of jurists will conclude that the presumption in favor of coverage
by cameras and electronic media has been overcome only if
licly reveal the identity or ___location of the protected it is satisfied that good cause exists for a limitation or preclusion
parties during the proceeding. on coverage. If the panel of jurists orders a limitation or preclu-
(e) If there are multiple requests to broadcast, sion on coverage, it will provide a statement of its reasons. A
televise, record or photograph the same proceed- statement may be written or stated on the record in open court.
ing, the media representatives making such ‘‘(c) (1) The presumption in favor of coverage shall not apply
requests must make pooling arrangements to cases involving: (A) sexual assault; (B) risk of injury to, or
impairing the morals of, a child; (C) abuse or neglect of a
among themselves, unless otherwise determined child; (D) termination of parental rights; and (E) contested
by the panel of jurists. The panel of jurists shall not questions of child custody or visitation.
mediate any disputes among the media regarding ‘‘(2) In cases to which the presumption in favor of coverage
pooling arrangements. does not apply, any person may request such coverage by
(f) As used in this rule, ‘‘panel of jurists’’ means filing a motion not later than one week before the start of
the justices or judges assigned to hear a particu- the term for which the case is subject to being assigned, as
indicated on the docket pursuant to Section 69-1. The applicant
lar case. shall deliver a copy of such written request to each counsel
(P.B. 1978-1997, Sec. 4116A.) (Amended Feb. 19, 2003,
of record and to any victim or child in the case. The applicant
to take effect Jan. 1, 2004; amended April 11, 2007, to take
shall give notice to any such victim by notifying the state’s
effect June 1, 2007; amended Sept. 16, 2015, to take effect
attorney in a criminal case, the attorney or guardian ad litem
Jan. 1, 2016; amended July 19, 2022, to take effect Jan.
for a minor child in cases involving a minor victim or child
1, 2023.)
represented by an attorney or guardian ad litem, and to any
HISTORY—2023: Prior to 2023, this section provided: ‘‘(a)
other victim or child by notifying the office of the victim advo-
Except for those matters enumerated in subsection (c) of this
cate. Endorsed on the motion shall be a certification of such
rule, all judicial courtroom proceedings in the Supreme and
delivery. The appellate clerk shall refer any such motion to
Appellate Courts are presumed to be subject to coverage by
the panel of jurists for review as soon as the panel is deter-
cameras and electronic media.
mined. The panel of jurists may consider a late motion
‘‘(b) (1) All such proceedings may be broadcast, televised,
requesting coverage. Prior to acting on such motion, the panel
videotaped, audio recorded or photographed unless: (A) the
of jurists shall provide the parties, any such minor children
panel of jurists grants a motion by a party or a victim in a case
and any victims of the offense an opportunity to respond in
requesting the limitation or preclusion of such coverage, or
writing to the motion. The panel of jurists shall grant the motion
(B) the panel of jurists, on its own motion, limits or precludes
only if it is satisfied that the need for such coverage outweighs
such coverage. The right to permit or to exclude coverage,
the privacy interests involved in the case.
whether partially or totally, at any time in the interests of the
‘‘(d) The Supreme and Appellate Courts shall establish
administration of justice shall remain with the panel of jurists.
appropriate protocols governing the number, ___location and use
‘‘(2) Any party or victim who desires to file a motion to limit
of all forms of coverage consistent with these rules.
or preclude coverage shall do so not later than one week
‘‘(e) As used in this rule, ‘‘panel of jurists’’ means the justices
before the start of the term for which the case is subject to
or judges assigned to hear a particular case.’’
being assigned, as indicated on a docket pursuant to Section
COMMENTARY—2023: The purpose of these amend-
69-1. The party or victim shall deliver a copy of such motion
ments is to conform the rule to the current practice before the
to each counsel of record and to any other victim in the case.
Supreme Court, and to instruct counsel of record not to dis-
The party or victim shall give notice to any such victim by
close in certain cases the identity or ___location of protected
notifying the state’s attorney in a criminal case, the attorney
parties.
or guardian ad litem for a minor child in cases involving a
minor victim or child represented by an attorney or guardian Sec. 70-10. Cameras and Electronic Media;
ad litem, and to any other victim or child by notifying the
office of the victim advocate. Endorsed on the motion shall
Coverage of Supreme and Appellate Court
be certification of such delivery. The appellate clerk shall refer Proceedings by News Media
any such motion to the panel of jurists for review as soon as [Repealed as of June 1, 2007.]
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Sec. 71-1 RULES OF APPELLATE PROCEDURE
CHAPTER 71
APPELLATE JUDGMENTS AND OPINIONS
Sec. Sec.
71-1. Appellate Judgment Files 71-6. Stay of Proceedings
71-2. Costs Included in Judgments 71-7. Stays of Execution Pending Decision by United
71-3. Motion To Reconsider Costs States Supreme Court
71-4. Opinions; Rescripts; Official Release Date
71-5. Motions for Reconsideration; Motions for Reconsid-
eration En Banc
For previous Histories and Commentaries see the editions of the Practice Book
corresponding to the years of the previous amendments.
Sec. 71-1. Appellate Judgment Files motion, in accordance with the provisions of Sec-
Judgments of the court may be embodied in tions 66-2 and 66-3, that the court review the
judgment files, to be drawn upon request and clerk’s taxation of costs under its judgment. Any
signed by the appellate clerk. Unless the court such motion must be submitted without oral argu-
otherwise directs, a judgment shall be deemed ment.
to have been rendered on the date an opinion or (P.B. 1978-1997, Sec. 4119.)
memorandum decision appears in the Connecti-
cut Law Journal; except that if an opinion or deci- Sec. 71-4. Opinions; Rescripts; Official
sion is issued by slip opinion or by oral announce- Release Date
ment from the bench, the judgment shall be (Amended Jan. 29, 2009, to take effect March 1, 2009;
deemed to have been rendered on the date that amended Oct. 18, 2017, to take effect Jan. 1, 2018.)
appears as the officially released date in the slip (a) After the court releases an opinion in any
opinion or the date that the oral announcement case other than a case involving a question certi-
is made. In the case of an order on, for example, fied from a federal court, the reporter of judicial
a motion or petition, the order shall be deemed decisions shall provide a hyperlink to an electronic
to have been made on the date that the appellate version of the opinion and send a copy of the
clerk issues notice of the order to the clerk of the rescript to the clerk of the trial court, and shall
trial court and to all counsel of record. Judgments make the rescript available to the appellate clerk.
or orders shall be entered as of the appropriate Notice of the decision of the court shall be deemed
date. to have been given, for all purposes, on the official
(P.B. 1978-1997, Sec. 4117.) (Amended Jan. 29, 2009, to release date that appears in the court’s opinion
take effect March 1, 2009; amended June 2, 2010, to take
effect Jan. 1, 2011.) or memorandum decision.
(b) The official opinion of the court is the ver-
Sec. 71-2. Costs Included in Judgments sion published in the bound volumes of the Con-
Except as otherwise provided herein, in all necticut Reports and the Connecticut Appellate
appeals or writs of error which go to judgment in Reports, or, if not published in a bound volume,
the Supreme or Appellate Court including an order the most recent version published in the Connecti-
for a new trial, costs shall be taxed to the prevailing cut Law Journal.
party by the appellate clerk, in the absence of (P.B. 1978-1997, Sec. 4120.) (Amended Jan. 29, 2009, to
special order to the contrary by the court. On all take effect March 1, 2009; amended June 2, 2010, to take
reservations the mandate which follows the opin- effect Jan. 1, 2011; amended Oct. 18, 2017, to take effect
ion of the court will specify what costs shall be Jan. 1, 2018; amended June 6, 2018, to take effect Sept.
taxed. A bill of costs shall be filed with the appel- 1, 2018.)
late clerk no more than thirty days after the notice
of the appellate decision, or, of the denial of a Sec. 71-5. Motions for Reconsideration;
motion for reconsideration, or, of the denial of a Motions for Reconsideration En Banc
petition for certification by the Supreme Court of (Amended July 21, 1999, to take effect Jan. 1, 2000.)
this state, whichever is latest. A motion for reconsideration will not be enter-
(P.B. 1978-1997, Sec. 4118.) (Amended July 21, 1999, to tained unless filed with the appellate clerk within
take effect Jan. 1, 2000.) ten days from the date when the decision or any
Sec. 71-3. Motion To Reconsider Costs order being challenged is officially released. Any
Any party may within ten days after the issuance required fees shall be paid in accordance with the
of the decision on the taxation of costs file a written provisions of Section 60-7 or 60-8. A fee shall not
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RULES OF APPELLATE PROCEDURE Sec. 71-7
be required for a motion for reconsideration when of the court having appellate jurisdiction would
either (1) no fee was required to file the appeal, change the position of any party from its position
or (2) the movant was granted a waiver of fees during the pendency of the appeal, all proceed-
to file the appeal. ings to enforce or carry out the decision of the
The motion for reconsideration shall state briefly court having appellate jurisdiction shall be stayed
the grounds for requesting reconsideration. until the time for filing a motion for reconsideration
A party may also request reconsideration en has expired, and, if a motion is filed, until twenty
banc by placing ‘‘en banc’’ in the caption of the days after its disposition, and, if it is granted, until
motion and requesting such relief as an alternative the appeal is finally determined. (See also Section
to reconsideration by the panel. 61-11.)
Whenever reconsideration en banc is sought, (P.B. 1978-1997, Sec. 4123.) (Amended July 21, 1999, to
take effect Jan. 1, 2000.)
the motion shall state briefly why reconsideration
en banc is necessary (for example, to secure or Sec. 71-7. Stays of Execution Pending Deci-
maintain uniformity of decision or because of the sion by United States Supreme Court
importance of the decision) and shall also state When a case has gone to judgment in the state
the names of the decisions, if any, with which the Supreme Court and a party to the action wishes
decision conflicts. A motion for reconsideration to obtain a stay of execution pending a decision
shall be treated as a motion for reconsideration in the case by the United States Supreme Court,
en banc when any member of the court which that party shall, within twenty days of the judg-
decided the matter will not be available, within a ment, file a motion for stay with the appellate clerk
reasonable time, to act on the motion for reconsid- directed to the state Supreme Court. The filing of
eration. the motion shall operate as a stay pending the
(P.B. 1978-1997, Sec. 4121.) (Amended July 21, 1999, to state Supreme Court’s decision thereon.
take effect Jan. 1, 2000; amended Sept. 16, 2015, to take When the state Supreme Court has denied a
effect Jan. 1, 2016; amended June 6, 2018, to take effect petition for certification from the Appellate Court,
Sept. 1, 2018.)
any stay in existence at the time of such denial
Sec. 71-6. Stay of Proceedings shall remain in effect for twenty days. Any party
(Amended July 21, 1999, to take effect Jan. 1, 2000.)
to the action wishing to extend such stay of execu-
Unless the chief justice or chief judge shall tion or to otherwise obtain a stay of execution
otherwise direct, any stay of proceedings which pending a decision in the case by the United
States Supreme Court shall file a motion for stay
was in effect during the pendency of the appeal
with the appellate clerk directed to the Appellate
shall continue until the time for filing a motion for
Court. The filing of the motion shall operate as
reconsideration has expired, and, if a motion is a stay pending the Appellate Court’s decision
filed, until twenty days after its disposition, and, thereon.
if it is granted, until the appeal is finally deter- (P.B. 1978-1997, Sec. 4050.) (Amended July 21, 1999, to
mined. If no stay of proceedings was in effect dur- take effect Jan. 1, 2000; amended Sept. 16, 2015, to take
ing the pendency of the appeal and the decision effect Jan. 1, 2016.)
495
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Sec. 72-1 RULES OF APPELLATE PROCEDURE
CHAPTER 72
WRITS OF ERROR
Sec. Sec.
72-1. Writs of Error; In General
72-3. Applicable Procedure
72-2. Form 72-3A. Stays
72-4. Applicability of Rules
For previous Histories and Commentaries see the editions of the Practice Book
corresponding to the years of the previous amendments.
Sec. 72-1. Writs of Error; In General The writ of error shall be presented for signature
(a) Writs of error for errors in matters of law within twenty days of the date notice of the judg-
only may be brought from a final judgment of the ment or decision complained of is given but shall
Superior Court to the Appellate Court in the follow- be signed by the judge or clerk even if not pre-
ing cases: (1) a decision binding on an aggrieved sented in a timely manner. Failure without cause
nonparty; (2) a summary decision of criminal con- to present the writ of error in a timely manner may
tempt; (3) a denial of transfer of a small claims be a ground for dismissal of the writ of error by
action to the regular docket; and (4) as otherwise the court having appellate jurisdiction.
necessary or appropriate in aid of its jurisdiction (b) The writ of error shall be served and returned
and agreeable to the usages and principles of law. as other civil process, except that the writ of error
(b) No writ of error may be brought in any civil shall be served at least ten days before the return
or criminal proceeding for the correction of any day and shall be returned to the appellate clerk
error where (1) the error might have been at least one day before the return day. The return
reviewed by process of appeal, or by way of certifi- days are any Tuesday not less than twelve nor
cation, or (2) the parties, by failure timely to seek more than thirty days after the writ of error is
a transfer or otherwise, have consented to have signed by a judge or clerk of the court.
the case determined by a court or tribunal from (c) The writ of error shall be deemed filed the
whose judgment there is no right of appeal or day it is properly returned to the appellate clerk.
opportunity for certification.
The plaintiff in error shall return the writ of error
(c) If an entity as defined in Section 60-4 is a
to the appellate clerk by (1) complying with Sec-
plaintiff in error or a defendant in error, counsel
tion 60-7 or 60-8 by paying the required fee, sub-
for that entity shall file a certificate of interested
entities or individuals. mitting a signed application for waiver of fees and
(P.B. 1978-1997, Sec. 4143A.) (Amended Nov. 19, 2003, the order of the trial court granting the fee waiver,
to take effect Jan. 1, 2004; amended July 23, 2019, to take or certifying that no fees are required; (2) submit-
effect Jan. 1, 2020; amended July 19, 2022, to take effect ting the matter in accordance with the provisions
Jan. 1, 2023.) of Section 63-3; and (3) submitting the allowed
HISTORY—2023: Subsection (c) was added. and signed writ of error and the signed marshal’s
COMMENTARY—2023: This amendment describes when
a certificate of interested entities or individuals is required to
return to the appellate clerk.
be filed. (d) An electronically filed writ of error will be
docketed upon the submission of the matter in
Sec. 72-2. Form accordance with Section 63-3 but will be rejected
The writ of error shall contain in numbered para- upon review by the appellate clerk if the plaintiff
graphs the facts upon which the plaintiff in error in error fails to comply with Section 60-7 or to
relies and a statement of the relief claimed. submit an allowed and signed writ of error and
(P.B. 1978-1997. Sec. 4143A.) (Amended June 2, 2010, the signed marshal’s return on the same business
to take effect Jan. 1, 2011; amended Sept. 16, 2015, to take
effect Jan. 1, 2016; amended July 19, 2017, to take effect
day the matter is submitted in accordance with
Oct. 8, 2017.) the provisions of Section 63-3. The writ of error
may also be returned upon review by the appellate
Sec. 72-3. Applicable Procedure clerk for noncompliance with the Rules of Appel-
(a) The writ of error, if in proper form, shall be late Procedure. The appellate clerk shall forthwith
allowed and signed by a judge or clerk of the court give notice to all parties of the filing of the writ
in which the judgment or decree was rendered. of error.
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RULES OF APPELLATE PROCEDURE Sec. 72-3A
(e) If the writ of error is brought against a judge July 23, 2019, to take effect Jan. 1, 2020; amended July 19,
of the Superior Court to contest a summary deci- 2022, to take effect Jan. 1, 2023.)
HISTORY—2023: Prior to 2023, subsections (f) and (g)
sion of criminal contempt by that judge, the provided: ‘‘(f) Within twenty days after filing the writ of error,
defendant in error shall be the Superior Court. In the plaintiff in error shall file with the appellate clerk such
all other writs of error, the writ of error shall bear documents as are necessary to present the claims of error
the caption of the underlying action in which the made in the writ of error, including pertinent pleadings, memo-
judgment or decision was rendered. All parties to randa of decision and judgment file, accompanied by a certifi-
the underlying action shall be served in accord- cation that a copy thereof has been served on each counsel
ance with Chapter 8 of these rules. of record in accordance with Section 62-7.
‘‘(g) In the event a transcript is necessary, the plaintiff in
(f) Within ten days of filing a writ of error, the error shall follow the procedure set forth in Sections 63-8 and
plaintiff in error shall file with the appellate clerk 63-8A.’’
(1) a certificate stating that no transcript is In addition, subsection (j) was added.
deemed necessary or a transcript order confirma- COMMENTARY—2023: The purpose of these amend-
tion from the official court reporter in compliance ments is to require a plaintiff in error to file a certificate regard-
with Section 63-4 (a). If any other party deems ing transcripts and a docketing statement within ten days of
filing a writ of error for consistency with Section 63-4 (a) and
any other parts of the transcript necessary that to clarify that briefing is to be in accordance with the rules
were not ordered by the plaintiff in error, that party applicable to appeals.
shall, within twenty days of the filing of the plaintiff TECHNICAL CHANGE: In subsection (e), ‘‘Chapter’’ was
in error’s transcript papers, file a transcript order capitalized for consistency purposes.
confirmation for an order placed in compliance
with Section 63-8 or 63-8A. Sec. 72-3A. Stays
(2) A docketing statement in compliance with Except where otherwise provided by statute or
Section 63-4 (a). If additional information is or other law, proceedings to enforce or carry out the
becomes known to, or is reasonably ascertainable judgment or order that is challenged in the writ of
by the defendant in error, the defendant in error error shall be automatically stayed for twenty days
shall file a docketing statement supplementing the and if the writ is timely allowed and signed, the
information required to be provided by the plaintiff stay shall continue until the return date set forth
in error. in the writ. If a writ of error is timely filed, such
(g) Within twenty days of filing a writ of error, proceedings shall be stayed until the final deter-
the plaintiff in error shall file with the appellate mination of the writ. If the writ goes to judgment
clerk such documents as are necessary to present in the Supreme Court or Appellate Court, any stay
the claims of error made in the writ of error, includ- thereafter shall be in accordance with Section
ing pertinent pleadings, memoranda of decision 71-6 (motions for reconsideration), Section 84-3
and judgment file, accompanied by a certification (petitions for certification by the Connecticut
that a copy thereof has been served on each Supreme Court), and Section 71-7 (petitions for
counsel of record in accordance with Section certiorari by the United States Supreme Court).
62-7. The automatic stay only applies to proceedings
(h) Within ten days of the filing by the plaintiff to enforce or carry out the judgment or order that
in error of the documents referred to in subsection is being challenged in the writ of error and does
(g) of this rule, the defendant in error may file not stay any other trial court proceedings. There
such additional documents as are necessary to shall be no automatic stay if a writ of error is filed
defend the action, accompanied by a certification challenging an order of civil contempt, summary
that a copy thereof has been served on each criminal contempt or any decisions under Section
counsel of record in accordance with Section 61-11 (b) and (c) in accordance with the rules
62-7. for appeals.
(i) Answers or other pleas shall not be filed in Any aggrieved nonparty plaintiff in error or
response to any writ of error. defendant in error or a party may file a motion to
(j) Briefing is in accordance with Section 67-1 terminate or impose a stay in matters covered by
et seq. in which the rules applicable to appellants this section, either before or after the judgment
shall apply to plaintiffs in error, and the rules appli- or order is rendered, based upon the existence
cable to appellees shall apply to defendants in of a writ of error. Such a motion shall be filed in
error. accordance with the procedures in Section 61-11
(P.B. 1978-1997, Sec. 4144.) (Amended Nov. 19, 2003, to (d) and (e) or Section 61-12. Whether acting on
take effect Jan. 1, 2004; amended June 2, 2010, to take effect
Jan. 1, 2011; amended June 5, 2013, to take effect July 1,
a motion of a party, a nonparty plaintiff in error or
2013; amended Sept. 16, 2015, to take effect Jan. 1, 2016; defendant in error or sua sponte, the judge shall
amended June 15, 2016, to take effect Sept. 30, 2016; hold a hearing prior to terminating the automatic
amended July 19, 2017, to take effect Oct. 8, 2017; amended stay.
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Sec. 72-3A RULES OF APPELLATE PROCEDURE
In a family matter, the trial judge shall consider: the parties and aggrieved nonparties. The judge
(1) the needs and interests of the parties, their who entered the order in a family matter from
children and any other persons affected by such which a writ of error is brought may terminate
order; (2) the potential prejudice that may be any stay in that matter upon motion of a party
caused to the parties, their children and any other or nonparty or sua sponte, after considering the
persons affected, if a stay is entered, not entered factors set forth above.
(Adopted June 6, 2018, to take effect Sept. 1, 2018.)
or is terminated; (3) the need to preserve the rights
of the nonparty bringing the writ of error to obtain Sec. 72-4. Applicability of Rules
effective relief if the writ is successful; (4) the Except as otherwise provided by statute or rule,
effect, if any, of the automatic orders under Sec- the prosecution and defense of a writ of error shall
be in accordance with the rules for appeals.
tion 25-5 on any of the foregoing considerations; (P.B. 1978-1997, Sec. 4145.) (Amended Nov. 19, 2003, to
and (5) any other factors affecting the equities of take effect Jan. 1, 2004.)
498
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RULES OF APPELLATE PROCEDURE Sec. 73-3
CHAPTER 73
RESERVATIONS
Sec. Sec.
73-1. Reservation of Questions from the Superior Court to 73-2. Consideration of Reservation Request by Superior
the Supreme Court or Appellate Court; Contents Court
of Reservation Request 73-3. Procedure upon Acceptance of Reservation
73-4. Briefs, Appendices and Argument
For previous Histories and Commentaries see the editions of the Practice Book
corresponding to the years of the previous amendments.
Sec. 73-1. Reservation of Questions from ervation request with its determination, which
the Superior Court to the Supreme Court or shall include the items specified in Section 73-1
Appellate Court; Contents of Reservation (a), to the appellate clerk and to all parties of
Request record. The Supreme Court or Appellate Court
(a) Counsel may jointly file with the Superior shall either preliminarily accept or decline the res-
Court a request to reserve questions of law for ervation request, but may later reject the reserva-
consideration by the Supreme Court or Appellate tion if it should appear to have been improvidently
Court. A reservation request shall set forth: (1) a granted. The Supreme Court or Appellate Court
stipulation of the essential undisputed facts and will not entertain a reservation unless the question
a clear and full statement of the question or ques- or questions presented are reasonably certain to
tions upon which advice is desired; (2) a statement enter into the decision of the case and it appears
of reasons why the resolution of the question by that their determination would be in the interest
the appellate court having jurisdiction would serve of simplicity, directness and judicial economy. The
the interest of simplicity, directness and judicial Supreme Court or Appellate Court may also request
economy; and (3) whether the answers to the that the Superior Court provide additional facts
questions will determine, or are reasonably cer- required for a decision upon the questions reserved
tain to enter into the final determination of the
and to clarify such questions when necessary.
case. All questions presented for advice shall be (Adopted Sept. 16, 2015, to take effect Jan. 1, 2016.)
specific and shall be phrased so as to require a
Yes or No answer. Sec. 73-3. Procedure upon Acceptance of
(b) Reservation requests may be brought only Reservation
in those cases in which an appeal could have
been filed directly to the Supreme Court, or to the (a) The appellate clerk shall notify the clerk of
Appellate Court, respectively, had judgment been the trial court and the parties of the decision or
rendered. Reservations in cases where the proper order on the reservation request. Within twenty
court for the appeal cannot be determined prior days of issuance of the notice of an order of pre-
to judgment shall be filed directly to the Supreme liminary acceptance, the appellant shall file the
Court. reservation in accordance with the provisions of
(c) If one of the parties to the reservation Section 63-3, except that no entry fee shall be
request in a civil matter is an entity as defined in paid and no costs shall be taxed in favor of any
Section 60-4, the reservation request must also party. In addition, within ten days of the filing of
include a certificate of interested entities or indi- the appeal, the appellant shall file a docketing
viduals filed by counsel of record for that entity. statement in the form specified in Section 63-4
(P.B. 1978-1997, Sec. 4147.) (Amended June 5, 2013, to (a) (4).
take effect July 1, 2013; amended Sept. 16, 2015, to take (b) The plaintiff in the court that ordered the
effect Jan. 1, 2016; amended July 19, 2022, to take effect
Jan. 1, 2023.) reservation shall be deemed the appellant, and
HISTORY—2023: Subsection (c) was added. the defendant in such court shall be deemed the
COMMENTARY—2023: This amendment describes when appellee for purposes of these rules, unless other-
a certificate of interested entities or individuals is required to wise ordered by the court.
be filed.
(c) The advice of the Appellate Court on a reser-
Sec. 73-2. Consideration of Reservation vation may be reviewed by the Supreme Court
Request by Superior Court only upon the granting of certification as provided
If the Superior Court determines that a reserva- in Chapter 84.
tion would be appropriate, it shall forward the res- (Adopted Sept. 16, 2015, to take effect Jan. 1, 2016.)
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Sec. 73-3 RULES OF APPELLATE PROCEDURE
TECHNICAL CHANGE: In subsection (a), the reference to of an order of preliminary acceptance. A party
section 63-4 (a) (4) was updated. In addition, in subsection wishing to file a reply brief must do so within twenty
(c), ‘‘Chapter’’ was capitalized for consistency purposes. days of the filing of the last initial brief. Extensions
Sec. 73-4. Briefs, Appendices and Argument of time will not be granted except for extraordi-
nary cause.
Briefs and appendices filed by the parties shall Oral argument shall be as provided in Chapter
conform to the rules set forth in Chapter 67, except 70, unless otherwise ordered by the court.
that the parties shall file initial briefs and appendi- (Adopted Sept. 16, 2015, to take effect Jan. 1, 2016;
ces within forty-five days of issuance of the notice amended June 6, 2018, to take effect Sept. 1, 2018.)
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RULES OF APPELLATE PROCEDURE Sec. 74-3A
CHAPTER 74
DECISIONS OF JUDICIAL REVIEW COUNCIL
(Amended Sept. 16, 2015, to take effect Jan. 1, 2016.)
Sec. Sec.
74-1. Appeals by Respondent Judge from Decision of 74-3A. Initiation of Action by Supreme Court (Transferred
Judicial Review Council from Sec. 74-8)
74-4. Decision of Council; Remand by Supreme Court
74-2. Papers To Be Filed [Repealed] 74-5. Parties
74-2A. Referral to Supreme Court by Judicial Review Coun- 74-6. Applicability of Rules
cil Following Recommendation of Suspension or 74-7. Action on Recommendation when No Appeal
Removal (Transferred from Sec. 74-7) (Transferred to Sec. 74-2A)
74-8. Initiation of Action by Supreme Court (Transferred
74-3. Costs and Security Not Required [Repealed] to Sec. 74-3A)
For previous Histories and Commentaries see the editions of the Practice Book
corresponding to the years of the previous amendments.
Sec. 74-1. Appeals by Respondent Judge If the Judicial Review Council recommends sus-
from Decision of Judicial Review Council pension for more than one year or removal from
(Amended Sept. 16, 2015, to take effect Jan. 1, 2016.) office, the council shall, at the expiration of the
(a) An appeal by a respondent judge from a time to appeal, forward to the appellate clerk a
decision of the Judicial Review Council shall be certified copy of its decision together with those
taken within twenty days from the date the deci- parts of the record and transcript as it deems
sion appealed from is received by the respon- necessary for a proper consideration of its recom-
dent judge. mendation.
(b) The appeal shall be filed with the Supreme The appellate clerk shall assign a docket num-
Court in accordance with the provisions of Section ber and notify the court of the matter. The court
63-3, except that no entry fee shall be paid and shall, as soon as practicable, review the filed doc-
no costs shall be taxed in favor of any party. The uments and render a decision on the recommen-
respondent judge shall serve a copy of the appeal dation of the council.
form on the chair or executive director of the Judi- (P.B. 1978-1997, Sec. 4156.) (Transferred from Sec. 74-7
cial Review Council in accordance with the provi- as of Jan. 1, 2016.)
sions of Section 62-7. Sec. 74-3. Costs and Security Not Required
(c) The appellate clerk shall forward one copy
of the appeal form to the Judicial Review Council [Repealed as of Jan. 1, 2016.]
and one copy to the respondent judge. Sec. 74-3A. Initiation of Action by Supreme
(d) Within ten days of filing the appeal, the Court
respondent judge shall file with the appellate clerk: [Transferred from Sec. 74-8 as of Jan. 1, 2016.]
(1) a copy of the decision of the Judicial Review In the event that the Supreme Court, on its own
Council appealed from, and motion, wishes to initiate proceedings against
(2) the filings required by Section 63-4. a judge, it shall refer the matter to the Judicial
(e) With the exception of decisions recommend- Review Council or, if the judge to be investigated
ing suspension for more than one year or removal is a member of that council, to a committee of
from office, which are referred to the Supreme three state referees for investigation and hearing.
Court pursuant to Section 74-2A, a decision of The council or the committee shall render a
the Judicial Review Council will be final unless a decision pursuant to Section 74-4 and forward a
timely appeal is filed by the respondent judge. copy of its decision to the respondent judge and
(P.B. 1978-1997, Sec. 4150.) (Amended Sept. 16, 2015,
to take effect Jan. 1, 2016.) to the appellate clerk.
The decision may be appealed by the respon-
Sec. 74-2. Papers To Be Filed dent judge pursuant to the provisions of this chap-
[Repealed as of Jan. 1, 2016.] ter. If the respondent judge fails to appeal within
Sec. 74-2A. Referral to Supreme Court by the time provided, the decision shall be final,
Judicial Review Council Following Recom- unless it was rendered by a committee or contains
mendation of Suspension or Removal a recommendation for suspension or removal of
[Transferred from Sec. 74-7 as of Jan. 1, 2016.] (Amended the judge, in which case, at the expiration of the
Sept. 16, 2015, to take effect Jan. 1, 2016.) time to appeal, the council or committee shall file
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Sec. 74-3A RULES OF APPELLATE PROCEDURE
pertinent parts of the record and transcript with Sec. 74-5. Parties
the appellate clerk pursuant to Section 74-1 (d) The parties shall be referred to as the Judicial
and the Supreme Court shall render a decision Review Council and the respondent.
thereon. (P.B. 1978-1997, Sec. 4154.)
(P.B. 1978-1997, Sec. 4157.) (Transferred from Sec. 74-8 Sec. 74-6. Applicability of Rules
as of Jan. 1, 2016.)
All proceedings subsequent to the filing of the
Sec. 74-4. Decision of Council; Remand by appeal, referral of the matter by the Judicial
Supreme Court Review Council or initiation by the Supreme Court
shall be governed by the rules applicable to
The Judicial Review Council shall state its deci- appeals.
sion in writing on the issues of the case and, if (P.B. 1978-1997, Sec. 4155.) (Amended Sept. 16, 2015,
there are factual issues, the factual basis for its to take effect Jan. 1, 2016.)
decision. The Judicial Review Council shall state Sec. 74-7. Action on Recommendation
in its decision its conclusion as to each claim of when No Appeal.
law raised by the parties. If the Supreme Court
[Transferred as of Jan. 1, 2016, to Sec. 74-2A.]
deems it necessary to the proper disposition of
the cause, it may remand the case to the Judicial Sec. 74-8. Initiation of Action by Supreme
Review Council for clarification of the basis for Court
its decision. [Transferred as of Jan. 1, 2016, to Sec. 74-3A.]
(P.B. 1978-1997, Sec. 4153.)
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RULES OF APPELLATE PROCEDURE Sec. 75-6
CHAPTER 75
APPEALS FROM COUNCIL ON PROBATE JUDICIAL CONDUCT
Sec. Sec.
75-1. Appeals by Respondent Judge from Decision of 75-3. Costs and Security Not Required [Repealed]
Council on Probate Judicial Conduct 75-4. Decision of Council; Remand by Supreme Court
75-5. Parties
75-2. Papers To Be Filed [Repealed] 75-6. Applicability of Rules
For previous Histories and Commentaries see the editions of the Practice Book
corresponding to the years of the previous amendments.
Sec. 75-1. Appeals by Respondent Judge Sec. 75-2. Papers To Be Filed
from Decision of Council on Probate Judi- [Repealed as of Jan. 1, 2016.]
cial Conduct
Sec. 75-3. Costs and Security Not Required
(Amended Sept. 16, 2015, to take effect Jan. 1, 2016.)
[Repealed as of Jan. 1, 2016.]
(a) An appeal by a respondent judge from a
decision of the Council on Probate Judicial Con- Sec. 75-4. Decision of Council; Remand by
duct to publicly admonish or censure shall be Supreme Court
taken within twenty days from the date that notice The Council on Probate Judicial Conduct shall
of the admonishment or censure is received by state its decision in writing on the issues of the
the respondent judge. case. Within two weeks of receipt of notice of an
(b) The appeal shall be directed to and filed appeal, the council shall forward a finding of fact
with the Supreme Court in accordance with the and conclusions therefrom to the appellate clerk.
provisions of Section 63-3, except that no entry If the Supreme Court deems it necessary to the
fee shall be paid and no costs shall be taxed in proper disposition of the cause, it may remand
favor of either party. The respondent shall serve the case to the Council on Probate Judicial Con-
a copy of the appeal form on the chair or secretary duct for clarification of the basis of its decision.
(P.B. 1978-1997, Sec. 4162.) (Amended Sept. 16, 2015,
of the Council on Probate Judicial Conduct in to take effect Jan. 1, 2016.)
accordance with the provisions of Section 62-7.
(c) The appellate clerk shall forward one copy of Sec. 75-5. Parties
the appeal form to the Council on Probate Judicial The parties shall be referred to as the Council
Conduct and one copy to the respondent judge. on Probate Judicial Conduct and the respondent.
(d) Within ten days of filing the appeal, the (P.B. 1978-1997, Sec. 4163.)
respondent shall file with the appellate clerk: Sec. 75-6. Applicability of Rules
(1) a copy of the decision of the Council on All proceedings subsequent to the filing of the
Probate Judicial Conduct appealed from, and appeal shall be governed by the rules applicable
(2) the filings required by Section 63-4. to appeals.
(P.B. 1978-1997, Sec. 4159.) (Amended Sept. 16, 2015, (P.B. 1978-1997, Sec. 4164.) (Amended Sept. 16, 2015,
to take effect Jan. 1, 2016.) to take effect Jan. 1, 2016.)
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Sec. 76-1 RULES OF APPELLATE PROCEDURE
CHAPTER 76
APPEALS IN WORKERS’ COMPENSATION CASES
Sec. Sec.
76-1. Applicability of Rules 76-5. Reservation of Question from Compensation
76-2. Filing Appeal Review Board
76-3. Preparation of Case File; Exhibits 76-5A. Procedure upon Acceptance of Reservation
76-4. Fees and Costs 76-6. Definitions
For previous Histories and Commentaries see the editions of the Practice Book
corresponding to the years of the previous amendments.
Sec. 76-1. Applicability of Rules contents listing each item entered in the file
Except as otherwise noted in Sections 76-2 according to its number.
through 76-6, the practice and procedure for All exhibits before the board or the administra-
appeals to the Appellate Court (1) from a decision tive law judge are deemed exhibits on appeal.
of the Compensation Review Board (board), or The appellate clerk shall notify the board or the
(2) from a decision of an administrative law judge administrative law judge of the exhibits required
acting pursuant to General Statutes § 31-290a by the court. It shall be the responsibility of the
(b), shall conform to the rules of practice govern- board or the administrative law judge to transmit
ing other appeals. those exhibits promptly to the appellate clerk.
(P.B. 1978-1997, Sec. 4165.) Nothing in this section relieves the appellant
TECHNICAL CHANGE: The changes to this section are and the appellee of their duty to comply with the
consistent with the adoption of Public Acts 2021, No. 21- appendix requirements of Section 67-8.
18, § 1, codified at General Statutes (Supp. 2022) § 31-275d,
(P.B. 1978-1997, Sec. 4165.2.) (Amended June 5, 2013,
which replaced the term ‘‘workers’ compensation commis-
to take effect July 1, 2013; amended Sept. 16, 2015, to take
sioner’’ with ‘‘administrative law judge.’’
effect Jan. 1, 2016; amended Oct. 24, 2018, to take effect
Jan. 1, 2019.)
Sec. 76-2. Filing Appeal
TECHNICAL CHANGE: The changes to this section are
The appeal shall be filed with the appellate clerk consistent with the adoption of Public Acts 2021, No. 21-
in accordance with the provisions of Section 63- 18, § 1, codified at General Statutes (Supp. 2022) § 31-275d,
3. The appellant shall deliver a copy of the appeal which replaced the term ‘‘workers’ compensation commis-
form to each party of record in accordance with sioner’’ with ‘‘administrative law judge.’’
the provisions of Section 62-7 and to the board Sec. 76-4. Fees and Costs
or the administrative law judge, as appropriate.
The appellate clerk shall deliver a copy of the On appeals from the board or the administrative
appeal form to the board or the administrative law law judge, or upon the reservation of a workers’
judge, as appropriate, and to each appearing party. compensation case by the Compensation Review
(P.B. 1978-1997, Sec. 4165.1.) (Amended Sept. 16, 2015, Board, no entry fee shall be paid, and no costs
to take effect Jan. 1, 2016.) shall be taxed in favor of either party provided
TECHNICAL CHANGE: The changes to this section are that if an appeal is found by the court either to be
consistent with the adoption of Public Acts 2021, No. 21- frivolous or to be filed for the purpose of vexation
18, § 1, codified at General Statutes (Supp. 2022) § 31-275d,
which replaced the term ‘‘workers’ compensation commis-
or delay, the court may tax costs in its discretion
sioner’’ with ‘‘administrative law judge.’’ against the person so taking the appeal.
(P.B. 1978-1997, Sec. 4165.4.) (Amended Sept. 16, 2015,
Sec. 76-3. Preparation of Case File; Exhibits to take effect Jan. 1, 2016.)
(Amended June 5, 2013, to take effect July 1, 2013.) TECHNICAL CHANGE: The changes to this section are
consistent with the adoption of Public Acts 2021, No. 21-
Within ten days of the issuance of notice of the 18, § 1, codified at General Statutes (Supp. 2022) § 31-275d,
filing of an appeal, the board or the administrative which replaced the term ‘‘workers’ compensation commis-
law judge, as appropriate, shall deliver to the sioner’’ with ‘‘administrative law judge.’’
appellate clerk an electronic copy of the file, if
possible, or one complete copy of the case file. Sec. 76-5. Reservation of Question from
No omissions may be made from the case file Compensation Review Board
except upon the authorization of the appellate (Amended Sept. 16, 2015, to take effect Jan. 1, 2016.)
clerk. Each document of the case file must be When, in any case arising under the provisions
numbered, and the file must include a table of of this chapter, the Compensation Review Board
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RULES OF APPELLATE PROCEDURE Sec. 76-6
is of the opinion that the decision involves princi- Sec. 76-5A. Procedure upon Acceptance of
ples of law which are not free from reasonable Reservation
doubt and which public interest requires shall be Within twenty days of issuance of the notice of
determined by the Appellate Court, in order that an order of preliminary acceptance, the appellant
a definite rule be established applicable to future
cases, the Compensation Review Board may, on shall file an appeal in accordance with Section
its own motion and without any agreement or act 63-3 and Section 76-4. Any reservation under this
of the parties or their counsel, prepare a reserva- rule may be transferred to the Supreme Court on
tion request in the manner specified by Section its own motion pursuant to General Statutes § 51-
73-1 and deliver it to the appellate clerk and to all 199 (c) or on the motion of any party pursuant to
parties of record. The Appellate Court shall either Section 65-2.
preliminarily accept or decline the reservation (Adopted Sept. 16, 2015, to take effect Jan. 1, 2016.)
request. The appellate clerk shall notify the Com-
pensation Review Board and the parties of the Sec. 76-6. Definitions
decision or order on the reservation request. With regard to appeals from the board or the
The Appellate Court may later reject the res- administrative law judge, references in the Rules
ervation if it should appear to have been impro- of Appellate Procedure to trial court or trial judge
vidently granted. The Appellate Court may also shall, where applicable, be deemed to mean the
request that the Compensation Review Board pro- individuals who comprised the board which ren-
vide additional facts required for a decision upon
the questions reserved and to clarify such ques- dered the decision from which the appeal was
tions when necessary. filed, or the administrative law judge, as appro-
The plaintiff in the underlying workers’ compen- priate.
sation matter shall be deemed the appellant, and (P.B. 1978-1997, Sec. 4165.6; see also Sec. 60-4.)
the defendant in the underlying matter shall be (Amended Sept. 16, 2015, to take effect Jan. 1, 2016.)
deemed the appellee for purposes of these rules, TECHNICAL CHANGE: The changes to this section are
unless otherwise ordered by the court. consistent with the adoption of Public Acts 2021, No. 21-
(P.B. 1978-1997, Sec. 4165.5.) (Amended July 21, 1999, 18, § 1, codified at General Statutes (Supp. 2022) § 31-275d,
to take effect Jan. 1, 2000; amended Sept. 16, 2015, to take which replaced the term ‘‘workers’ compensation commis-
effect Jan. 1, 2016.) sioner’’ with ‘‘administrative law judge.’’
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Sec. 77-1 RULES OF APPELLATE PROCEDURE
CHAPTER 77
PROCEDURES CONCERNING COURT CLOSURE AND SEALING ORDERS OR ORDERS LIMITING
THE DISCLOSURE OF FILES, AFFIDAVITS, DOCUMENTS OR OTHER MATERIAL
(Amended Oct. 15, 2003, to take effect Jan. 1, 2004.)
Sec. Sec.
77-1. Petition for Review Seeking Expedited Review of 77-3. Sealing Documents or Limiting Disclosure of Docu-
an Order concerning Court Closure, or an Order ments on Appeal
That Seals or Limits the Disclosure of Files, Affida- 77-4. Motion To Seal; Lodging of Documents with Appel-
vits, Documents or Other Material late Clerk
77-2. Sealing Orders; Treatment of Lodged Records
For previous Histories and Commentaries see the editions of the Practice Book
corresponding to the years of the previous amendments.
Sec. 77-1. Petition for Review Seeking Expe- sought such order may file a response to the peti-
dited Review of an Order concerning Court tion for review within ninety-six hours after the
Closure, or an Order That Seals or Limits filing of the petition for review. Failure to file a
the Disclosure of Files, Affidavits, Docu- response shall not preclude the party or nonparty
ments or Other Material who sought the order under review from participat-
(Amended July 21, 1999, to take effect Jan. 1, 2000; ing in the hearing on the petition. Within one busi-
amended Oct. 24, 2018, to take effect Jan. 1, 2019.) ness day of the receipt of the transcript and the
(a) Except as provided in subsection (b), any certificate of completion provided for by Section
person affected by a court order which prohibits 63-8 (c), the person filing the petition for review
the public or any person from attending any ses- shall file the transcript and the certificate of com-
sion of court, or any order that seals or limits the pletion with the Appellate Court.
disclosure of files, affidavits, documents or other The filing of any petition for review of a court
material on file with the court or filed in connection order which prohibits the public or any person
with a court proceeding, may seek review of such from attending any session of court shall stay the
order by filing a petition for review with the Appel- order until the final determination of the review.
late Court within seventy-two hours after the issu- The filing of any petition for review of an order
ance of the order. The petition shall fully comply that seals or limits the disclosure of files, affidavits,
with Sections 66-2 and 66-3. The petition shall documents or other material on file with the court
not exceed ten pages in length, exclusive of the shall not stay the order during the review.
appendix, except with special permission of the After the receipt of the transcript and the response
Appellate Court. An appendix containing the infor- to the petition, if any, the Appellate Court shall
mation or complaint, the answer, all motions per- hold an expedited hearing on any petition for
taining to the matter, the opinion or orders of the review. The appellate clerk will notify the peti-
trial court sought to be reviewed, a list of all parties tioner, the parties and any nonparties who sought
with the names, addresses, telephone numbers, the closure order or order sealing or limiting disclo-
e-mail addresses, and, if applicable, the juris num- sure of files, affidavits, documents or other mate-
ber of their counsel, the names of all judges who rial on file with the court or filed in connection with
participated in the case, and an expedited tran- a court proceeding of the date and time of the
script order confirmation, shall be filed with the hearing. After such hearing the Appellate Court
petition for review. may affirm, modify or vacate the order reviewed.
Any person filing a petition for review pursuant (b) This section shall not apply to court orders
to this rule shall deliver a copy of the petition and concerning any session of court conducted pursu-
appendix to (1) all parties to the case and (2) any ant to General Statutes § 46b-11, § 46b-49,
nonparty who sought the closure order or order § 46b-122, § 54-76h or any other provision of the
sealing or limiting disclosure in compliance with General Statutes under which the court is author-
the provisions of Section 62-7 on the same day ized to close proceedings. This section also shall
as the petition is filed. Any party or nonparty who not apply to any order issued pursuant to General
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RULES OF APPELLATE PROCEDURE Sec. 77-4
Statutes § 46b-11 or § 54-33c or any other provi- unredacted appellate brief when that party wishes to discuss
sion of the General Statutes under which the court matters that are subject to a sealing order.
is authorized to seal or limit the disclosure of files, Sec. 77-3. Sealing Documents or Limiting
affidavits, documents or materials and any order Disclosure of Documents on Appeal
issued pursuant to a court rule that seals or limits
the disclosure of any affidavit in support of an (a) Except as otherwise provided by law, there
arrest warrant. shall be a presumption that documents filed with
(P.B. 1978-1997, Sec. 4166.) (Amended July 21, 1999, and the appellate clerk shall be available to the public.
December 13, 1999, to take effect Jan. 1, 2000; amended (b) Except as otherwise provided in this section
Sept. 16, 2015, to take effect Jan. 1, 2016; amended Oct. 24, and except as otherwise provided by law, the court
2018, to take effect Jan. 1, 2019; amended July 23, 2019, to shall not order that any document filed or lodged
take effect Jan. 1, 2020; amended June 15, 2021, to take with the appellate clerk be sealed or its disclo-
effect Oct. 1, 2021.)
sure limited.
Sec. 77-2. Sealing Orders; Treatment of (c) Upon written motion or upon its own motion,
Lodged Records the court may order that any document filed or
(a) When, by order of the trial court or by opera- lodged with the appellate clerk be sealed or its
tion of statute, a trial court file is sealed or is disclosure limited only if the court concludes that
subject to limited disclosure, all filings with the such order is necessary to preserve an interest
appellate clerk in that matter shall be treated simi- which is determined to override the public’s inter-
larly unless otherwise ordered by the court having est in viewing such document. The court shall
appellate jurisdiction. Any sealing or limitation on first consider reasonable alternatives to any such
disclosure ordered by the trial court or required order and any such order shall be no broader than
by operation of statute as to any affidavit, docu- necessary to protect such overriding interest. An
ment or other material filed in the trial court shall agreement of the parties to seal or limit the disclo-
continue throughout the appellate process. sure of documents filed or lodged with the appel-
late clerk shall not constitute a sufficient basis for
(b) If a party includes material in a brief or
the issuance of such an order.
appendix that is sealed or subject to limited disclo-
sure, that party shall file a redacted brief and (d) The court may, upon determination that the
appendix, if any, to be made available to the pub- resolution of the motion requires findings of fact,
lic, and an unredacted brief and appendix, if any, refer the motion to the trial court to make such
to be made available to only the parties and the findings.
(Adopted Oct. 18, 2017, to take effect Jan. 1, 2018.)
court. Both the redacted and unredacted brief and
appendix shall be filed in accordance with the Sec. 77-4. Motion To Seal; Lodging of Docu-
applicable provisions of Section 67-2 or Section ments with Appellate Clerk
67-2A, except that only one paper copy of the (a) A motion to seal any document filed pre-
redacted brief and appendix is required. Prior to viously with the appellate clerk or to be filed with
filing, counsel of record shall file a letter notifying the appellate clerk shall be filed in accordance
the court that the briefs and appendices will be with the provisions of Sections 60-7 and 60-8 and
filed pursuant to this subsection. This subsection delivered to all counsel of record in accordance
shall not apply to briefs or appendices filed in child with Section 62-7, but shall not disclose any infor-
protection matters pursuant to Section 79a-6, or mation that the filing party is seeking to seal and
where the only redacted material are names or shall indicate if documents are being lodged with
other personal identifying information that is pro- the appellate clerk.
hibited from disclosure by rule, statute, court order (b) If the motion to seal pertains to a document
or case law. previously filed with the appellate clerk, the appel-
(c) If a claim is raised on appeal challenging late clerk will, upon receipt of the motion, promptly
the denial of a motion to seal or limit disclosure remove the document in question from the Judicial
pursuant to Section 7-4B (d), a lodged record shall Branch website on a temporary basis until the
remain conditionally under seal in the court having resolution of the motion. The motion to seal shall
appellate jurisdiction and shall be treated as an be accompanied by a memorandum explaining
exhibit pursuant to the provisions of Section 68-1. why the document should be sealed or its disclo-
(Adopted Oct. 15, 2003, to take effect Jan. 1, 2004; sure limited. The memorandum and any support-
amended July 19, 2022, to take effect Jan. 1, 2023.) ing documents shall be lodged with the appellate
HISTORY—2023: Subsection (b) was added, and what had
previously been subsection (b) was redesignated as subsec-
clerk on paper, but shall not be filed in accordance
tion (c). with the provisions of Section 60-7.
COMMENTARY—2023: The purpose of the new subsec- (c) If the motion to seal pertains to a document
tion (b) is to facilitate the process by which a party can file an that has not yet been filed with the appellate clerk,
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Sec. 77-4 RULES OF APPELLATE PROCEDURE
the motion shall be accompanied by a memoran- necessary to aid in the court’s jurisdiction. Before
dum explaining why the document or documents a motion to seal or to limit disclosure may be
should be sealed. The memorandum, the docu- granted, notice to the public of the motion shall
ment that the party is seeking to seal, and any be given, and a hearing shall be held. Such notice
supporting documents shall be lodged with the shall be posted on the Judicial Branch website,
appellate clerk on paper, but shall not be filed in listing the motion and the time and place of the
accordance with the provisions of Section 60-7 hearing. In the order granting the motion, the court
(d) Any response to a motion to seal shall be shall articulate the overriding interest being pro-
filed in accordance with the provisions of Sections tected and set forth the more narrowly tailored
60-7 and 60-8 and be delivered to all counsel of method of protecting the overriding interest it con-
record in accordance with Section 62-7, shall not sidered inadequate or unavailable and the dura-
disclose any information that the movant is seek- tion of the order. If any findings would reveal
ing to seal and shall indicate if documents are information entitled to remain confidential, those
being lodged with the appellate clerk. Any memo- findings shall be set forth in a sealed portion of
randum or documents filed in support of the the record. The order shall be posted immediately
response shall be lodged with the appellate clerk on the Judicial Branch website.
on paper, but shall not be filed in accordance with (f) Following a decision on the motion to seal,
the provisions of Section 60-7. any documents lodged with the appellate clerk
(e) Upon the filing of a motion to seal or to limit will be retained under seal or returned to the fil-
disclosure of any records, or upon the court’s own ing party.
motion, the court may issue any orders it deems (Adopted Oct. 18, 2017, to take effect Jan. 1, 2018.)
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RULES OF APPELLATE PROCEDURE Sec. 78-1
CHAPTER 78
REVIEW OF GRAND JURY RECORD OR FINDING ORDER
Sec.
78-1. Review of an Order concerning Disclosure of Grand
Jury Record or Finding
For previous Histories and Commentaries see the editions of the Practice Book
corresponding to the years of the previous amendments.
Sec. 78-1. Review of an Order concerning of the order. The filing of any such petition for
Disclosure of Grand Jury Record or Finding review shall stay the order until the final determi-
Any person aggrieved by an order of a panel nation of the petition. The Appellate Court shall
or an investigatory grand jury pursuant to General hold an expedited hearing on such petition. After
Statutes § 54-47g may seek review of such order such hearing, the Appellate Court may affirm,
by filing a petition for review with the Appellate modify or vacate the order reviewed.
Court within seventy-two hours after the issuance (P.B. 1978-1997, Sec. 4166A.)
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Sec. 78a-1 RULES OF APPELLATE PROCEDURE
CHAPTER 78a
REVIEW OF ORDERS CONCERNING RELEASE ON BAIL
Sec.
78a-1. Petition for Review of Order concerning Release
on Bail
For previous Histories and Commentaries see the editions of the Practice Book
corresponding to the years of the previous amendments.
Sec. 78a-1. Petition for Review of Order con- and any hearing ordered by the court shall be
cerning Release on Bail held expeditiously with reasonable notice.
Any accused person or the state, aggrieved by Petitions for review of bail must conform to the
an order of the Superior Court concerning release, requirements for motions for review set forth in
may petition the Appellate Court for review of such Section 66-6 and are subject to transfer to the
order. Any such petition shall have precedence Supreme Court pursuant to Section 65-3.
over any other matter before the Appellate Court (Adopted June 2, 2005, to take effect Jan. 1, 2006.)
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RULES OF APPELLATE PROCEDURE Sec. 78b-1
CHAPTER 78b
REVIEW OF ORDERS DENYING APPLICATION FOR WAIVER OF FEES TO COMMENCE A
CIVIL ACTION OR A WRIT OF HABEAS CORPUS
(Adopted July 19, 2022, to take effect Jan. 1, 2023.)
Sec.
78b-1. Petition for Review of Order Denying Application
for Waiver of Fees to Commence a Civil Action
or a Writ of Habeas Corpus
For previous Histories and Commentaries see the editions of the Practice Book
corresponding to the years of the previous amendments.
Sec. 78b-1. Petition for Review of Order Petitions for review of the denial of an applica-
Denying Application for Waiver of Fees to tion for waiver of the payment of a fee for filing
Commence a Civil Action or a Writ of an action or the cost of service of process to com-
Habeas Corpus mence a civil action or writ of habeas corpus must
conform to the requirements for motions for review
Any person aggrieved by an order of the Supe- set forth in Section 66-6 and are subject to transfer
rior Court denying an application for waiver of the to the Supreme Court pursuant to Section 65-3.
payment of a fee for filing an action or the cost (Adopted July 19, 2022, to take effect Jan. 1, 2023.)
of service of process to commence a civil action COMMENTARY—2023: This new section implements
or a writ of habeas corpus in the Superior Court review by the Appellate Court of an order denying an applica-
tion for a fee waiver for the commencement of a civil action
may petition the Appellate Court for review of such or the filing of a petition for a writ of habeas corpus following
an order after a hearing pursuant to the provisions the General Assembly’s passing of No. 22-26, § 22 of the
of Section 8-2 (d) and a decision thereon. 2022 Public Acts, authorizing such review.
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Sec. 79-1 RULES OF APPELLATE PROCEDURE
CHAPTER 79
APPEALS IN JUVENILE MATTERS
[Repealed as of Feb. 1, 2012.]
Sec. Sec.
79-1. Time To Take; Form; Filing; Costs [Repealed] 79-4. Hearings; Confidentiality [Repealed]
79-2. Clerk’s Duties [Repealed] 79-5. Briefs [Repealed]
79-3. Inspection of Records [Repealed]
For previous Histories and Commentaries see the editions of the Practice Book
corresponding to the years of the previous amendments.
Sec. 79-1. Time To Take; Form; Filing; Costs Sec. 79-4. Hearings; Confidentiality
[Repealed as of Feb. 1, 2012.] [Repealed as of Feb. 1, 2012.]
Sec. 79-2. Clerk’s Duties Sec. 79-5. Briefs
[Repealed as of Feb. 1, 2012.] [Repealed as of Feb. 1, 2012.]
Sec. 79-3. Inspection of Records
[Repealed as of Feb. 1, 2012.]
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RULES OF APPELLATE PROCEDURE Sec. 79a-2
CHAPTER 79a
APPEALS IN CHILD PROTECTION MATTERS
Sec. Sec.
79a-1. Child Protection Appeals Defined 79a-9. Oral Argument
79a-2. Time To Appeal 79a-10. Submission without Oral Argument on Request
79a-3. Filing of the Appeal of Parties
79a-4. Waiver of Fees, Costs and Security 79a-11. Official Release Date
79a-5. Ordering Transcripts
79a-6. Format and Time for Filing Briefs and Appendices 79a-12. Inspection of Records
79a-7. Motions for Extension of Time 79a-13. Hearings; Confidentiality
79a-8. Docketing Child Protection Appeals for Assign- 79a-14. Motions Filed with the Appellate Clerk
ment 79a-15. Applicability of Rules
For previous Histories and Commentaries see the editions of the Practice Book
corresponding to the years of the previous amendments.
Sec. 79a-1. Child Protection Appeals Defined If notice of the judgment or decision is given in
Appeals in child protection matters include all open court, the appeal period shall begin on that
appeals from judgments in all proceedings con- day. If notice of the judgment or decision is given
cerning uncared for, neglected or abused children only by mail or by electronic delivery, the appeal
within this state, termination of parental rights of period shall begin on the day that notice of the
children committed to a state agency, motions for judgment or decision is sent to counsel of record
transfers, removal or reinstatement of guardian- by the clerk for juvenile matters. The failure to
ship, motions for permanent guardianship and give notice of judgment to a nonappearing party
contested matters involving termination of paren- shall not affect the running of the appeal period.
tal rights or removal of guardian transferred or (c) How a new appeal period is created
appealed from the Probate Court. If a motion is filed within the appeal period that,
(Adopted Nov. 17, 2011, to take effect Feb. 1, 2012; if granted, would render the judgment or decision
amended July 23, 2020, to take effect Aug. 4, 2020.) ineffective, then a new twenty day appeal period
for filing the appeal shall begin on the day that
Sec. 79a-2. Time To Appeal notice of the ruling is given on the last such out-
(a) General provisions standing motion. Such motions include, but are
Unless a different period is provided by statute, not limited to, motions that seek: the opening or
appeals from judgments of the Superior Court in setting aside of the judgment; a new trial; reargu-
child protection matters shall be filed within twenty ment of the judgment or decision; or any alteration
days from the issuance of notice of the rendition of the terms of the judgment. Motions that do not
of the decision or judgment from which the appeal give rise to a new appeal period include those
is filed. A judge may, for good cause shown, extend that seek: clarification or articulation, as opposed
the time limit provided for filing the appeal. In no to alteration, of the terms of the judgment or deci-
event shall the judge extend the time for filing the sion; a written or transcribed statement of the trial
appeal to a date which is more than twenty days court’s decision; or reargument or reconsideration
from the expiration date of the initial appeal period, of a motion listed in this paragraph.
except in the case of an appeal in a termination If, within the appeal period, any application is
of parental rights proceeding, for which the time filed, pursuant to Section 79a-4, seeking waiver
for filing an appeal may be extended to a date no of fees, costs and security or appointment of appel-
more than forty days from the expiration of the late counsel, a new twenty day appeal period or
initial appeal period. Where a motion for extension statutory period for filing the appeal is not created.
of the period of time within which to appeal has If a party files, pursuant to Section 66-6, a motion
been filed at least ten days before expiration of the for review of the denial of any such application,
time limit sought to be extended, and such motion a new appeal period shall begin on the day that
is denied, the party seeking to appeal shall have notice of the ruling is given on the motion for review.
no less than ten days from issuance of notice of (d) What may be appealed during new
the denial of the motion for extension in which to appeal period
file the appeal. If a new appeal period is created under Section
(b) When appeal period begins 79a-2 (c), the new appeal period may be used for
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Sec. 79a-2 RULES OF APPELLATE PROCEDURE
appealing the original judgment or decision and/ address and telephone number. The trial attorney
or for appealing any order that gave rise to the shall explain to the indigent party the appellate
new appeal period. Such period may also be used review process set forth in this section. The trial
for amending an existing appeal pursuant to Sec- attorney shall within twenty days of the decision or
tion 61-9 to challenge the ruling that gave rise to judgment simultaneously file with the court before
the new appeal period. Rulings on applications which the matter was heard a motion for an addi-
for waiver of fees, costs and security or motions tional twenty or forty day extension of time to
for appointment of appellate counsel may not be appeal pursuant to Section 79a-2 (a) and (e), a
appealed during the new appeal period but shall sworn application signed by the indigent party for
be challenged solely by motion for review in appointment of appellate counsel and a waiver of
accordance with Section 66-6. fees, costs and expenses, including the cost of an
(e) Limitation of time to appeal expedited transcript. If the court finds the indigent
Unless a new appeal period is created pursuant party still to be indigent, the court shall not grant
to Section 79a-2 (c), the time to file a child protec- the application for appointment of appellate coun-
tion appeal shall not be extended past forty days sel but shall first appoint an appellate review attor-
(the original twenty days plus one twenty day ney for the sole purpose of determining whether
extension for appellate review pursuant to Section there is any nonfrivolous ground on which to
79a-3) from the date of issuance of notice of the appeal. The trial attorney shall immediately
rendition of the judgment or decision, except in request an expedited transcript from an official
the case of an appeal in a termination of parental court reporter or court recording monitor in
rights proceeding, for which the time for filing an accordance with Section 79a-5, the cost of which
appeal shall not be extended beyond sixty days shall be paid for by the Division of Public
(the original twenty days plus one forty day exten- Defender Services.
sion) from the date of issuance of notice of the Any party who is indigent who wishes to appeal
rendition of the judgment or decision. and was not provided with representation by the
Any party seeking to extend the time to file a Division of Public Defender Services during the
child protection appeal past the limited appeal proceeding which resulted in the decision or judg-
periods in this subsection shall seek permission ment from which an appeal is being sought shall,
to file a late appeal from the Appellate Court pur- within twenty days of the decision or judgment,
suant to Section 60-2 (5). Any motion for permis- simultaneously file with the court before which the
sion to file a late appeal in a child protection mat- matter was heard a motion for an additional twenty
ter shall state the current status of any motion or or forty day extension of time to appeal pursuant
application pending in the Superior Court and to Section 79a-2 (a) and (e), a sworn application
shall include an appendix with: (1) the decision or signed by the indigent party for appointment of
order of the Superior Court sought to be appealed appellate counsel and a waiver of fees, costs,
and (2) a list of all parties to the case in the Supe- and expenses, including the cost of an expedited
rior Court with the names, addresses, telephone transcript. If the court finds the party to be indigent,
numbers, e-mail addresses and, if applicable, the the court shall not grant the application for
juris numbers of their counsel. appointment of appellate counsel but shall first
(Adopted Nov. 17, 2011, to take effect Feb. 1, 2012; appoint an appellate review attorney for the sole
amended April 30, 2014, to take effect Aug. 1, 2014; amended
Sept. 16, 2015, to take effect Jan. 1, 2016; amended July 19,
purpose of determining whether there is any non-
2017, to take effect Oct. 8, 2017; amended July 23, 2020, to frivolous ground on which to appeal. The indigent
take effect Aug. 4, 2020.) party shall immediately request an expedited tran-
script from the official court reporter or court
Sec. 79a-3. Filing of the Appeal recording monitor in accordance with Section 79a-
(a) General provisions 5, the cost of which shall be paid for by the Division
Appeals in child protection matters shall be filed of Public Defender Services.
in accordance with the provisions of Section 63- (c) Review by the Division of Public
3 and all required fees shall be paid in accordance Defender Services
with Sections 60-7 and 60-8. (1) An appellate review attorney determining
(b) Appeal by indigent party whether there is a nonfrivolous ground for appeal
If a trial attorney who has provided representa- shall file a limited ‘‘in addition to’’ appearance with
tion to an indigent party through the Division of the trial court for the purpose of that determination.
Public Defender Services declines to pursue an If the appellate review attorney determines that
appeal, that attorney shall ascertain that the indi- there is a nonfrivolous ground on which to appeal,
gent party expressly wishes to appeal and obtain that attorney shall notify the court, and the applica-
the indigent party’s current address, e-mail tion for appellate counsel shall be granted by the
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RULES OF APPELLATE PROCEDURE Sec. 79a-3
court. The appellate counsel so appointed shall party shall attend. If the indigent party cannot
file a limited ‘‘in addition to’’ appearance with the attend the hearing for good cause shown, he or
trial court for the purpose of prosecuting the she may file, under seal, a written response to
appeal and shall file the appeal in accordance the motion for an in-court review prior to the date
with Section 63-3. of the hearing. Absent compelling circumstances,
(2) In a child protection proceeding that has not the hearing shall not be continued if the indigent
resulted in the termination of parental rights, if the party does not appear.
appellate review attorney determines that there (A) If, after the in-court review, the presiding
is no nonfrivolous ground on which to appeal, that judge independently concludes that any appeal
attorney shall promptly make this determination would be frivolous, such judge, within fourteen
known to the indigent party, the judicial authority days of the date of the hearing, shall issue a deci-
and the Division of Public Defender Services. The sion, either written or oral, denying the indigent
reviewing attorney shall inform the indigent party, party’s application for appellate counsel and set-
by letter, of his or her determination and of the ting forth the basis for his or her finding that an
balance of the time remaining to file an appeal as appeal would be frivolous. Any written or tran-
a self-represented party or to secure counsel, who scribed oral decision of the presiding judge shall
may file an appearance to represent the indigent be filed under seal. The presiding judge also shall
party on appeal at the indigent party’s own order the appellate review attorney to inform the
expense. A copy of the letter shall be filed with indigent party, by letter, of the decision and to
the clerk for juvenile matters forthwith. provide a copy of the decision to the indigent party.
(3) In a termination of parental rights proceed- The appellate review attorney shall also advise
ing, if the appellate review attorney determines the indigent party of the balance of the time
that there is no nonfrivolous ground on which to remaining to file a motion for review and/or an
appeal, that attorney immediately shall file, under- appeal as a self-represented party or to secure
seal, a motion for in-court review, which shall indi- counsel who may file an appearance to represent
cate that the appellate review attorney has the indigent party for purposes of filing a motion
thoroughly reviewed the record for potential errors for review and/or an appeal at the indigent party’s
and set forth the least meritless grounds that might own expense. A copy of the letter shall be filed
arguably support an appeal and the factual and with the clerk for juvenile matters forthwith. An
legal bases for the conclusion that an appeal indigent party may seek review of a denial of an
would be frivolous. Simultaneous with the filing of application for appointment of appellate counsel
the motion for in-court review, the appellate review on the basis of a finding by the presiding judge
attorney shall provide a copy of such motion to that any appeal would be frivolous solely by filing,
the indigent party seeking to appeal and shall under seal, a motion for review pursuant to Sec-
serve counsel of record and the Division of Public tion 79a-2 (d). The Appellate Court shall expedi-
Defender Services with a written notice that a tiously consider any such motion for review.
motion for an in-court review by the appellate (B) If, after the in-court review, the presiding
review attorney has been filed, but shall not serve judge concludes that the indigent party’s appeal
counsel of record or the Division of Public is not frivolous, such judge shall grant the applica-
Defender Services with a copy of the motion or tion for appointment of appellate counsel.
any supporting documentation. The clerk for juve- (5) Any presiding judge who also was the trial
nile matters shall schedule a hearing on the judge or is unavailable shall refer a motion for in-
motion for in-court review with the presiding judge court review filed by an appellate review attorney
or other judge designated to hear the motion to the chief administrative judge for juvenile mat-
within ten days of the date of its filing. ters for assignment to another judicial authority.
(4) Unless the presiding judge was also the trial If such presiding judge is also the chief administra-
judge or is unavailable, the presiding judge shall tive judge for juvenile matters, then the motion for
conduct a nonevidentiary hearing to fully examine in-court review shall be referred by the presiding
the motion for an in-court review and any argu- judge to the administrative judge in the judicial
ment or response by the indigent party, together district where the juvenile court hearing the motion
with any relevant portions of the record. The pre- for in-court review is located for assignment to
siding judge shall afford the indigent party an ade- another judicial authority.
quate opportunity to bring to the court’s attention (d) Duties of clerk for juvenile matters for
what he or she believes are appealable issues. cases on appeal
In his or her discretion, such judge may require The appellate clerk shall send notice to the
briefing. The hearing shall be closed except that clerk for juvenile matters and to the clerk of any
the appellate review attorney and the indigent trial court to which the matter was transferred that
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Sec. 79a-3 RULES OF APPELLATE PROCEDURE
an appeal has been filed. Upon receipt of such (b) The filing of the application for the appoint-
notice, the clerk for juvenile matters shall send a ment of appellate counsel or waiver of fees, costs
copy of the appeal form and the case information and expenses will not extend the appeal period
form to the Commissioner of Children and Fami- unless a judge has extended the time limit pro-
lies, to the petitioner upon whose application the vided for filing an appeal pursuant to Section 79a-
proceedings in the Superior Court were instituted, 2. A denial of the application may be addressed
unless such party is the appellant, to any person solely by motion for review under Section 66-6.
or agency having custody of any child who is a See Section 79a-2 (c).
subject of the proceeding, to the Division of Public (Adopted Nov. 17, 2011, to take effect Feb. 1, 2012;
amended July 23, 2020, to take effect Aug. 4, 2020.)
Defender Services, and to all other interested per-
sons; and if the addresses of any such persons Sec. 79a-5. Ordering Transcripts
do not appear of record, the clerk for juvenile Transcripts in child protection appeals and in
matters shall call the matter to the attention of a cases reviewed by the Division of Public Defender
judge of the Superior Court, who shall make such Services shall be ordered expedited and delivered
an order of notice as such judge deems advisable. to the ordering party no later than the close of the
(Adopted Nov. 17, 2011, to take effect Feb. 1, 2012;
amended Sept. 16, 2015, to take effect Jan. 1, 2016; amended
fifth business day following the date the order
July 23, 2020, to take effect Aug. 4, 2020; amended July 19, is placed.
2022, to take effect Jan. 1, 2023.) (Adopted Nov. 17, 2011, to take effect Feb. 1, 2012.)
HISTORY—2023: In the second paragraph of subsection
Sec. 79a-6. Format and Time for Filing Briefs
(b), what is now the second sentence was added.
COMMENTARY—2023: This amendment is in response to
and Appendices
In re Taijha H.B., 333 Conn. 297 (2019), in which the court (Amended June 5, 2013, to take effect July 1, 2013.)
indicated that an indigent party who did not have appointed Briefs and appendices, if any, shall be prepared
counsel at trial and who applies for the appointment of appel- and submitted in accordance with Chapter 67 of
late counsel is entitled to an appellate review attorney for the these rules except that the briefs and appendices
purpose of determining whether there is a nonfrivolous ground are not required to be redacted, and the time for
on which to appeal.
filing briefs and appendices shall be strictly
Sec. 79a-4. Waiver of Fees, Costs and observed and abbreviated as set forth below.
Security (a) Except as otherwise ordered, the appellant’s
brief and appendix, if any, shall be filed within forty
(a) Any written application to the court for days after the delivery of the transcript ordered
appointment of appellate counsel or the waiver by the appellant. In cases where no transcript is
of fees, costs and expenses must be personally required or the transcript has been received by
signed by the indigent party under oath and the appellant prior to the filing of the appeal, the
include a financial affidavit reciting facts concern- appellant’s brief and appendix shall be filed within
ing the applicant’s financial status. The judicial forty days of the filing of the appeal.
authority shall act without a hearing on the appli- (b) Except as otherwise ordered, the brief and
cation. If the court is satisfied that the applicant appendix, if any, of the appellee shall be filed
is indigent and has a statutory right to the appoint- within thirty days after the filing of the appellant’s
ment of appellate counsel or a statutory right to brief or the delivery date of the portions of the
appeal without payment of fees, costs and transcript ordered only by that appellee, which-
expenses, the court may without a hearing (1) ever is later.
waive payment by the applicant of fees specified (c) Counsel for the minor child and/or counsel
by statute and of taxable costs, and (2) order that for the guardian ad litem shall, within ten days of
the necessary expenses of reviewing or prosecut- the filing of the appellee’s brief, file either (1) a
ing the appeal be paid by the Division of Public brief, (2) a statement adopting the brief of either
Defender Services in accordance with Section the appellant or an appellee, or (3) a detailed
79a-3 (c). If the court is not satisfied that the appli- statement that the factual or legal issues on
cant is indigent and has a statutory right to the appeal do not implicate the child’s interests.
appointment of appellate counsel or a statutory (d) The appellant may file a reply brief within
right to appeal without payment of fees, costs and ten days of the filing of the appellee’s brief.
expenses, then an immediate hearing shall be (e) Except as otherwise ordered, the case shall
scheduled for the application. If an application is be deemed ready for assignment by the court
untimely filed, the court may deny the application after the filing of the appellee’s brief and appendix,
without hearing. The court may not consider the if any.
relative merits of a proposed appeal in acting upon (f) The unexcused failure to file briefs and
an application pursuant to this section. appendices in accordance with this schedule may
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RULES OF APPELLATE PROCEDURE Sec. 79a-12
result in a dismissal of the appeal pursuant to HISTORY—2023: In the third sentence of subsection (b),
Section 85-1, a refusal of the court to accept the ‘‘seven’’ was deleted and replaced with ‘‘ten.’’
COMMENTARY—2023: The purpose of this amendment
late brief and/or an assignment of the case without is to increase the time from seven to ten days to file a request
the delinquent brief. for oral argument following the issuance of notice from the
(Adopted Nov. 17, 2011, to take effect Feb. 1, 2012; court that the case will be decided on briefs and the record only.
amended June 5, 2013, to take effect July 1, 2013; amended
Oct. 24, 2018, to take effect Jan. 1, 2019.) Sec. 79a-10. Submission without Oral Argu-
Sec. 79a-7. Motions for Extension of Time ment on Request of Parties
Motions for extension of time filed in the Appel- Counsel of record may, before or after a case
late Court shall be filed in accordance with Section has been assigned for a hearing, file a request to
66-1 and, if filed, shall be presented to a judge submit the case for decision on the briefs and
of the Appellate Court for determination. Such record only, without oral argument. No request for
motions may be granted only for good cause submission without oral argument will be granted
shown. unless the requesting party certifies that all other
(Adopted Nov. 17, 2011, to take effect Feb. 1, 2012.) parties agree to waive oral argument. This rule
applies only to counsel of record who have filed
Sec. 79a-8. Docketing Child Protection a brief or joined in the brief of another party.
Appeals for Assignment (Adopted Nov. 17, 2011, to take effect Feb. 1, 2012;
amended Sept. 16, 2015, to take effect Jan. 1, 2016.)
The Supreme Court and Appellate Court may
assign child protection matters without the case Sec. 79a-11. Official Release Date
appearing on the docket. See Sections 69-1 and A judgment in child protection appeals shall be
69-2. deemed to have been rendered on the date an
Notwithstanding the provisions of Section 69- opinion or memorandum decision appears in the
3, child protection appeals shall ordinarily take Connecticut Law Journal; except that if an opinion
precedence for assignment for oral argument. or memorandum decision is issued by slip opinion,
(Adopted Nov. 17, 2011, to take effect Feb. 1, 2012;
amended Sept. 16, 2015, to take effect Jan. 1, 2016.) the official release date is the date indicated in
the slip opinion, and the parties shall be notified
Sec. 79a-9. Oral Argument and sent the opinion or memorandum decision by
(a) Oral argument will be allowed as of right the reporter of judicial decisions via e-mail. If any
except as provided in subsection (b) of this rule. of the parties who participated in the appeal has
(b) In child protection appeals as defined by not provided the reporter of judicial decisions with
Section 79a-1 where (1) the dispositive issue or an e-mail address, then the slip opinion or memo-
set of issues has been recently authoritatively randum decision shall be mailed to the parties by
decided, or (2) the facts and legal arguments are the appellate clerk on the date indicated in the
adequately presented in the briefs and the deci- slip opinion.
sional process would not be significantly aided by If a judgment in a child protection appeal is
oral argument, notice will be sent to counsel of given by oral announcement from the bench, then
record that the case will be decided on the briefs the judgment shall be deemed to have been ren-
and record only. This notice will be issued after dered on the date the oral announcement is made.
all briefs and appendices have been filed. Any (Adopted Nov. 17, 2011, to take effect Feb. 1, 2012;
amended Oct. 18, 2017, to take effect Jan. 1, 2018.)
party may file a request for argument stating
briefly the reasons why oral argument is appro- Sec. 79a-12. Inspection of Records
priate and shall do so within ten days of the issu- The records and papers of any child protection
ance of the court’s notice. After receipt and matter shall be open for inspection only to counsel
consideration of such a request, the court will of record and to others having a proper interest
either assign the case for oral argument or assign therein only upon order of the court. The name
the case for disposition without oral argument, as of the child involved in any appeal from a child
it deems appropriate. protection matter shall not appear on the record
(c) In matters involving incarcerated self-repre- of the appeal.
sented parties, oral argument may be conducted (Adopted Nov. 17, 2011, to take effect Feb. 1, 2012;
by videoconference upon direction of the court in amended June 15, 2016, to take effect Aug. 1, 2016; amended
its discretion. July 23, 2020, to take effect Aug. 4, 2020.)
(Adopted Nov. 17, 2011, to take effect Feb. 1, 2012; COMMENTARY—August, 2016: In child protection matters
amended June 5, 2013, to take effect July 1, 2013; amended that were filed on or after January 1, 2016, attorneys and self-
Sept. 16, 2015, to take effect Jan. 1, 2016; amended June represented parties who have valid appearances in a case
15, 2016, to take effect Sept. 30, 2016; amended July 19, may view the case summary page and electronically filed
2022, to take effect Jan. 1, 2023.) documents in that case through E-Services. The applicable
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Sec. 79a-12 RULES OF APPELLATE PROCEDURE
procedures, set forth in the Appellate E-filing Procedures and Sec. 79a-14. Motions Filed with the Appel-
Technical Standards, require a self-represented party to sub- late Clerk
mit an ‘‘Appellate Electronic Access Form’’ and to provide the
appellate clerk’s office with a valid photo identification. All motions filed with the appellate clerk in child
protection matters shall include a statement on
Sec. 79a-13. Hearings; Confidentiality the first page by the moving party as to whether
(a) For the purpose of maintaining confidential- the other parties consent or object to the motion.
ity, upon the hearing of an appeal from a child (Adopted Nov. 17, 2011, to take effect Feb. 1, 2012.)
protection matter, the court may exclude any per-
son from the court whose presence is unnec- Sec. 79a-15. Applicability of Rules
essary. The rules governing other appeals shall, so far
(b) All proceedings shall be conducted in a man- as applicable, and to the extent they have not
ner that will preserve the anonymity of the child. been modified by this chapter, be the rules for all
(Adopted Nov. 17, 2011, to take effect Feb. 1, 2012; proceedings in child protection appeals.
amended July 23, 2020, to take effect Aug. 4, 2020.) (Adopted Nov. 17, 2011, to take effect Feb. 1, 2012.)
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RULES OF APPELLATE PROCEDURE Sec. 80-1
CHAPTER 80
APPEALS IN HABEAS CORPUS PROCEEDINGS FOLLOWING CONVICTION
Sec.
80-1. Certification To Appeal; Procedure on Appeal
For previous Histories and Commentaries see the editions of the Practice Book
corresponding to the years of the previous amendments.
Sec. 80-1. Certification To Appeal; Proce- chief court administrator, within ten days after the
dure on Appeal case is decided. The appeal shall be filed within
In any habeas corpus proceeding where the twenty days from the issuance of the notice of
party desiring to appeal is required by statute to decision on the petition for certification, unless an
petition the trial court for certification that a ques- application for waiver of fees, costs and security
tion is involved in the decision which ought to be is filed pursuant to Section 63-6, in which event
reviewed by the Appellate Court, the petition for the appeal shall be filed within twenty days from
the decision on the application.
such certification shall be made to the judge who (P.B. 1978-1997, Sec. 4166C.) (Amended July 23, 1998,
tried the case or, if such judge is unavailable, a to take effect Jan. 1, 1999; amended May 12, 2004, to take
judge of the Superior Court designated by the effect Jan. 1, 2005.)
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Sec. 81-1 RULES OF APPELLATE PROCEDURE
CHAPTER 81
APPEALS TO APPELLATE COURT BY CERTIFICATION FOR REVIEW
IN ACCORDANCE WITH GENERAL STATUTES CHAPTERS 124 AND 440
Sec. Sec.
81-1. Petition; Where To File; Time To File; Service; Fee 81-3A. Grant or Denial of Certification
81-4. Proceedings after Certification by Appellate Court
81-2. Form of Petition 81-5. Extensions of Time
81-3. Statement in Opposition to Petition 81-6. Filing of Regulations
For previous Histories and Commentaries see the editions of the Practice Book
corresponding to the years of the previous amendments.
Sec. 81-1. Petition; Where To File; Time To (1) A statement of the questions presented for
File; Service; Fee review, expressed in the terms and circumstances
(a) A petition for certification in accordance with of the case but without unnecessary detail.
chapters 124 and 440 of the General Statutes (2) A statement of the basis for certification
shall be filed with the appellate clerk by the party identifying the specific reasons why the Appellate
aggrieved by the decision of the trial court within Court should allow the extraordinary relief of certi-
fication. These reasons may include but are not
twenty days from the issuance of notice of the
limited to the following:
decision of the trial court. All petitions for certifica-
(A) The court below has decided a question
tion to appeal shall be filed and all fees paid in
of substance not theretofore determined by the
accordance with the provisions of Section 60-7 or Supreme Court or the Appellate Court or has
60-8. If within this period a timely motion is filed decided it in a way probably not in accord with
which, if granted, would render the trial court judg- applicable decisions of the Supreme Court or the
ment ineffective, as, for example, a motion for a Appellate Court.
new trial, then the twenty days shall run from the (B) The decision under review is in conflict with
issuance of notice of the decision thereon. other decisions of the court below.
The petitioner shall deliver a copy of the petition (C) The court below has so far departed from
to every other party in the manner set forth in the accepted and usual course of judicial proceed-
Section 62-7. The appellate clerk will send notice ings, or has so far sanctioned such a departure
of the filing to the clerk of the original trial court by any other court, as to call for an exercise of
and to the clerk of any trial courts to which the the Appellate Court’s supervision.
matter was transferred. (D) A question of great public importance is
(b) Any other party aggrieved by the decision involved.
of the trial court may file a cross petition within (3) A summary of the case containing the facts
ten days of the filing of the original petition. The material to the consideration of the questions pre-
filing of cross petitions, including the payment of sented, reciting the disposition of the matter in the
the fee, service pursuant to Section 62-7, the form trial court, and describing specifically how the trial
of the cross petition, and all subsequent proceed- court decided the questions presented for review
ings shall be the same as though the cross petition in the petition.
were an original petition. (4) A concise argument amplifying the reasons
(c) The filing of a petition or cross petition by relied upon to support the petition. No separate
one party shall be deemed to be a filing on behalf memorandum of law in support of the petition will
of that party only. be accepted by the appellate clerk.
(P.B. 1978-1997, Sec. 4142.) (Amended Sept. 22, 2004, (5) An appendix containing a table of contents,
to take effect Jan. 1, 2005; amended May 4, 2006, to take the operative complaint, all briefs filed by all par-
effect Jan. 1, 2007; amended Sept. 16, 2015, to take effect ties, the opinion or order of the trial court sought
Jan. 1, 2016; amended June 15, 2016, to take effect Sept. to be reviewed, a copy of the order on any motion,
30, 2016.) other than a motion for extension of time, which
would stay or extend the time period for filing the
Sec. 81-2. Form of Petition petition, and a list of all parties to the appeal in the
(a) A petition for certification shall contain the trial court with the names, addresses, telephone
following sections in the order indicated here: numbers, e-mail addresses, and, if applicable, the
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RULES OF APPELLATE PROCEDURE Sec. 81-6
juris numbers of their counsel. If a petitioner in a (b) The statement in opposition shall be deliv-
civil matter is an entity as defined in Section 60- ered in the manner set forth in Section 62-7.
4, counsel of record must also provide a certificate (c) No motion to dismiss a petition for certifica-
of interested entities or individuals in the appen- tion will be accepted by the appellate clerk. Any
dix. The appendix shall be paginated separately objection to the jurisdiction of the court to entertain
from the petition with consecutively numbered the petition shall be included in the statement in
pages preceded by the letter ‘‘A.’’ opposition.
(b) The petition shall not exceed ten pages in (d) If the party in a civil matter filing the opposi-
length, exclusive of the appendix, except with spe- tion is an entity as defined in Section 60-4, a
cial permission of the appellate clerk. The petition certificate of interested entities or individuals shall
shall be typewritten and fully double spaced, and be attached to the opposition.
shall not exceed three lines to the vertical inch or (P.B. 1978-1997, Sec. 4142.2.) (Amended Jan. 17, 2002,
twenty-seven lines to the page. Footnotes and to take effect April 15, 2002; amended May 15, 2003, to take
effect Jan. 1, 2004; amended May 4, 2006, to take effect Jan.
block quotations may be single spaced. Only the 1, 2007; amended Sept. 16, 2015, to take effect Jan. 1, 2016;
following two fonts, of 12 point or larger size, are amended July 19, 2022, to take effect Jan. 1, 2023.)
approved for use in petitions: Arial and Univers. HISTORY—2023: Subsection (d) was added.
Each page of a petition shall have as a minimum COMMENTARY—2023: This amendment describes when
the following margins: top, 1 inch; left, 1 and 1/4 a certificate of interested entities or individuals is required to
inch; right, 1/2 inch; and bottom, 1 inch. be filed.
(P.B. 1978-1997, Sec. 4142.1.) (Amended July 23, 1998, Sec. 81-3A. Grant or Denial of Certification
to take effect Jan. 1, 1999; amended Jan. 17, 2002, to take
effect April 15, 2002; amended May 15, 2003, to take effect A petition by a party shall be granted on the
Jan. 1, 2004; amended July 11, 2012, to take effect Jan. 1, affirmative vote of three of the judges of the Appel-
2013; amended Sept. 16, 2015, to take effect Jan. 1, 2016; late Court. Upon the determination of any petition,
amended July 23, 2019, to take effect Jan. 1, 2020; amended the appellate clerk shall enter an order granting
July 19, 2022, to take effect Jan. 1, 2023.)
HISTORY—2023: In the first sentence of subsection (a)
or denying the certification in accordance with the
(5), ‘‘, other than a motion for extension of time,’’ was added determination of the court and shall send notice
before ‘‘which would stay or extend.’’ In addition, what is now of the court’s order to the clerk of the trial court
the second sentence was added. and to all counsel of record.
COMMENTARY—2023: The amendments to this section (Adopted July 23, 2020, to take effect Jan. 1, 2021.)
clarify that, insofar as orders are not issued in connection with
motions for extensions of time, those motions are exempt from Sec. 81-4. Proceedings after Certification by
the rule, and also describe when a certificate of interested Appellate Court
entities or individuals is required to be filed. Within twenty days from the issuance of notice
Sec. 81-3. Statement in Opposition to that certification has been granted, the petitioner,
Petition who shall be considered the appellant, shall file
the appeal in accordance with the procedure set
(a) Within ten days of the filing of the petition, forth in Section 63-3 and shall pay all required
any party may file a statement in opposition with fees in accordance with the provisions of Section
the appellate clerk stating the reasons why certifi- 60-7 or 60-8. The clerk of the trial court must
cation should not be granted. The statement shall forward the case file to the appellate clerk in
be presented in a manner which is responsive, in accordance with Section 68-1. Except as other-
form and content, to the petition it opposes. The wise noted in Section 81-6, all proceedings subse-
statement in opposition shall not exceed ten quent to the filing of the appeal shall be governed
pages in length, except with special permission by the rules applicable to appeals.
of the appellate clerk. The statement in opposition (P.B. 1978-1997, Sec. 4142.3.) (Amended July 24, 2002,
shall be typewritten and fully double spaced and to take effect Oct. 1, 2002; amended Sept. 16, 2015, to take
shall not exceed three lines to the vertical inch or effect Jan. 1, 2016.)
twenty-seven lines to the page. Footnotes and Sec. 81-5. Extensions of Time
block quotations may be single spaced. Only the
following two fonts, of 12 point or larger size, are Motions for extensions of time for purposes of
approved for use in the statement in opposition: filing a petition for certification or a statement in
opposition thereto shall be filed with the appellate
Arial and Univers. Each page of a statement in
clerk and shall be governed by Section 66-1.
opposition to a petition shall have as a minimum (P.B. 1978-1997, Sec. 4142.4.)
the following margins: top, 1 inch; left, 1 and 1/4
inch; right, 1/2 inch; and bottom, 1 inch. Sec. 81-6. Filing of Regulations
No separate memorandum of law in support of Immediately after filing the appellant’s brief, the
the statement in opposition will be accepted by appellant shall file one complete copy of the local
the appellate clerk. land use regulations that were in effect at the time
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Sec. 81-6 RULES OF APPELLATE PROCEDURE
of the hearing that gave rise to the agency action The appellant need not deliver a copy of such
or ruling in dispute. The regulations shall be certi- regulations to other counsel of record.
fied by the local zoning or equivalent official as (Adopted July 24, 2002, to take effect Oct. 1, 2002;
having been in effect at the time of the hearing. amended Sept. 16, 2015, to take effect Jan. 1, 2016.)
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RULES OF APPELLATE PROCEDURE Sec. 82-4
CHAPTER 82
CERTIFIED QUESTIONS TO OR FROM COURTS OF OTHER JURISDICTIONS
(Amended Nov. 4, 2004, to take effect Jan. 1, 2005; amended Feb. 1, 2005, to take effect Jan. 1, 2006.)
Sec. Sec.
82-1. Certification of Questions from Other Courts 82-5. Receipt; Costs of Certification
82-2. Method of Initiating [Repealed] 82-6. Briefs, Appendices, Assignment and Argument
82-3. Contents of Certification Request 82-7. Opinion
82-4. Preparation of Certification Request 82-8. Certification of Questions to Other Courts
For previous Histories and Commentaries see the editions of the Practice Book
corresponding to the years of the previous amendments.
Sec. 82-1. Certification of Questions from effect Jan. 1, 2016; amended July 19, 2022, to take effect
Other Courts Jan. 1, 2023.)
HISTORY—2023: The fourth paragraph was added.
The Supreme Court may answer questions of COMMENTARY—2023: This amendment describes when
law certified to it by a court of the United States a certificate of interested entities or individuals is required to
or by the highest court of another state, as defined be filed.
in General Statutes § 51-199b, or by the highest
court of a tribe of Native Americans recognized Sec. 82-4. Preparation of Certification
by federal law when requested by the certifying Request
court if the answer may be determinative of an The certification request shall be prepared by
issue in pending litigation in the certifying court the certifying court, signed by the judge presiding
and if there is no controlling appellate decision, at the hearing, and forwarded to the Supreme
constitutional provision or statute of this state. Court by the clerk of the certifying court under
(P.B. 1978-1997, Sec. 4168.) (Amended Nov. 4, 2004, to its official seal. Upon receipt of the certification
take effect Jan. 1, 2005; amended Feb. 1, 2005, to take effect
Jan. 1, 2006.) request, the appellate clerk shall notify the par-
ties who shall be allowed a period of ten days
Sec. 82-2. Method of Initiating from the date of such notice to file objections to
[Repealed as of Jan. 1, 2005.] the acceptance of the certification request. The
Supreme Court shall either preliminarily accept
Sec. 82-3. Contents of Certification Request or decline the certification request. The appellate
A certification request shall set forth: (1) The clerk shall notify the clerk of the court requesting
questions of law to be answered; (2) a finding or certification and all parties of the decision or order
stipulation approved by the court setting forth all on the certification request. If the Supreme Court
facts relevant to answering the questions certified preliminarily accepts the certified question, the
and showing fully the nature of the controversy in plaintiff in the court that requested certification
which the questions arose; (3) that the receiving shall be deemed the appellant, and the defendant
court may reformulate the questions; and (4) the in such court shall be deemed the appellee unless
names and addresses of counsel of record. otherwise ordered by the Supreme Court.
The questions presented should be such as will The Supreme Court may later reject the certifi-
be determinative of the case, and it must appear
cation if it should appear to have been improvi-
that their present determination would be in the
dently granted. The Supreme Court may decline
interest of simplicity, directness and economy of
to answer the questions certified whenever it
judicial action.
All questions presented shall be specific and appears that the questions have been improperly
shall be phrased so as to require a Yes or No framed, the necessary facts have not been fully
answer, wherever possible. set forth, or, for any other reason, certification has
If one of the parties to the certification request been improvidently granted. The Supreme Court
in a civil matter is an entity as defined in Section may also request that the certifying court provide
60-4, the certification request must also include additional facts required for a decision upon the
a certificate of interested entities or individuals questions certified and clarify such questions
filed by counsel of record for that entity. when necessary. If the Supreme Court grants the
(P.B. 1978-1997, Sec. 4170.) (Amended Nov. 4, 2004, to certification request, it may require the appellant
take effect Jan. 1, 2005; amended Sept. 16, 2015, to take to file those portions of the record that the
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Sec. 82-4 RULES OF APPELLATE PROCEDURE
Supreme Court deems necessary to answer the appearing on the docket and before reply briefs
certified questions. are filed.
(P.B. 1978-1997, Sec. 4171.) (Amended Sept. 16, 2015, Oral argument shall be as provided in Chapter
to take effect Jan. 1, 2016.) 70, unless otherwise ordered by the court.
(P.B. 1978-1997, Sec. 4173.) (Amended Nov. 4, 2004, to
Sec. 82-5. Receipt; Costs of Certification take effect Jan. 1, 2005; amended June 5, 2013, to take effect
Within twenty days of issuance of the notice of July 1, 2013; amended Sept. 16, 2015, to take effect Jan. 1,
an order of preliminary acceptance, the appellant 2016; amended July 19, 2017, to take effect Oct. 8, 2017;
amended June 6, 2018, to take effect Sept. 1, 2018.)
shall file the matter in accordance with the provi-
sions of Section 63-3 for filing an appeal and shall Sec. 82-7. Opinion
pay all required fees in accordance with Section Upon publication thereof, the written opinion of
60-7 or 60-8. After paying the filing fee, the appel- the Supreme Court in response to the question
lant shall be entitled to seek reimbursement from or questions certified shall be sent by the appellate
the appellee for one half of the filing fee, unless clerk to the certifying court. Unless otherwise
otherwise ordered by the court that requested cer- ordered by the Supreme Court, official notification
tification. All proceedings subsequent to the filing to counsel of record shall be the publication of
of the matter shall be governed by the rules appli- the opinion in the Connecticut Law Journal.
cable to appeals except as to the time for filing (P.B. 1978-1997, Sec. 4174.)
briefs and appendices. No security or recogni-
zance shall be required, and no costs shall be Sec. 82-8. Certification of Questions to
taxed in favor of either party. Other Courts
(P.B. 1978-1997, Sec. 4172.) (Amended Sept. 16, 2015, The Supreme Court, on its own motion or
to take effect Jan. 1, 2016; amended July 19, 2017, to take motion of a party, may certify a question of law
effect Oct. 8, 2017.) to the highest court of another state, as defined
in General Statutes § 51-199b, or to the highest
Sec. 82-6. Briefs, Appendices, Assignment court of a tribe of Native Americans recognized
and Argument by federal law if the pending cause involves a
(Amended July 19, 2017, to take effect Oct. 8, 2017.) question to be decided under the law of the other
Briefs and appendices, if any, filed by the par- jurisdiction; the answer to the question may be
ties shall conform to the rules set forth in Chapter determinative of an issue in the pending cause;
67, except that the parties shall file initial briefs and the question is one for which no answer is
and appendices within forty-five days of issuance provided by a controlling appellate decision, con-
of the notice of an order of preliminary acceptance. stitutional provision, or statute of the other juris-
A party wishing to file a reply brief must do so diction. The procedures for certification from the
within twenty days of the filing of the last initial Supreme Court to the receiving court shall be
brief. Extensions of time will not be granted except those provided in the statutes or rules of the
for extraordinary cause. The Supreme Court may receiving court.
assign certified questions without the matter (Adopted Feb. 1, 2005, to take effect Jan. 1, 2006.)
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RULES OF APPELLATE PROCEDURE Sec. 83-4
CHAPTER 83
CERTIFICATION PURSUANT TO GENERAL STATUTES § 52-265a IN CASES OF
SUBSTANTIAL PUBLIC INTEREST
Sec. Sec.
83-1. Application; In General 83-3. Application Denied
83-2. Application Granted 83-4. Unavailability of Chief Justice
For previous Histories and Commentaries see the editions of the Practice Book
corresponding to the years of the previous amendments.
Sec. 83-1. Application; In General HISTORY—2023: What is now the last sentence in the first
paragraph was added.
Within two weeks of the issuance of an order or COMMENTARY—2023: This amendment describes when
decision of the Superior Court involving a matter a certificate of interested entities or individuals is required to
of substantial public interest pursuant to General be filed.
Statutes § 52-265a, any party may file an applica-
tion for certification by the chief justice. The appli- Sec. 83-2. Application Granted
cation for certification shall contain: (1) the If any application is certified pursuant to Gen-
question of law on which the appeal is to be based; eral Statutes § 52-265a by the chief justice, the
(2) a description of the substantial public interest party that sought certification shall file the appeal
that is alleged to be involved; (3) an explanation in accordance with the procedure set forth in Sec-
as to why delay may work a substantial injustice; tion 63-3, except as modified by the Supreme
and (4) an appendix with: (A) the decision or order Court pursuant to Section 60-2 or 60-3, and shall
of the Superior Court sought to be appealed and pay all required fees in accordance with Sections
(B) a list of all parties to the case in the Superior 60-7 and 60-8. The party certified to appeal shall
Court with the names, addresses, telephone num- have such additional time as the order of certifica-
bers, e-mail addresses and, if applicable, the juris tion allows to file the appeal.
(P.B. 1978-1997, Sec. 4178.) (Amended Sept. 16, 2015,
numbers of their counsel. If the party in a civil to take effect Jan. 1, 2016.)
matter is an entity as defined in Section 60-4,
counsel of record must also provide a certificate of Sec. 83-3. Application Denied
interested entities or individuals in the appendix. If an application pursuant to General Statutes
Using an expeditious delivery method such as § 52-265a is denied by the chief justice, the denial
overnight mail or facsimile or other electronic shall be deemed to terminate all proceedings
medium, in addition to the certification require- relating to the appeal.
ments of Section 62-7, the party submitting the (P.B. 1978-1997, Sec. 4179.)
application shall also notify the trial judge and the Sec. 83-4. Unavailability of Chief Justice
clerk of the trial court that rendered the decision
sought to be appealed. If the chief justice is unavailable or disqualified,
(P.B. 1978-1997, Sec. 4177.) (Amended July 26, 2000, to the most senior associate justice who is available
take effect Jan. 1, 2001; amended Jan. 31, 2013, to take effect and is not disqualified shall rule on the application
April 19, 2013; amended Sept. 16, 2015, to take effect Jan. for certification.
1, 2016; amended July 19, 2022, to take effect Jan. 1, 2023.) (P.B. 1978-1997, Sec. 4180.)
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Sec. 84-1 RULES OF APPELLATE PROCEDURE
CHAPTER 84
APPEALS TO SUPREME COURT BY CERTIFICATION FOR REVIEW
Sec. Sec.
84-1. Certification by Supreme Court 84-7. Extensions of Time
84-2. Basis for Certification 84-8. Grant or Denial of Certification
84-3. Stay of Execution 84-9. Proceedings after Certification
84-4. Petition; Time To File; Where To File; Service; Fee 84-10. Record [Repealed only as to appeals filed on or
84-5. Form of Petition after July 1, 2013.]
84-6. Statement in Opposition to Petition 84-10A. Record
84-6A. Petitions, Responses and Statement in Opposition 84-11. Papers To Be Filed by Appellant and Appellee in
in Family and Child Protection Matters and other an Appeal After Certification
Matters Involving Minor Children 84-12. Applicability of Rules
For previous Histories and Commentaries see the editions of the Practice Book
corresponding to the years of the previous amendments.
Sec. 84-1. Certification by Supreme Court or, if no stay of proceedings was in effect, in which
An appeal may be filed with the Supreme Court the decision of the Appellate Court would change
upon the final determination of an appeal in the the position of any party from its position dur-
Appellate Court where the Supreme Court, upon ing the pendency of the appeal, proceedings to
petition of an aggrieved party, certifies the case enforce or carry out the judgment shall be stayed
for review. until the time to file the petition has expired. If a
(P.B. 1978-1997, Sec. 4126.) (Amended Sept. 16, 2015,
to take effect Jan. 1, 2016.) petition by a party is filed, the proceedings shall
be stayed until the Supreme Court acts on the
Sec. 84-2. Basis for Certification petition and, if the petition is granted, until the final
Certification by the Supreme Court on petition determination of the cause; but if the presiding
by a party is not a matter of right but of sound judge of an appellate panel which heard the case
judicial discretion and will be allowed only where
there are special and important reasons therefor. is of the opinion that the certification proceedings
The following, while neither controlling nor fully have been filed only for delay or that the due
measuring the court’s discretion, indicate the administration of justice so requires, such presid-
character of the reasons which will be considered: ing judge may, up to the time the Supreme Court
(1) Where the Appellate Court has decided a acts upon the petition, upon motion order that
question of substance not theretofore determined the stay be terminated. If such presiding judge is
by the Supreme Court or has decided a question unavailable, the most senior judge on such panel
in a way probably not in accord with applicable who is available may act upon such a motion for
decisions of the Supreme Court. termination of the stay.
(2) Where the decision under review is in con- (P.B. 1978-1997, Sec. 4128.) (Amended Sept. 16, 2015,
flict with other decisions of the Appellate Court. to take effect Jan. 1, 2016.)
(3) Where the Appellate Court has so far
departed from the accepted and usual course of
judicial proceedings, or so far sanctioned such a Sec. 84-4. Petition; Time To File; Where To
departure by any other court, as to call for an File; Service; Fee
exercise of the Supreme Court’s supervision. (a) A petition for certification shall be filed by
(4) Where a question of great public importance the petitioner within twenty days of (1) the date
is involved.
the opinion is officially released as set forth in
(5) Where the judges of the appellate panel are
divided in their decision or, though concurring in Section 71-4 or (2) the issuance of notice of any
the result, are unable to agree upon a common order or judgment finally determining a cause in
ground of decision. the Appellate Court, whichever is earlier. If within
(P.B. 1978-1997, Sec. 4127.) (Amended June 15, 2021, to this period a timely motion is filed which, if granted,
take effect Jan. 1, 2022.) would render the Appellate Court order or judg-
Sec. 84-3. Stay of Execution ment ineffective, as, for example, a motion for
In any action in which a stay of proceedings reconsideration, or if within this period an applica-
was in effect during the pendency of the appeal, tion for waiver of fees is filed, then the twenty
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RULES OF APPELLATE PROCEDURE Sec. 84-5
days shall run from the issuance of notice of the questions squarely raised, subject to any limita-
decision thereon. tion in the order granting certification.
(b) All petitions for certification to appeal shall (3) A brief history of the case containing the
be filed and all fees paid in accordance with the facts material to the consideration of the questions
provisions of Section 60-7 or 60-8. The petition presented, including the disposition of the matter
for certification will be docketed upon filing but in the Appellate Court, and if applicable, a specific
may be returned or rejected for noncompliance description of how the Appellate Court decided
with the Rules of Appellate Procedure. the questions presented for review in the petition.
The petitioner shall deliver a copy of the petition (4) A concise argument expanding on the bases
to every other party in the manner set forth in Sec- for certification, as presented in Section 84-2, and
tion 62-7. The appellate clerk will send notice of explaining why the Supreme Court should allow
the filing to the clerk of the original trial court and the extraordinary relief of certification. No sepa-
to the clerk of any trial courts to which the matter rate memorandum of law in support of the petition
was transferred. will be accepted by the appellate clerk.
A fee shall not be required for a petition when (5) An appendix, which shall be paginated sepa-
either (1) no fee was required to file the appeal, rately from the petition with consecutively num-
or (2) the petitioner was granted a waiver of fees bered pages preceded by the letter ‘‘A,’’
to file the appeal. containing:
In workers’ compensation cases, the petitioner (A) a table of contents,
shall also deliver a copy of the petition to the (B) the opinion, preferably as published in the
administrative law judge, and in an appeal from Connecticut Law Journal, or order of the Appellate
the board, the petitioner shall also deliver a copy Court sought to be reviewed,
of the petition to the board. (C) if the opinion or order of the Appellate Court
(c) Any other party aggrieved by the judgment was per curiam or a summary affirmance or dis-
of the Appellate Court may file a cross petition missal, a copy of the trial court’s memorandum
within ten days of the filing of the original petition. of decision that was entered in connection with the
The filing of cross petitions, including the payment claim raised by the petitioner before the Appellate
of the fee, delivery pursuant to Section 62-7, the Court, or, if no memorandum was filed, a copy of
form of the cross petition, and all subsequent pro- the trial court’s ruling on the matter,
ceedings shall be the same as though the cross (D) a copy of the order on any motion, other
petition were an original petition. than a motion for extension of time, which would
(d) The filing of a petition or cross petition by stay or extend the time period for filing the petition,
one party shall not be deemed to be a filing on (E) a list of all parties to the appeal in the Appel-
behalf of any other party. late Court with the names, addresses, telephone
(P.B. 1978-1997, Sec. 4129.) (Amended July 23, 1998, to numbers, e-mail addresses, and, if applicable, the
take effect Jan. 1, 1999; amended July 21, 1999, to take effect juris numbers of their trial and appellate counsel.
Jan. 1, 2000; amended Oct. 10, 2001, to take effect Jan. 1, If one of the parties in a civil action is an entity
2002; amended May 4, 2006, to take effect Jan. 1, 2007; as defined in Section 60-4, counsel of record must
amended July 26, 2012, to take effect Jan. 1, 2013; amended
June 27, 2013, to take effect Oct. 1, 2013; amended Sept.
also provide a certificate of interested entities or
16, 2015, to take effect Jan. 1, 2016; amended June 6, 2018, individuals.
to take effect Sept. 1, 2018; amended Oct. 24, 2018, to take (b) The petition shall not exceed ten pages in
effect Jan. 1, 2019.) length, exclusive of the appendix, except with spe-
TECHNICAL CHANGE: The changes to this section are cial permission of the appellate clerk. The petition
consistent with the adoption of Public Acts 2021, No. 21- shall be typewritten and fully double spaced, and
18, § 1, codified at General Statutes (Supp. 2022) § 31-275d,
which replaced the term ‘‘workers’ compensation commis-
shall not exceed three lines to the vertical inch or
sioner’’ with ‘‘administrative law judge.’’ twenty-seven lines to the page. Footnotes and
block quotations may be single spaced. Only the
Sec. 84-5. Form of Petition following two fonts, of 12 point or larger size, are
(a) A petition for certification shall contain the approved for use in petitions: Arial and Univers.
following sections in the order indicated here: Each page of a petition shall have as a minimum
(1) A brief introduction providing context for the the following margins: top, 1 inch; left, 1 and 1/4
statement of the questions presented for review. inches; right, 1/2 inch; and bottom, 1 inch.
(P.B. 1978-1997, Sec. 4130.) (Amended July 23, 1998, to
(2) A statement of the questions presented for take effect Jan. 1, 1999; amended Jan. 17, 2002, to take effect
review, expressed in the terms and circumstances April 15, 2002; amended May 15, 2003, to take effect Jan. 1,
of the case but without unnecessary detail. The 2004; amended Sept. 16, 2015, to take effect Jan. 1, 2016;
Supreme Court will ordinarily consider only those amended July 23, 2019, to take effect Jan. 1, 2020; amended
527
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Sec. 84-5 RULES OF APPELLATE PROCEDURE
June 15, 2021, to take effect Jan. 1, 2022; amended July 19, COMMENTARY—2023: This amendment describes when
2022, to take effect Jan. 1, 2023.) a certificate of interested entities or individuals is required to
HISTORY—2023: In subsection (a) (5) (B), ‘‘, preferably be filed.
as published in the Connecticut Law Journal,’’ was added after
‘‘the opinion.’’ In addition, in subsection (a) (5) (D), ‘‘, other Sec. 84-6A. Petitions, Responses and State-
than a motion for extension of time,’’ was added after ‘‘any ments in Opposition in Family and Child
motion.’’ In addition, in subsection (a) (5) (E), what is now the Protection Matters and Other Matters Involv-
second sentence was added. ing Minor Children
COMMENTARY—2023: The amendments to this section In family and child protection matters and other
express the preference of the justices of the Supreme Court
for the version of the Appellate Court opinion published in the matters involving minor children, counsel for the
Connecticut Law Journal, clarify that, insofar as orders are minor child and/or counsel for the guardian ad
not issued in connection with motions for extensions of time, litem shall, within ten days of the filing of the
those motions are exempt from the rule, and describe when response or opposition to a petition for certification
a certificate of interested entities or individuals is required to or, if no response or opposition is filed, within
be filed. fifteen days of the filing of the petition, file either
(1) a response, (2) a statement adopting the posi-
Sec. 84-6. Statement in Opposition to
tion of either the petitioner or a respondent or (3) a
Petition detailed statement that the factual or legal issues
(a) Within ten days of the filing of the petition, proposed in the petition for certification do not
any party may file a statement in opposition to implicate the child’s interests.
the petition with the appellate clerk. The statement (Adopted June 15, 2021, to take effect Jan. 1, 2022.)
in opposition shall disclose any reasons why certi-
Sec. 84-7. Extensions of Time
fication should not be granted by the Supreme
Court and shall be presented in a manner which Motions for extensions of time for purposes of
is responsive, in form and content, to the petition filing a petition for certification or a statement in
it opposes. The statement in opposition shall not opposition thereto shall be filed with the appellate
exceed ten pages in length except with special clerk and shall be governed by Section 66-1.
(P.B. 1978-1997, Sec. 4132.)
permission of the appellate clerk.
The statement in opposition shall be typewritten Sec. 84-8. Grant or Denial of Certification
and fully double spaced and shall not exceed A petition by a party shall be granted on the
three lines to the vertical inch or twenty-seven affirmative vote of three or more justices of the
lines to the page. Footnotes and block quotations Supreme Court, except that if fewer than six jus-
may be single spaced. Only the following two tices are available to consider a petition, a vote
fonts, of 12 point or larger size, are approved of two justices shall be required to certify a case.
for use in the statement in opposition: Arial and Upon the determination of any petition, the appel-
Univers. Each page of a statement in opposition late clerk shall enter an order granting or denying
to a petition shall have as a minimum the following the certification in accordance with the determina-
margins: top, 1 inch; left, 1 and 1/4 inch; right, 1/2 tion of the court and shall send notice of the court’s
inch; and bottom, 1 inch. No separate memoran- order to the clerk of the trial court and to all counsel
dum of law in support of the statement in opposi- of record.
tion will be accepted by the appellate clerk. (P.B. 1978-1997, Sec. 4136.) (Amended Sept. 16, 2015,
to take effect Jan. 1, 2016.)
(b) The statement in opposition shall be deliv-
ered in the manner set forth in Section 62-7. Sec. 84-9. Proceedings after Certification
(c) No motion to dismiss a petition for certifica- (Amended Sept. 16, 2015, to take effect Jan. 1, 2016.)
tion will be accepted by the appellate clerk. Any Within twenty days from the issuance of notice
objection to the jurisdiction of the court to entertain that certification to appeal has been granted, the
the petition shall be included in the statement in petitioner, who shall be considered the appellant,
opposition. shall file the appeal in accordance with the proce-
(d) If the party filing the opposition in a civil dure set forth in Section 63-3 and shall pay all
action is an entity as defined in Section 60-4, a required fees in accordance with the provisions
certificate of interested entities or individuals shall of Section 60-7 or 60-8.
be attached to the opposition. The issues which the appellant may present
(P.B. 1978-1997, Sec. 4131.) (Amended Jan. 17, 2002, to are limited to those set forth in the petition for
take effect April 15, 2002; amended May 15, 2003, to take certification, except where the issues are further
effect Jan. 1, 2004; amended May 4, 2006, to take effect Jan. limited by the order granting certification.
1, 2007; amended Sept. 16, 2015, to take effect Jan. 1, 2016; (P.B. 1978-1997, Sec. 4138.) (Amended July 24, 2002, to
amended July 19, 2022, to take effect Jan. 1, 2023.) take effect Oct. 1, 2002; amended Sept. 16, 2015, to take
HISTORY—2023: Subsection (d) was added. effect Jan. 1, 2016.)
528
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RULES OF APPELLATE PROCEDURE Sec. 84-12
Sec. 84-10. Record (c) Any party may also present for review any
[Repealed only as to appeals filed on or after claim that the relief afforded by the Appellate
July 1, 2013.] Court in its judgment should be modified, provided
such claim was raised in the Appellate Court either
Sec. 84-10A. Record in such party’s brief or upon a motion for reconsid-
Those portions of the record for the appeal to eration.
the Appellate Court relevant to the issue certified (P.B. 1978-1997, Sec. 4140.) (Amended July 28, 1999, to
take effect Jan. 1, 2000; amended Sept. 16, 2015, to take
by the Supreme Court shall be included in the effect Jan. 1, 2016; amended Oct. 18, 2016, to take effect
clerk appendix, which shall be prepared and dis- Jan. 1, 2017; amended July 19, 2022, to take effect Jan.
tributed in accordance with Section 68-2 et seq. 1, 2023.)
In addition, the clerk appendix shall include the HISTORY—2023: Prior to 2023, this section provided:
order granting certification, the opinion or order ‘‘(a) Upon the granting of certification, the appellee may
present for review alternative grounds upon which the judg-
of the Appellate Court under review and, to the ment may be affirmed provided those grounds were raised
extent the appellate clerk deems appropriate, any and briefed in the Appellate Court. Any party to the appeal
papers subsequently filed pursuant to Section may also present for review adverse rulings or decisions which
84-11. should be considered on the appeal in the event of a new
(Adopted July 19, 2022, to take effect Jan. 1, 2023.) trial, provided that such party has raised such claims in the
COMMENTARY—2023: This new section details what con- Appellate Court. If such alternative grounds for affirmation or
stitutes the record in an appeal to the Supreme Court following adverse rulings or decisions to be considered in the event of
the granting of a petition for certification to appeal. a new trial were not raised in the Appellate Court, the party
seeking to raise them in the Supreme Court must move for
Sec. 84-11. Papers To Be Filed by Appellant special permission to do so prior to the filing of that party’s
and Appellee in an Appeal After Certification brief. Such permission will be granted only in exceptional cases
where the interests of justice so require.
(Amended July 19, 2022, to take effect Jan. 1, 2023.) ‘‘(b) Any party may also present for review any claim that
(a) Within ten days of filing the appeal, the the relief afforded by the Appellate Court in its judgment should
appellant shall also file a docketing statement pur- be modified, provided such claim was raised in the Appellate
suant to Section 63-4 (a) (4) and a designation Court either in such party’s brief or upon a motion for reconsid-
of the proposed contents of the clerk appendix eration.
‘‘(c) Any party desiring to present alternative grounds for
pursuant to Section 63-4 (a) (2). The parties shall affirmance, adverse rulings or decisions in the event of a new
not file other Section 63-4 papers on a certified trial or a claim concerning the relief ordered by the Appellate
appeal without permission of the Supreme Court. Court shall file a statement thereof within fourteen days from
(b) Within ten days of the filing of the appeal, the date the certified appeal is filed in accordance with Section
the appellee may file a statement of alternative 84-9.
‘‘(d) Except for a docketing statement, parties shall not
grounds for affirmance or adverse rulings or deci- file other Section 63-4 papers on a certified appeal without
sions to be considered in the event of a new trial, permission of the Supreme Court.’’
provided that such party has raised such claims COMMENTARY—2023: These amendments clarify the
in the Appellate Court. If such alternative grounds papers to be filed upon the granting of a petition for certification
for affirmance or adverse rulings or decisions to to appeal by the Supreme Court.
be considered in the event of a new trial were not Sec. 84-12. Applicability of Rules
raised in the Appellate Court, the party seeking The rules governing other appeals shall, so far
to raise them in the Supreme Court must move as applicable, and to the extent they have not
for special permission to do so prior to the filing of been modified by this chapter, be the rules for all
that party’s brief. Such permission will be granted proceedings subsequent to the granting of certifi-
only in exceptional cases where the interests of cation.
justice so require. (P.B. 1978-1997, Sec. 4141.)
529
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Sec. 84a-1 RULES OF APPELLATE PROCEDURE
CHAPTER 84a
MATTERS WITHIN SUPREME COURT’S ORIGINAL JURISDICTION
IN WHICH FACTS MAY BE FOUND
Sec. Sec.
84a-1. Application of Rules 84a-3. Discovery
84a-4. Reference of Issues of Fact
84a-2. Procedure for Filing Original Jurisdiction Action; 84a-5. Evidence
Pleadings and Motions 84a-6. Other Officers
For previous Histories and Commentaries see the editions of the Practice Book
corresponding to the years of the previous amendments.
Sec. 84a-1. Application of Rules Court except to the extent expressly authorized
These rules apply only to an action within the by the court in a particular case.
(Adopted June 2, 2005, to take effect Jan. 1, 2006.)
original jurisdiction of the Supreme Court in which
facts may be found. Sec. 84a-4. Reference of Issues of Fact
These rules do not apply to (1) a motion to (a) Reference
invoke the court’s supervisory powers under Sec- Issues of fact closed on pleadings in an original
tion 60-2 of these rules, or (2) certified questions action in the Supreme Court may be referred, by
of law from courts of other jurisdictions under order of the chief justice or his or her designee,
Chapter 82 of these rules. to a senior judge, justice or judge trial referee or,
(Adopted June 2, 2005, to take effect Jan. 1, 2006.) should the parties agree, to any other person or
TECHNICAL CHANGE: In the second paragraph, a techni- persons, which referral may contain such provi-
cal change was made to capitalize ‘‘Chapter.’’ sions as the court deems advisable.
(b) Procedure
Sec. 84a-2. Procedure for Filing Original Unless otherwise ordered by the court, if any
Jurisdiction Action; Pleadings and Motions reference is made pursuant to subsection (a), the
(Amended Sept. 16, 2015, to take effect Jan. 1, 2016.) rules of practice pertaining to references in Chap-
An original jurisdiction action shall be filed in ter 19 of these rules shall apply.
accordance with the procedures for filing an (c) Costs of references
appeal as set forth in Section 63-3. Motions and The court may allocate the costs of the refer-
any other documents prescribed in the rules of ence in its discretion.
appellate procedure shall be filed in accordance (Adopted June 2, 2005, to take effect Jan. 1, 2006.)
TECHNICAL CHANGE: In subsection (b), a technical
with the rules of appellate procedure. In all other change was made to capitalize ‘‘Chapter.’’
respects and unless otherwise ordered in a partic-
ular case, pleadings and motions shall be filed Sec. 84a-5. Evidence
in accordance with the Superior Court rules of The Connecticut Code of Evidence may be
procedure, which may be taken as a guide to taken as a guide to the admission of evidence in
procedure in an original action in this court. an original action in the Supreme Court.
(Adopted June 2, 2005, to take effect Jan. 1, 2006.)
(Adopted June 2, 2005, to take effect Jan. 1, 2006;
amended Sept. 16, 2015, to take effect Jan. 1, 2016; amended Sec. 84a-6. Other Officers
June 15, 2021, to take effect Jan. 1, 2022.) The court may appoint such other officers as the
court deems advisable in carrying out its original
Sec. 84a-3. Discovery
jurisdiction. The costs of such officers shall be
The rules of practice pertaining to discovery taxed in accordance with Section 84a-4 (c).
shall not apply in original actions in the Supreme (Adopted June 2, 2005, to take effect Jan. 1, 2006.)
530
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RULES OF APPELLATE PROCEDURE Sec. 85-3
CHAPTER 85
SANCTIONS
Sec. Sec.
85-1. Lack of Diligence in Prosecuting or Defending 85-2. Other Actions Subject to Sanctions
Appeal 85-3. Procedure on Sanctions
For previous Histories and Commentaries see the editions of the Practice Book
corresponding to the years of the previous amendments.
Sec. 85-1. Lack of Diligence in Prosecuting (5) Presentation of a frivolous appeal or frivo-
or Defending Appeal lous issues on appeal.
If a party shall fail to prosecute an appeal with (6) Presentation of a frivolous defense or
proper diligence, the court may dismiss the appeal defenses on appeal.
(7) Failure to attend preargument settlement
with costs. If a party shall fail to defend against conferences.
an appeal with proper diligence, the court may (8) Failure to appear at oral argument.
set aside in whole or in part the judgment under (9) Disregard of rules governing withdrawal of
attack, with costs, and direct the entry of an appro- appeals.
priate final judgment by the trial court against the (10) Repeated failures to meet deadlines.
party guilty of the failure. If that party is a defend- Offenders will be subject, at the discretion of
ant in the action, the directed judgment may be the court, to appropriate discipline, including the
in the nature of a judgment by default for such prohibition against appearing in the court or filing
amount as may, upon a hearing in damages, be any papers in the court for a reasonable and defi-
found to be due. If that party is a plaintiff in the nite period of time, the imposition of a fine pursu-
action, the directed judgment may be one dismiss- ant to General Statutes § 51-84, and costs and
ing the action as to that plaintiff, and the judgment payment of expenses, together with attorney’s
shall operate as an adjudication upon the merits. fees to the opposing party.
The statutory provisions regarding the opening of The sanction of prohibition against filing any
papers in the court shall not prevent an offender
judgments of nonsuit and by default shall not apply from filing a motion for reconsideration of that
to a judgment directed under the provisions of sanction within seven days.
this rule. Offenders subject to such discipline include
(P.B. 1978-1997, Sec. 4184A.) both counsel and self-represented parties and, if
appropriate, parties represented by counsel.
Sec. 85-2. Other Actions Subject to Sanc- (P.B. 1978-1997, Sec. 4184B.) (Amended Oct. 18, 2017,
tions to take effect Jan. 1, 2018.)
Actions which may result in the imposition of Sec. 85-3. Procedure on Sanctions
sanctions include, but are not limited to, the fol- Sanctions may be imposed by the court, on its
lowing: own motion, or on motion by any party to the
(1) Failure to comply with rules and orders of appeal. A motion for sanctions may be filed at
the court. any time, but a request for sanctions may not be
(2) Filing of any papers which unduly delay the included in an opposition to a motion, petition or
progress of an appeal. application. Before the court imposes any sanc-
(3) Presentation of unnecessary or unwar- tion on its own motion, it shall provide notice to
ranted motions or opposition to motions. the parties and an opportunity to respond.
(P.B. 1978-1997, Sec. 4184C.) (Amended Jan. 31, 2013,
(4) Presentation of unnecessary or unwar- to take effect April 19, 2013; amended Oct. 18, 2017, to take
ranted issues on appeal. effect Jan. 1, 2018.)
531
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Sec. 86-1 RULES OF APPELLATE PROCEDURE
CHAPTER 86
RULE CHANGES; EFFECTIVE DATE; APPLICABILITY
Sec. Sec.
86-1. Publication of Rules; Effective Date 86-2. Rule Changes; Applicability to Pending Appeals
For previous Histories and Commentaries see the editions of the Practice Book
corresponding to the years of the previous amendments.
Sec. 86-1. Publication of Rules; Effective any new rule or change adopted on an interim
Date basis, and such rule or change shall be published
(a) Before the justices of the Supreme Court in the Connecticut Law Journal before the interim
and the judges of the Appellate Court adopt a new rule becomes effective. Thereafter, notice shall
rule or change to an existing rule, the proposed rule be published in the Connecticut Law Journal stat-
or change, or a summary thereof, shall be pub- ing the time when, the place where, and the man-
ner in which interested parties may present their
lished in the Connecticut Law Journal with notice
views on the interim rule or change, after which
stating the time when, the place where, and the the justices and judges may finally adopt the rule
manner in which interested parties may present or change in accordance with subsection (b).
their views on the proposed rule or change. (P.B. 1978-1997, Sec. 4188.) (Amended May 12, 2004, to
(b) Any new rule or change to an existing rule take effect Jan. 1, 2005; amended July 23, 2020, to take effect
adopted by the justices and judges shall be pub- Jan. 1, 2021.)
lished in the Connecticut Law Journal. The new Sec. 86-2. Rule Changes; Applicability to
rule or change shall become effective as of the Pending Appeals
date that the justices and judges prescribe, but Whenever a new rule is adopted or a change
not less than sixty days after such publication. is made to an existing rule, the new rule or rule
The justices and judges may waive the sixty day change shall apply to all appeals pending on the
provision if they determine that circumstances effective date of the new rule or rule change and
require that a new rule or change to an existing to all appeals filed thereafter. Appellate papers
rule be adopted expeditiously. filed prior to the effective date of any new rule or
(c) The justices and the judges may waive the rule change need not be refiled.
provisions of subsection (a) if they determine that Any difficulty occasioned by the application of
the circumstances require that a new rule or change a new rule or rule change to appeals filed prior
to an existing rule be adopted expeditiously, pro- to the effective date thereof shall be resolved in
vided that adoption in connection with such a the spirit of Section 60-1.
(P.B. 1978-1997, Sec. 4189.) (Amended July 26, 2000, to
waiver shall be on an interim basis. The justices take effect Jan. 1, 2001; amended Sept. 16, 2015, to take
and judges shall prescribe an effective date for effect Jan. 1, 2016.)
532
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REFERENCE TABLE
REFERENCE TABLE
Rules in the Practice Book of 1978 as amended* to Rules in the Practice Book of 1998. The numbers in the
center column are the temporary rule numbers assigned in the Connecticut Law Journal (CLJ) of July 29, 1997.
P.B. 1978-1997 CLJ P.B. 1998 P.B. 1978-1997 CLJ P.B. 1998
Sec. Sec. Sec. Sec.
1 . . . . . . . . . . . . . . . . . . . . . . . 1-1 28A . . . . . . . . . . . . . . . . . . . . . . 2-39
None . . . . . . . . . 1A . . . . . . . . . . . 1-2 28B . . . . . . . . . . . . . . . . . . . . . . 2-40
2 . . . . . . . . . . . . . . . . . . . . . . . 1-3 28B.1 . . . . . . . . . . . . . . . . . . . . . 2-41
3 . . . . . . . . . . . . . . . . . . . . . . . 1-4 28C . . . . . . . . . . . . . . . . . . . . . . 2-42
4 . . . . . . . . . . . . . . . . . . . . . . . 1-5 28D . . . . . . . . . . . . . . . . . . . . . . 2-43
5 . . . . . . . . . . . . . . . . . . . . . . . 1-6 29 . . . . . . . . . . . . . . . . . . . . . . . 2-44
5A. . . . . . . . . . . . . . . . . . . . . . . 1-7 30 . . . . . . . . . . . . . . . . . . . . . . . 2-45
6 . . . . . . . . . . . . . . . . . . . . . . . 1-8 30A . . . . . . . . . . . . . . . . . . . . . . 2-46
7 . . . . . . . . . . . . . . . . . . . . . . . 1-9 31 . . . . . . . . . . . . . . . . . . . . . . . 2-47
7A Title . . . . . . . . . . . . . . . . . . . . None 31A . . . . . . . . . . . . . . . . . . . . . . 2-48
7B. . . . . . . . . . . . . . . . . . . . . . . 1-10 31B . . . . . . . . . . . . . . . . . . . . . . 2-49
7C . . . . . . . . . . . . . . . . . . . . . . 1-11 32 . . . . . . . . . . . . . . . . . . . . . . . 2-50
8 . . . . . . . . . . . . . . . . . . . . . . . 2-1 34 . . . . . . . . . . . . . . . . . . . . . . . 2-51
9 . . . . . . . . . . . . . . . . . . . . . . . 2-2 35 . . . . . . . . . . . . . . . . . . . . . . . 2-52
10 Title . . . . . . . . . . . . . . . . . . . . None 36 . . . . . . . . . . . . . . . . . . . . . . . 2-53
11 . . . . . . . . . . . . . . . . . . . . . . . 2-3 36A . . . . . . . . . . . . . . . . . . . . . . 2-54
12 . . . . . . . . . . . . . . . . . . . . . . . 2-4 37 . . . . . . . . . . . . . . . . . . . . . . . 2-55
13 . . . . . . . . . . . . . . . . . . . . . . . 2-5 38 Title . . . . . . . . . . . . . . . . . . . . None
14 . . . . . . . . . . . . . . . . . . . . . . . 2-6 39 . . . . . . . . . . . . . . . . . . . . . . . 2-56
15A . . . . . . . . . . . . . . . . . . . . . . 2-7 40 . . . . . . . . . . . . . . . . . . . . . . . 2-57
16 . . . . . . . . . . . . . . . . . . . . . . . 2-8 41 . . . . . . . . . . . . . . . . . . . . . . . 2-58
17 . . . . . . . . . . . . . . . . . . . . . . . 2-9 42 . . . . . . . . . . . . . . . . . . . . . . . 2-59
18 . . . . . . . . . . . . . . . . . . . . . . . 2-10 44 . . . . . . . . . . . . . . . . . . . . . . . 2-60
18A . . . . . . . . . . . . . . . . . . . . . . 2-11 45 . . . . . . . . . . . . . . . . . . . . . . . 2-61
19 . . . . . . . . . . . . . . . . . . . . . . . 2-12 46 . . . . . . . . . . . . . . . . . . . . . . . 2-62
20 Title . . . . . . . . . . . . . . . . . . . . None 46A . . . . . . . . . . . . . . . . . . . . . . 2-63
21 . . . . . . . . . . . . . . . . . . . . . . . 2-13 46B . . . . . . . . . . . . . . . . . . . . . . 2-64
22 . . . . . . . . . . . . . . . . . . . . . . . 2-14 46C . . . . . . . . . . . . . . . . . . . . . . 2-65
23 . . . . . . . . . . . . . . . . . . . . . . . 2-15 47 . . . . . . . . . . . . . . . . . . . . . . . 2-66
24 . . . . . . . . . . . . . . . . . . . . . . . 2-16 48 . . . . . . . . . . . . . . . . . . . . . . . 2-67
24A Title . . . . . . . . . . . . . . . . . . . None 48A . . . . . . . . . . . . . . . . . . . . . . None
24B . . . . . . . . . . . . . . . . . . . . . . 2-17 49 . . . . . . . . . . . . . . . . . . . . . . . 8-1
24C . . . . . . . . . . . . . . . . . . . . . . 2-18 50 . . . . . . . . . . . . . . . . . . . . . . . 8-2
24D . . . . . . . . . . . . . . . . . . . . . . 2-19 51 . . . . . . . . . . . . . . . . . . . . . . . 8-3
24E . . . . . . . . . . . . . . . . . . . . . . 2-20 52 . . . . . . . . . . . . . . . . . . . . . . . 8-4
24F . . . . . . . . . . . . . . . . . . . . . . 2-21 53 . . . . . . . . . . . . . . . . . . . . . . . 8-5
25 . . . . . . . . . . . . . . . . . . . . . . . 2-22 54 . . . . . . . . . . . . . . . . . . . . . . . 8-6
26 . . . . . . . . . . . . . . . . . . . . . . . 2-23 55 . . . . . . . . . . . . . . . . . . . . . . . 8-7
26A . . . . . . . . . . . . . . . . . . . . . . 2-24 56 . . . . . . . . . . . . . . . . . . . . . . . 8-8
26B . . . . . . . . . . . . . . . . . . . . . . 2-25 57 . . . . . . . . . . . . . . . . . . . . . . . 8-9
27 . . . . . . . . . . . . . . . . . . . . . . . 2-26 58 . . . . . . . . . . . . . . . . . . . . . . . 8-10
27A . . . . . . . . . . . . . . . . . . . . . . 2-27 59 . . . . . . . . . . . . . . . . . . . . . . . 8-11
27A.1 . . . . . . . . . . . . . . . . . . . . . 2-28 60 . . . . . . . . . . . . . . . . . . . . . . . 8-12
27B . . . . . . . . . . . . . . . . . . . . . . 2-29 63 Title . . . . . . . . . . . . . . . . . . . . None
27C Title . . . . . . . . . . . . . . . . . . . None 64(a) . . . . . . . . . 7P . . . . . . . . . . . 3-1
27D . . . . . . . . . . . . . . . . . . . . . . 2-30 64(b) . . . . . . . . . 7Q. . . . . . . . . . . 3-2
27E . . . . . . . . . . . . . . . . . . . . . . 2-31 64(b) . . . . . . . . . 7R. . . . . . . . . . . 3-3
27F . . . . . . . . . . . . . . . . . . . . . . 2-32 64(c) . . . . . . . . . 7S . . . . . . . . . . . 3-4
27G . . . . . . . . . . . . . . . . . . . . . . 2-33 None . . . . . . . . . 7T . . . . . . . . . . . 3-5
27H . . . . . . . . . . . . . . . . . . . . . . 2-34 None . . . . . . . . . 7U. . . . . . . . . . . 3-6
27J . . . . . . . . . . . . . . . . . . . . . . 2-35 None . . . . . . . . . 7V . . . . . . . . . . . 3-7
27M. . . . . . . . . . . . . . . . . . . . . . 2-36 65 . . . . . . . . . . . 7W . . . . . . . . . . 3-8
27M.1. . . . . . . . . . . . . . . . . . . . . 2-37 68 . . . . . . . . . . . 7CC . . . . . . . . . . 3-14
27N . . . . . . . . . . . . . . . . . . . . . . 2-38 69 . . . . . . . . . . . 7DD . . . . . . . . . . 3-15
28 Title . . . . . . . . . . . . . . . . . . . . None 70 . . . . . . . . . . . 7EE . . . . . . . . . . 3-16
* Rules repealed prior to 1995 are not represented in this table.
533
Copyrighted by the Secretary of the State of the State of Connecticut
REFERENCE TABLE
P.B. 1978-1997 CLJ P.B. 1998 P.B. 1978-1997 CLJ P.B. 1998
Sec. Sec. Sec. Sec.
71 . . . . . . . . . . . 7FF . . . . . . . . . . 3-17 128 . . . . . . . . . . . . . . . . . . . . . . 10-18
72 . . . . . . . . . . . 7GG. . . . . . . . . . 3-18 129 . . . . . . . . . . . . . . . . . . . . . . 10-19
73 . . . . . . . . . . . 7HH . . . . . . . . . . 3-19 130 Title . . . . . . . . . . . . . . . . . . . None
74 . . . . . . . . . . . 7II . . . . . . . . . . . 3-20 131 . . . . . . . . . . . . . . . . . . . . . . 10-20
75 . . . . . . . . . . . 7JJ . . . . . . . . . . 3-21 132 Title . . . . . . . . . . . . . . . . . . . None
76 . . . . . . . . . . . 7Z . . . . . . . . . . . 3-11 133 . . . . . . . . . . . . . . . . . . . . . . 10-21
77 . . . . . . . . . . . 7X . . . . . . . . . . . 3-9 134 . . . . . . . . . . . . . . . . . . . . . . 10-22
77(d) . . . . . . . . . 7Y . . . . . . . . . . . 3-10 135 . . . . . . . . . . . . . . . . . . . . . . 10-23
78 . . . . . . . . . . . 7AA . . . . . . . . . . 3-12 136 . . . . . . . . . . . . . . . . . . . . . . 10-24
79 . . . . . . . . . . . 7BB . . . . . . . . . . 3-13 137 . . . . . . . . . . . . . . . . . . . . . . 10-25
80 . . . . . . . . . . . . . . . . . . . . . . . 9-1 138 . . . . . . . . . . . . . . . . . . . . . . 10-26
81 . . . . . . . . . . . . . . . . . . . . . . . 9-2 139 . . . . . . . . . . . . . . . . . . . . . . 10-27
82 Title . . . . . . . . . . . . . . . . . . . . None 140 . . . . . . . . . . . . . . . . . . . . . . 10-28
83 . . . . . . . . . . . . . . . . . . . . . . . 9-3 141 . . . . . . . . . . . . . . . . . . . . . . 10-29
84 . . . . . . . . . . . . . . . . . . . . . . . 9-4 142 . . . . . . . . . . . . . . . . . . . . . . 10-30
84A . . . . . . . . . . . . . . . . . . . . . . 9-5 143 . . . . . . . . . . . . . . . . . . . . . . 10-31
85 . . . . . . . . . . . . . . . . . . . . . . . 9-6 144 . . . . . . . . . . . . . . . . . . . . . . 10-32
86 Title . . . . . . . . . . . . . . . . . . . . None 145 . . . . . . . . . . . . . . . . . . . . . . 10-33
87 . . . . . . . . . . . . . . . . . . . . . . . 9-7 146 . . . . . . . . . . . . . . . . . . . . . . 10-34
88 . . . . . . . . . . . . . . . . . . . . . . . 9-8 147 . . . . . . . . . . . . . . . . . . . . . . 10-35
89 . . . . . . . . . . . . . . . . . . . . . . . 9-9 148 . . . . . . . . . . . . . . . . . . . . . . 10-36
90 . . . . . . . . . . . . . . . . . . . . . . . 9-10 149 . . . . . . . . . . . . . . . . . . . . . . 10-37
91 . . . . . . . . . . . . . . . . . . . . . . . 9-11 150 . . . . . . . . . . . . . . . . . . . . . . 10-38
92 . . . . . . . . . . . . . . . . . . . . . . . 9-12 151 Title . . . . . . . . . . . . . . . . . . . None
93 . . . . . . . . . . . . . . . . . . . . . . . 9-13 152 . . . . . . . . . . . . . . . . . . . . . . 10-39
94 . . . . . . . . . . . . . . . . . . . . . . . 9-14 153 . . . . . . . . . . . . . . . . . . . . . . 10-40
95 . . . . . . . . . . . . . . . . . . . . . . . 9-15 154 . . . . . . . . . . . . . . . . . . . . . . 10-41
96 . . . . . . . . . . . . . . . . . . . . . . . 9-16 155 . . . . . . . . . . . . . . . . . . . . . . 10-42
97 . . . . . . . . . . . . . . . . . . . . . . . 9-17 156 . . . . . . . . . . . . . . . . . . . . . . 10-43
98 Title . . . . . . . . . . . . . . . . . . . . None 157 . . . . . . . . . . . . . . . . . . . . . . 10-44
99 . . . . . . . . . . . . . . . . . . . . . . . 9-18 158 . . . . . . . . . . . . . . . . . . . . . . 10-45
100 . . . . . . . . . . . . . . . . . . . . . . 9-19 159 Title . . . . . . . . . . . . . . . . . . . None
101 . . . . . . . . . . . . . . . . . . . . . . 9-20 160 . . . . . . . . . . . . . . . . . . . . . . 10-46
102 . . . . . . . . . . . . . . . . . . . . . . 9-21 161 . . . . . . . . . . . . . . . . . . . . . . 10-47
103 . . . . . . . . . . . . . . . . . . . . . . 9-22 162 . . . . . . . . . . . . . . . . . . . . . . 10-48
104 . . . . . . . . . . . . . . . . . . . . . . 9-23 163 . . . . . . . . . . . . . . . . . . . . . . 10-49
105 . . . . . . . . . . . . . . . . . . . . . . 9-24 164 . . . . . . . . . . . . . . . . . . . . . . 10-50
106 . . . . . . . . . . . . . . . . . . . . . . 9-25 165 . . . . . . . . . . . . . . . . . . . . . . 10-51
107 Title . . . . . . . . . . . . . . . . . . . None 166 . . . . . . . . . . . . . . . . . . . . . . 10-52
108 . . . . . . . . . . . . . . . . . . . . . . 10-1 167 . . . . . . . . . . . . . . . . . . . . . . 10-53
109 . . . . . . . . . . . . . . . . . . . . . . 10-2 168 . . . . . . . . . . . . . . . . . . . . . . 10-54
109A . . . . . . . . . . . . . . . . . . . . . 10-3 169 . . . . . . . . . . . . . . . . . . . . . . 10-55
110 . . . . . . . . . . . . . . . . . . . . . . 10-4 170 Title . . . . . . . . . . . . . . . . . . . None
111 . . . . . . . . . . . . . . . . . . . . . . 10-5 171 . . . . . . . . . . . . . . . . . . . . . . 10-56
112 . . . . . . . . . . . . . . . . . . . . . . 10-6 172 . . . . . . . . . . . . . . . . . . . . . . 10-57
113 . . . . . . . . . . . . . . . . . . . . . . 10-7 173 . . . . . . . . . . . . . . . . . . . . . . 10-58
114 . . . . . . . . . . . . . . . . . . . . . . 10-8 174 Title . . . . . . . . . . . . . . . . . . . None
115 . . . . . . . . . . . . . . . . . . . . . . 10-9 175 . . . . . . . . . . . . . . . . . . . . . . 10-59
116 . . . . . . . . . . . . . . . . . . . . . . 10-10 176 . . . . . . . . . . . . . . . . . . . . . . 10-60
117 . . . . . . . . . . . . . . . . . . . . . . 10-11 177 . . . . . . . . . . . . . . . . . . . . . . 10-61
118 . . . . . . . . . . 7KK . . . . . . . . . . 4-1 178 . . . . . . . . . . . . . . . . . . . . . . 10-62
119 . . . . . . . . . . 7LL . . . . . . . . . . 4-2 179 . . . . . . . . . . . . . . . . . . . . . . 10-63
120 Title . . . . . . . . . . . . . . . . . . . None 180 . . . . . . . . . . . . . . . . . . . . . . 10-64
121 . . . . . . . . . . . . . . . . . . . . . . 10-12 181 . . . . . . . . . . . . . . . . . . . . . . 10-65
122 . . . . . . . . . . . . . . . . . . . . . . 10-13 182 . . . . . . . . . . . . . . . . . . . . . . 10-66
123 . . . . . . . . . . . . . . . . . . . . . . 10-14 183 . . . . . . . . . . . . . . . . . . . . . . 10-67
124 . . . . . . . . . . . . . . . . . . . . . . 10-15 184 Title . . . . . . . . . . . . . . . . . . . None
125 . . . . . . . . . . . . . . . . . . . . . . 10-16 185 . . . . . . . . . . . . . . . . . . . . . . 10-68
126 . . . . . . . . . . . . . . . . . . . . . . 10-17 186 . . . . . . . . . . . . . . . . . . . . . . 10-69
127 . . . . . . . . . . 7MM . . . . . . . . . 4-3 187 . . . . . . . . . . . . . . . . . . . . . . 10-70
534
Copyrighted by the Secretary of the State of the State of Connecticut
REFERENCE TABLE
P.B. 1978-1997 CLJ P.B. 1998 P.B. 1978-1997 CLJ P.B. 1998
Sec. Sec. Sec. Sec.
189 . . . . . . . . . . . . . . . . . . . . . . 10-71 240 . . . . . . . . . . . . . . . . . . . . . . 13-24
190 . . . . . . . . . . . . . . . . . . . . . . 10-72 241 . . . . . . . . . . . . . . . . . . . . . . 13-25
191 . . . . . . . . . . . . . . . . . . . . . . 10-73 242 Title . . . . . . . . . . . . . . . . . . . None
192 . . . . . . . . . . . . . . . . . . . . . . 10-74 243 . . . . . . . . . . . . . . . . . . . . . . 13-26
193 . . . . . . . . . . . . . . . . . . . . . . 10-75 244 . . . . . . . . . . . . . . . . . . . . . . 13-27
194 . . . . . . . . . . . . . . . . . . . . . . 10-76 245 . . . . . . . . . . . . . . . . . . . . . . 13-28
195 . . . . . . . . . . . . . . . . . . . . . . 10-77 246 . . . . . . . . . . . . . . . . . . . . . . 13-29
195A . . . . . . . . . . . . . . . . . . . . . 10-78 247 . . . . . . . . . . . . . . . . . . . . . . 13-30
195B . . . . . . . . . . . . . . . . . . . . . 10-79 248 . . . . . . . . . . . . . . . . . . . . . . 13-31
196 . . . . . . . . . . . . . . . . . . . . . . 11-1 249 . . . . . . . . . . . . . . . . . . . . . . 13-32
197 . . . . . . . . . . . . . . . . . . . . . . 11-2 250 . . . . . . . . . . 7CCC . . . . . . . . . 7-1
198 . . . . . . . . . . . . . . . . . . . . . . 11-3 250A . . . . . . . . . . . . . . . . . . . . . 14-1
199 . . . . . . . . . . . . . . . . . . . . . . 11-4 250B . . . . . . . . . . . . . . . . . . . . . 14-2
200 . . . . . . . . . . . . . . . . . . . . . . 11-5 251 . . . . . . . . . . . . . . . . . . . . . . 14-3
201 . . . . . . . . . . . . . . . . . . . . . . 11-6 252 Title . . . . . . . . . . . . . . . . . . . None
202 . . . . . . . . . . . . . . . . . . . . . . 11-7 253 . . . . . . . . . . . . . . . . . . . . . . None
202A . . . . . . . . . . . . . . . . . . . . . 11-8 254 . . . . . . . . . . . . . . . . . . . . . . 14-4
203 . . . . . . . . . . . . . . . . . . . . . . 11-9 255 . . . . . . . . . . . . . . . . . . . . . . 14-5
204 . . . . . . . . . . . . . . . . . . . . . . 11-10 256 . . . . . . . . . . . . . . . . . . . . . . 14-6
204A . . . . . . . . . . . . . . . . . . . . . 11-11 257 . . . . . . . . . . . . . . . . . . . . . . 14-7
204B . . . . . . . . . . . . . . . . . . . . . 11-12 258 . . . . . . . . . . . . . . . . . . . . . . 14-8
205 Title . . . . . . . . . . . . . . . . . . . None 259 . . . . . . . . . . . . . . . . . . . . . . 14-9
206 . . . . . . . . . . . . . . . . . . . . . . 11-13 260 . . . . . . . . . . . . . . . . . . . . . . 14-10
207 . . . . . . . . . . . . . . . . . . . . . . 11-14 262 Title . . . . . . . . . . . . . . . . . . . None
208 . . . . . . . . . . . . . . . . . . . . . . 11-15 263 . . . . . . . . . . . . . . . . . . . . . . 14-11
209 . . . . . . . . . . . . . . . . . . . . . . 11-16 264 . . . . . . . . . . . . . . . . . . . . . . 14-12
210 . . . . . . . . . . . . . . . . . . . . . . 11-17 265 . . . . . . . . . . . . . . . . . . . . . . 14-13
211 . . . . . . . . . . . . . . . . . . . . . . 11-18 267 . . . . . . . . . . . . . . . . . . . . . . None
211A . . . . . . . . . . . . . . . . . . . . . 11-19 268 . . . . . . . . . . . . . . . . . . . . . . 14-14
211B . . . . . . . . . . . . . . . . . . . . . 11-20 269 Title . . . . . . . . . . . . . . . . . . . None
212 . . . . . . . . . . . . . . . . . . . . . . 12-1 270 . . . . . . . . . . . . . . . . . . . . . . 14-15
213 . . . . . . . . . . . . . . . . . . . . . . 12-2 271 . . . . . . . . . . . . . . . . . . . . . . 14-16
215 . . . . . . . . . . . . . . . . . . . . . . 12-3 272 . . . . . . . . . . . . . . . . . . . . . . None
216 . . . . . . . . . . . . . . . . . . . . . . 13-1 273 . . . . . . . . . . . . . . . . . . . . . . 14-17
217 Title . . . . . . . . . . . . . . . . . . . None 274 . . . . . . . . . . . . . . . . . . . . . . 14-18
218 . . . . . . . . . . . . . . . . . . . . . . 13-2 274A . . . . . . . . . . . . . . . . . . . . . 14-19
219 . . . . . . . . . . . . . . . . . . . . . . 13-3 276 . . . . . . . . . . . . . . . . . . . . . . 14-20
220 . . . . . . . . . . . . . . . . . . . . . . 13-4 277 . . . . . . . . . . . . . . . . . . . . . . 14-21
221 . . . . . . . . . . . . . . . . . . . . . . 13-5 278 . . . . . . . . . . . . . . . . . . . . . . 14-22
222 Title . . . . . . . . . . . . . . . . . . . None 279 . . . . . . . . . . . . . . . . . . . . . . 14-23
223 . . . . . . . . . . . . . . . . . . . . . . 13-6 280 . . . . . . . . . . . . . . . . . . . . . . 14-24
224 . . . . . . . . . . . . . . . . . . . . . . 13-7 281 . . . . . . . . . . . . . . . . . . . . . . 14-25
225 . . . . . . . . . . . . . . . . . . . . . . 13-8 282 . . . . . . . . . . . . . . . . . . . . . . None
226 Title . . . . . . . . . . . . . . . . . . . None 283 . . . . . . . . . . . . . . . . . . . . . . 15-1
227 . . . . . . . . . . . . . . . . . . . . . . 13-9 284 . . . . . . . . . . . . . . . . . . . . . . 15-2
228 . . . . . . . . . . . . . . . . . . . . . . 13-10 284A . . . . . . . . . . . . . . . . . . . . . 15-3
229 . . . . . . . . . . . . . . . . . . . . . . 13-11 285A . . . . . . . . . 7NN . . . . . . . . . . 5-1
230 . . . . . . . . . . . . . . . . . . . . . . 13-12 286 . . . . . . . . . . 7PP . . . . . . . . . . 5-3
230A . . . . . . . . . . . . . . . . . . . . . 13-13 287 . . . . . . . . . . 7QQ. . . . . . . . . . 5-4
231 . . . . . . . . . . . . . . . . . . . . . . 13-14 288 . . . . . . . . . . 7RR . . . . . . . . . . 5-5
232 . . . . . . . . . . . . . . . . . . . . . . 13-15 289 . . . . . . . . . . 7SS . . . . . . . . . . 5-6
233 . . . . . . . . . . . . . . . . . . . . . . 13-16 290 . . . . . . . . . . . . . . . . . . . . . . 15-4
234 . . . . . . . . . . . . . . . . . . . . . . 13-17 291 . . . . . . . . . . 7TT . . . . . . . . . . 5-7
235 . . . . . . . . . . . . . . . . . . . . . . 13-18 292 Title . . . . . . . . . . . . . . . . . . . None
236 . . . . . . . . . . . . . . . . . . . . . . 13-19 293 . . . . . . . . . . 7UU . . . . . . . . . . 5-8
236A . . . . . . . . . . . . . . . . . . . . . 13-20 294 . . . . . . . . . . 7VV . . . . . . . . . . 5-9
236B . . . . . . . . . . . . . . . . . . . . . 13-21 295 . . . . . . . . . . . . . . . . . . . . . . 15-5
237 Title . . . . . . . . . . . . . . . . . . . None 296 . . . . . . . . . . . . . . . . . . . . . . 15-6
238 . . . . . . . . . . . . . . . . . . . . . . 13-22 297 . . . . . . . . . . . . . . . . . . . . . . 15-7
239 . . . . . . . . . . . . . . . . . . . . . . 13-23 299 . . . . . . . . . . 7D. . . . . . . . . . . 1-12
535
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REFERENCE TABLE
P.B. 1978-1997 CLJ P.B. 1998 P.B. 1978-1997 CLJ P.B. 1998
Sec. Sec. Sec. Sec.
300 . . . . . . . . . . 7F . . . . . . . . . . . 1-13 338 . . . . . . . . . . 7AAA . . . . . . . . . 6-4
301 . . . . . . . . . . . . . . . . . . . . . . None 339 . . . . . . . . . . 7BBB . . . . . . . . . 6-5
302 . . . . . . . . . . . . . . . . . . . . . . 15-8 340 . . . . . . . . . . . . . . . . . . . . . . 17-10
303 . . . . . . . . . . . . . . . . . . . . . . 16-4(c) 341 Title . . . . . . . . . . . . . . . . . . . None
303A . . . . . . . . . . . . . . . . . . . . . 16-1 342 . . . . . . . . . . . . . . . . . . . . . . 17-11
None . . . . . . . . . 303B . . . . . . . . . 16-2 343 . . . . . . . . . . . . . . . . . . . . . . 17-12
None . . . . . . . . . 303C . . . . . . . . . 16-3 344 . . . . . . . . . . . . . . . . . . . . . . 17-13
304 . . . . . . . . . . . . . . . . . . . . . . 16-4 345 Title . . . . . . . . . . . . . . . . . . . None
None . . . . . . . . . 304A . . . . . . . . . 16-5 346 . . . . . . . . . . . . . . . . . . . . . . 17-14
305 . . . . . . . . . . . . . . . . . . . . . . 16-6 347 . . . . . . . . . . . . . . . . . . . . . . 17-15
305A . . . . . . . . . . . . . . . . . . . . . 16-7 348 . . . . . . . . . . . . . . . . . . . . . . 17-16
None . . . . . . . . . 305B . . . . . . . . . 16-8 349 . . . . . . . . . . . . . . . . . . . . . . 17-17
306 . . . . . . . . . . . . . . . . . . . . . . 16-9 350 . . . . . . . . . . . . . . . . . . . . . . 17-18
307 . . . . . . . . . . . . . . . . . . . . . . 16-10 351 . . . . . . . . . . . . . . . . . . . . . . 17-19
308 . . . . . . . . . . . . . . . . . . . . . . 16-11 352 . . . . . . . . . . . . . . . . . . . . . . 17-20
None . . . . . . . . . 308A . . . . . . . . . 16-12 353 . . . . . . . . . . . . . . . . . . . . . . 17-21
309 . . . . . . . . . . . . . . . . . . . . . . 16-13 354 . . . . . . . . . . . . . . . . . . . . . . 17-22
309A . . . . . . . . . . . . . . . . . . . . . 16-14 355 Title . . . . . . . . . . . . . . . . . . . None
309B . . . . . . . . . . . . . . . . . . . . . 16-15 356 . . . . . . . . . . . . . . . . . . . . . . 17-23
None . . . . . . . . . 309C . . . . . . . . . 16-16 357 . . . . . . . . . . . . . . . . . . . . . . 17-24
311 . . . . . . . . . . . . . . . . . . . . . . 16-17 358 . . . . . . . . . . . . . . . . . . . . . . 17-25
312 . . . . . . . . . . . . . . . . . . . . . . 16-18 359 . . . . . . . . . . . . . . . . . . . . . . 17-26
313 . . . . . . . . . . . . . . . . . . . . . . 16-19 360 . . . . . . . . . . . . . . . . . . . . . . 17-27
314 Title . . . . . . . . . . . . . . . . . . . None 360A . . . . . . . . . . . . . . . . . . . . . None
315 . . . . . . . . . . . . . . . . . . . . . . 16-20 361 . . . . . . . . . . . . . . . . . . . . . . 17-28
316 . . . . . . . . . . . . . . . . . . . . . . 16-21 362 . . . . . . . . . . . . . . . . . . . . . . 17-29
317 . . . . . . . . . . . . . . . . . . . . . . 16-22 362A . . . . . . . . . . . . . . . . . . . . . 17-30
318 . . . . . . . . . . . . . . . . . . . . . . 16-23 363 . . . . . . . . . . . . . . . . . . . . . . 17-31
318A . . . . . . . . . . . . . . . . . . . . . 16-24 363A . . . . . . . . . . . . . . . . . . . . . 17-32
None . . . . . . . . . 318B . . . . . . . . . 16-25 364 . . . . . . . . . . . . . . . . . . . . . . 17-33
None . . . . . . . . . 318C . . . . . . . . . 16-26 365 Title . . . . . . . . . . . . . . . . . . . None
None . . . . . . . . . 318D . . . . . . . . . 16-27 367 . . . . . . . . . . . . . . . . . . . . . . 17-34
None . . . . . . . . . 318E . . . . . . . . . 16-28 368 . . . . . . . . . . . . . . . . . . . . . . 17-35
None . . . . . . . . . 318F . . . . . . . . . 16-29 369 . . . . . . . . . . . . . . . . . . . . . . 17-36
None . . . . . . . . . 318G . . . . . . . . . 16-30 370 . . . . . . . . . . . . . . . . . . . . . . None
None . . . . . . . . . 318H . . . . . . . . . 16-31 371 . . . . . . . . . . . . . . . . . . . . . . 17-37
None . . . . . . . . . 318I . . . . . . . . . . 16-32 372 . . . . . . . . . . . . . . . . . . . . . . 17-38
None . . . . . . . . . 318J . . . . . . . . . 16-33 373 . . . . . . . . . . . . . . . . . . . . . . 17-39
None . . . . . . . . . 318K . . . . . . . . . 16-34 374 . . . . . . . . . . . . . . . . . . . . . . 17-40
319 Title . . . . . . . . . . . . . . . . . . . None 375 . . . . . . . . . . . . . . . . . . . . . . 17-41
320 . . . . . . . . . . . . . . . . . . . . . . 16-35 376 . . . . . . . . . . . . . . . . . . . . . . 17-42
320A . . . . . . . . . . . . . . . . . . . . . 16-36 377 . . . . . . . . . . . . . . . . . . . . . . 17-43
321 . . . . . . . . . . . . . . . . . . . . . . 16-37 378 Title . . . . . . . . . . . . . . . . . . . None
322 . . . . . . . . . . . . . . . . . . . . . . 16-38 379 . . . . . . . . . . . . . . . . . . . . . . 17-44
323 . . . . . . . . . . . . . . . . . . . . . . 17-1 380 . . . . . . . . . . . . . . . . . . . . . . 17-45
324 . . . . . . . . . . . . . . . . . . . . . . 17-2 381 . . . . . . . . . . . . . . . . . . . . . . 17-46
325 . . . . . . . . . . . . . . . . . . . . . . 17-3 382 . . . . . . . . . . . . . . . . . . . . . . 17-47
326 . . . . . . . . . . . . . . . . . . . . . . 17-4 383 . . . . . . . . . . . . . . . . . . . . . . 17-48
327 . . . . . . . . . . . . . . . . . . . . . . 17-5 384 . . . . . . . . . . . . . . . . . . . . . . 17-49
328 . . . . . . . . . . . . . . . . . . . . . . 17-6 385 . . . . . . . . . . . . . . . . . . . . . . 17-50
329 . . . . . . . . . . . . . . . . . . . . . . None 386 . . . . . . . . . . . . . . . . . . . . . . 17-51
330 . . . . . . . . . . . . . . . . . . . . . . None 387 . . . . . . . . . . . . . . . . . . . . . . 17-52
331 Title . . . . . . . . . . . . . . . . . . . None 387A . . . . . . . . . . . . . . . . . . . . . 17-53
332 . . . . . . . . . . . . . . . . . . . . . . 17-7 388 Title . . . . . . . . . . . . . . . . . . . None
333 . . . . . . . . . . . . . . . . . . . . . . 17-8 389 . . . . . . . . . . . . . . . . . . . . . . 17-54
334 . . . . . . . . . . . . . . . . . . . . . . 17-9 390 . . . . . . . . . . . . . . . . . . . . . . 17-55
334A . . . . . . . . . 7XX . . . . . . . . . . 6-1 391 . . . . . . . . . . . . . . . . . . . . . . 17-56
335 Title . . . . . . . . . . . . . . . . . . . None 392 . . . . . . . . . . . . . . . . . . . . . . 17-57
336 . . . . . . . . . . 7YY . . . . . . . . . . 6-2 393 . . . . . . . . . . . . . . . . . . . . . . 17-58
337 . . . . . . . . . . 7ZZ . . . . . . . . . . 6-3 394 . . . . . . . . . . . . . . . . . . . . . . 17-59
536
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REFERENCE TABLE
P.B. 1978-1997 CLJ P.B. 1998 P.B. 1978-1997 CLJ P.B. 1998
Sec. Sec. Sec. Sec.
395 . . . . . . . . . . 7DDD . . . . . . . . . 7-2 445 . . . . . . . . . . . . . . . . . . . . . . 19-19
395A . . . . . . . . . . . . . . . . . . . . . 7-19 446 . . . . . . . . . . . . . . . . . . . . . . 20-1
396 . . . . . . . . . . 7EEE . . . . . . . . . 7-3 447 . . . . . . . . . . . . . . . . . . . . . . 20-2
397 . . . . . . . . . . 7FFF . . . . . . . . . 7-4 448 . . . . . . . . . . . . . . . . . . . . . . 20-3
397A . . . . . . . . . . . . . . . . . . . . . 7-20 449 . . . . . . . . . . . . . . . . . . . . . . 20-4
397B . . . . . . . . . 7TTT . . . . . . . . . 7-18 450 . . . . . . . . . . . . . . . . . . . . . . 20-5
398 . . . . . . . . . . 7GGG. . . . . . . . . 7-5 451 . . . . . . . . . . . . . . . . . . . . . . 20-6
399 . . . . . . . . . . 7HHH . . . . . . . . . 7-6 452 Title . . . . . . . . . . . . . . . . . . . None
400 . . . . . . . . . . 7III . . . . . . . . . . 7-7 453 . . . . . . . . . . 1201 . . . . . . . . . 25-2
401 . . . . . . . . . . . . . . . . . . . . . . 7-21 454 . . . . . . . . . . 1207 . . . . . . . . . 25-7
402 . . . . . . . . . . 7JJJ. . . . . . . . . . 7-8 455 . . . . . . . . . . 1208 . . . . . . . . . 25-8
403 . . . . . . . . . . 7KKK . . . . . . . . . 7-9 456 . . . . . . . . . . 1209 . . . . . . . . . 25-9
403A Title . . . . . . . . . . . . . . . . . . None 457 . . . . . . . . . . 1210 . . . . . . . . . 25-10
403B . . . . . . . . . 7LLL . . . . . . . . . 7-10 458 . . . . . . . . . . 1255 . . . . . . . . . 25-53
403C . . . . . . . . . 7MMM . . . . . . . . 7-11 459 . . . . . . . . . . . . . . . . . . . . . . None
403D . . . . . . . . . 7NNN . . . . . . . . . 7-12 460 . . . . . . . . . . . . . . . . . . . . . . None
403E . . . . . . . . . 7OOO. . . . . . . . . 7-13 461 . . . . . . . . . . 1229 . . . . . . . . . 25-28
403F . . . . . . . . . 7PPP . . . . . . . . . 7-14 462 . . . . . . . . . . 1230 . . . . . . . . . 25-29
403G . . . . . . . . . 7QQQ. . . . . . . . . 7-15 463 . . . . . . . . . . 1231 . . . . . . . . . 25-30
403H . . . . . . . . . 7RRR . . . . . . . . . 7-16 464 . . . . . . . . . . 1227 . . . . . . . . . 25-26
405 . . . . . . . . . . 7SSS . . . . . . . . . 7-17 464A . . . . . . . . . 1236 . . . . . . . . . 25-35
406 . . . . . . . . . . . . . . . . . . . . . . None 465 Title . . . . . . . . . . . . . . . . . . . None
407 . . . . . . . . . . . . . . . . . . . . . . 18-1 466 . . . . . . . . . . . . . . . . . . . . . . None
408 . . . . . . . . . . . . . . . . . . . . . . None 467 . . . . . . . . . . . . . . . . . . . . . . None
409 . . . . . . . . . . . . . . . . . . . . . . 18-2 468 . . . . . . . . . . . . . . . . . . . . . . None
410 . . . . . . . . . . . . . . . . . . . . . . 18-3 469 . . . . . . . . . . . . . . . . . . . . . . None
411 . . . . . . . . . . . . . . . . . . . . . . 18-4 470 . . . . . . . . . . . . . . . . . . . . . . None
412 . . . . . . . . . . . . . . . . . . . . . . 18-5 471 . . . . . . . . . . . . . . . . . . . . . . None
413 . . . . . . . . . . . . . . . . . . . . . . 18-6 472 . . . . . . . . . . 1237 . . . . . . . . . 25-36
414 . . . . . . . . . . . . . . . . . . . . . . 18-7 473 . . . . . . . . . . 1238 . . . . . . . . . 25-37
415 . . . . . . . . . . . . . . . . . . . . . . 18-8 474 . . . . . . . . . . . . . . . . . . . . . . None
416 . . . . . . . . . . . . . . . . . . . . . . 18-9 475 . . . . . . . . . . . . . . . . . . . . . . None
417 . . . . . . . . . . . . . . . . . . . . . . 18-10 476 . . . . . . . . . . 1259 . . . . . . . . . 25-57
418 . . . . . . . . . . . . . . . . . . . . . . 18-11 477 . . . . . . . . . . 1260 . . . . . . . . . 25-58
419 . . . . . . . . . . . . . . . . . . . . . . 18-12 478 . . . . . . . . . . 1261 . . . . . . . . . 25-59
420 . . . . . . . . . . . . . . . . . . . . . . 18-13 479 . . . . . . . . . . 1262 . . . . . . . . . 25-60
421 . . . . . . . . . . . . . . . . . . . . . . 18-14 479A . . . . . . . . . 1267 . . . . . . . . . 25-65
422 . . . . . . . . . . . . . . . . . . . . . . 18-15 479B . . . . . . . . . 1268 . . . . . . . . . 25-66
423 . . . . . . . . . . . . . . . . . . . . . . 18-16 481 . . . . . . . . . . 1269 . . . . . . . . . 25-67
424 . . . . . . . . . . . . . . . . . . . . . . 18-17 481A . . . . . . . . . 1271 . . . . . . . . . 25-69
425 . . . . . . . . . . . . . . . . . . . . . . 18-18 484 . . . . . . . . . . 1264 . . . . . . . . . 25-62
427 . . . . . . . . . . . . . . . . . . . . . . 18-19 484A . . . . . . . . . 1265 . . . . . . . . . 25-63
428 . . . . . . . . . . . . . . . . . . . . . . 19-1 484B . . . . . . . . . 1266 . . . . . . . . . 25-64
429 . . . . . . . . . . . . . . . . . . . . . . 19-2 484C . . . . . . . . . 1270 . . . . . . . . . 25-68
430 . . . . . . . . . . . . . . . . . . . . . . 19-3 485 . . . . . . . . . . . . . . . . . . . . . . 21-1
430A . . . . . . . . . . . . . . . . . . . . . 19-4 486 . . . . . . . . . . . . . . . . . . . . . . 21-2
431 . . . . . . . . . . . . . . . . . . . . . . 19-5 487 . . . . . . . . . . . . . . . . . . . . . . 21-3
432 . . . . . . . . . . . . . . . . . . . . . . 19-6 488 . . . . . . . . . . . . . . . . . . . . . . 21-4
433 . . . . . . . . . . . . . . . . . . . . . . 19-7 489 . . . . . . . . . . . . . . . . . . . . . . 21-5
434 . . . . . . . . . . . . . . . . . . . . . . 19-8 490 . . . . . . . . . . . . . . . . . . . . . . 21-6
435 . . . . . . . . . . . . . . . . . . . . . . 19-9 491 Title . . . . . . . . . . . . . . . . . . . None
436 . . . . . . . . . . . . . . . . . . . . . . 19-10 492 . . . . . . . . . . . . . . . . . . . . . . 21-7
437 . . . . . . . . . . . . . . . . . . . . . . 19-11 493 . . . . . . . . . . . . . . . . . . . . . . 21-8
438 . . . . . . . . . . . . . . . . . . . . . . 19-12 494 . . . . . . . . . . . . . . . . . . . . . . 21-9
439 . . . . . . . . . . . . . . . . . . . . . . 19-13 495 . . . . . . . . . . . . . . . . . . . . . . 21-10
440 . . . . . . . . . . . . . . . . . . . . . . 19-14 496 . . . . . . . . . . . . . . . . . . . . . . 21-11
441 . . . . . . . . . . . . . . . . . . . . . . 19-15 497 . . . . . . . . . . . . . . . . . . . . . . 21-12
442 . . . . . . . . . . . . . . . . . . . . . . 19-16 498 . . . . . . . . . . . . . . . . . . . . . . 21-13
443 . . . . . . . . . . . . . . . . . . . . . . 19-17 499 . . . . . . . . . . . . . . . . . . . . . . 21-14
444 . . . . . . . . . . . . . . . . . . . . . . 19-18 500 . . . . . . . . . . . . . . . . . . . . . . 21-15
537
Copyrighted by the Secretary of the State of the State of Connecticut
REFERENCE TABLE
P.B. 1978-1997 CLJ P.B. 1998 P.B. 1978-1997 CLJ P.B. 1998
Sec. Sec. Sec. Sec.
501 . . . . . . . . . . . . . . . . . . . . . . 21-16 529T . . . . . . . . . . . . . . . . . . . . . 23-41
502 . . . . . . . . . . . . . . . . . . . . . . 21-17 529U . . . . . . . . . . . . . . . . . . . . . 23-42
503 . . . . . . . . . . . . . . . . . . . . . . 21-18 530 . . . . . . . . . . . . . . . . . . . . . . None
504 Title . . . . . . . . . . . . . . . . . . . None 531 . . . . . . . . . . . . . . . . . . . . . . None
505 . . . . . . . . . . . . . . . . . . . . . . 21-19 532 . . . . . . . . . . . . . . . . . . . . . . None
506 . . . . . . . . . . . . . . . . . . . . . . 21-20 533 . . . . . . . . . . . . . . . . . . . . . . None
507 . . . . . . . . . . . . . . . . . . . . . . 21-21 534 . . . . . . . . . . . . . . . . . . . . . . None
508 . . . . . . . . . . . . . . . . . . . . . . 21-22 535 . . . . . . . . . . . . . . . . . . . . . . None
509 . . . . . . . . . . . . . . . . . . . . . . 21-23 536 . . . . . . . . . . . . . . . . . . . . . . None
510 . . . . . . . . . . . . . . . . . . . . . . 21-24 537 Title . . . . . . . . . . . . . . . . . . . None
511A . . . . . . . . . . . . . . . . . . . . . 22-1 538 . . . . . . . . . . . . . . . . . . . . . . 23-43
511B . . . . . . . . . . . . . . . . . . . . . 22-2 539 . . . . . . . . . . . . . . . . . . . . . . 23-44
514 . . . . . . . . . . . . . . . . . . . . . . 22-3 540 Title . . . . . . . . . . . . . . . . . . . None
515 Title . . . . . . . . . . . . . . . . . . . None 541 . . . . . . . . . . . . . . . . . . . . . . 23-45
515A . . . . . . . . . . . . . . . . . . . . . 22-4 542 . . . . . . . . . . . . . . . . . . . . . . 23-46
516 . . . . . . . . . . . . . . . . . . . . . . 22-5 543 . . . . . . . . . . . . . . . . . . . . . . 23-47
516A . . . . . . . . . . . . . . . . . . . . . 22-6 544 . . . . . . . . . . . . . . . . . . . . . . 23-48
518 . . . . . . . . . . . . . . . . . . . . . . 22-7 545 . . . . . . . . . . . . . . . . . . . . . . 23-49
518A . . . . . . . . . . . . . . . . . . . . . 22-8 546 . . . . . . . . . . . . . . . . . . . . . . 23-50
519 . . . . . . . . . . . . . . . . . . . . . . 22-9 546A . . . . . . . . . . . . . . . . . . . . . 23-51
525 . . . . . . . . . . . . . . . . . . . . . . 23-1 546B Title . . . . . . . . . . . . . . . . . . None
525A . . . . . . . . . . . . . . . . . . . . . 23-2 546C . . . . . . . . . . . . . . . . . . . . . 23-52
525B . . . . . . . . . . . . . . . . . . . . . 23-3 546D . . . . . . . . . . . . . . . . . . . . . 23-53
525C . . . . . . . . . . . . . . . . . . . . . 23-4 546E . . . . . . . . . . . . . . . . . . . . . 23-54
525D . . . . . . . . . . . . . . . . . . . . . 23-5 546F . . . . . . . . . . . . . . . . . . . . . 23-55
525E . . . . . . . . . . . . . . . . . . . . . 23-6 546G . . . . . . . . . . . . . . . . . . . . . 23-56
525F . . . . . . . . . . . . . . . . . . . . . 23-7 546H . . . . . . . . . . . . . . . . . . . . . 23-57
525G . . . . . . . . . . . . . . . . . . . . . 23-8 546J . . . . . . . . . . . . . . . . . . . . . 23-58
525H . . . . . . . . . . . . . . . . . . . . . 23-9 546K . . . . . . . . . . . . . . . . . . . . . 23-59
525I. . . . . . . . . . . . . . . . . . . . . . 23-10 546L Title . . . . . . . . . . . . . . . . . . None
525J . . . . . . . . . . . . . . . . . . . . . 23-11 546M . . . . . . . . . . . . . . . . . . . . . 23-60
525K . . . . . . . . . . . . . . . . . . . . . 23-12 546N . . . . . . . . . . . . . . . . . . . . . 23-61
526 . . . . . . . . . . . . . . . . . . . . . . 23-16 546O . . . . . . . . . . . . . . . . . . . . . 23-62
526A . . . . . . . . . . . . . . . . . . . . . 23-17 546P . . . . . . . . . . . . . . . . . . . . . 23-63
None . . . . . . . . . 526L . . . . . . . . . 23-13 546Q . . . . . . . . . . . . . . . . . . . . . 23-64
None . . . . . . . . . 526M . . . . . . . . . 23-14 546R . . . . . . . . . . . . . . . . . . . . . 23-65
None . . . . . . . . . 526N . . . . . . . . . 23-15 546S . . . . . . . . . . . . . . . . . . . . . 23-66
527 . . . . . . . . . . . . . . . . . . . . . . 23-18 546T . . . . . . . . . . . . . . . . . . . . . 23-67
528 . . . . . . . . . . . . . . . . . . . . . . 23-19 547 . . . . . . . . . . . . . . . . . . . . . . 24-1
528A . . . . . . . . . . . . . . . . . . . . . 23-20 548 . . . . . . . . . . . . . . . . . . . . . . 24-2
529 . . . . . . . . . . . . . . . . . . . . . . 23-21 549 . . . . . . . . . . . . . . . . . . . . . . 24-3
529A . . . . . . . . . . . . . . . . . . . . . 23-22 550 . . . . . . . . . . . . . . . . . . . . . . 24-4
529B . . . . . . . . . . . . . . . . . . . . . 23-23 551 . . . . . . . . . . . . . . . . . . . . . . 24-5
529C . . . . . . . . . . . . . . . . . . . . . 23-24 552 . . . . . . . . . . . . . . . . . . . . . . 24-6
529D . . . . . . . . . . . . . . . . . . . . . 23-25 553 . . . . . . . . . . . . . . . . . . . . . . 24-7
529E . . . . . . . . . . . . . . . . . . . . . 23-26 555 Title . . . . . . . . . . . . . . . . . . . None
529F . . . . . . . . . . . . . . . . . . . . . 23-27 556 . . . . . . . . . . . . . . . . . . . . . . 24-8
529G . . . . . . . . . . . . . . . . . . . . . 23-28 557 . . . . . . . . . . . . . . . . . . . . . . 24-9
529H . . . . . . . . . . . . . . . . . . . . . 23-29 559 . . . . . . . . . . . . . . . . . . . . . . 24-10
529I. . . . . . . . . . . . . . . . . . . . . . 23-30 561 . . . . . . . . . . . . . . . . . . . . . . 24-11
529J . . . . . . . . . . . . . . . . . . . . . 23-31 562 . . . . . . . . . . . . . . . . . . . . . . 24-12
529K . . . . . . . . . . . . . . . . . . . . . 23-32 563 . . . . . . . . . . . . . . . . . . . . . . 24-13
529L . . . . . . . . . . . . . . . . . . . . . 23-33 564 . . . . . . . . . . . . . . . . . . . . . . 24-14
529M . . . . . . . . . . . . . . . . . . . . . 23-34 565 . . . . . . . . . . . . . . . . . . . . . . 24-15
529N . . . . . . . . . . . . . . . . . . . . . 23-35 566 Title . . . . . . . . . . . . . . . . . . . None
529O . . . . . . . . . . . . . . . . . . . . . 23-36 567 . . . . . . . . . . . . . . . . . . . . . . 24-16
529P . . . . . . . . . . . . . . . . . . . . . 23-37 568 . . . . . . . . . . . . . . . . . . . . . . 24-17
529Q . . . . . . . . . . . . . . . . . . . . . 23-38 569 . . . . . . . . . . . . . . . . . . . . . . 24-18
529R . . . . . . . . . . . . . . . . . . . . . 23-39 570 . . . . . . . . . . . . . . . . . . . . . . 24-19
529S . . . . . . . . . . . . . . . . . . . . . 23-40 571 . . . . . . . . . . . . . . . . . . . . . . 24-20
538
Copyrighted by the Secretary of the State of the State of Connecticut
REFERENCE TABLE
P.B. 1978-1997 CLJ P.B. 1998 P.B. 1978-1997 CLJ P.B. 1998
Sec. Sec. Sec. Sec.
572 . . . . . . . . . . . . . . . . . . . . . . 24-21 644 . . . . . . . . . . . . . . . . . . . . . . 37-8
573 Title . . . . . . . . . . . . . . . . . . . None 645 . . . . . . . . . . . . . . . . . . . . . . 37-9
574 . . . . . . . . . . . . . . . . . . . . . . 24-22 646 Title . . . . . . . . . . . . . . . . . . . None
575 . . . . . . . . . . . . . . . . . . . . . . 24-23 647 . . . . . . . . . . . . . . . . . . . . . . 37-10
576 Title . . . . . . . . . . . . . . . . . . . None 648 . . . . . . . . . . . . . . . . . . . . . . 37-11
577 . . . . . . . . . . . . . . . . . . . . . . 24-24 649 Title . . . . . . . . . . . . . . . . . . . None
578 . . . . . . . . . . . . . . . . . . . . . . 24-25 650 . . . . . . . . . . . . . . . . . . . . . . 37-12
579 . . . . . . . . . . . . . . . . . . . . . . 24-26 652 Title . . . . . . . . . . . . . . . . . . . None
580 . . . . . . . . . . . . . . . . . . . . . . 24-27 653 Title . . . . . . . . . . . . . . . . . . . None
581 . . . . . . . . . . . . . . . . . . . . . . 24-28 654 . . . . . . . . . . . . . . . . . . . . . . 38-1
582 . . . . . . . . . . . . . . . . . . . . . . 24-29 655 Title . . . . . . . . . . . . . . . . . . . None
583 . . . . . . . . . . . . . . . . . . . . . . 24-30 656 . . . . . . . . . . . . . . . . . . . . . . 38-2
584 . . . . . . . . . . . . . . . . . . . . . . 24-31 657 . . . . . . . . . . . . . . . . . . . . . . 38-3
585 . . . . . . . . . . . . . . . . . . . . . . 24-32 658 . . . . . . . . . . . . . . . . . . . . . . 38-4
589 Title . . . . . . . . . . . . . . . . . . . None 659 . . . . . . . . . . . . . . . . . . . . . . 38-5
590 . . . . . . . . . . . . . . . . . . . . . . 24-33 660 Title . . . . . . . . . . . . . . . . . . . None
592 Title . . . . . . . . . . . . . . . . . . . None 661 . . . . . . . . . . . . . . . . . . . . . . 38-6
593 . . . . . . . . . . . . . . . . . . . . . . 36-1 662 Title . . . . . . . . . . . . . . . . . . . None
593A . . . . . . . . . . . . . . . . . . . . . 36-2 663 . . . . . . . . . . . . . . . . . . . . . . 38-7
594 . . . . . . . . . . . . . . . . . . . . . . 36-3 664 . . . . . . . . . . . . . . . . . . . . . . 38-8
595 . . . . . . . . . . . . . . . . . . . . . . 36-4 665 . . . . . . . . . . . . . . . . . . . . . . 38-9
596 . . . . . . . . . . . . . . . . . . . . . . 36-5 666 . . . . . . . . . . . . . . . . . . . . . . 38-10
597 . . . . . . . . . . . . . . . . . . . . . . 36-6 668 . . . . . . . . . . . . . . . . . . . . . . 38-11
598 Title . . . . . . . . . . . . . . . . . . . None 669 . . . . . . . . . . . . . . . . . . . . . . 38-12
599 . . . . . . . . . . . . . . . . . . . . . . 36-7 670 . . . . . . . . . . . . . . . . . . . . . . None
600 Title . . . . . . . . . . . . . . . . . . . None 671 Title . . . . . . . . . . . . . . . . . . . None
601 . . . . . . . . . . . . . . . . . . . . . . 36-8 672 Title . . . . . . . . . . . . . . . . . . . None
602 . . . . . . . . . . . . . . . . . . . . . . 36-9 673 . . . . . . . . . . . . . . . . . . . . . . 38-13
603 . . . . . . . . . . . . . . . . . . . . . . 36-10 674 . . . . . . . . . . . . . . . . . . . . . . 38-14
604 Title . . . . . . . . . . . . . . . . . . . None 675 . . . . . . . . . . . . . . . . . . . . . . 38-15
615 Title . . . . . . . . . . . . . . . . . . . None 675A . . . . . . . . . . . . . . . . . . . . . 38-16
616 . . . . . . . . . . . . . . . . . . . . . . 36-11 676 . . . . . . . . . . . . . . . . . . . . . . 38-17
617 . . . . . . . . . . . . . . . . . . . . . . 36-12 677 . . . . . . . . . . . . . . . . . . . . . . 38-18
618 . . . . . . . . . . . . . . . . . . . . . . 36-13 680 Title . . . . . . . . . . . . . . . . . . . None
619 . . . . . . . . . . . . . . . . . . . . . . 36-14 681 Title . . . . . . . . . . . . . . . . . . . None
620 . . . . . . . . . . . . . . . . . . . . . . 36-15 682 . . . . . . . . . . . . . . . . . . . . . . 38-19
621 Title . . . . . . . . . . . . . . . . . . . None 683 . . . . . . . . . . . . . . . . . . . . . . 38-20
622 . . . . . . . . . . . . . . . . . . . . . . 36-16 684 . . . . . . . . . . . . . . . . . . . . . . 38-21
623 . . . . . . . . . . . . . . . . . . . . . . 36-17 None . . . . . . . . . 684A . . . . . . . . . 38-22
624 . . . . . . . . . . . . . . . . . . . . . . 36-18 685 . . . . . . . . . . . . . . . . . . . . . . 38-23
625 . . . . . . . . . . . . . . . . . . . . . . 36-19 686 Title . . . . . . . . . . . . . . . . . . . None
626 . . . . . . . . . . . . . . . . . . . . . . 36-20 687 . . . . . . . . . . . . . . . . . . . . . . 39-1
627 . . . . . . . . . . . . . . . . . . . . . . 36-21 688 . . . . . . . . . . . . . . . . . . . . . . 39-2
628 . . . . . . . . . . . . . . . . . . . . . . 36-22 689 . . . . . . . . . . . . . . . . . . . . . . 39-3
629 . . . . . . . . . . . . . . . . . . . . . . None 690 . . . . . . . . . . . . . . . . . . . . . . 39-4
630 . . . . . . . . . . . . . . . . . . . . . . None 691 Title . . . . . . . . . . . . . . . . . . . None
631 . . . . . . . . . . . . . . . . . . . . . . None 692 . . . . . . . . . . . . . . . . . . . . . . 39-5
632 . . . . . . . . . . . . . . . . . . . . . . None 693 . . . . . . . . . . . . . . . . . . . . . . 39-6
633 . . . . . . . . . . . . . . . . . . . . . . None 694 . . . . . . . . . . . . . . . . . . . . . . 39-7
634 Title . . . . . . . . . . . . . . . . . . . None 695 Title . . . . . . . . . . . . . . . . . . . None
635 . . . . . . . . . . . . . . . . . . . . . . 37-1 696 . . . . . . . . . . . . . . . . . . . . . . 39-8
635A . . . . . . . . . . . . . . . . . . . . . 37-2 697 . . . . . . . . . . . . . . . . . . . . . . 39-9
636 Title . . . . . . . . . . . . . . . . . . . None 698 . . . . . . . . . . . . . . . . . . . . . . 39-10
637 . . . . . . . . . . . . . . . . . . . . . . 37-3 699 Title . . . . . . . . . . . . . . . . . . . None
638 . . . . . . . . . . . . . . . . . . . . . . 37-4 700 . . . . . . . . . . . . . . . . . . . . . . 39-11
639 Title . . . . . . . . . . . . . . . . . . . None 701 . . . . . . . . . . . . . . . . . . . . . . 39-12
640 . . . . . . . . . . . . . . . . . . . . . . 37-5 702 . . . . . . . . . . . . . . . . . . . . . . 39-13
641 . . . . . . . . . . . . . . . . . . . . . . 37-6 703 Title . . . . . . . . . . . . . . . . . . . None
642 Title . . . . . . . . . . . . . . . . . . . None 704 . . . . . . . . . . . . . . . . . . . . . . 39-14
643 . . . . . . . . . . . . . . . . . . . . . . 37-7 705 . . . . . . . . . . . . . . . . . . . . . . 39-15
539
Copyrighted by the Secretary of the State of the State of Connecticut
REFERENCE TABLE
P.B. 1978-1997 CLJ P.B. 1998 P.B. 1978-1997 CLJ P.B. 1998
Sec. Sec. Sec. Sec.
706 . . . . . . . . . . . . . . . . . . . . . . 39-16 763 . . . . . . . . . . . . . . . . . . . . . . 40-21
707 . . . . . . . . . . . . . . . . . . . . . . 39-17 764 . . . . . . . . . . . . . . . . . . . . . . 40-22
708 Title . . . . . . . . . . . . . . . . . . . None 765 . . . . . . . . . . . . . . . . . . . . . . 40-23
709 . . . . . . . . . . . . . . . . . . . . . . 39-18 766 . . . . . . . . . . . . . . . . . . . . . . None
710 Title . . . . . . . . . . . . . . . . . . . None 767 . . . . . . . . . . . . . . . . . . . . . . 40-24
711 . . . . . . . . . . . . . . . . . . . . . . 39-19 768 . . . . . . . . . . . . . . . . . . . . . . 40-25
712 . . . . . . . . . . . . . . . . . . . . . . 39-20 769 . . . . . . . . . . . . . . . . . . . . . . 40-26
713 . . . . . . . . . . . . . . . . . . . . . . 39-21 769A . . . . . . . . . . . . . . . . . . . . . 40-27
714 Title . . . . . . . . . . . . . . . . . . . None 770 . . . . . . . . . . . . . . . . . . . . . . 40-28
715 . . . . . . . . . . . . . . . . . . . . . . 39-22 771 . . . . . . . . . . . . . . . . . . . . . . 40-29
716 . . . . . . . . . . . . . . . . . . . . . . 39-23 772 . . . . . . . . . . . . . . . . . . . . . . 40-30
717 . . . . . . . . . . . . . . . . . . . . . . 39-24 773 . . . . . . . . . . . . . . . . . . . . . . 40-31
718 . . . . . . . . . . . . . . . . . . . . . . 39-25 774 . . . . . . . . . . . . . . . . . . . . . . None
719 Title . . . . . . . . . . . . . . . . . . . None 775 Title . . . . . . . . . . . . . . . . . . . None
720 . . . . . . . . . . . . . . . . . . . . . . 39-26 776 . . . . . . . . . . . . . . . . . . . . . . 40-32
721 . . . . . . . . . . . . . . . . . . . . . . 39-27 777 . . . . . . . . . . . . . . . . . . . . . . 40-33
722 . . . . . . . . . . . . . . . . . . . . . . 39-28 778 . . . . . . . . . . . . . . . . . . . . . . 40-34
723 Title . . . . . . . . . . . . . . . . . . . None 779 . . . . . . . . . . . . . . . . . . . . . . 40-35
724 Title . . . . . . . . . . . . . . . . . . . None 780 . . . . . . . . . . . . . . . . . . . . . . 40-36
725 . . . . . . . . . . . . . . . . . . . . . . 39-29 781 . . . . . . . . . . . . . . . . . . . . . . 40-37
726 . . . . . . . . . . . . . . . . . . . . . . 39-30 782 . . . . . . . . . . . . . . . . . . . . . . 40-38
727 . . . . . . . . . . . . . . . . . . . . . . 39-31 783 . . . . . . . . . . . . . . . . . . . . . . 40-39
728 . . . . . . . . . . . . . . . . . . . . . . 39-32 784 Title . . . . . . . . . . . . . . . . . . . None
730 . . . . . . . . . . . . . . . . . . . . . . 39-33 785 . . . . . . . . . . . . . . . . . . . . . . 40-40
731 Title . . . . . . . . . . . . . . . . . . . None 786 . . . . . . . . . . . . . . . . . . . . . . 40-41
732 . . . . . . . . . . . . . . . . . . . . . . 40-1 787 . . . . . . . . . . . . . . . . . . . . . . 40-42
733 . . . . . . . . . . . . . . . . . . . . . . 40-2 788 . . . . . . . . . . . . . . . . . . . . . . 40-43
734 . . . . . . . . . . . . . . . . . . . . . . 40-3 789 Title . . . . . . . . . . . . . . . . . . . None
735 . . . . . . . . . . . . . . . . . . . . . . 40-4 790 Title . . . . . . . . . . . . . . . . . . . None
735A . . . . . . . . . . . . . . . . . . . . . 40-5 791 . . . . . . . . . . . . . . . . . . . . . . 40-44
736 Title . . . . . . . . . . . . . . . . . . . None 792 . . . . . . . . . . . . . . . . . . . . . . 40-45
737 . . . . . . . . . . . . . . . . . . . . . . 40-6 793 . . . . . . . . . . . . . . . . . . . . . . 40-46
737A . . . . . . . . . . . . . . . . . . . . . 40-7 794 . . . . . . . . . . . . . . . . . . . . . . 40-47
737B . . . . . . . . . . . . . . . . . . . . . 40-8 795 . . . . . . . . . . . . . . . . . . . . . . 40-48
738 . . . . . . . . . . . . . . . . . . . . . . 40-9 796 . . . . . . . . . . . . . . . . . . . . . . 40-49
739 . . . . . . . . . . . . . . . . . . . . . . 40-10 797 . . . . . . . . . . . . . . . . . . . . . . 40-50
740 Title . . . . . . . . . . . . . . . . . . . None 798 . . . . . . . . . . . . . . . . . . . . . . 40-51
741 . . . . . . . . . . . . . . . . . . . . . . 40-11 799 . . . . . . . . . . . . . . . . . . . . . . 40-52
742 . . . . . . . . . . . . . . . . . . . . . . 40-12 800 . . . . . . . . . . . . . . . . . . . . . . 40-53
743 . . . . . . . . . . . . . . . . . . . . . . 40-13 801 . . . . . . . . . . . . . . . . . . . . . . 40-54
744 . . . . . . . . . . . . . . . . . . . . . . None 802 . . . . . . . . . . . . . . . . . . . . . . 40-55
745 . . . . . . . . . . . . . . . . . . . . . . None 803 . . . . . . . . . . . . . . . . . . . . . . 40-56
746 . . . . . . . . . . . . . . . . . . . . . . 40-14 804 . . . . . . . . . . . . . . . . . . . . . . 40-57
747 . . . . . . . . . . . . . . . . . . . . . . None 805 . . . . . . . . . . . . . . . . . . . . . . 40-58
748 Title . . . . . . . . . . . . . . . . . . . None 806 Title . . . . . . . . . . . . . . . . . . . None
749 . . . . . . . . . . . . . . . . . . . . . . 40-15 807 . . . . . . . . . . . . . . . . . . . . . . 41-1
750 . . . . . . . . . . . . . . . . . . . . . . None 808 . . . . . . . . . . . . . . . . . . . . . . 41-2
751 Title . . . . . . . . . . . . . . . . . . . None 809 . . . . . . . . . . . . . . . . . . . . . . 41-3
752 . . . . . . . . . . . . . . . . . . . . . . None 810 . . . . . . . . . . . . . . . . . . . . . . 41-4
753 . . . . . . . . . . . . . . . . . . . . . . None 811 . . . . . . . . . . . . . . . . . . . . . . 41-5
754 . . . . . . . . . . . . . . . . . . . . . . 40-16 812 . . . . . . . . . . . . . . . . . . . . . . 41-6
755 . . . . . . . . . . . . . . . . . . . . . . None 813 . . . . . . . . . . . . . . . . . . . . . . 41-7
756 Title . . . . . . . . . . . . . . . . . . . None 814 Title . . . . . . . . . . . . . . . . . . . None
757 Title . . . . . . . . . . . . . . . . . . . None 815 . . . . . . . . . . . . . . . . . . . . . . 41-8
758 . . . . . . . . . . . . . . . . . . . . . . 40-17 816 . . . . . . . . . . . . . . . . . . . . . . 41-9
759 . . . . . . . . . . . . . . . . . . . . . . 40-18 817 . . . . . . . . . . . . . . . . . . . . . . 41-10
760 . . . . . . . . . . . . . . . . . . . . . . 40-19 818 . . . . . . . . . . . . . . . . . . . . . . 41-11
760A . . . . . . . . . . . . . . . . . . . . . 40-20 820 Title . . . . . . . . . . . . . . . . . . . None
761 . . . . . . . . . . . . . . . . . . . . . . None 821 . . . . . . . . . . . . . . . . . . . . . . 41-12
762 Title . . . . . . . . . . . . . . . . . . . None 822 . . . . . . . . . . . . . . . . . . . . . . 41-13
540
Copyrighted by the Secretary of the State of the State of Connecticut
REFERENCE TABLE
P.B. 1978-1997 CLJ P.B. 1998 P.B. 1978-1997 CLJ P.B. 1998
Sec. Sec. Sec. Sec.
823 . . . . . . . . . . . . . . . . . . . . . . 41-14 877 . . . . . . . . . . . . . . . . . . . . . . None
824 . . . . . . . . . . . . . . . . . . . . . . 41-15 878 Title . . . . . . . . . . . . . . . . . . . None
825 . . . . . . . . . . . . . . . . . . . . . . 41-16 879 . . . . . . . . . . . . . . . . . . . . . . 42-37
826 . . . . . . . . . . . . . . . . . . . . . . 41-17 880 . . . . . . . . . . . . . . . . . . . . . . 42-38
827 Title . . . . . . . . . . . . . . . . . . . None 881 . . . . . . . . . . . . . . . . . . . . . . 42-39
828 . . . . . . . . . . . . . . . . . . . . . . 41-18 882 Title . . . . . . . . . . . . . . . . . . . None
829 . . . . . . . . . . . . . . . . . . . . . . 41-19 883 . . . . . . . . . . . . . . . . . . . . . . 42-40
830 Title . . . . . . . . . . . . . . . . . . . None 884 . . . . . . . . . . . . . . . . . . . . . . 42-41
831 . . . . . . . . . . . . . . . . . . . . . . 41-20 885 . . . . . . . . . . . . . . . . . . . . . . 42-42
832 . . . . . . . . . . . . . . . . . . . . . . 41-21 886 Title . . . . . . . . . . . . . . . . . . . None
833 . . . . . . . . . . . . . . . . . . . . . . 41-22 887 . . . . . . . . . . . . . . . . . . . . . . 42-43
834 Title . . . . . . . . . . . . . . . . . . . None 888 . . . . . . . . . . . . . . . . . . . . . . 42-44
835 . . . . . . . . . . . . . . . . . . . . . . 41-23 889 . . . . . . . . . . . . . . . . . . . . . . 42-45
836 . . . . . . . . . . . . . . . . . . . . . . 41-24 890 Title . . . . . . . . . . . . . . . . . . . None
837 . . . . . . . . . . . . . . . . . . . . . . 41-25 891 Title . . . . . . . . . . . . . . . . . . . None
838 Title . . . . . . . . . . . . . . . . . . . None 892 . . . . . . . . . . . . . . . . . . . . . . 42-46
839 . . . . . . . . . . . . . . . . . . . . . . 42-1 893 . . . . . . . . . . . . . . . . . . . . . . 42-47
840 . . . . . . . . . . . . . . . . . . . . . . 42-2 894 . . . . . . . . . . . . . . . . . . . . . . 42-48
841 . . . . . . . . . . . . . . . . . . . . . . 42-3 895 . . . . . . . . . . . . . . . . . . . . . . 42-49
842 . . . . . . . . . . . . . . . . . . . . . . 42-4 896 Title . . . . . . . . . . . . . . . . . . . None
843 . . . . . . . . . . . . . . . . . . . . . . 42-5 897 Title . . . . . . . . . . . . . . . . . . . None
844 . . . . . . . . . . . . . . . . . . . . . . 42-6 898 . . . . . . . . . . . . . . . . . . . . . . 42-50
845 . . . . . . . . . . . . . . . . . . . . . . 42-7 899 . . . . . . . . . . . . . . . . . . . . . . 42-51
845A . . . . . . . . . . . . . . . . . . . . . 42-8 900 . . . . . . . . . . . . . . . . . . . . . . 42-52
845B . . . . . . . . . . . . . . . . . . . . . 42-9 901 Title . . . . . . . . . . . . . . . . . . . None
846 Title . . . . . . . . . . . . . . . . . . . None 902 . . . . . . . . . . . . . . . . . . . . . . 42-53
846A . . . . . . . . . . . . . . . . . . . . . 42-10 903 . . . . . . . . . . . . . . . . . . . . . . 42-54
847 . . . . . . . . . . . . . . . . . . . . . . 42-11 904 . . . . . . . . . . . . . . . . . . . . . . 42-55
848 . . . . . . . . . . . . . . . . . . . . . . 42-12 905 . . . . . . . . . . . . . . . . . . . . . . 42-56
849 . . . . . . . . . . . . . . . . . . . . . . 42-13 906 Title . . . . . . . . . . . . . . . . . . . None
850 . . . . . . . . . . . . . . . . . . . . . . 42-14 907 . . . . . . . . . . . . . . . . . . . . . . 43-1
850A . . . . . . . . . 7RR . . . . . . . . . . 5-5 908 . . . . . . . . . . . . . . . . . . . . . . 43-2
850B . . . . . . . . . . . . . . . . . . . . . 42-15 909 Title . . . . . . . . . . . . . . . . . . . None
851 Title . . . . . . . . . . . . . . . . . . . None 910 . . . . . . . . . . . . . . . . . . . . . . 43-3
852 . . . . . . . . . . . . . . . . . . . . . . 42-16 911 . . . . . . . . . . . . . . . . . . . . . . 43-4
853 . . . . . . . . . . . . . . . . . . . . . . 42-17 912 . . . . . . . . . . . . . . . . . . . . . . 43-5
854 . . . . . . . . . . . . . . . . . . . . . . 42-18 913 . . . . . . . . . . . . . . . . . . . . . . 43-6
854A . . . . . . . . . . . . . . . . . . . . . 42-19 914 Title . . . . . . . . . . . . . . . . . . . None
855 . . . . . . . . . . . . . . . . . . . . . . 42-20 915 . . . . . . . . . . . . . . . . . . . . . . 43-7
856 . . . . . . . . . . . . . . . . . . . . . . 42-21 916 . . . . . . . . . . . . . . . . . . . . . . 43-8
857 . . . . . . . . . . . . . . . . . . . . . . 42-22 917 . . . . . . . . . . . . . . . . . . . . . . 43-9
858 . . . . . . . . . . . . . . . . . . . . . . 42-23 918 Title . . . . . . . . . . . . . . . . . . . None
859 Title . . . . . . . . . . . . . . . . . . . None 919 . . . . . . . . . . . . . . . . . . . . . . 43-10
860 . . . . . . . . . . . . . . . . . . . . . . 42-24 920 Title . . . . . . . . . . . . . . . . . . . None
861 . . . . . . . . . . . . . . . . . . . . . . 42-25 921 . . . . . . . . . . . . . . . . . . . . . . 43-11
862 Title . . . . . . . . . . . . . . . . . . . None 922 . . . . . . . . . . . . . . . . . . . . . . 43-12
863 . . . . . . . . . . . . . . . . . . . . . . 42-26 923 Title . . . . . . . . . . . . . . . . . . . None
864 . . . . . . . . . . . . . . . . . . . . . . 42-27 924 . . . . . . . . . . . . . . . . . . . . . . 43-13
865 . . . . . . . . . . . . . . . . . . . . . . 42-28 925 . . . . . . . . . . . . . . . . . . . . . . 43-14
866 Title . . . . . . . . . . . . . . . . . . . None 926 . . . . . . . . . . . . . . . . . . . . . . 43-15
867 . . . . . . . . . . . . . . . . . . . . . . 42-29 927 . . . . . . . . . . . . . . . . . . . . . . 43-16
868 . . . . . . . . . . . . . . . . . . . . . . 42-30 928 Title . . . . . . . . . . . . . . . . . . . None
869 . . . . . . . . . . . . . . . . . . . . . . 42-31 929 . . . . . . . . . . . . . . . . . . . . . . 43-17
870 . . . . . . . . . . . . . . . . . . . . . . 42-32 930 Title . . . . . . . . . . . . . . . . . . . None
871 . . . . . . . . . . . . . . . . . . . . . . 42-33 931 . . . . . . . . . . . . . . . . . . . . . . 43-18
872 . . . . . . . . . . . . . . . . . . . . . . 42-34 932 . . . . . . . . . . . . . . . . . . . . . . 43-19
873 Title . . . . . . . . . . . . . . . . . . . None 932A . . . . . . . . . . . . . . . . . . . . . 43-20
874 . . . . . . . . . . . . . . . . . . . . . . 42-35 933 Title . . . . . . . . . . . . . . . . . . . None
875 . . . . . . . . . . 7QQ. . . . . . . . . . 5-4 934 . . . . . . . . . . . . . . . . . . . . . . 43-21
876 . . . . . . . . . . . . . . . . . . . . . . 42-36 935 . . . . . . . . . . . . . . . . . . . . . . 43-22
541
Copyrighted by the Secretary of the State of the State of Connecticut
REFERENCE TABLE
P.B. 1978-1997 CLJ P.B. 1998 P.B. 1978-1997 CLJ P.B. 1998
Sec. Sec. Sec. Sec.
936 Title . . . . . . . . . . . . . . . . . . . None 990 Title . . . . . . . . . . . . . . . . . . . None
937 . . . . . . . . . . . . . . . . . . . . . . 43-23 991 . . . . . . . . . . 7J . . . . . . . . . . . 1-18
938 . . . . . . . . . . . . . . . . . . . . . . 43-24 992 . . . . . . . . . . 7K . . . . . . . . . . . 1-19
939 . . . . . . . . . . . . . . . . . . . . . . 43-25 993 . . . . . . . . . . 7L . . . . . . . . . . . 1-20
940 . . . . . . . . . . . . . . . . . . . . . . 43-26 994 . . . . . . . . . . 7M . . . . . . . . . . 1-21
941 . . . . . . . . . . . . . . . . . . . . . . 43-27 995 Title . . . . . . . . . . . . . . . . . . . None
942 . . . . . . . . . . . . . . . . . . . . . . 43-28 996 . . . . . . . . . . 7N. . . . . . . . . . . 1-22
943 . . . . . . . . . . . . . . . . . . . . . . 43-29 997 . . . . . . . . . . 7O. . . . . . . . . . . 1-23
944 . . . . . . . . . . . . . . . . . . . . . . None 997A . . . . . . . . . . . . . . . . . . . . . 44-19
945 . . . . . . . . . . . . . . . . . . . . . . 43-30 998 . . . . . . . . . . . . . . . . . . . . . . 44-20
946 Title . . . . . . . . . . . . . . . . . . . None 999 Title . . . . . . . . . . . . . . . . . . . None
947 . . . . . . . . . . . . . . . . . . . . . . 43-31 1000 . . . . . . . . . . . . . . . . . . . . . 44-21
948 . . . . . . . . . . . . . . . . . . . . . . 43-32 1002 . . . . . . . . . . . . . . . . . . . . . 44-22
949 Title . . . . . . . . . . . . . . . . . . . None 1003 Title . . . . . . . . . . . . . . . . . . None
950 . . . . . . . . . . . . . . . . . . . . . . 43-33 1004 . . . . . . . . . . . . . . . . . . . . . 44-23
951 Title . . . . . . . . . . . . . . . . . . . None 1005 . . . . . . . . . . . . . . . . . . . . . 44-24
952 . . . . . . . . . . . . . . . . . . . . . . 43-34 1006 Title . . . . . . . . . . . . . . . . . . None
953 . . . . . . . . . . . . . . . . . . . . . . 43-35 1007 . . . . . . . . . . . . . . . . . . . . . 44-25
954 . . . . . . . . . . . . . . . . . . . . . . 43-36 1008 . . . . . . . . . . . . . . . . . . . . . 44-26
955 . . . . . . . . . . . . . . . . . . . . . . 43-37 1008A . . . . . . . . . . . . . . . . . . . . 44-27
956 . . . . . . . . . . . . . . . . . . . . . . 43-38 1009 Title . . . . . . . . . . . . . . . . . . None
956A Title . . . . . . . . . . . . . . . . . . None 1010 . . . . . . . . . . . . . . . . . . . . . 44-28
956B . . . . . . . . . . . . . . . . . . . . . 43-39 1011 . . . . . . . . . . . . . . . . . . . . . 44-29
956C . . . . . . . . . . . . . . . . . . . . . 43-40 1011A Title. . . . . . . . . . . . . . . . . . None
956D . . . . . . . . . . . . . . . . . . . . . 43-41 1011D . . . . . . . . . . . . . . . . . . . . 44-30
956E . . . . . . . . . . . . . . . . . . . . . 43-42 1011E . . . . . . . . 7TTT . . . . . . . . . 7-18
956F . . . . . . . . . . . . . . . . . . . . . 43-43 1012A . . . . . . . . . . . . . . . . . . . . 44-31
957 Title . . . . . . . . . . . . . . . . . . . None 1013 Title . . . . . . . . . . . . . . . . . . None
958 Title . . . . . . . . . . . . . . . . . . . None 1014 . . . . . . . . . . . . . . . . . . . . . 44-32
959 . . . . . . . . . . . . . . . . . . . . . . 44-1 1015 . . . . . . . . . . . . . . . . . . . . . 44-33
960 . . . . . . . . . . . . . . . . . . . . . . 44-2 1016 . . . . . . . . . . . . . . . . . . . . . 44-34
961 . . . . . . . . . . . . . . . . . . . . . . 44-3 1017 . . . . . . . . . . . . . . . . . . . . . 44-35
962 Title . . . . . . . . . . . . . . . . . . . None 1018 . . . . . . . . . . . . . . . . . . . . . None
963 . . . . . . . . . . . . . . . . . . . . . . 44-4 1019 . . . . . . . . . . . . . . . . . . . . . None
964 . . . . . . . . . . . . . . . . . . . . . . 44-5 1020 . . . . . . . . . . . . . . . . . . . . . None
965 . . . . . . . . . . . . . . . . . . . . . . 44-6 1020A . . . . . . . . . . . . . . . . . . . . 44-36
966 Title . . . . . . . . . . . . . . . . . . . None 1021 . . . . . . . . . . . . . . . . . . . . . 44-37
967 . . . . . . . . . . . . . . . . . . . . . . 44-7 1023.1 . . . . . . . . . . . . . . . . . . . . 26-1
968 . . . . . . . . . . . . . . . . . . . . . . 44-8 1024.1(1). . . . . . . . . . . . . . . . . . . 27-1
969 . . . . . . . . . . . . . . . . . . . . . . 44-9 1024.1(2). . . . . . . . . . . . . . . . . . . 27-2
970 . . . . . . . . . . . . . . . . . . . . . . 44-10 1025.1(1). . . . . . . . . . . . . . . . . . . 27-3
971 Title . . . . . . . . . . . . . . . . . . . None 1025.1(2). . . . . . . . . . . . . . . . . . . 27-4
972 . . . . . . . . . . . . . . . . . . . . . . 44-11 1025.1(3). . . . . . . . . . . . . . . . . . . 27-5
973 . . . . . . . . . . . . . . . . . . . . . . 44-12 1025.1(4). . . . . . . . . . . . . . . . . . . 27-5
974 Title . . . . . . . . . . . . . . . . . . . None 1025.1(5). . . . . . . . . . . . . . . . . . . 27-7
975 . . . . . . . . . . . . . . . . . . . . . . 44-13 1025.1(6). . . . . . . . . . . . . . . . . . . 27-7
976 . . . . . . . . . . . . . . . . . . . . . . 44-14 1025.1(7). . . . . . . . . . . . . . . . . . . 27-8
977 . . . . . . . . . . . . . . . . . . . . . . 44-15 1025.1(8). . . . . . . . . . . . . . . . . . . 27-6
978 . . . . . . . . . . . . . . . . . . . . . . 44-16 1025.1(9). . . . . . . . . . . . . . . . . . . 27-6
979 . . . . . . . . . . . . . . . . . . . . . . 44-17 1026.1 . . . . . . . . . . . . . . . . . . . . 28-1
980 Title . . . . . . . . . . . . . . . . . . . None 1027.1(1). . . . . . . . . . . . . . . . . . . 29-1
981 . . . . . . . . . . . . . . . . . . . . . . 44-18 1027.1(2). . . . . . . . . . . . . . . . . . . 29-1
982 . . . . . . . . . . . . . . . . . . . . . . None 1027.1(3). . . . . . . . . . . . . . . . . . . 29-2
983 . . . . . . . . . . 7WW . . . . . . . . . 5-10 1027.1(4). . . . . . . . . . . . . . . . . . . 29-2
984 Title . . . . . . . . . . . . . . . . . . . None 1030.1(1). . . . . . . . . . . . . . . . . . . 30-1
985 . . . . . . . . . . 7F . . . . . . . . . . . 1-14 1030.1(2). . . . . . . . . . . . . . . . . . . 30-2
986 . . . . . . . . . . 7G. . . . . . . . . . . 1-15 1030.1(3). . . . . . . . . . . . . . . . . . . 30-3
987 Title . . . . . . . . . . . . . . . . . . . None 1030.1(4). . . . . . . . . . . . . . . . . . . 30-4
988 . . . . . . . . . . 7H. . . . . . . . . . . 1-16 1031.1(1). . . . . . . . . . . . . . . . . . . 30-5
989 . . . . . . . . . . 7I . . . . . . . . . . . 1-17 1031.1(2). . . . . . . . . . . . . . . . . . . 30-6
542
Copyrighted by the Secretary of the State of the State of Connecticut
REFERENCE TABLE
P.B. 1978-1997 CLJ P.B. 1998 P.B. 1978-1997 CLJ P.B. 1998
Sec. Sec. Sec. Sec.
1031.1(3). . . . . . . . . . . . . . . . . . . 30-7 None . . . . . . . . . 1200 . . . . . . . . . 25-1
1031.1(4). . . . . . . . . . . . . . . . . . . 30-8 [453] . . . . . . . . . 1201 . . . . . . . . . 25-2
1032.1(1). . . . . . . . . . . . . . . . . . . 30-9 None . . . . . . . . . 1202 . . . . . . . . . 25-3
1032.1(2), (3) . . . . . . . . . . . . . . . . 30-10 None . . . . . . . . . 1203 . . . . . . . . . 25-4
1032.1(4). . . . . . . . . . . . . . . . . . . 30-11 None . . . . . . . . . 1204 . . . . . . . . . 25-5
1033.1(1). . . . . . . . . . . . . . . . . . . 31-1 None . . . . . . . . . 1205 . . . . . . . . . 25-6
1033.1(2). . . . . . . . . . . . . . . . . . . 31-1 [454] . . . . . . . . . 1207 . . . . . . . . . 25-7
1033.1(3). . . . . . . . . . . . . . . . . . . 31-1 [455] . . . . . . . . . 1208 . . . . . . . . . 25-8
1033.1(4). . . . . . . . . . . . . . . . . . . 31-2 [456] . . . . . . . . . 1209 . . . . . . . . . 25-9
1033.1(5). . . . . . . . . . . . . . . . . . . 31-3 [457] . . . . . . . . . 1210 . . . . . . . . . 25-10
1033.1(6). . . . . . . . . . . . . . . . . . . 31-4 None . . . . . . . . . 1211 . . . . . . . . . 25-11
1034.1(1). . . . . . . . . . . . . . . . . . . 31-5 None . . . . . . . . . 1212 . . . . . . . . . 25-12
1034.1(2). . . . . . . . . . . . . . . . . . . 31-6 None . . . . . . . . . 1213 . . . . . . . . . 25-13
1034.1(3). . . . . . . . . . . . . . . . . . . 31-6 None . . . . . . . . . 1214 . . . . . . . . . 25-14
1034.1(4). . . . . . . . . . . . . . . . . . . 31-7 None . . . . . . . . . 1215 . . . . . . . . . 25-15
1030.1(5). . . . . . . . . . . . . . . . . . . 31-8 None . . . . . . . . . 1217 . . . . . . . . . 25-16
1030.1(6). . . . . . . . . . . . . . . . . . . 31-9 None . . . . . . . . . 1218 . . . . . . . . . 25-17
1035.1 . . . . . . . . . . . . . . . . . . . . 31-10 None . . . . . . . . . 1219 . . . . . . . . . 25-18
1036.1 . . . . . . . . . . . . . . . . . . . . 31-11 None . . . . . . . . . 1220 . . . . . . . . . 25-19
1037.1 . . . . . . . . . . . . . . . . . . . . 31-12 None . . . . . . . . . 1221 . . . . . . . . . 25-20
1038.1 . . . . . . . . . . . . . . . . . . . . 31-13 None . . . . . . . . . 1222 . . . . . . . . . 25-21
1040.1(1). . . . . . . . . . . . . . . . . . . 32-1 None . . . . . . . . . 1223 . . . . . . . . . 25-22
1040.1(2). . . . . . . . . . . . . . . . . . . 32-1 None . . . . . . . . . 1224 . . . . . . . . . 25-23
1040.1(3). . . . . . . . . . . . . . . . . . . 32-2 None . . . . . . . . . 1225 . . . . . . . . . 25-24
1040.1(4). . . . . . . . . . . . . . . . . . . 32-2 None . . . . . . . . . 1226 . . . . . . . . . 25-25
1040.1(5). . . . . . . . . . . . . . . . . . . 32-3 [464] . . . . . . . . . 1227 . . . . . . . . . 25-26
1040.1(6). . . . . . . . . . . . . . . . . . . 32-4 None . . . . . . . . . 1228 . . . . . . . . . 25-27
1040.1(7). . . . . . . . . . . . . . . . . . . 32-5 [461] . . . . . . . . . 1229 . . . . . . . . . 25-28
1041.1(1). . . . . . . . . . . . . . . . . . . 32-6 [462] . . . . . . . . . 1230 . . . . . . . . . 25-29
1041.1(2). . . . . . . . . . . . . . . . . . . 32-7 [463] . . . . . . . . . 1231 . . . . . . . . . 25-30
1041.1(3). . . . . . . . . . . . . . . . . . . 32-8 None . . . . . . . . . 1232 . . . . . . . . . 25-31
1041.1(4). . . . . . . . . . . . . . . . . . . 32-9 None . . . . . . . . . 1233 . . . . . . . . . 25-32
1042.1(1). . . . . . . . . . . . . . . . . . . 33-1 None . . . . . . . . . 1234 . . . . . . . . . 25-33
1042.1(2). . . . . . . . . . . . . . . . . . . 33-1 None . . . . . . . . . 1235 . . . . . . . . . 25-34
1042.1(3). . . . . . . . . . . . . . . . . . . 33-2 [464A] . . . . . . . . 1236 . . . . . . . . . 25-35
1042.1(4). . . . . . . . . . . . . . . . . . . 33-3 [472] . . . . . . . . . 1237 . . . . . . . . . 25-36
1042.1(5). . . . . . . . . . . . . . . . . . . 33-4 [473] . . . . . . . . . 1238 . . . . . . . . . 25-37
1042.1(6). . . . . . . . . . . . . . . . . . . 33-3 None . . . . . . . . . 1239 . . . . . . . . . 25-38
1043.1(1). . . . . . . . . . . . . . . . . . . 33-5 None . . . . . . . . . 1240 . . . . . . . . . 25-39
1043.1(2). . . . . . . . . . . . . . . . . . . 33-5 None . . . . . . . . . 1242 . . . . . . . . . 25-40
1043.1(3). . . . . . . . . . . . . . . . . . . 33-6 None . . . . . . . . . 1243 . . . . . . . . . 25-41
1043.1(4). . . . . . . . . . . . . . . . . . . 33-7 None . . . . . . . . . 1244 . . . . . . . . . 25-42
1044.1 . . . . . . . . . . . . . . . . . . . . 33-8 None . . . . . . . . . 1245 . . . . . . . . . 25-43
1045.1(1). . . . . . . . . . . . . . . . . . . 33-9 None . . . . . . . . . 1246 . . . . . . . . . 25-44
1045.1(2). . . . . . . . . . . . . . . . . . . 33-10 None . . . . . . . . . 1247 . . . . . . . . . 25-45
1045.1(3). . . . . . . . . . . . . . . . . . . 33-11 None . . . . . . . . . 1248 . . . . . . . . . 25-46
1046.1 . . . . . . . . . . . . . . . . . . . . 33-12 None . . . . . . . . . 1249 . . . . . . . . . 25-47
1047.1 . . . . . . . . . . . . . . . . . . . . 33-13 None . . . . . . . . . 1250 . . . . . . . . . 25-48
1048.1 . . . . . . . . . . . . . . . . . . . . 34-1 None . . . . . . . . . 1251 . . . . . . . . . 25-49
1049.1 . . . . . . . . . . . . . . . . . . . . 34-2 None . . . . . . . . . 1252 . . . . . . . . . 25-50
1050.1 . . . . . . . . . . . . . . . . . . . . 34-3 None . . . . . . . . . 1253 . . . . . . . . . 25-51
1051.1 . . . . . . . . . . . . . . . . . . . . 34-4 None . . . . . . . . . 1254 . . . . . . . . . 25-52
1055.1 . . . . . . . . . . . . . . . . . . . . 35-1 [458] . . . . . . . . . 1255 . . . . . . . . . 25-53
1056.1 . . . . . . . . . . . . . . . . . . . . None None . . . . . . . . . 1256 . . . . . . . . . 25-54
1057.1 . . . . . . . . . . . . . . . . . . . . 35-2 None . . . . . . . . . 1257 . . . . . . . . . 25-55
1058.1 . . . . . . . . . . . . . . . . . . . . 35-3 None . . . . . . . . . 1258 . . . . . . . . . 25-56
1059.1 . . . . . . . . . . . . . . . . . . . . 35-4 [476] . . . . . . . . . 1259 . . . . . . . . . 25-57
1060.1 . . . . . . . . . . . . . . . . . . . . 35-5 [477] . . . . . . . . . 1260 . . . . . . . . . 25-58
1061.1 . . . . . . . . . . . . . . . . . . . . None [478] . . . . . . . . . 1261 . . . . . . . . . 25-59
1062.1 . . . . . . . . . . . . . . . . . . . . None [479] . . . . . . . . . 1262 . . . . . . . . . 25-60
543
Copyrighted by the Secretary of the State of the State of Connecticut
REFERENCE TABLE
P.B. 1978-1997 CLJ P.B. 1998 P.B. 1978-1997 CLJ P.B. 1998
Sec. Sec. Sec. Sec.
None . . . . . . . . . 1263 . . . . . . . . . 25-61 4053 . . . . . . . . . . . . . . . . . . . . . 66-6
[484] . . . . . . . . . 1264 . . . . . . . . . 25-62 4054 . . . . . . . . . . . . . . . . . . . . . 66-7
[484A] . . . . . . . . 1265 . . . . . . . . . 25-63 4055 . . . . . . . . . . . . . . . . . . . . . None
[484B] . . . . . . . . 1266 . . . . . . . . . 25-64 4056 . . . . . . . . . . . . . . . . . . . . . 66-8
[479A] . . . . . . . . 1267 . . . . . . . . . 25-65 4058 Title . . . . . . . . . . . . . . . . . . None
[479B] . . . . . . . . 1268 . . . . . . . . . 25-66 4059 . . . . . . . . . . . . . . . . . . . . . 64-1
[481] . . . . . . . . . 1269 . . . . . . . . . 25-67 4060 . . . . . . . . . . . . . . . . . . . . . 64-2
[484C] . . . . . . . . 1270 . . . . . . . . . 25-68 4061 . . . . . . . . . . . . . . . . . . . . . 60-5
[481A] . . . . . . . . 1271 . . . . . . . . . 25-69 4064 . . . . . . . . . . . . . . . . . . . . . 67-1
4000 . . . . . . . . . . . . . . . . . . . . . 61-1 4064A . . . . . . . . . . . . . . . . . . . . 67-2
4001A . . . . . . . . . . . . . . . . . . . . 60-4 4064B . . . . . . . . . . . . . . . . . . . . 67-3
4002A . . . . . . . . . . . . . . . . . . . . 61-2 4064C . . . . . . . . . . . . . . . . . . . . 67-4
4002B . . . . . . . . . . . . . . . . . . . . 61-3 4064D . . . . . . . . . . . . . . . . . . . . 67-5
4002C . . . . . . . . . . . . . . . . . . . . 61-4 4064E . . . . . . . . . . . . . . . . . . . . 67-6
4002D . . . . . . . . . . . . . . . . . . . . 61-5 4064F . . . . . . . . . . . . . . . . . . . . 67-7
4003 . . . . . . . . . . . . . . . . . . . . . 61-6 4064G . . . . . . . . . . . . . . . . . . . . 67-8
4004 . . . . . . . . . . . . . . . . . . . . . 61-7 4064H . . . . . . . . . . . . . . . . . . . . 67-9
4005 . . . . . . . . . . . . . . . . . . . . . 61-8 4064J. . . . . . . . . . . . . . . . . . . . . 67-10
4006 . . . . . . . . . . . . . . . . . . . . . 61-9 4065 through 4078 . . . . . . . . . . . . . None
4007 . . . . . . . . . . . . . . . . . . . . . 61-10 4083 Title . . . . . . . . . . . . . . . . . . None
4009 . . . . . . . . . . . . . . . . . . . . . 63-1 4084 . . . . . . . . . . . . . . . . . . . . . 68-1
4010 . . . . . . . . . . . . . . . . . . . . . 63-2 4085 . . . . . . . . . . . . . . . . . . . . . 68-2
4011 Title . . . . . . . . . . . . . . . . . . None 4086 . . . . . . . . . . . . . . . . . . . . . 68-3
4012 . . . . . . . . . . . . . . . . . . . . . 63-3 4087 . . . . . . . . . . . . . . . . . . . . . 68-4
4013 . . . . . . . . . . . . . . . . . . . . . 63-4 4090 . . . . . . . . . . . . . . . . . . . . . 68-5
4014 . . . . . . . . . . . . . . . . . . . . . 62-7 4091 . . . . . . . . . . . . . . . . . . . . . 68-6
4015 . . . . . . . . . . . . . . . . . . . . . 63-5 4092 . . . . . . . . . . . . . . . . . . . . . 68-7
4016 Title . . . . . . . . . . . . . . . . . . None 4093 . . . . . . . . . . . . . . . . . . . . . 68-8
4017 . . . . . . . . . . . . . . . . . . . . . 63-6 4094 . . . . . . . . . . . . . . . . . . . . . 68-9
4018 . . . . . . . . . . . . . . . . . . . . . 63-7 4095 . . . . . . . . . . . . . . . . . . . . . 68-10
4019 . . . . . . . . . . . . . . . . . . . . . 63-8 4096 . . . . . . . . . . . . . . . . . . . . . 68-11
4022 Title . . . . . . . . . . . . . . . . . . None 4100 . . . . . . . . . . . . . . . . . . . . . 69-1
4023 . . . . . . . . . . . . . . . . . . . . . 65-1 4101 . . . . . . . . . . . . . . . . . . . . . 69-2
4024 . . . . . . . . . . . . . . . . . . . . . 65-2 4102 . . . . . . . . . . . . . . . . . . . . . 70-2
4025 . . . . . . . . . . . . . . . . . . . . . 65-3 4103 . . . . . . . . . . . . . . . . . . . . . 63-10
4026 . . . . . . . . . . . . . . . . . . . . . None 4104 . . . . . . . . . . . . . . . . . . . . . 69-3
4027 . . . . . . . . . . . . . . . . . . . . . 65-4 4106 . . . . . . . . . . . . . . . . . . . . . 70-1
4028 . . . . . . . . . . . . . . . . . . . . . 62-1 4107 . . . . . . . . . . . . . . . . . . . . . 70-3
4029 . . . . . . . . . . . . . . . . . . . . . 62-2 4108 . . . . . . . . . . . . . . . . . . . . . 70-4
4030 . . . . . . . . . . . . . . . . . . . . . 62-6 4109 . . . . . . . . . . . . . . . . . . . . . 70-5
4031 . . . . . . . . . . . . . . . . . . . . . 62-3 4111 . . . . . . . . . . . . . . . . . . . . . 70-6
4032 . . . . . . . . . . . . . . . . . . . . . 62-4 4112 . . . . . . . . . . . . . . . . . . . . . 70-7
4033 . . . . . . . . . . . . . . . . . . . . . 62-5 4115 . . . . . . . . . . . . . . . . . . . . . 70-8
4034 . . . . . . . . . . . . . . . . . . . . . 62-8 4116A . . . . . . . . . . . . . . . . . . . . 70-9
4035 . . . . . . . . . . . . . . . . . . . . . 62-9 4116B . . . . . . . . . . . . . . . . . . . . 70-10
4036 . . . . . . . . . . . . . . . . . . . . . 62-10 4117 . . . . . . . . . . . . . . . . . . . . . 71-1
4037 . . . . . . . . . . . . . . . . . . . . . 62-11 4118 . . . . . . . . . . . . . . . . . . . . . 71-2
4038 . . . . . . . . . . . . . . . . . . . . . 63-9 4119 . . . . . . . . . . . . . . . . . . . . . 71-3
4040 . . . . . . . . . . . . . . . . . . . . . 66-1 4120 . . . . . . . . . . . . . . . . . . . . . 71-4
4041 . . . . . . . . . . . . . . . . . . . . . 66-2 4121 . . . . . . . . . . . . . . . . . . . . . 71-5
4042 . . . . . . . . . . . . . . . . . . . . . 66-3 4123 . . . . . . . . . . . . . . . . . . . . . 71-6
4043 . . . . . . . . . . . . . . . . . . . . . 66-4 4126 . . . . . . . . . . . . . . . . . . . . . 84-1
4045 Title . . . . . . . . . . . . . . . . . . None 4127 . . . . . . . . . . . . . . . . . . . . . 84-2
4046 . . . . . . . . . . . . . . . . . . . . . 61-11 4128 . . . . . . . . . . . . . . . . . . . . . 84-3
4047 . . . . . . . . . . . . . . . . . . . . . 61-12 4129 . . . . . . . . . . . . . . . . . . . . . 84-4
4048 . . . . . . . . . . . . . . . . . . . . . 61-13 4130 . . . . . . . . . . . . . . . . . . . . . 84-5
4049 . . . . . . . . . . . . . . . . . . . . . 61-14 4131 . . . . . . . . . . . . . . . . . . . . . 84-6
4050 . . . . . . . . . . . . . . . . . . . . . 71-7 4132 . . . . . . . . . . . . . . . . . . . . . 84-7
4051 . . . . . . . . . . . . . . . . . . . . . 66-5 4135 . . . . . . . . . . . . . . . . . . . . . 65-2
4052 Title . . . . . . . . . . . . . . . . . . None 4136 . . . . . . . . . . . . . . . . . . . . . 84-8
544
Copyrighted by the Secretary of the State of the State of Connecticut
REFERENCE TABLE
P.B. 1978-1997 CLJ P.B. 1998 P.B. 1978-1997 CLJ P.B. 1998
Sec. Sec. Sec. Sec.
4138 . . . . . . . . . . . . . . . . . . . . . 84-9 4165.4 . . . . . . . . . . . . . . . . . . . . 76-4
4139 . . . . . . . . . . . . . . . . . . . . . 84-1 4165.5 . . . . . . . . . . . . . . . . . . . . 76-5
4140 . . . . . . . . . . . . . . . . . . . . . 84-11 4165.6 . . . . . . . . . . . . . . . . . . . . 76-6
4141 . . . . . . . . . . . . . . . . . . . . . 84-12 4166 . . . . . . . . . . . . . . . . . . . . . 77-7
4142 . . . . . . . . . . . . . . . . . . . . . 81-1 4166A . . . . . . . . . . . . . . . . . . . . 78-1
4142.1 . . . . . . . . . . . . . . . . . . . . 81-2 4166B . . . . . . . . . . . . . . . . . . . . 79-1
4142.2 . . . . . . . . . . . . . . . . . . . . 81-3 4166B.1 . . . . . . . . . . . . . . . . . . . 79-2
4142.3 . . . . . . . . . . . . . . . . . . . . 81-4 4166B.2 . . . . . . . . . . . . . . . . . . . 79-3
4142.4 . . . . . . . . . . . . . . . . . . . . 81-5 4166B.3 . . . . . . . . . . . . . . . . . . . 79-4
4143 . . . . . . . . . . . . . . . . . . . . . 72-1 4166C . . . . . . . . . . . . . . . . . . . . 80-1
4143A . . . . . . . . . . . . . . . . . . . . 72-2 4168 . . . . . . . . . . . . . . . . . . . . . 82-1
4144 . . . . . . . . . . . . . . . . . . . . . 72-3 4169 . . . . . . . . . . . . . . . . . . . . . 82-2
4145 . . . . . . . . . . . . . . . . . . . . . 72-4 4170 . . . . . . . . . . . . . . . . . . . . . 82-3
4147 . . . . . . . . . . . . . . . . . . . . . 73-1 4171 . . . . . . . . . . . . . . . . . . . . . 82-4
4150 . . . . . . . . . . . . . . . . . . . . . 74-1 4172 . . . . . . . . . . . . . . . . . . . . . 82-5
4151 . . . . . . . . . . . . . . . . . . . . . 74-2 4173 . . . . . . . . . . . . . . . . . . . . . 82-6
4152 . . . . . . . . . . . . . . . . . . . . . 74-3 4174 . . . . . . . . . . . . . . . . . . . . . 82-7
4153 . . . . . . . . . . . . . . . . . . . . . 74-4 4177 . . . . . . . . . . . . . . . . . . . . . 83-1
4154 . . . . . . . . . . . . . . . . . . . . . 74-5 4178 . . . . . . . . . . . . . . . . . . . . . 83-2
4155 . . . . . . . . . . . . . . . . . . . . . 74-6 4179 . . . . . . . . . . . . . . . . . . . . . 83-3
4156 . . . . . . . . . . . . . . . . . . . . . 74-7 4180 . . . . . . . . . . . . . . . . . . . . . 83-4
4157 . . . . . . . . . . . . . . . . . . . . . 74-8 4182 . . . . . . . . . . . . . . . . . . . . . 60-1
4159 . . . . . . . . . . . . . . . . . . . . . 75-1 4183 . . . . . . . . . . . . . . . . . . . . . 60-2
4160 . . . . . . . . . . . . . . . . . . . . . 75-2 4184A . . . . . . . . . . . . . . . . . . . . 85-1
4161 . . . . . . . . . . . . . . . . . . . . . 75-3 4184B . . . . . . . . . . . . . . . . . . . . 85-2
4162 . . . . . . . . . . . . . . . . . . . . . 75-4 4184C . . . . . . . . . . . . . . . . . . . . 85-3
4163 . . . . . . . . . . . . . . . . . . . . . 75-5 4185 . . . . . . . . . . . . . . . . . . . . . 60-5
4164 . . . . . . . . . . . . . . . . . . . . . 75-6 4186 . . . . . . . . . . . . . . . . . . . . . 60-6
4165 . . . . . . . . . . . . . . . . . . . . . 76-1 4187 . . . . . . . . . . . . . . . . . . . . . 60-3
4165.1 . . . . . . . . . . . . . . . . . . . . 76-2 4188 . . . . . . . . . . . . . . . . . . . . . 86-1
4165.2 . . . . . . . . . . . . . . . . . . . . 76-3 4189 . . . . . . . . . . . . . . . . . . . . . 86-2
545
Copyrighted by the Secretary of the State of the State of Connecticut
REFERENCE TABLE
REFERENCE TABLE
Rules in the Practice Book of 1998 from Rules in the Practice Book of 1978 as amended.* The numbers in the
center column are the temporary rule numbers assigned in the Connecticut Law Journal (CLJ) of July 29, 1997.
P.B.1998 CLJ P.B. 1978-1997 P.B.1998 CLJ P.B. 1978-1997
Sec. Sec. Sec. Sec. Sec. Sec.
1-1. . . . . . . . . . . . . . . . . . .1 2-31 . . . . . . . . . . . . . . . . . .27E
1-2. . . . . . . . .1A . . . . . . . . .None 2-32 . . . . . . . . . . . . . . . . . .27F
1-3. . . . . . . . . . . . . . . . . . .2 2-33 . . . . . . . . . . . . . . . . . .27G
1-4. . . . . . . . . . . . . . . . . . .3 2-34 . . . . . . . . . . . . . . . . . .27H
1-5. . . . . . . . . . . . . . . . . . .4 2-35 . . . . . . . . . . . . . . . . . .27J
1-6. . . . . . . . . . . . . . . . . . .5 2-36 . . . . . . . . . . . . . . . . . .27M
1-7. . . . . . . . . . . . . . . . . . .5A 2-37 . . . . . . . . . . . . . . . . . .27M.1
1-8. . . . . . . . . . . . . . . . . . .6 2-38 . . . . . . . . . . . . . . . . . .27N
1-9. . . . . . . . . . . . . . . . . . .7 2-39 . . . . . . . . . . . . . . . . . .28A
1-10 . . . . . . . . . . . . . . . . . .7B 2-40 . . . . . . . . . . . . . . . . . .28B
1-11 . . . . . . . . . . . . . . . . . .7C 2-41 . . . . . . . . . . . . . . . . . .28B.1
1-12 . . . . . . . .7D . . . . . . . . .299 2-42 . . . . . . . . . . . . . . . . . .28C
1-13 . . . . . . . .7F . . . . . . . . .300 2-43 . . . . . . . . . . . . . . . . . .28D
1-14 . . . . . . . .7F . . . . . . . . .985 2-44 . . . . . . . . . . . . . . . . . .29
1-15 . . . . . . . .7G . . . . . . . . .986 2-45 . . . . . . . . . . . . . . . . . .30
1-16 . . . . . . . .7H . . . . . . . . .988 2-46 . . . . . . . . . . . . . . . . . .30A
1-17 . . . . . . . .7I . . . . . . . . .989 2-47 . . . . . . . . . . . . . . . . . .31
1-18 . . . . . . . .7J . . . . . . . . .991 2-48 . . . . . . . . . . . . . . . . . .31A
1-19 . . . . . . . .7K . . . . . . . . .992 2-49 . . . . . . . . . . . . . . . . . .31B
1-20 . . . . . . . .7L . . . . . . . . .993 2-50 . . . . . . . . . . . . . . . . . .32
1-21 . . . . . . . .7M. . . . . . . . .994 2-51 . . . . . . . . . . . . . . . . . .34
1-22 . . . . . . . .7N . . . . . . . . .996 2-52 . . . . . . . . . . . . . . . . . .35
1-23 . . . . . . . .7O . . . . . . . . .997 2-53 . . . . . . . . . . . . . . . . . .36
2-1. . . . . . . . . . . . . . . . . . .8 2-54 . . . . . . . . . . . . . . . . . .36A
2-2. . . . . . . . . . . . . . . . . . .9 2-55 . . . . . . . . . . . . . . . . . .37
2-3. . . . . . . . . . . . . . . . . . .11 2-56 . . . . . . . . . . . . . . . . . .39
2-4. . . . . . . . . . . . . . . . . . .12 2-57 . . . . . . . . . . . . . . . . . .40
2-5. . . . . . . . . . . . . . . . . . .13 2-58 . . . . . . . . . . . . . . . . . .41
2-6. . . . . . . . . . . . . . . . . . .14 2-59 . . . . . . . . . . . . . . . . . .42
2-7. . . . . . . . . . . . . . . . . . .15A 2-60 . . . . . . . . . . . . . . . . . .44
2-8. . . . . . . . . . . . . . . . . . .16 2-61 . . . . . . . . . . . . . . . . . .45
2-9. . . . . . . . . . . . . . . . . . .17 2-62 . . . . . . . . . . . . . . . . . .46
2-10 . . . . . . . . . . . . . . . . . .18 2-63 . . . . . . . . . . . . . . . . . .46A
2-11 . . . . . . . . . . . . . . . . . .18A 2-64 . . . . . . . . . . . . . . . . . .46B
2-12 . . . . . . . . . . . . . . . . . .19 2-65 . . . . . . . . . . . . . . . . . .46C
2-13 . . . . . . . . . . . . . . . . . .21 2-66 . . . . . . . . . . . . . . . . . .47
2-14 . . . . . . . . . . . . . . . . . .22 2-67 . . . . . . . . . . . . . . . . . .48
2-15 . . . . . . . . . . . . . . . . . .23 3-1. . . . . . . . .7P . . . . . . . . .64(a)
2-16 . . . . . . . . . . . . . . . . . .24 3-2. . . . . . . . .7Q . . . . . . . . .64(b)
2-17 . . . . . . . . . . . . . . . . . .24B 3-3. . . . . . . . .7R . . . . . . . . .64(b)
2-18 . . . . . . . . . . . . . . . . . .24C 3-4. . . . . . . . .7S . . . . . . . . .64(c)
2-19 . . . . . . . . . . . . . . . . . .24D 3-5. . . . . . . . .7T . . . . . . . . .None
2-20 . . . . . . . . . . . . . . . . . .24E 3-6. . . . . . . . .7U . . . . . . . . .None
2-21 . . . . . . . . . . . . . . . . . .24F 3-7. . . . . . . . .7V . . . . . . . . .None
2-22 . . . . . . . . . . . . . . . . . .25 3-8. . . . . . . . .7W. . . . . . . . .65
2-23 . . . . . . . . . . . . . . . . . .26 3-9. . . . . . . . .7X . . . . . . . . .77
2-24 . . . . . . . . . . . . . . . . . .26A 3-10 . . . . . . . .7Y . . . . . . . . .77(d)
2-25 . . . . . . . . . . . . . . . . . .26B 3-11 . . . . . . . .7Z . . . . . . . . .76
2-26 . . . . . . . . . . . . . . . . . .27 3-12 . . . . . . . .7AA . . . . . . . .78
2-27 . . . . . . . . . . . . . . . . . .27A 3-13 . . . . . . . .7BB . . . . . . . .79
2-28 . . . . . . . . . . . . . . . . . .27A.1 3-14 . . . . . . . .7CC . . . . . . . .68
2-29 . . . . . . . . . . . . . . . . . .27B 3-15 . . . . . . . .7DD . . . . . . . .69
2-30 . . . . . . . . . . . . . . . . . .27D 3-16 . . . . . . . .7EE . . . . . . . .70
* Rules repealed prior to 1995 are not represented in this table.
546
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REFERENCE TABLE
P.B.1998 CLJ P.B. 1978-1997 P.B.1998 CLJ P.B. 1978-1997
Sec. Sec. Sec. Sec. Sec. Sec.
3-17 . . . . . . . .7FF . . . . . . . .71 9-2. . . . . . . . . . . . . . . . . . .81
3-18 . . . . . . . .7GG . . . . . . . .72 9-3. . . . . . . . . . . . . . . . . . .83
3-19 . . . . . . . .7HH . . . . . . . .73 9-4. . . . . . . . . . . . . . . . . . .84
3-20 . . . . . . . .7II . . . . . . . . .74 9-5. . . . . . . . . . . . . . . . . . .84A
3-21 . . . . . . . .7JJ . . . . . . . .75 9-6. . . . . . . . . . . . . . . . . . .85
4-1. . . . . . . . .7KK . . . . . . . .118 9-7. . . . . . . . . . . . . . . . . . .87
4-2. . . . . . . . .7LL . . . . . . . .119 9-8. . . . . . . . . . . . . . . . . . .88
4-3. . . . . . . . .7MM. . . . . . . .127 9-9. . . . . . . . . . . . . . . . . . .89
5-1. . . . . . . . .7NN . . . . . . . .285A 9-10 . . . . . . . . . . . . . . . . . .90
5-2. . . . . . . . . . . . . . . . . . .None 9-11 . . . . . . . . . . . . . . . . . .91
5-3. . . . . . . . .7PP . . . . . . . .286 9-12 . . . . . . . . . . . . . . . . . .92
5-4. . . . . . . . .7QQ . . . . . . . .287 9-13 . . . . . . . . . . . . . . . . . .93
5-4. . . . . . . . .7QQ . . . . . . . .875 9-14 . . . . . . . . . . . . . . . . . .94
5-5. . . . . . . . .7RR . . . . . . . .288 9-15 . . . . . . . . . . . . . . . . . .95
5-5. . . . . . . . .7RR . . . . . . . .850A 9-16 . . . . . . . . . . . . . . . . . .96
5-6. . . . . . . . .7SS . . . . . . . .289 9-17 . . . . . . . . . . . . . . . . . .97
5-7. . . . . . . . .7TT . . . . . . . .291 9-18 . . . . . . . . . . . . . . . . . .99
5-8. . . . . . . . .7UU . . . . . . . .293 9-19 . . . . . . . . . . . . . . . . . .100
5-9. . . . . . . . .7VV . . . . . . . .294 9-20 . . . . . . . . . . . . . . . . . .101
5-10 . . . . . . . .7WW . . . . . . .983 9-21 . . . . . . . . . . . . . . . . . .102
6-1. . . . . . . . .7XX . . . . . . . .334A 9-22 . . . . . . . . . . . . . . . . . .103
6-2. . . . . . . . .7YY . . . . . . . .336 9-23 . . . . . . . . . . . . . . . . . .104
6-3. . . . . . . . .7ZZ . . . . . . . .337 9-24 . . . . . . . . . . . . . . . . . .105
6-4. . . . . . . . .7AAA . . . . . . .338 9-25 . . . . . . . . . . . . . . . . . .106
6-5. . . . . . . . .7BBB . . . . . . .339 10-1 . . . . . . . . . . . . . . . . . .108
7-1. . . . . . . . .7CCC . . . . . . .250 10-2 . . . . . . . . . . . . . . . . . .109
7-2. . . . . . . . .7DDD . . . . . . .395 10-3 . . . . . . . . . . . . . . . . . .109A
7-3. . . . . . . . .7EEE . . . . . . .396 10-4 . . . . . . . . . . . . . . . . . .110
7-4. . . . . . . . .7FFF . . . . . . .397 10-5 . . . . . . . . . . . . . . . . . .111
7-5. . . . . . . . .7GGG . . . . . . .398 10-6 . . . . . . . . . . . . . . . . . .112
7-6. . . . . . . . .7HHH . . . . . . .399 10-7 . . . . . . . . . . . . . . . . . .113
7-7. . . . . . . . .7III. . . . . . . . .400 10-8 . . . . . . . . . . . . . . . . . .114
7-8. . . . . . . . .7JJJ . . . . . . . .402 10-9 . . . . . . . . . . . . . . . . . .115
7-9. . . . . . . . .7KKK . . . . . . .403 10-10 . . . . . . . . . . . . . . . . .116
7-10 . . . . . . . .7LLL. . . . . . . .403B 10-11 . . . . . . . . . . . . . . . . .117
7-11 . . . . . . . .7MMM . . . . . .403C 10-12 . . . . . . . . . . . . . . . . .121
7-12 . . . . . . . .7NNN . . . . . . .403D 10-13 . . . . . . . . . . . . . . . . .122
7-13 . . . . . . . .7OOO . . . . . . .403E 10-14 . . . . . . . . . . . . . . . . .123
7-14 . . . . . . . .7PPP . . . . . . .403F 10-15 . . . . . . . . . . . . . . . . .124
7-15 . . . . . . . .7QQQ . . . . . . .403G 10-16 . . . . . . . . . . . . . . . . .125
7-16 . . . . . . . .7RRR . . . . . . .403H 10-17 . . . . . . . . . . . . . . . . .126
7-17 . . . . . . . .7SSS . . . . . . .405 10-18 . . . . . . . . . . . . . . . . .128
7-18 . . . . . . . .7TTT . . . . . . .397B 10-19 . . . . . . . . . . . . . . . . .129
7-18 . . . . . . . .7TTT . . . . . . .1011E 10-20 . . . . . . . . . . . . . . . . .131
7-19 . . . . . . . . . . . . . . . . . .395A 10-21 . . . . . . . . . . . . . . . . .133
7-20 . . . . . . . . . . . . . . . . . .397A 10-22 . . . . . . . . . . . . . . . . .134
7-21 . . . . . . . . . . . . . . . . . .401 10-23 . . . . . . . . . . . . . . . . .135
8-1. . . . . . . . . . . . . . . . . . .49 10-24 . . . . . . . . . . . . . . . . .136
8-2. . . . . . . . . . . . . . . . . . .50 10-25 . . . . . . . . . . . . . . . . .137
8-3. . . . . . . . . . . . . . . . . . .51 10-26 . . . . . . . . . . . . . . . . .138
8-4. . . . . . . . . . . . . . . . . . .52 10-27 . . . . . . . . . . . . . . . . .139
8-5. . . . . . . . . . . . . . . . . . .53 10-28 . . . . . . . . . . . . . . . . .140
8-6. . . . . . . . . . . . . . . . . . .54 10-29 . . . . . . . . . . . . . . . . .141
8-7. . . . . . . . . . . . . . . . . . .55 10-30 . . . . . . . . . . . . . . . . .142
8-8. . . . . . . . . . . . . . . . . . .56 10-31 . . . . . . . . . . . . . . . . .143
8-9. . . . . . . . . . . . . . . . . . .57 10-32 . . . . . . . . . . . . . . . . .144
8-10 . . . . . . . . . . . . . . . . . .58 10-33 . . . . . . . . . . . . . . . . .145
8-11 . . . . . . . . . . . . . . . . . .59 10-34 . . . . . . . . . . . . . . . . .146
8-12 . . . . . . . . . . . . . . . . . .60 10-35 . . . . . . . . . . . . . . . . .147
9-1. . . . . . . . . . . . . . . . . . .80 10-36 . . . . . . . . . . . . . . . . .148
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P.B.1998 CLJ P.B. 1978-1997 P.B.1998 CLJ P.B. 1978-1997
Sec. Sec. Sec. Sec. Sec. Sec.
10-37 . . . . . . . . . . . . . . . . .149 11-18 . . . . . . . . . . . . . . . . .211
10-38 . . . . . . . . . . . . . . . . .150 11-19 . . . . . . . . . . . . . . . . .211A
10-39 . . . . . . . . . . . . . . . . .152 11-20 . . . . . . . . . . . . . . . . .211B
10-40 . . . . . . . . . . . . . . . . .153 12-1 . . . . . . . . . . . . . . . . . .212
10-41 . . . . . . . . . . . . . . . . .154 12-2 . . . . . . . . . . . . . . . . . .213
10-42 . . . . . . . . . . . . . . . . .155 12-3 . . . . . . . . . . . . . . . . . .215
10-43 . . . . . . . . . . . . . . . . .156 13-1 . . . . . . . . . . . . . . . . . .216
10-44 . . . . . . . . . . . . . . . . .157 13-2 . . . . . . . . . . . . . . . . . .218
10-45 . . . . . . . . . . . . . . . . .158 13-3 . . . . . . . . . . . . . . . . . .219
10-46 . . . . . . . . . . . . . . . . .160 13-4 . . . . . . . . . . . . . . . . . .220
10-47 . . . . . . . . . . . . . . . . .161 13-5 . . . . . . . . . . . . . . . . . .221
10-48 . . . . . . . . . . . . . . . . .162 13-6 . . . . . . . . . . . . . . . . . .223
10-49 . . . . . . . . . . . . . . . . .163 13-7 . . . . . . . . . . . . . . . . . .224
10-50 . . . . . . . . . . . . . . . . .164 13-8 . . . . . . . . . . . . . . . . . .225
10-51 . . . . . . . . . . . . . . . . .165 13-9 . . . . . . . . . . . . . . . . . .227
10-52 . . . . . . . . . . . . . . . . .166 13-10 . . . . . . . . . . . . . . . . .228
10-53 . . . . . . . . . . . . . . . . .167 13-11 . . . . . . . . . . . . . . . . .229
10-54 . . . . . . . . . . . . . . . . .168 13-12 . . . . . . . . . . . . . . . . .230
10-55 . . . . . . . . . . . . . . . . .169 13-13 . . . . . . . . . . . . . . . . .230A
10-56 . . . . . . . . . . . . . . . . .171 13-14 . . . . . . . . . . . . . . . . .231
10-57 . . . . . . . . . . . . . . . . .172 13-15 . . . . . . . . . . . . . . . . .232
10-58 . . . . . . . . . . . . . . . . .173 13-16 . . . . . . . . . . . . . . . . .233
10-59 . . . . . . . . . . . . . . . . .175 13-17 . . . . . . . . . . . . . . . . .234
10-60 . . . . . . . . . . . . . . . . .176 13-18 . . . . . . . . . . . . . . . . .235
10-61 . . . . . . . . . . . . . . . . .177 13-19 . . . . . . . . . . . . . . . . .236
10-62 . . . . . . . . . . . . . . . . .178 13-20 . . . . . . . . . . . . . . . . .236A
10-63 . . . . . . . . . . . . . . . . .179 13-21 . . . . . . . . . . . . . . . . .236B
10-64 . . . . . . . . . . . . . . . . .180 13-22 . . . . . . . . . . . . . . . . .238
10-65 . . . . . . . . . . . . . . . . .181 13-23 . . . . . . . . . . . . . . . . .239
10-66 . . . . . . . . . . . . . . . . .182 13-24 . . . . . . . . . . . . . . . . .240
10-67 . . . . . . . . . . . . . . . . .183 13-25 . . . . . . . . . . . . . . . . .241
10-68 . . . . . . . . . . . . . . . . .185 13-26 . . . . . . . . . . . . . . . . .243
10-69 . . . . . . . . . . . . . . . . .186 13-27 . . . . . . . . . . . . . . . . .244
10-70 . . . . . . . . . . . . . . . . .187 13-28 . . . . . . . . . . . . . . . . .245
10-71 . . . . . . . . . . . . . . . . .189 13-29 . . . . . . . . . . . . . . . . .246
10-72 . . . . . . . . . . . . . . . . .190 13-30 . . . . . . . . . . . . . . . . .247
10-73 . . . . . . . . . . . . . . . . .191 13-31 . . . . . . . . . . . . . . . . .248
10-74 . . . . . . . . . . . . . . . . .192 13-32 . . . . . . . . . . . . . . . . .249
10-75 . . . . . . . . . . . . . . . . .193 14-1 . . . . . . . . . . . . . . . . . .250A
10-76 . . . . . . . . . . . . . . . . .194 14-2 . . . . . . . . . . . . . . . . . .250B
10-77 . . . . . . . . . . . . . . . . .195 14-3 . . . . . . . . . . . . . . . . . .251
10-78 . . . . . . . . . . . . . . . . .195A 14-4 . . . . . . . . . . . . . . . . . .254
10-79 . . . . . . . . . . . . . . . . .195B 14-5 . . . . . . . . . . . . . . . . . .255
11-1 . . . . . . . . . . . . . . . . . .196 14-6 . . . . . . . . . . . . . . . . . .256
11-2 . . . . . . . . . . . . . . . . . .197 14-7 . . . . . . . . . . . . . . . . . .257
11-3 . . . . . . . . . . . . . . . . . .198 14-8 . . . . . . . . . . . . . . . . . .258
11-4 . . . . . . . . . . . . . . . . . .199 14-9 . . . . . . . . . . . . . . . . . .259
11-5 . . . . . . . . . . . . . . . . . .200 14-10 . . . . . . . . . . . . . . . . .260
11-6 . . . . . . . . . . . . . . . . . .201 14-11 . . . . . . . . . . . . . . . . .263
11-7 . . . . . . . . . . . . . . . . . .202 14-12 . . . . . . . . . . . . . . . . .264
11-8 . . . . . . . . . . . . . . . . . .202A 14-13 . . . . . . . . . . . . . . . . .265
11-9 . . . . . . . . . . . . . . . . . .203 14-14 . . . . . . . . . . . . . . . . .268
11-10 . . . . . . . . . . . . . . . . .204 14-15 . . . . . . . . . . . . . . . . .270
11-11 . . . . . . . . . . . . . . . . .204A 14-16 . . . . . . . . . . . . . . . . .271
11-12 . . . . . . . . . . . . . . . . .204B 14-17 . . . . . . . . . . . . . . . . .273
11-13 . . . . . . . . . . . . . . . . .206 14-18 . . . . . . . . . . . . . . . . .274
11-14 . . . . . . . . . . . . . . . . .207 14-19 . . . . . . . . . . . . . . . . .274A
11-15 . . . . . . . . . . . . . . . . .208 14-20 . . . . . . . . . . . . . . . . .276
11-16 . . . . . . . . . . . . . . . . .209 14-21 . . . . . . . . . . . . . . . . .277
11-17 . . . . . . . . . . . . . . . . .210 14-22 . . . . . . . . . . . . . . . . .278
548
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P.B.1998 CLJ P.B. 1978-1997 P.B.1998 CLJ P.B. 1978-1997
Sec. Sec. Sec. Sec. Sec. Sec.
14-23 . . . . . . . . . . . . . . . . .279 17-11 . . . . . . . . . . . . . . . . .342
14-24 . . . . . . . . . . . . . . . . .280 17-12 . . . . . . . . . . . . . . . . .343
14-25 . . . . . . . . . . . . . . . . .281 17-13 . . . . . . . . . . . . . . . . .344
15-1 . . . . . . . . . . . . . . . . . .283 17-14 . . . . . . . . . . . . . . . . .346
15-2 . . . . . . . . . . . . . . . . . .284 17-15 . . . . . . . . . . . . . . . . .347
15-3 . . . . . . . . . . . . . . . . . .284A 17-16 . . . . . . . . . . . . . . . . .348
15-4 . . . . . . . . . . . . . . . . . .290 17-17 . . . . . . . . . . . . . . . . .349
15-5 . . . . . . . . . . . . . . . . . .295 17-18 . . . . . . . . . . . . . . . . .350
15-6 . . . . . . . . . . . . . . . . . .296 17-19 . . . . . . . . . . . . . . . . .351
15-7 . . . . . . . . . . . . . . . . . .297 17-20 . . . . . . . . . . . . . . . . .352
15-8 . . . . . . . . . . . . . . . . . .302 17-21 . . . . . . . . . . . . . . . . .353
16-1 . . . . . . . . . . . . . . . . . .303A 17-22 . . . . . . . . . . . . . . . . .354
16-2 . . . . . . . .303B . . . . . . .None 17-23 . . . . . . . . . . . . . . . . .356
16-3 . . . . . . . .303C . . . . . . .None 17-24 . . . . . . . . . . . . . . . . .357
16-4(a), (b) . . . . . . . . . . . . . .304 17-25 . . . . . . . . . . . . . . . . .358
16-4(c) . . . . . . . . . . . . . . . .303 17-26 . . . . . . . . . . . . . . . . .359
16-5 . . . . . . . .304A . . . . . . .None 17-27 . . . . . . . . . . . . . . . . .360
16-6 . . . . . . . . . . . . . . . . . .305 17-28 . . . . . . . . . . . . . . . . .361
16-7 . . . . . . . . . . . . . . . . . .305A 17-29 . . . . . . . . . . . . . . . . .362
16-8 . . . . . . . .305B . . . . . . .None 17-30 . . . . . . . . . . . . . . . . .362A
16-9 . . . . . . . . . . . . . . . . . .306 17-31 . . . . . . . . . . . . . . . . .363
16-10 . . . . . . . . . . . . . . . . .307 17-32 . . . . . . . . . . . . . . . . .363A
16-11 . . . . . . . . . . . . . . . . .308 17-33 . . . . . . . . . . . . . . . . .364
16-12 . . . . . . .308A . . . . . . .None 17-34 . . . . . . . . . . . . . . . . .367
16-13 . . . . . . . . . . . . . . . . .309 17-35 . . . . . . . . . . . . . . . . .368
16-14 . . . . . . . . . . . . . . . . .309A 17-36 . . . . . . . . . . . . . . . . .369
16-15 . . . . . . . . . . . . . . . . .309B 17-37 . . . . . . . . . . . . . . . . .371
16-16 . . . . . . .309C . . . . . . .None 17-38 . . . . . . . . . . . . . . . . .372
16-17 . . . . . . . . . . . . . . . . .311 17-39 . . . . . . . . . . . . . . . . .373
16-18 . . . . . . . . . . . . . . . . .312 17-40 . . . . . . . . . . . . . . . . .374
16-19 . . . . . . . . . . . . . . . . .313 17-41 . . . . . . . . . . . . . . . . .375
16-20 . . . . . . . . . . . . . . . . .315 17-42 . . . . . . . . . . . . . . . . .376
16-21 . . . . . . . . . . . . . . . . .316 17-43 . . . . . . . . . . . . . . . . .377
16-22 . . . . . . . . . . . . . . . . .317 17-44 . . . . . . . . . . . . . . . . .379
16-23 . . . . . . . . . . . . . . . . .318 17-45 . . . . . . . . . . . . . . . . .380
16-24 . . . . . . . . . . . . . . . . .318A 17-46 . . . . . . . . . . . . . . . . .381
16-25 . . . . . . .318B . . . . . . .None 17-47 . . . . . . . . . . . . . . . . .382
16-26 . . . . . . .318C . . . . . . .None 17-48 . . . . . . . . . . . . . . . . .383
16-27 . . . . . . .318D . . . . . . .None 17-49 . . . . . . . . . . . . . . . . .384
16-28 . . . . . . .318E . . . . . . .None 17-50 . . . . . . . . . . . . . . . . .385
16-29 . . . . . . .318F . . . . . . .None 17-51 . . . . . . . . . . . . . . . . .386
16-30 . . . . . . .318G . . . . . . .None 17-52 . . . . . . . . . . . . . . . . .387
16-31 . . . . . . .318H . . . . . . .None 17-53 . . . . . . . . . . . . . . . . .387A
16-32 . . . . . . .318I . . . . . . . .None 17-54 . . . . . . . . . . . . . . . . .389
16-33 . . . . . . .318J. . . . . . . .None 17-55 . . . . . . . . . . . . . . . . .390
16-34 . . . . . . .318K . . . . . . .None 17-56 . . . . . . . . . . . . . . . . .391
16-35 . . . . . . . . . . . . . . . . .320 17-57 . . . . . . . . . . . . . . . . .392
16-36 . . . . . . . . . . . . . . . . .320A 17-58 . . . . . . . . . . . . . . . . .393
16-37 . . . . . . . . . . . . . . . . .321 17-59 . . . . . . . . . . . . . . . . .394
16-38 . . . . . . . . . . . . . . . . .322 18-1 . . . . . . . . . . . . . . . . . .407
17-1 . . . . . . . . . . . . . . . . . .323 18-2 . . . . . . . . . . . . . . . . . .409
17-2 . . . . . . . . . . . . . . . . . .324 18-3 . . . . . . . . . . . . . . . . . .410
17-3 . . . . . . . . . . . . . . . . . .325 18-4 . . . . . . . . . . . . . . . . . .411
17-4 . . . . . . . . . . . . . . . . . .326 18-5 . . . . . . . . . . . . . . . . . .412
17-5 . . . . . . . . . . . . . . . . . .327 18-6 . . . . . . . . . . . . . . . . . .413
17-6 . . . . . . . . . . . . . . . . . .328 18-7 . . . . . . . . . . . . . . . . . .414
17-7 . . . . . . . . . . . . . . . . . .332 18-8 . . . . . . . . . . . . . . . . . .415
17-8 . . . . . . . . . . . . . . . . . .333 18-9 . . . . . . . . . . . . . . . . . .416
17-9 . . . . . . . . . . . . . . . . . .334 18-10 . . . . . . . . . . . . . . . . .417
17-10 . . . . . . . . . . . . . . . . .340 18-11 . . . . . . . . . . . . . . . . .418
549
Copyrighted by the Secretary of the State of the State of Connecticut
REFERENCE TABLE
P.B.1998 CLJ P.B. 1978-1997 P.B.1998 CLJ P.B. 1978-1997
Sec. Sec. Sec. Sec. Sec. Sec.
18-12 . . . . . . . . . . . . . . . . .419 22-4 . . . . . . . . . . . . . . . . . .515A
18-13 . . . . . . . . . . . . . . . . .420 22-5 . . . . . . . . . . . . . . . . . .516
18-14 . . . . . . . . . . . . . . . . .421 22-6 . . . . . . . . . . . . . . . . . .516A
18-15 . . . . . . . . . . . . . . . . .422 22-7 . . . . . . . . . . . . . . . . . .518
18-16 . . . . . . . . . . . . . . . . .423 22-8 . . . . . . . . . . . . . . . . . .518A
18-17 . . . . . . . . . . . . . . . . .424 22-9 . . . . . . . . . . . . . . . . . .519
18-18 . . . . . . . . . . . . . . . . .425 23-1 . . . . . . . . . . . . . . . . . .525
18-19 . . . . . . . . . . . . . . . . .427 23-2 . . . . . . . . . . . . . . . . . .525A
19-1 . . . . . . . . . . . . . . . . . .428 23-3 . . . . . . . . . . . . . . . . . .525B
19-2 . . . . . . . . . . . . . . . . . .429 23-4 . . . . . . . . . . . . . . . . . .525C
19-3 . . . . . . . . . . . . . . . . . .430 23-5 . . . . . . . . . . . . . . . . . .525D
19-4 . . . . . . . . . . . . . . . . . .430A 23-6 . . . . . . . . . . . . . . . . . .525E
19-5 . . . . . . . . . . . . . . . . . .431 23-7 . . . . . . . . . . . . . . . . . .525F
19-6 . . . . . . . . . . . . . . . . . .432 23-8 . . . . . . . . . . . . . . . . . .525G
19-7 . . . . . . . . . . . . . . . . . .433 23-9 . . . . . . . . . . . . . . . . . .525H
19-8 . . . . . . . . . . . . . . . . . .434 23-10 . . . . . . . . . . . . . . . . .525I
19-9 . . . . . . . . . . . . . . . . . .435 23-11 . . . . . . . . . . . . . . . . .525J
19-10 . . . . . . . . . . . . . . . . .436 23-12 . . . . . . . . . . . . . . . . .525K
19-11 . . . . . . . . . . . . . . . . .437 23-13 . . . . . . .526L. . . . . . . .None
19-12 . . . . . . . . . . . . . . . . .438 23-14 . . . . . . .526M . . . . . . .None
19-13 . . . . . . . . . . . . . . . . .439 23-15 . . . . . . .526N . . . . . . .None
19-14 . . . . . . . . . . . . . . . . .440 23-16 . . . . . . . . . . . . . . . . .526
19-15 . . . . . . . . . . . . . . . . .441 23-17 . . . . . . . . . . . . . . . . .526A
19-16 . . . . . . . . . . . . . . . . .442 23-18 . . . . . . . . . . . . . . . . .527
19-17 . . . . . . . . . . . . . . . . .443 23-19 . . . . . . . . . . . . . . . . .528
19-18 . . . . . . . . . . . . . . . . .444 23-20 . . . . . . . . . . . . . . . . .528A
19-19 . . . . . . . . . . . . . . . . .445 23-21 . . . . . . . . . . . . . . . . .529
20-1 . . . . . . . . . . . . . . . . . .446 23-22 . . . . . . . . . . . . . . . . .529A
20-2 . . . . . . . . . . . . . . . . . .447 23-23 . . . . . . . . . . . . . . . . .529B
20-3 . . . . . . . . . . . . . . . . . .448 23-24 . . . . . . . . . . . . . . . . .529C
20-4 . . . . . . . . . . . . . . . . . .449 23-25 . . . . . . . . . . . . . . . . .529D
20-5 . . . . . . . . . . . . . . . . . .450 23-26 . . . . . . . . . . . . . . . . .529E
20-6 . . . . . . . . . . . . . . . . . .451 23-27 . . . . . . . . . . . . . . . . .529F
21-1 . . . . . . . . . . . . . . . . . .485 23-28 . . . . . . . . . . . . . . . . .529G
21-2 . . . . . . . . . . . . . . . . . .486 23-29 . . . . . . . . . . . . . . . . .529H
21-3 . . . . . . . . . . . . . . . . . .487 23-30 . . . . . . . . . . . . . . . . .529I
21-4 . . . . . . . . . . . . . . . . . .488 23-31 . . . . . . . . . . . . . . . . .529J
21-5 . . . . . . . . . . . . . . . . . .489 23-32 . . . . . . . . . . . . . . . . .529K
21-6 . . . . . . . . . . . . . . . . . .490 23-33 . . . . . . . . . . . . . . . . .529L
21-7 . . . . . . . . . . . . . . . . . .492 23-34 . . . . . . . . . . . . . . . . .529M
21-8 . . . . . . . . . . . . . . . . . .493 23-35 . . . . . . . . . . . . . . . . .529N
21-9 . . . . . . . . . . . . . . . . . .494 23-36 . . . . . . . . . . . . . . . . .529O
21-10 . . . . . . . . . . . . . . . . .495 23-37 . . . . . . . . . . . . . . . . .529P
21-11 . . . . . . . . . . . . . . . . .496 23-38 . . . . . . . . . . . . . . . . .529Q
21-12 . . . . . . . . . . . . . . . . .497 23-39 . . . . . . . . . . . . . . . . .529R
21-13 . . . . . . . . . . . . . . . . .498 23-40 . . . . . . . . . . . . . . . . .529S
21-14 . . . . . . . . . . . . . . . . .499 23-41 . . . . . . . . . . . . . . . . .529T
21-15 . . . . . . . . . . . . . . . . .500 23-42 . . . . . . . . . . . . . . . . .529U
21-16 . . . . . . . . . . . . . . . . .501 23-43 . . . . . . . . . . . . . . . . .538
21-17 . . . . . . . . . . . . . . . . .502 23-44 . . . . . . . . . . . . . . . . .539
21-18 . . . . . . . . . . . . . . . . .503 23-45 . . . . . . . . . . . . . . . . .541
21-19 . . . . . . . . . . . . . . . . .505 23-46 . . . . . . . . . . . . . . . . .542
21-20 . . . . . . . . . . . . . . . . .506 23-47 . . . . . . . . . . . . . . . . .543
21-21 . . . . . . . . . . . . . . . . .507 23-48 . . . . . . . . . . . . . . . . .544
21-22 . . . . . . . . . . . . . . . . .508 23-49 . . . . . . . . . . . . . . . . .545
21-23 . . . . . . . . . . . . . . . . .509 23-50 . . . . . . . . . . . . . . . . .546
21-24 . . . . . . . . . . . . . . . . .510 23-51 . . . . . . . . . . . . . . . . .546A
22-1 . . . . . . . . . . . . . . . . . .511A 23-52 . . . . . . . . . . . . . . . . .546C
22-2 . . . . . . . . . . . . . . . . . .511B 23-53 . . . . . . . . . . . . . . . . .546D
22-3 . . . . . . . . . . . . . . . . . .514 23-54 . . . . . . . . . . . . . . . . .546E
550
Copyrighted by the Secretary of the State of the State of Connecticut
REFERENCE TABLE
P.B.1998 CLJ P.B. 1978-1997 P.B.1998 CLJ P.B. 1978-1997
Sec. Sec. Sec. Sec. Sec. Sec.
23-55 . . . . . . . . . . . . . . . . .546F 25-15 . . . . . . .1215. . . . . . . .None
23-56 . . . . . . . . . . . . . . . . .546G 25-16 . . . . . . .1217. . . . . . . .None
23-57 . . . . . . . . . . . . . . . . .546H 25-17 . . . . . . .1218. . . . . . . .None
23-58 . . . . . . . . . . . . . . . . .546J 25-18 . . . . . . .1219. . . . . . . .None
23-59 . . . . . . . . . . . . . . . . .546K 25-19 . . . . . . .1220. . . . . . . .None
23-60 . . . . . . . . . . . . . . . . .546M 25-20 . . . . . . .1221. . . . . . . .None
23-61 . . . . . . . . . . . . . . . . .546N 25-21 . . . . . . .1222. . . . . . . .None
23-62 . . . . . . . . . . . . . . . . .546O 25-22 . . . . . . .1223. . . . . . . .None
23-63 . . . . . . . . . . . . . . . . .546P 25-23 . . . . . . .1224. . . . . . . .None
23-64 . . . . . . . . . . . . . . . . .546Q 25-24 . . . . . . .1225. . . . . . . .None
23-65 . . . . . . . . . . . . . . . . .546R 25-25 . . . . . . .1226. . . . . . . .None
23-66 . . . . . . . . . . . . . . . . .546S 25-26 . . . . . . .1227. . . . . . . .464
23-67 . . . . . . . . . . . . . . . . .546T 25-27 . . . . . . .1228. . . . . . . .None
24-1 . . . . . . . . . . . . . . . . . .547 25-28 . . . . . . .1229. . . . . . . .461
24-2 . . . . . . . . . . . . . . . . . .548 25-29 . . . . . . .1230. . . . . . . .462
24-3 . . . . . . . . . . . . . . . . . .549 25-30 . . . . . . .1231. . . . . . . .463
24-4 . . . . . . . . . . . . . . . . . .550 25-31 . . . . . . .1232. . . . . . . .None
24-5 . . . . . . . . . . . . . . . . . .551 25-32 . . . . . . .1233. . . . . . . .None
24-6 . . . . . . . . . . . . . . . . . .552 25-33 . . . . . . .1234. . . . . . . .None
24-7 . . . . . . . . . . . . . . . . . .553 25-34 . . . . . . .1235. . . . . . . .None
24-8 . . . . . . . . . . . . . . . . . .556 25-35 . . . . . . .1236. . . . . . . .464A
24-9 . . . . . . . . . . . . . . . . . .557 25-36 . . . . . . .1237. . . . . . . .472
24-10 . . . . . . . . . . . . . . . . .559 25-37 . . . . . . .1238. . . . . . . .473
24-11 . . . . . . . . . . . . . . . . .561 25-38 . . . . . . .1239. . . . . . . .None
24-12 . . . . . . . . . . . . . . . . .562 25-39 . . . . . . .1240. . . . . . . .None
24-13 . . . . . . . . . . . . . . . . .563 25-40 . . . . . . .1242. . . . . . . .None
24-14 . . . . . . . . . . . . . . . . .564 25-41 . . . . . . .1243. . . . . . . .None
24-15 . . . . . . . . . . . . . . . . .565 25-42 . . . . . . .1244. . . . . . . .None
24-16 . . . . . . . . . . . . . . . . .567 25-43 . . . . . . .1245. . . . . . . .None
24-17 . . . . . . . . . . . . . . . . .568 25-44 . . . . . . .1246. . . . . . . .None
24-18 . . . . . . . . . . . . . . . . .569 25-45 . . . . . . .1247. . . . . . . .None
24-19 . . . . . . . . . . . . . . . . .570 25-46 . . . . . . .1248. . . . . . . .None
24-20 . . . . . . . . . . . . . . . . .571 25-47 . . . . . . .1249. . . . . . . .None
24-21 . . . . . . . . . . . . . . . . .572 25-48 . . . . . . .1250. . . . . . . .None
24-22 . . . . . . . . . . . . . . . . .574 25-49 . . . . . . .1251. . . . . . . .None
24-23 . . . . . . . . . . . . . . . . .575 25-50 . . . . . . .1252. . . . . . . .None
24-24 . . . . . . . . . . . . . . . . .577 25-51 . . . . . . .1253. . . . . . . .None
24-25 . . . . . . . . . . . . . . . . .578 25-52 . . . . . . .1254. . . . . . . .None
24-26 . . . . . . . . . . . . . . . . .579 25-53 . . . . . . .1255. . . . . . . .458
24-27 . . . . . . . . . . . . . . . . .580 25-54 . . . . . . .1256. . . . . . . .None
24-28 . . . . . . . . . . . . . . . . .581 25-55 . . . . . . .1257. . . . . . . .None
24-29 . . . . . . . . . . . . . . . . .582 25-56 . . . . . . .1258. . . . . . . .None
24-30 . . . . . . . . . . . . . . . . .583 25-57 . . . . . . .1259. . . . . . . .476
24-31 . . . . . . . . . . . . . . . . .584 25-58 . . . . . . .1260. . . . . . . .477
24-32 . . . . . . . . . . . . . . . . .585 25-59 . . . . . . .1261. . . . . . . .478
24-33 . . . . . . . . . . . . . . . . .590 25-60 . . . . . . .1262. . . . . . . .479
25-1 . . . . . . . .1200. . . . . . . .None 25-61 . . . . . . .1263. . . . . . . .None
25-2 . . . . . . . .1201. . . . . . . .453 25-62 . . . . . . .1264. . . . . . . .484
25-3 . . . . . . . .1202. . . . . . . .None 25-63 . . . . . . .1265. . . . . . . .484A
25-4 . . . . . . . .1203. . . . . . . .None 25-64 . . . . . . .1266. . . . . . . .484B
25-5 . . . . . . . .1204. . . . . . . .None 25-65 . . . . . . .1267. . . . . . . .479A
25-6 . . . . . . . .1205. . . . . . . .None 25-66 . . . . . . .1268. . . . . . . .479B
25-7 . . . . . . . .1207. . . . . . . .454 25-67 . . . . . . .1269. . . . . . . .481
25-8 . . . . . . . .1208. . . . . . . .455 25-68 . . . . . . .1270. . . . . . . .484C
25-9 . . . . . . . .1209. . . . . . . .456 25-69 . . . . . . .1271. . . . . . . .481A
25-10 . . . . . . .1210. . . . . . . .457 26-1 . . . . . . . . . . . . . . . . . .1023.1
25-11 . . . . . . .1211. . . . . . . .None 27-1 . . . . . . . . . . . . . . . . . .1024.1(1)
25-12 . . . . . . .1212. . . . . . . .None 27-2 . . . . . . . . . . . . . . . . . .1024.1(2)
25-13 . . . . . . .1213. . . . . . . .None 27-3 . . . . . . . . . . . . . . . . . .1025.1(1)
25-14 . . . . . . .1214. . . . . . . .None 27-4 . . . . . . . . . . . . . . . . . .1025.1(2)
551
Copyrighted by the Secretary of the State of the State of Connecticut
REFERENCE TABLE
P.B.1998 CLJ P.B. 1978-1997 P.B.1998 CLJ P.B. 1978-1997
Sec. Sec. Sec. Sec. Sec. Sec.
27-5 . . . . . . . . . . . . . . . . . .1025.1(3) 33-7 . . . . . . . . . . . . . . . . . .1043.1(4)
27-5 . . . . . . . . . . . . . . . . . .1025.1(4) 33-8 . . . . . . . . . . . . . . . . . .1044.1
27-6 . . . . . . . . . . . . . . . . . .1025.1(8) 33-9 . . . . . . . . . . . . . . . . . .1045.1(1)
27-6 . . . . . . . . . . . . . . . . . .1025.1(9) 33-10 . . . . . . . . . . . . . . . . .1045.1(2)
27-7 . . . . . . . . . . . . . . . . . .1025.1(5) 33-11 . . . . . . . . . . . . . . . . .1045.1(3)
27-7 . . . . . . . . . . . . . . . . . .1025.1(6) 33-12 . . . . . . . . . . . . . . . . .1046.1
27-8 . . . . . . . . . . . . . . . . . .1025.1(7) 33-13 . . . . . . . . . . . . . . . . .1047.1
28-1 . . . . . . . . . . . . . . . . . .1026.1 34-1 . . . . . . . . . . . . . . . . . .1048.1
29-1 . . . . . . . . . . . . . . . . . .1027.1(1) 34-2 . . . . . . . . . . . . . . . . . .1049.1
29-1 . . . . . . . . . . . . . . . . . .1027.1(2) 34-3 . . . . . . . . . . . . . . . . . .1050.1
29-2 . . . . . . . . . . . . . . . . . .1027.1(3) 34-4 . . . . . . . . . . . . . . . . . .1051.1
29-2 . . . . . . . . . . . . . . . . . .1027.1(4) 35-1 . . . . . . . . . . . . . . . . . .1055.1
30-1 . . . . . . . . . . . . . . . . . .1030.1(1) 35-2 . . . . . . . . . . . . . . . . . .1057.1
30-2 . . . . . . . . . . . . . . . . . .1030.1(2) 35-3 . . . . . . . . . . . . . . . . . .1058.1
30-3 . . . . . . . . . . . . . . . . . .1030.1(3) 35-4 . . . . . . . . . . . . . . . . . .1059.1
30-4 . . . . . . . . . . . . . . . . . .1030.1(4) 35-5 . . . . . . . . . . . . . . . . . .1060.1
30-5 . . . . . . . . . . . . . . . . . .1031.1(1) 36-1 . . . . . . . . . . . . . . . . . .593
30-6 . . . . . . . . . . . . . . . . . .1031.1(2) 36-2 . . . . . . . . . . . . . . . . . .593A
30-7 . . . . . . . . . . . . . . . . . .1031.1(3) 36-3 . . . . . . . . . . . . . . . . . .594
30-8 . . . . . . . . . . . . . . . . . .1031.1(4) 36-4 . . . . . . . . . . . . . . . . . .595
30-9 . . . . . . . . . . . . . . . . . .1032.1(1) 36-5 . . . . . . . . . . . . . . . . . .596
30-10 . . . . . . . . . . . . . . . . .1032.1(2) 36-6 . . . . . . . . . . . . . . . . . .597
30-10 . . . . . . . . . . . . . . . . .1032.1(3) 36-7 . . . . . . . . . . . . . . . . . .599
30-11 . . . . . . . . . . . . . . . . .1032.1(4) 36-8 . . . . . . . . . . . . . . . . . .601
31-1 . . . . . . . . . . . . . . . . . .1033.1(1) 36-9 . . . . . . . . . . . . . . . . . .602
31-1 . . . . . . . . . . . . . . . . . .1033.1(2) 36-10 . . . . . . . . . . . . . . . . .603
31-1 . . . . . . . . . . . . . . . . . .1033.1(3) 36-11 . . . . . . . . . . . . . . . . .616
31-2 . . . . . . . . . . . . . . . . . .1033.1(4) 36-12 . . . . . . . . . . . . . . . . .617
31-3 . . . . . . . . . . . . . . . . . .1033.1(5) 36-13 . . . . . . . . . . . . . . . . .618
31-4 . . . . . . . . . . . . . . . . . .1033.1(6) 36-14 . . . . . . . . . . . . . . . . .619
31-5 . . . . . . . . . . . . . . . . . .1034.1(1) 36-15 . . . . . . . . . . . . . . . . .620
31-6 . . . . . . . . . . . . . . . . . .1034.1(2) 36-16 . . . . . . . . . . . . . . . . .622
31-6 . . . . . . . . . . . . . . . . . .1034.1(3) 36-17 . . . . . . . . . . . . . . . . .623
31-7 . . . . . . . . . . . . . . . . . .1034.1(4) 36-18 . . . . . . . . . . . . . . . . .624
31-8 . . . . . . . . . . . . . . . . . .1034.1(5) 36-19 . . . . . . . . . . . . . . . . .625
31-9 . . . . . . . . . . . . . . . . . .1034.1(6) 36-20 . . . . . . . . . . . . . . . . .626
31-10 . . . . . . . . . . . . . . . . .1035.1 36-21 . . . . . . . . . . . . . . . . .627
31-11 . . . . . . . . . . . . . . . . .1036.1 36-22 . . . . . . . . . . . . . . . . .628
31-12 . . . . . . . . . . . . . . . . .1037.1 37-1 . . . . . . . . . . . . . . . . . .635
31-13 . . . . . . . . . . . . . . . . .1038.1 37-2 . . . . . . . . . . . . . . . . . .635A
32-1 . . . . . . . . . . . . . . . . . .1040.1(1) 37-3 . . . . . . . . . . . . . . . . . .637
32-1 . . . . . . . . . . . . . . . . . .1040.1(2) 37-4 . . . . . . . . . . . . . . . . . .638
32-2 . . . . . . . . . . . . . . . . . .1040.1(3) 37-5 . . . . . . . . . . . . . . . . . .640
32-2 . . . . . . . . . . . . . . . . . .1040.1(4) 37-6 . . . . . . . . . . . . . . . . . .641
32-3 . . . . . . . . . . . . . . . . . .1040.1(5) 37-7 . . . . . . . . . . . . . . . . . .643
32-4 . . . . . . . . . . . . . . . . . .1040.1(6) 37-8 . . . . . . . . . . . . . . . . . .644
32-5 . . . . . . . . . . . . . . . . . .1040.1(7) 37-9 . . . . . . . . . . . . . . . . . .645
32-6 . . . . . . . . . . . . . . . . . .1041.1(1) 37-10 . . . . . . . . . . . . . . . . .647
32-7 . . . . . . . . . . . . . . . . . .1041.1(2) 37-11 . . . . . . . . . . . . . . . . .648
32-8 . . . . . . . . . . . . . . . . . .1041.1(3) 37-12 . . . . . . . . . . . . . . . . .650
32-9 . . . . . . . . . . . . . . . . . .1041.1(4) 38-1 . . . . . . . . . . . . . . . . . .654
33-1 . . . . . . . . . . . . . . . . . .1042.1(1) 38-2 . . . . . . . . . . . . . . . . . .656
33-1 . . . . . . . . . . . . . . . . . .1042.1(2) 38-3 . . . . . . . . . . . . . . . . . .657
33-2 . . . . . . . . . . . . . . . . . .1042.1(3) 38-4 . . . . . . . . . . . . . . . . . .658
33-3 . . . . . . . . . . . . . . . . . .1042.1(4) 38-5 . . . . . . . . . . . . . . . . . .659
33-3 . . . . . . . . . . . . . . . . . .1042.1(6) 38-6 . . . . . . . . . . . . . . . . . .661
33-4 . . . . . . . . . . . . . . . . . .1042.1(5) 38-7 . . . . . . . . . . . . . . . . . .663
33-5 . . . . . . . . . . . . . . . . . .1043.1(1) 38-8 . . . . . . . . . . . . . . . . . .664
33-5 . . . . . . . . . . . . . . . . . .1043.1(2) 38-9 . . . . . . . . . . . . . . . . . .665
33-6 . . . . . . . . . . . . . . . . . .1043.1(3) 38-10 . . . . . . . . . . . . . . . . .666
552
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REFERENCE TABLE
P.B.1998 CLJ P.B. 1978-1997 P.B.1998 CLJ P.B. 1978-1997
Sec. Sec. Sec. Sec. Sec. Sec.
38-11 . . . . . . . . . . . . . . . . .668 40-15 . . . . . . . . . . . . . . . . .749
38-12 . . . . . . . . . . . . . . . . .669 40-16 . . . . . . . . . . . . . . . . .754
38-13 . . . . . . . . . . . . . . . . .673 40-17 . . . . . . . . . . . . . . . . .758
38-14 . . . . . . . . . . . . . . . . .674 40-18 . . . . . . . . . . . . . . . . .759
38-15 . . . . . . . . . . . . . . . . .675 40-19 . . . . . . . . . . . . . . . . .760
38-16 . . . . . . . . . . . . . . . . .675A 40-20 . . . . . . . . . . . . . . . . .760A
38-17 . . . . . . . . . . . . . . . . .676 40-21 . . . . . . . . . . . . . . . . .763
38-18 . . . . . . . . . . . . . . . . .677 40-22 . . . . . . . . . . . . . . . . .764
38-19 . . . . . . . . . . . . . . . . .682 40-23 . . . . . . . . . . . . . . . . .765
38-20 . . . . . . . . . . . . . . . . .683 40-24 . . . . . . . . . . . . . . . . .767
38-21 . . . . . . . . . . . . . . . . .684 40-25 . . . . . . . . . . . . . . . . .768
38-22 . . . . . . .684A . . . . . . .None 40-26 . . . . . . . . . . . . . . . . .769
38-23 . . . . . . . . . . . . . . . . .685 40-27 . . . . . . . . . . . . . . . . .769A
39-1 . . . . . . . . . . . . . . . . . .687 40-28 . . . . . . . . . . . . . . . . .770
39-2 . . . . . . . . . . . . . . . . . .688 40-29 . . . . . . . . . . . . . . . . .771
39-3 . . . . . . . . . . . . . . . . . .689 40-30 . . . . . . . . . . . . . . . . .772
39-4 . . . . . . . . . . . . . . . . . .690 40-31 . . . . . . . . . . . . . . . . .773
39-5 . . . . . . . . . . . . . . . . . .692 40-32 . . . . . . . . . . . . . . . . .776
39-6 . . . . . . . . . . . . . . . . . .693 40-33 . . . . . . . . . . . . . . . . .777
39-7 . . . . . . . . . . . . . . . . . .694 40-34 . . . . . . . . . . . . . . . . .778
39-8 . . . . . . . . . . . . . . . . . .696 40-35 . . . . . . . . . . . . . . . . .779
39-9 . . . . . . . . . . . . . . . . . .697 40-36 . . . . . . . . . . . . . . . . .780
39-10 . . . . . . . . . . . . . . . . .698 40-37 . . . . . . . . . . . . . . . . .781
39-11 . . . . . . . . . . . . . . . . .700 40-38 . . . . . . . . . . . . . . . . .782
39-12 . . . . . . . . . . . . . . . . .701 40-39 . . . . . . . . . . . . . . . . .783
39-13 . . . . . . . . . . . . . . . . .702 40-40 . . . . . . . . . . . . . . . . .785
39-14 . . . . . . . . . . . . . . . . .704 40-41 . . . . . . . . . . . . . . . . .786
39-15 . . . . . . . . . . . . . . . . .705 40-42 . . . . . . . . . . . . . . . . .787
39-16 . . . . . . . . . . . . . . . . .706 40-43 . . . . . . . . . . . . . . . . .788
39-17 . . . . . . . . . . . . . . . . .707 40-44 . . . . . . . . . . . . . . . . .791
39-18 . . . . . . . . . . . . . . . . .709 40-45 . . . . . . . . . . . . . . . . .792
39-19 . . . . . . . . . . . . . . . . .711 40-46 . . . . . . . . . . . . . . . . .793
39-20 . . . . . . . . . . . . . . . . .712 40-47 . . . . . . . . . . . . . . . . .794
39-21 . . . . . . . . . . . . . . . . .713 40-48 . . . . . . . . . . . . . . . . .795
39-22 . . . . . . . . . . . . . . . . .715 40-49 . . . . . . . . . . . . . . . . .796
39-23 . . . . . . . . . . . . . . . . .716 40-50 . . . . . . . . . . . . . . . . .797
39-24 . . . . . . . . . . . . . . . . .717 40-51 . . . . . . . . . . . . . . . . .798
39-25 . . . . . . . . . . . . . . . . .718 40-52 . . . . . . . . . . . . . . . . .799
39-26 . . . . . . . . . . . . . . . . .720 40-53 . . . . . . . . . . . . . . . . .800
39-27 . . . . . . . . . . . . . . . . .721 40-54 . . . . . . . . . . . . . . . . .801
39-28 . . . . . . . . . . . . . . . . .722 40-55 . . . . . . . . . . . . . . . . .802
39-29 . . . . . . . . . . . . . . . . .725 40-56 . . . . . . . . . . . . . . . . .803
39-30 . . . . . . . . . . . . . . . . .726 40-57 . . . . . . . . . . . . . . . . .804
39-31 . . . . . . . . . . . . . . . . .727 40-58 . . . . . . . . . . . . . . . . .805
39-32 . . . . . . . . . . . . . . . . .728 41-1 . . . . . . . . . . . . . . . . . .807
39-33 . . . . . . . . . . . . . . . . .730 41-2 . . . . . . . . . . . . . . . . . .808
40-1 . . . . . . . . . . . . . . . . . .732 41-3 . . . . . . . . . . . . . . . . . .809
40-2 . . . . . . . . . . . . . . . . . .733 41-4 . . . . . . . . . . . . . . . . . .810
40-3 . . . . . . . . . . . . . . . . . .734 41-5 . . . . . . . . . . . . . . . . . .811
40-4 . . . . . . . . . . . . . . . . . .735 41-6 . . . . . . . . . . . . . . . . . .812
40-5 . . . . . . . . . . . . . . . . . .735A 41-7 . . . . . . . . . . . . . . . . . .813
40-6 . . . . . . . . . . . . . . . . . .737 41-8 . . . . . . . . . . . . . . . . . .815
40-7 . . . . . . . . . . . . . . . . . .737A 41-9 . . . . . . . . . . . . . . . . . .816
40-8 . . . . . . . . . . . . . . . . . .737B 41-10 . . . . . . . . . . . . . . . . .817
40-9 . . . . . . . . . . . . . . . . . .738 41-11 . . . . . . . . . . . . . . . . .818
40-10 . . . . . . . . . . . . . . . . .739 41-12 . . . . . . . . . . . . . . . . .821
40-11 . . . . . . . . . . . . . . . . .741 41-13 . . . . . . . . . . . . . . . . .822
40-12 . . . . . . . . . . . . . . . . .742 41-14 . . . . . . . . . . . . . . . . .823
40-13 . . . . . . . . . . . . . . . . .743 41-15 . . . . . . . . . . . . . . . . .824
40-14 . . . . . . . . . . . . . . . . .746 41-16 . . . . . . . . . . . . . . . . .825
553
Copyrighted by the Secretary of the State of the State of Connecticut
REFERENCE TABLE
P.B.1998 CLJ P.B. 1978-1997 P.B.1998 CLJ P.B. 1978-1997
Sec. Sec. Sec. Sec. Sec. Sec.
41-17 . . . . . . . . . . . . . . . . .826 42-52 . . . . . . . . . . . . . . . . .900
41-18 . . . . . . . . . . . . . . . . .828 42-53 . . . . . . . . . . . . . . . . .902
41-19 . . . . . . . . . . . . . . . . .829 42-54 . . . . . . . . . . . . . . . . .903
41-20 . . . . . . . . . . . . . . . . .831 42-55 . . . . . . . . . . . . . . . . .904
41-21 . . . . . . . . . . . . . . . . .832 42-56 . . . . . . . . . . . . . . . . .905
41-22 . . . . . . . . . . . . . . . . .833 43-1 . . . . . . . . . . . . . . . . . .907
41-23 . . . . . . . . . . . . . . . . .835 43-2 . . . . . . . . . . . . . . . . . .908
41-24 . . . . . . . . . . . . . . . . .836 43-3 . . . . . . . . . . . . . . . . . .910
41-25 . . . . . . . . . . . . . . . . .837 43-4 . . . . . . . . . . . . . . . . . .911
42-1 . . . . . . . . . . . . . . . . . .839 43-5 . . . . . . . . . . . . . . . . . .912
42-2 . . . . . . . . . . . . . . . . . .840 43-6 . . . . . . . . . . . . . . . . . .913
42-3 . . . . . . . . . . . . . . . . . .841 43-7 . . . . . . . . . . . . . . . . . .915
42-4 . . . . . . . . . . . . . . . . . .842 43-8 . . . . . . . . . . . . . . . . . .916
42-5 . . . . . . . . . . . . . . . . . .843 43-9 . . . . . . . . . . . . . . . . . .917
42-6 . . . . . . . . . . . . . . . . . .844 43-10 . . . . . . . . . . . . . . . . .919
42-7 . . . . . . . . . . . . . . . . . .845 43-11 . . . . . . . . . . . . . . . . .921
42-8 . . . . . . . . . . . . . . . . . .845A 43-12 . . . . . . . . . . . . . . . . .922
42-9 . . . . . . . . . . . . . . . . . .845B 43-13 . . . . . . . . . . . . . . . . .924
42-10 . . . . . . . . . . . . . . . . .846A 43-14 . . . . . . . . . . . . . . . . .925
42-11 . . . . . . . . . . . . . . . . .847 43-15 . . . . . . . . . . . . . . . . .926
42-12 . . . . . . . . . . . . . . . . .848 43-16 . . . . . . . . . . . . . . . . .927
42-13 . . . . . . . . . . . . . . . . .849 43-17 . . . . . . . . . . . . . . . . .929
42-14 . . . . . . . . . . . . . . . . .850 43-18 . . . . . . . . . . . . . . . . .931
42-15 . . . . . . . . . . . . . . . . .850B 43-19 . . . . . . . . . . . . . . . . .932
42-16 . . . . . . . . . . . . . . . . .852 43-20 . . . . . . . . . . . . . . . . .932A
42-17 . . . . . . . . . . . . . . . . .853 43-21 . . . . . . . . . . . . . . . . .934
42-18 . . . . . . . . . . . . . . . . .854 43-22 . . . . . . . . . . . . . . . . .935
42-19 . . . . . . . . . . . . . . . . .854A 43-23 . . . . . . . . . . . . . . . . .937
42-20 . . . . . . . . . . . . . . . . .855 43-24 . . . . . . . . . . . . . . . . .938
42-21 . . . . . . . . . . . . . . . . .856 43-25 . . . . . . . . . . . . . . . . .939
42-22 . . . . . . . . . . . . . . . . .857 43-26 . . . . . . . . . . . . . . . . .940
42-23 . . . . . . . . . . . . . . . . .858 43-27 . . . . . . . . . . . . . . . . .941
42-24 . . . . . . . . . . . . . . . . .860 43-28 . . . . . . . . . . . . . . . . .942
42-25 . . . . . . . . . . . . . . . . .861 43-29 . . . . . . . . . . . . . . . . .943
42-26 . . . . . . . . . . . . . . . . .863 43-30 . . . . . . . . . . . . . . . . .945
42-27 . . . . . . . . . . . . . . . . .864 43-31 . . . . . . . . . . . . . . . . .947
42-28 . . . . . . . . . . . . . . . . .865 43-32 . . . . . . . . . . . . . . . . .948
42-29 . . . . . . . . . . . . . . . . .867 43-33 . . . . . . . . . . . . . . . . .950
42-30 . . . . . . . . . . . . . . . . .868 43-34 . . . . . . . . . . . . . . . . .952
42-31 . . . . . . . . . . . . . . . . .869 43-35 . . . . . . . . . . . . . . . . .953
42-32 . . . . . . . . . . . . . . . . .870 43-36 . . . . . . . . . . . . . . . . .954
42-33 . . . . . . . . . . . . . . . . .871 43-37 . . . . . . . . . . . . . . . . .955
42-34 . . . . . . . . . . . . . . . . .872 43-38 . . . . . . . . . . . . . . . . .956
42-35 . . . . . . . . . . . . . . . . .874 43-39 . . . . . . . . . . . . . . . . .956B
42-36 . . . . . . . . . . . . . . . . .876 43-40 . . . . . . . . . . . . . . . . .956C
42-37 . . . . . . . . . . . . . . . . .879 43-41 . . . . . . . . . . . . . . . . .956D
42-38 . . . . . . . . . . . . . . . . .880 43-42 . . . . . . . . . . . . . . . . .956E
42-39 . . . . . . . . . . . . . . . . .881 43-43 . . . . . . . . . . . . . . . . .956F
42-40 . . . . . . . . . . . . . . . . .883 44-1 . . . . . . . . . . . . . . . . . .959
42-41 . . . . . . . . . . . . . . . . .884 44-2 . . . . . . . . . . . . . . . . . .960
42-42 . . . . . . . . . . . . . . . . .885 44-3 . . . . . . . . . . . . . . . . . .961
42-43 . . . . . . . . . . . . . . . . .887 44-4 . . . . . . . . . . . . . . . . . .963
42-44 . . . . . . . . . . . . . . . . .888 44-5 . . . . . . . . . . . . . . . . . .964
42-45 . . . . . . . . . . . . . . . . .889 44-6 . . . . . . . . . . . . . . . . . .965
42-46 . . . . . . . . . . . . . . . . .892 44-7 . . . . . . . . . . . . . . . . . .967
42-47 . . . . . . . . . . . . . . . . .893 44-8 . . . . . . . . . . . . . . . . . .968
42-48 . . . . . . . . . . . . . . . . .894 44-9 . . . . . . . . . . . . . . . . . .969
42-49 . . . . . . . . . . . . . . . . .895 44-10 . . . . . . . . . . . . . . . . .970
42-50 . . . . . . . . . . . . . . . . .898 44-11 . . . . . . . . . . . . . . . . .972
42-51 . . . . . . . . . . . . . . . . .899 44-12 . . . . . . . . . . . . . . . . .973
554
Copyrighted by the Secretary of the State of the State of Connecticut
REFERENCE TABLE
P.B.1998 CLJ P.B. 1978-1997 P.B.1998 CLJ P.B. 1978-1997
Sec. Sec. Sec. Sec. Sec. Sec.
44-13 . . . . . . . . . . . . . . . . .975 63-4 . . . . . . . . . . . . . . . . . .4013
44-14 . . . . . . . . . . . . . . . . .976 63-5 . . . . . . . . . . . . . . . . . .4015
44-15 . . . . . . . . . . . . . . . . .977 63-6 . . . . . . . . . . . . . . . . . .4017
44-16 . . . . . . . . . . . . . . . . .978 63-7 . . . . . . . . . . . . . . . . . .4018
44-17 . . . . . . . . . . . . . . . . .979 63-8 . . . . . . . . . . . . . . . . . .4019
44-18 . . . . . . . . . . . . . . . . .981 63-9 . . . . . . . . . . . . . . . . . .4038
44-19 . . . . . . . . . . . . . . . . .997A 63-10 . . . . . . . . . . . . . . . . .4103
44-20 . . . . . . . . . . . . . . . . .998 64-1 . . . . . . . . . . . . . . . . . .4059
44-21 . . . . . . . . . . . . . . . . .1000 64-2 . . . . . . . . . . . . . . . . . .4060
44-22 . . . . . . . . . . . . . . . . .1002 65-1 . . . . . . . . . . . . . . . . . .4023
44-23 . . . . . . . . . . . . . . . . .1004 65-2 . . . . . . . . . . . . . . . . . .4024,
44-24 . . . . . . . . . . . . . . . . .1005 4135
44-25 . . . . . . . . . . . . . . . . .1007 65-3 . . . . . . . . . . . . . . . . . .4025
44-26 . . . . . . . . . . . . . . . . .1008 65-4 . . . . . . . . . . . . . . . . . .4027
44-27 . . . . . . . . . . . . . . . . .1008A 66-1 . . . . . . . . . . . . . . . . . .4040
44-28 . . . . . . . . . . . . . . . . .1010 66-2 . . . . . . . . . . . . . . . . . .4041
44-29 . . . . . . . . . . . . . . . . .1011 66-3 . . . . . . . . . . . . . . . . . .4042
44-30 . . . . . . . . . . . . . . . . .1011D 66-4 . . . . . . . . . . . . . . . . . .4043
44-31 . . . . . . . . . . . . . . . . .1012A 66-5 . . . . . . . . . . . . . . . . . .4051
44-32 . . . . . . . . . . . . . . . . .1014 66-6 . . . . . . . . . . . . . . . . . .4053
44-33 . . . . . . . . . . . . . . . . .1015 66-7 . . . . . . . . . . . . . . . . . .4054
44-34 . . . . . . . . . . . . . . . . .1016 66-8 . . . . . . . . . . . . . . . . . .4056
44-35 . . . . . . . . . . . . . . . . .1017 67-1 . . . . . . . . . . . . . . . . . .4064
44-36 . . . . . . . . . . . . . . . . .1020A 67-2 . . . . . . . . . . . . . . . . . .4064A
44-37 . . . . . . . . . . . . . . . . .1021 67-3 . . . . . . . . . . . . . . . . . .4064B
60-1 . . . . . . . . . . . . . . . . . .4182 67-4 . . . . . . . . . . . . . . . . . .4064C
60-2 . . . . . . . . . . . . . . . . . .4183 67-5 . . . . . . . . . . . . . . . . . .4064D
60-3 . . . . . . . . . . . . . . . . . .4187 67-6 . . . . . . . . . . . . . . . . . .4064E
60-4 . . . . . . . . . . . . . . . . . .4001A 67-7 . . . . . . . . . . . . . . . . . .4064F
60-5 . . . . . . . . . . . . . . . . . .4061 67-8 . . . . . . . . . . . . . . . . . .4064G
60-5 . . . . . . . . . . . . . . . . . .4185 67-9 . . . . . . . . . . . . . . . . . .4064H
60-6 . . . . . . . . . . . . . . . . . .4186 67-10 . . . . . . . . . . . . . . . . .4064J
61-1 . . . . . . . . . . . . . . . . . .4000 68-1 . . . . . . . . . . . . . . . . . .4084
61-2 . . . . . . . . . . . . . . . . . .4002A 68-2 . . . . . . . . . . . . . . . . . .4085
61-3 . . . . . . . . . . . . . . . . . .4002B 68-3 . . . . . . . . . . . . . . . . . .4086
61-4 . . . . . . . . . . . . . . . . . .4002C 68-4 . . . . . . . . . . . . . . . . . .4087
61-5 . . . . . . . . . . . . . . . . . .4002D 68-5 . . . . . . . . . . . . . . . . . .4090
61-6 . . . . . . . . . . . . . . . . . .4003 68-6 . . . . . . . . . . . . . . . . . .4091
61-7 . . . . . . . . . . . . . . . . . .4004 68-7 . . . . . . . . . . . . . . . . . .4092
61-8 . . . . . . . . . . . . . . . . . .4005 68-8 . . . . . . . . . . . . . . . . . .4093
61-9 . . . . . . . . . . . . . . . . . .4006 68-9 . . . . . . . . . . . . . . . . . .4094
61-10 . . . . . . . . . . . . . . . . .4007 68-10 . . . . . . . . . . . . . . . . .4095
61-11 . . . . . . . . . . . . . . . . .4046 68-11 . . . . . . . . . . . . . . . . .4096
61-12 . . . . . . . . . . . . . . . . .4047 69-1 . . . . . . . . . . . . . . . . . .4100
61-13 . . . . . . . . . . . . . . . . .4048 69-2 . . . . . . . . . . . . . . . . . .4101
61-14 . . . . . . . . . . . . . . . . .4049 69-3 . . . . . . . . . . . . . . . . . .4104
62-1 . . . . . . . . . . . . . . . . . .4028 70-1 . . . . . . . . . . . . . . . . . .4106
62-2 . . . . . . . . . . . . . . . . . .4029 70-2 . . . . . . . . . . . . . . . . . .4102
62-3 . . . . . . . . . . . . . . . . . .4031 70-3 . . . . . . . . . . . . . . . . . .4107
62-4 . . . . . . . . . . . . . . . . . .4032 70-4 . . . . . . . . . . . . . . . . . .4108
62-5 . . . . . . . . . . . . . . . . . .4033 70-5 . . . . . . . . . . . . . . . . . .4109
62-6 . . . . . . . . . . . . . . . . . .4030 70-6 . . . . . . . . . . . . . . . . . .4111
62-7 . . . . . . . . . . . . . . . . . .4014 70-7 . . . . . . . . . . . . . . . . . .4112
62-8 . . . . . . . . . . . . . . . . . .4034 70-8 . . . . . . . . . . . . . . . . . .4115
62-9 . . . . . . . . . . . . . . . . . .4035 70-9 . . . . . . . . . . . . . . . . . .4116A
62-10 . . . . . . . . . . . . . . . . .4036 70-10 . . . . . . . . . . . . . . . . .4116B
62-11 . . . . . . . . . . . . . . . . .4037 71-1 . . . . . . . . . . . . . . . . . .4117
63-1 . . . . . . . . . . . . . . . . . .4009 71-2 . . . . . . . . . . . . . . . . . .4118
63-2 . . . . . . . . . . . . . . . . . .4010 71-3 . . . . . . . . . . . . . . . . . .4119
63-3 . . . . . . . . . . . . . . . . . .4012 71-4 . . . . . . . . . . . . . . . . . .4120
555
Copyrighted by the Secretary of the State of the State of Connecticut
REFERENCE TABLE
P.B.1998 CLJ P.B. 1978-1997 P.B.1998 CLJ P.B. 1978-1997
Sec. Sec. Sec. Sec. Sec. Sec.
71-5 . . . . . . . . . . . . . . . . . .4121 80-1 . . . . . . . . . . . . . . . . . .4166C
71-6 . . . . . . . . . . . . . . . . . .4123 81-1 . . . . . . . . . . . . . . . . . .4142
71-7 . . . . . . . . . . . . . . . . . .4050 81-2 . . . . . . . . . . . . . . . . . .4142.1
72-1 . . . . . . . . . . . . . . . . . .4143 81-3 . . . . . . . . . . . . . . . . . .4142.2
72-2 . . . . . . . . . . . . . . . . . .4143A 81-4 . . . . . . . . . . . . . . . . . .4142.3
72-3 . . . . . . . . . . . . . . . . . .4144 81-5 . . . . . . . . . . . . . . . . . .4142.4
72-4 . . . . . . . . . . . . . . . . . .4145 82-1 . . . . . . . . . . . . . . . . . .4168
73-1 . . . . . . . . . . . . . . . . . .4147 82-2 . . . . . . . . . . . . . . . . . .4169
74-1 . . . . . . . . . . . . . . . . . .4150 82-3 . . . . . . . . . . . . . . . . . .4170
74-2 . . . . . . . . . . . . . . . . . .4151 82-4 . . . . . . . . . . . . . . . . . .4171
74-3 . . . . . . . . . . . . . . . . . .4152 82-5 . . . . . . . . . . . . . . . . . .4172
74-4 . . . . . . . . . . . . . . . . . .4153 82-6 . . . . . . . . . . . . . . . . . .4173
74-5 . . . . . . . . . . . . . . . . . .4154 82-7 . . . . . . . . . . . . . . . . . .4174
74-6 . . . . . . . . . . . . . . . . . .4155 83-1 . . . . . . . . . . . . . . . . . .4177
74-7 . . . . . . . . . . . . . . . . . .4156 83-2 . . . . . . . . . . . . . . . . . .4178
74-8 . . . . . . . . . . . . . . . . . .4157 83-3 . . . . . . . . . . . . . . . . . .4179
75-1 . . . . . . . . . . . . . . . . . .4159 83-4 . . . . . . . . . . . . . . . . . .4180
75-2 . . . . . . . . . . . . . . . . . .4160 84-1 . . . . . . . . . . . . . . . . . .4126
75-3 . . . . . . . . . . . . . . . . . .4161 84-2 . . . . . . . . . . . . . . . . . .4127
75-4 . . . . . . . . . . . . . . . . . .4162 84-3 . . . . . . . . . . . . . . . . . .4128
75-5 . . . . . . . . . . . . . . . . . .4163 84-4 . . . . . . . . . . . . . . . . . .4129
75-6 . . . . . . . . . . . . . . . . . .4164 84-5 . . . . . . . . . . . . . . . . . .4130
76-1 . . . . . . . . . . . . . . . . . .4165 84-6 . . . . . . . . . . . . . . . . . .4131
76-2 . . . . . . . . . . . . . . . . . .4165.1 84-7 . . . . . . . . . . . . . . . . . .4132
76-3 . . . . . . . . . . . . . . . . . .4165.2 84-8 . . . . . . . . . . . . . . . . . .4136
76-4 . . . . . . . . . . . . . . . . . .4165.4 84-9 . . . . . . . . . . . . . . . . . .4138
76-5 . . . . . . . . . . . . . . . . . .4165.5 84-10 . . . . . . . . . . . . . . . . .4139
76-6 . . . . . . . . . . . . . . . . . .4165.6 84-11 . . . . . . . . . . . . . . . . .4140
77-1 . . . . . . . . . . . . . . . . . .4166 84-12 . . . . . . . . . . . . . . . . .4141
78-1 . . . . . . . . . . . . . . . . . .4166A 85-1 . . . . . . . . . . . . . . . . . .4184A
79-1 . . . . . . . . . . . . . . . . . .4166B 85-2 . . . . . . . . . . . . . . . . . .4184B
79-2 . . . . . . . . . . . . . . . . . .4166B.1 85-3 . . . . . . . . . . . . . . . . . .4184C
79-3 . . . . . . . . . . . . . . . . . .4166B.2 86-1 . . . . . . . . . . . . . . . . . .4188
79-4 . . . . . . . . . . . . . . . . . .4166B.3 86-2 . . . . . . . . . . . . . . . . . .4189
556
Copyrighted by the Secretary of the State of the State of Connecticut
STATUTES NOTED
STATUTES NOTED
Wherever a statute has been mentioned in the rules of practice in this volume, it is noted in this table. The
abbreviation Ch. signifies chapter.
Statutes P.B. 2023 Statutes P.B. 2023
1-23 . . . . . . . . . . . . . . . . . . . . . . . . . 16-3 28-9 . . . . . . . . . . . . . . . . . . . . . . . . . 1-9B
16-8 29-18 . . . . . . . . . . . . . . . . . . . . . . . . 44-37
42-11 29-18a . . . . . . . . . . . . . . . . . . . . . . . 44-37
42-14 29-19 . . . . . . . . . . . . . . . . . . . . . . . . 44-37
1-24 . . . . . . . . . . . . . . . . . . . . . . . . 23-68 31-290a . . . . . . . . . . . . . . . . . . . . . . . 76-1
1-25 . . . . . . . . . . . . . . . . . . . . . . . . . 16-3 76-2
16-8 76-3
42-11 76-4
42-14 76-6
1-210 et seq. . . . . . . . . . . . . . . . . . . . 14-7B 84-4
Ch. 54 . . . . . . . . . . . . . . . . . . . . . . . . 14-5 31-290a (b) . . . . . . . . . . . . . . . . . . . . . 66-6
4-177 (d) . . . . . . . . . . . . . . . . . . . . . . 14-7A 76-1
4-183 et seq. . . . . . . . . . . . . . . . . . . . . . 8-1 Ch. 669 . . . . . . . . . . . . . . . . . . . . . . . 24-6
14-6 38a-139 . . . . . . . . . . . . . . . . . . . . . . . 14-7
14-7A 67-8A
4-183 (c) . . . . . . . . . . . . . . . . . . . . . . . . 8-1 68-10A
14-7A 45a-79b . . . . . . . . . . . . . . . . . . . . . . 19-3A
4-183 (g), (h), (i) . . . . . . . . . . . . . . . . . 14-7A 45a-186 . . . . . . . . . . . . . . . . . . . . . . 19-3A
Ch. 124 . . . . . . . . . . . . . . . . . . . . . . . 81-1 45a-186 to 45a-193. . . . . . . . . . . . . . . . 10-76
Ch. 124 through 134 . . . . . . . . . . . . . . . . 14-5 45a-611 . . . . . . . . . . . . . . . . . . . . . 35a-19
8-8 . . . . . . . . . . . . . . . . . . . . . . . . . 14-7B 45a-612 . . . . . . . . . . . . . . . . . . . . . 35a-19
8-8 (i). . . . . . . . . . . . . . . . . . . . . . . . 14-7B 45a-619 . . . . . . . . . . . . . . . . . . . . . 35a-19
8-8 (k) . . . . . . . . . . . . . . . . . . . . . . . 14-7B 45a-719 . . . . . . . . . . . . . . . . . . . . . 35a-18
8-132 . . . . . . . . . . . . . . . . . . . . . . . . 17-14 45a-757 . . . . . . . . . . . . . . . . . . . . . . . 7-14
17-18 46a-33a . . . . . . . . . . . . . . . . . . . . . . . 16-1
12-103 . . . . . . . . . . . . . . . . . . . . . . . . 14-7 42-10
67-8A 46b-1 . . . . . . . . . . . . . . . . . . . . . . . . 1-10B
67-10A 5-11
12-117a . . . . . . . . . . . . . . . . . . . . . . . 14-7 25-1
67-8A 46b-11 . . . . . . . . . . . . . . . . . . . . . . . . 77-1
67-10A 46b-15 . . . . . . . . . . . . . . . . . . . . . . . . . 4-5
7-11
12-119 . . . . . . . . . . . . . . . . . . . . . . . . 14-7
25-1
67-8A
61-11
67-10A 46b-16a . . . . . . . . . . . . . . . . . . . . . . 61-11
Title 14 . . . . . . . . . . . . . . . . . . . . . . . 44-25 46b-38c . . . . . . . . . . . . . . . . . . . . . . . 5-11
14-219 (e) . . . . . . . . . . . . . . . . . . . . . 44-23 38-2
17a-28 . . . . . . . . . . . . . . . . . . . . . . 34a-20 46b-49 . . . . . . . . . . . . . . . . . . . . . . . . 77-1
17a-75 . . . . . . . . . . . . . . . . . . . . . . 31a-15 46b-67 (b) . . . . . . . . . . . . . . . . . . . . . 25-34
17a-101 through 17a-101e. . . . . . . . . . . 31a-14 46b-81 . . . . . . . . . . . . . . . . . . . . . . . 61-11
17a-101g. . . . . . . . . . . . . . . . . . . . . 35a-14 46b-83 . . . . . . . . . . . . . . . . . . . . . . . 61-11
17a-110 (b) . . . . . . . . . . . . . . . . . . . . . 26-1 46b-115 et seq. . . . . . . . . . . . . . . . . . . 25-57
17a-111b (b). . . . . . . . . . . . . . . . . . . 35a-15 46b-120 . . . . . . . . . . . . . . . . . . . . . . . 26-1
17a-111b (c). . . . . . . . . . . . . . . . . . . . . 26-1 27-4A
17a-274 (b), (g), (h). . . . . . . . . . . . . . . 31a-15 46b-121 . . . . . . . . . . . . . . . . . . . . . . 1-10B
17a-685 . . . . . . . . . . . . . . . . . . . . . . . 7-11 26-1
43-40 34a-1
17a-693 et seq. . . . . . . . . . . . . . . . . . . 43-40 46b-121(a) . . . . . . . . . . . . . . . . . . . . 35a-22
17b-27 . . . . . . . . . . . . . . . . . . . . . . . 33a-7 46b-122 . . . . . . . . . . . . . . . . . . . . . . . 26-1
17b-450 . . . . . . . . . . . . . . . . . . . . . 31a-14 77-1
17b-451 . . . . . . . . . . . . . . . . . . . . . 31a-14 46b-127 . . . . . . . . . . . . . . . . . . . . . 31a-12
19a-131a. . . . . . . . . . . . . . . . . . . . . . . 1-9B 46b-128 . . . . . . . . . . . . . . . . . . . . . . 29-1A
Ch. 440 . . . . . . . . . . . . . . . . . . . . . . . 81-1 29-2
22a-43 . . . . . . . . . . . . . . . . . . . . . . . 14-7B 46b-128 (b) . . . . . . . . . . . . . . . . . . . . 30-10
26-5 . . . . . . . . . . . . . . . . . . . . . . . . 44-37 46b-129 . . . . . . . . . . . . . . . . . . . . . . . . 3-9
557
Copyrighted by the Secretary of the State of the State of Connecticut
STATUTES NOTED
Statutes P.B. 2023 Statutes P.B. 2023
4-5 51-195 . . . . . . . . . . . . . . . . . . . . . . . . 43-3
35a-4 43-24
35a-5 44-10A
46b-129 (c) . . . . . . . . . . . . . . . . . . . . 33a-7 51-197a . . . . . . . . . . . . . . . . . . . . . . 24-28
35a-4 51-199 (c) . . . . . . . . . . . . . . . . . . . . . . 65-1
46b-129 (d) . . . . . . . . . . . . . . . . . . . . 35a-4 65-3
46b-129 (k) . . . . . . . . . . . . . . . . . . . . . 26-1 76-5A
35a-14 51-199b . . . . . . . . . . . . . . . . . . . . . . . 82-1
46b-129 (k) (2) . . . . . . . . . . . . . . . . . 35a-14 82-8
46b-129 (m) . . . . . . . . . . . . . . . . . . . 35a-14 51-296 . . . . . . . . . . . . . . . . . . . . . . . 23-26
46b-129 (o) . . . . . . . . . . . . . . . . . . . 35a-22 44-4
46b-129 (p) . . . . . . . . . . . . . . . . . . . 35a-22 51-296a . . . . . . . . . . . . . . . . . . . . . . 33a-7
46b-129a (2). . . . . . . . . . . . . . . . . . . . 33a-7 51-297 (g) . . . . . . . . . . . . . . . . . . . . . . 37-6
46b-133 . . . . . . . . . . . . . . . . . . . . . . 30-1A 51-345 . . . . . . . . . . . . . . . . . . . . . . . . 24-4
46b-133 (a), (b), (c), (d) . . . . . . . . . . . . . 29-1A 51-345 (d) . . . . . . . . . . . . . . . . . . . . . . 24-4
46b-133 (e) . . . . . . . . . . . . . . . . . . . . . 30-6 51-345 (g) . . . . . . . . . . . . . . . . . . . . . . 24-4
46b-133 (g) . . . . . . . . . . . . . . . . . . . . 30-10 51-346 . . . . . . . . . . . . . . . . . . . . . . . . 24-4
46b-133b. . . . . . . . . . . . . . . . . . . . . . . 26-1 51-347 . . . . . . . . . . . . . . . . . . . . . . . . 24-4
46b-133e. . . . . . . . . . . . . . . . . . . . . . . 26-1 51-347b . . . . . . . . . . . . . . . . . . . . . . . 12-1
46b-136 . . . . . . . . . . . . . . . . . . . . . . 33a-7 12-3
35a-4 52-11 . . . . . . . . . . . . . . . . . . . . . . . . . 9-24
46b-140 . . . . . . . . . . . . . . . . . . . . . . 30a-5 52-48 . . . . . . . . . . . . . . . . . . . . . . . . . 14-6
31a-15 52-52 . . . . . . . . . . . . . . . . . . . . . . . . . 11-7
46b-149 (h) . . . . . . . . . . . . . . . . . . . . . 26-1 52-69 . . . . . . . . . . . . . . . . . . . . . . . . . . 9-1
46b-151h. . . . . . . . . . . . . . . . . . . . . . 30-2A 52-73a . . . . . . . . . . . . . . . . . . . . . . . . 9-25
46b-172 . . . . . . . . . . . . . . . . . . . . . . 33a-7 52-78 . . . . . . . . . . . . . . . . . . . . . . . . . 9-12
46b-215a. . . . . . . . . . . . . . . . . . . . . 25a-30 52-86 . . . . . . . . . . . . . . . . . . . . . . . . . 3-13
46b-215b. . . . . . . . . . . . . . . . . . . . . 25a-30 52-87 . . . . . . . . . . . . . . . . . . . . . . . . . . 9-1
46b-220 through 46b-223 . . . . . . . . . . . . . 2-46 52-88 . . . . . . . . . . . . . . . . . . . . . . . . . . 9-2
46b-220 (a) . . . . . . . . . . . . . . . . . . . . . 2-46 52-91 . . . . . . . . . . . . . . . . . . . . . . . . 10-20
46b-220 (b) . . . . . . . . . . . . . . . . . . . . . 2-46 52-97 . . . . . . . . . . . . . . . . . . . . . . . . 10-21
46b-231 . . . . . . . . . . . . . . . . . . . . . 25a-1A 52-99 . . . . . . . . . . . . . . . . . . . . . . . . . 10-5
25a-29 52-101 . . . . . . . . . . . . . . . . . . . . . . . . . 9-3
46b-231(s) (4) . . . . . . . . . . . . . . . . . . 25a-18 52-102 . . . . . . . . . . . . . . . . . . . . . . . . . 9-6
46b-301 through 46b-425 . . . . . . . . . . . 25a-27 52-106 . . . . . . . . . . . . . . . . . . . . . . . . 9-11
47-33 . . . . . . . . . . . . . . . . . . . . . . . . . . 9-1 52-107 . . . . . . . . . . . . . . . . . . . . . . . . 9-18
47a-14h . . . . . . . . . . . . . . . . . . . . . . . 7-11 52-108 . . . . . . . . . . . . . . . . . . . . . . . . 9-19
47a-68 . . . . . . . . . . . . . . . . . . . . . . . . . 1-7 52-109 . . . . . . . . . . . . . . . . . . . . . . . . 9-20
24-4 52-110 . . . . . . . . . . . . . . . . . . . . . . . . 9-21
49-17 . . . . . . . . . . . . . . . . . . . . . . . . . . 6-3 52-114 . . . . . . . . . . . . . . . . . . . . . . . 10-53
49-31l . . . . . . . . . . . . . . . . . . . . . . . 10-12 52-115 . . . . . . . . . . . . . . . . . . . . . . . 10-73
Ch. 862 . . . . . . . . . . . . . . . . . . . . . . . 23-1 52-117 . . . . . . . . . . . . . . . . . . . . . . . 10-71
51-36a . . . . . . . . . . . . . . . . . . . . . . 31a-14 52-118 . . . . . . . . . . . . . . . . . . . . . . . 10-72
51-52 . . . . . . . . . . . . . . . . . . . . . . . . . . 7-2 24-24
51-52a (b) . . . . . . . . . . . . . . . . . . . . . . . 7-9 52-119 . . . . . . . . . . . . . . . . . . . . . . . 10-18
51-59 . . . . . . . . . . . . . . . . . . . . . . . . . 7-17 52-128 . . . . . . . . . . . . . . . . . . . . . . . 10-59
51-81b . . . . . . . . . . . . . . . . . . . . . . . . 2-16 52-130 . . . . . . . . . . . . . . . . . . . . . . . 10-60
2-27 52-131 . . . . . . . . . . . . . . . . . . . . . . . 10-67
51-81c . . . . . . . . . . . . . . . . . . . . . . . . 2-68 52-136 . . . . . . . . . . . . . . . . . . . . . . . 10-65
2-73 52-137 . . . . . . . . . . . . . . . . . . . . . . . 10-63
9-9 52-138 . . . . . . . . . . . . . . . . . . . . . . . 10-64
51-81d (f) . . . . . . . . . . . . . . . . . . . . . . 2-76 52-139 to 52-142 . . . . . . . . . . . . . . . . . 10-54
51-84 . . . . . . . . . . . . . . . . . . . . . . . . . 1-25 52-143 et seq.. . . . . . . . . . . . . . . . . . . 32a-2
5-10 52-178 . . . . . . . . . . . . . . . . . . . . . . . 13-26
85-2 52-189 . . . . . . . . . . . . . . . . . . . . . . . . 8-10
51-88 . . . . . . . . . . . . . . . . . . . . . . . . . 2-33 52-190a . . . . . . . . . . . . . . . . . . . . . . . 13-2
2-34A 52-192a . . . . . . . . . . . . . . . . . . . . . . 17-18
2-63 52-193 . . . . . . . . . . . . . . . . . . . . . . . 17-11
51-189 . . . . . . . . . . . . . . . . . . . . . . . . 20-3 52-194 . . . . . . . . . . . . . . . . . . . . . . . 17-12
51-190a . . . . . . . . . . . . . . . . . . . . . . . 20-4 52-195 . . . . . . . . . . . . . . . . . . . . . . . 17-13
51-193l . . . . . . . . . . . . . . . . . . . . . . . . . 1-1 52-196 . . . . . . . . . . . . . . . . . . . . . . . 14-23
23-68 52-200 . . . . . . . . . . . . . . . . . . . . . . . 13-18
558
STATUTES NOTED
Statutes P.B. 2023 Statutes P.B. 2023
52-205 . . . . . . . . . . . . . . . . . . . . . . . . 15-1 52-591 . . . . . . . . . . . . . . . . . . . . . . . . 14-6
52-208 . . . . . . . . . . . . . . . . . . . . . . . . . 5-6 52-592 . . . . . . . . . . . . . . . . . . . . . . . . 14-6
52-209 . . . . . . . . . . . . . . . . . . . . . . . . 15-7 52-593 . . . . . . . . . . . . . . . . . . . . . . . . 14-6
52-212 . . . . . . . . . . . . . . . . . . . . . . . 17-43 53a-39a . . . . . . . . . . . . . . . . . . . . . . . 43-3
52-215 . . . . . . . . . . . . . . . . . . . . . . . 14-10 53a-39c . . . . . . . . . . . . . . . . . . . . . . 43-40
52-216 . . . . . . . . . . . . . . . . . . . . . . . . 16-9 53a-40c . . . . . . . . . . . . . . . . . . . . . . 61-13
52-216a . . . . . . . . . . . . . . . . . . . . . . 17-2A 53a-40e . . . . . . . . . . . . . . . . . . . . . . 61-13
52-216b . . . . . . . . . . . . . . . . . . . . . . 16-19 53a-46a . . . . . . . . . . . . . . . . . . . . . . . 67-6
52-218 . . . . . . . . . . . . . . . . . . . . . . . 16-10 53a-46b . . . . . . . . . . . . . . . . . . . . . . . 67-6
52-219 . . . . . . . . . . . . . . . . . . . . . . . 16-11 53a-46b (b) . . . . . . . . . . . . . . . . . . . . . 67-6
52-221 . . . . . . . . . . . . . . . . . . . . . . . 17-34 53a-54b . . . . . . . . . . . . . . . . . . . . . . . 67-6
52-223 . . . . . . . . . . . . . . . . . . . . . . . 16-17 53a-54d . . . . . . . . . . . . . . . . . . . . . . 27-4A
52-225 . . . . . . . . . . . . . . . . . . . . . . . . 17-2 53a-70 . . . . . . . . . . . . . . . . . . . . . . . . 7-11
52-225a . . . . . . . . . . . . . . . . . . . . . . 10-78 53a-70a . . . . . . . . . . . . . . . . . . . . . . . 7-11
16-35 53a-172 . . . . . . . . . . . . . . . . . . . . . . . 38-4
17-2A 53a-173 . . . . . . . . . . . . . . . . . . . . . . . 38-4
52-225b . . . . . . . . . . . . . . . . . . . . . . 10-78 54-1b . . . . . . . . . . . . . . . . . . . . . . . . . 37-3
52-226 . . . . . . . . . . . . . . . . . . . . . . . . 17-7 54-1g . . . . . . . . . . . . . . . . . . . . . . . . . 37-1
52-227 . . . . . . . . . . . . . . . . . . . . . . . . 17-1 54-2a . . . . . . . . . . . . . . . . . . . . . . . . . 38-1
52-228 . . . . . . . . . . . . . . . . . . . . . . . . 17-3 54-33c . . . . . . . . . . . . . . . . . . . . . . . . 7-13
52-231 . . . . . . . . . . . . . . . . . . . . . . . . 17-5 42-49A
52-235a . . . . . . . . . . . . . . . . . . . . . . 17-59 77-1
52-257 . . . . . . . . . . . . . . . . . . . . . . . . 8-3A 54-36h . . . . . . . . . . . . . . . . . . . . . . . . 7-11
18-16 Ch. 959a . . . . . . . . . . . . . . . . . . . . . . 41-14
54-46a . . . . . . . . . . . . . . . . . . . . . . . . 41-9
18-18
54-47g . . . . . . . . . . . . . . . . . . . . . . . . 78-1
52-259 (i) . . . . . . . . . . . . . . . . . . . . . . 2-16
54-56d . . . . . . . . . . . . . . . . . . . . . . . 42-39
62-8A 54-56d (j) . . . . . . . . . . . . . . . . . . . . 44-10A
52-259b . . . . . . . . . . . . . . . . . . . . . 44-10A 54-56d (k) . . . . . . . . . . . . . . . . . . . . 44-10A
63-6 54-56e . . . . . . . . . . . . . . . . . . . . . . . 43-40
52-263 . . . . . . . . . . . . . . . . . . . . . . . . . 6-1 54-56f . . . . . . . . . . . . . . . . . . . . . . . . 38-4
52-265a . . . . . . . . . . . . . . . . . . . . . . . 83-1 54-56g . . . . . . . . . . . . . . . . . . . . . . . 43-40
83-2 54-56i . . . . . . . . . . . . . . . . . . . . . . . 43-40
83-3 54-56l . . . . . . . . . . . . . . . . . . . . . . . 43-40
52-270 . . . . . . . . . . . . . . . . . . . . . . 31a-11 54-56m. . . . . . . . . . . . . . . . . . . . . . . 43-40
42-55 54-56p . . . . . . . . . . . . . . . . . . . . . . . 43-40
52-278d . . . . . . . . . . . . . . . . . . . . . . 13-13 54-63g . . . . . . . . . . . . . . . . . . . . . . . . 65-3
52-278e . . . . . . . . . . . . . . . . . . . . . . 13-13 54-64a (b) (1) . . . . . . . . . . . . . . . . . . . . 38-4
52-278i . . . . . . . . . . . . . . . . . . . . . . . 13-13 54-64b . . . . . . . . . . . . . . . . . . . . . . . . 37-3
52-307 . . . . . . . . . . . . . . . . . . . . . . . 13-13 54-66 . . . . . . . . . . . . . . . . . . . . . . . . . 38-9
52-308 . . . . . . . . . . . . . . . . . . . . . . . 13-13 54-76h . . . . . . . . . . . . . . . . . . . . . . . 42-49
52-380a . . . . . . . . . . . . . . . . . . . . . . 10-69 77-1
Ch. 909 . . . . . . . . . . . . . . . . . . . . . . . 23-1 54-82c . . . . . . . . . . . . . . . . . . . . . . . 43-39
52-434 . . . . . . . . . . . . . . . . . . . . . . . . . 1-1 54-82i . . . . . . . . . . . . . . . . . . . . . . . 40-44
19-3 44-34
52-434a . . . . . . . . . . . . . . . . . . . . . . 63-10 54-95 . . . . . . . . . . . . . . . . . . . . . . . . . 43-2
52-504 . . . . . . . . . . . . . . . . . . . . . . . . 20-2 54-102b . . . . . . . . . . . . . . . . . . . . . . 61-13
52-506 . . . . . . . . . . . . . . . . . . . . . . . . 21-4 54-102g . . . . . . . . . . . . . . . . . . . . . . 61-13
52-513 . . . . . . . . . . . . . . . . . . . . . . . 21-17 54-152 . . . . . . . . . . . . . . . . . . . . . . . 44-34
52-549z . . . . . . . . . . . . . . . . . . . . . . . 19-3 Ch. 964 . . . . . . . . . . . . . . . . . . . . . . 38-18
52-549aa. . . . . . . . . . . . . . . . . . . . . . 23-66 54-260 . . . . . . . . . . . . . . . . . . . . . . . 61-13
559
INDEX
APPEARANCE AND ARRAIGNMENT—CRIMINAL MAT-
ADDITUR TERS — (Cont)
Motion for 16-35 Dispositions without trial, miscellaneous 39-33
Nolle prosequi, see CRIMINAL PROCEDURE, Nolle
ADMINISTRATIVE APPEALS
Appendix 67-8A prosequi
Certified list of papers 14-7A Plea, see CRIMINAL PROCEDURE, Pleas
Civil rules, applicability of 14-6 Probable cause, determination of where defendant in cus-
Costs, taxation of 14-7A tody 37-12
Definition 14-5, 60-4 APPEARANCES—IN GENERAL
Designation of record 14-7A Appeal, appearance by counsel 62-8
Disputes concerning 14-7A Criminal appeals, hybrid representation prohibited 62-9A
Exceptions 14-7 Criminal appeals, removal or substitution of counsel
Municipal land use, historic and resource protection 62-9A
agencies Habeas corpus appeals, hybrid representation prohibited
Briefs 14-7B 62-9A
Certified list of papers 14-7B Pro hac vice appearance 62-8A
Costs, taxation of 14-7B Trial court files and motions, review of and participation
Designation of record 14-7B in by appellate counsel 62-8, 62-10
Disputes concerning 14-7B Withdrawal of appearance 62-9
Scheduling 14-7B Withdrawal of appearance, motion for review 62-9, 66-6
Settlement 14-7B Bail, detention hearing, or alternative arraignment proceed-
Scheduling order 14-7A ings only, appearances for 3-6
Service 14-7A Civil and family cases, appearance for plaintiff 3-1
ADMISSIONS Consequence of filing 3-7
See DISCOVERY AND DEPOSITIONS—CIVIL; PLEAD- Creditor, when allowed to appear and defend 3-13
INGS, CIVIL ACTIONS Duration of appearance 3-9
Electronic filing 4-4
ADMISSION TO PRACTICE Family matters 25-6
See ATTORNEYS, Admission To Practice By self-represented party in addition to attorney 25-6A
Failure to appear, consequences of 25-51, 25-52
ALIMONY Family support magistrate matters 25a-2, 25a-3
See FAMILY MATTERS Filing 3-4
Form and signing of 3-3
ALTERNATE INCARCERATION PROGRAM Habeas corpus
See CRIMINAL PROCEDURE Appearance by petitioner in court 23-40
ALTERNATIVE DISPUTE RESOLUTION 23-67 By interactive audiovisual device 23-40
Counsel, appointment of 23-26
AMENDMENT OF PLEADINGS Motion for leave to withdraw appearance 23-41
See PLEADINGS—CIVIL ACTIONS Judicial action on 23-42
Interactive audiovisual device, appearance by means of in
AMICUS CURIAE civil proceedings 23-68
Appellate brief of 67-7, 67-7A Interactive audiovisual device, appearance of detained child
by means of in detention hearings 30-12
ANNULMENT
Limited appearance 3-3, 3-8
See FAMILY MATTERS
Completion of 3-9
ANSWER Legal interns 3-14
See PLEADINGS—CIVIL ACTIONS Activities of 3-17
Certification of 3-18
APPEARANCE AND ARRAIGNMENT—CRIMINAL MAT- Out-of-state interns 3-21
TERS Requirements and limitations 3-16
See also APPEARANCES—IN GENERAL Supervision of legal interns 3-15
Appearance after pretrial release 38-6 Unauthorized practice 3-20
Arraignment, timing, alternative proceedings 37-1 Motion to withdraw 3-10
Constitutional rights, advisement of 37-3, 37-4 Name, composition or membership of firm or professional
Indigency, investigation of 37-5 corporation, notice of change of 3-12
Information and materials to be provided to defendant Notice to counsel and self-represented parties 3-4
37-2 Plaintiff, appearance for 3-1
Public defender, appointment 37-6 Pro hac vice appearance 2-16, 62-8A
Reference to, investigation of indigency 37-5 Represented party, appearance for 3-8
Detention prior to arraignment, trial, sentencing, limit on Service of appearances on other parties 3-5
38-18 Several parties, appearance for 3-11
Disposition conference 39-11—39-17 Time to file appearance 3-2
561
Copyrighted by the Secretary of the State of the State of Connecticut
INDEX
APPEARANCES—IN GENERAL — (Cont) APPELLATE PROCEDURE — (Cont)
Withdrawal of appearance 3-9 Appellate review attorney, see Child protection matters,
Limited appearance to object to in place of appearance appeals, this title
3-9 Appellee, definition 60-4
Writ or complaint, appearance for plaintiff 3-1 Brief of, contents and organization 67-5
Appendix
APPELLATE COURT Addendum to 66-5
See generally APPELLATE PROCEDURE Administrative appeals 67-8A
Certification for review by Supreme Court, order granting,
APPELLATE PROCEDURE included in appendix 67-8
See also CRIMINAL PROCEDURE, Appeal; JUVENILE Certified questions to or from courts of other jurisdictions
MATTERS, Appeal Time for filing 82-6
Additions to case file 68-1 Child protection matters, appeals 79a-6
Administrative appeal, definition 60-4 Clerk Appendix
Amended appeals 61-9 Assembly 68-2A
Amicus curiae Contents 68-3A
Briefs 67-7, 67-7A Decision, as part of 68-11A
Appeal form, filing 63-3 Format 68-4A
Additional papers to be filed 63-4 (a) In administrative appeals 68-10A
Amendment of papers 63-4 (b) Supplements 68-8A
Where to file 63-3 When more than one appeal 68-5A
Withdrawal of appeal 63-9 When several cases present same question 68-6A
Appeal period, generally 63-1 (a) and (b) Complaint, included in appendix 67-8
Briefing obligations, stay of 67-12 Consolidated appeals 61-7
Motion for 63-1 (d) Permission to file separate brief and appendix, motion
Calculation of time, in general 63-2 for 61-7
Motions that delay commencement of 11-11 Contents and organization 67-8
New appeal period, how created 63-1 (c) (1) Copies 67-2
Simultaneous filing required of motions that render Corrections or articulations
judgment or decision ineffective 63-1 (e) Included in appendix, generally 66-7
What may be appealed during 63-1 (c) (3) Included in appellant’s appendix or party appendix 66-5
Who may appeal during 63-1 (c) (2) Included in appellee’s appendix or party appendix 66-5
Appeal, right to 61-1 Included in clerk appendix 66-5
Appearance by counsel 62-8 Filed as addendum by appellant 66-5
Criminal appeals, hybrid representation prohibited 62-9A Cross appeals 67-1
Criminal appeals, removal or substitution of counsel Decisions of trial court, part of appendix 67-8
62-9A Format and filing 62-7, 67-2
Habeas corpus appeals, hybrid representation prohibited Generally 67-1
62-9A Judgment file, signed 67-8
Habeas corpus appeals, removal or substitution of coun- Party appendix 67-8
sel 62-9A Personal identifying information 62-7, 67-1, 67-2, 67-2A,
Pro hac vice 62-8A 67-8
Trial court files and motions, review of and participation Self-represented, incarcerated, preparation of appendix,
in by appellate counsel 62-8, 62-10 criminal and habeas matters 68-1
Withdrawal of appearance 62-9 Time for filing 67-3
Appellant, definition 60-4 Applications
Brief of, contents and organization 67-4 Filing procedures 66-3
Responsibility to provide adequate record for review 60-5 Form 66-2, 66-3
Appellate clerk 62-2 Memoranda, supporting and opposing 66-2
Assignment list, delivery to counsel of record 69-3 Argument, see Oral argument this title
Docketing of cases 62-3 Articulation, order 60-5
Ready case docket, distribution 69-1 Failure to seek, effect of 61-10
Exhibits, to be transmitted to appellate clerk by trial court Motion for 66-5
clerk 68-1 Review of decision on 66-7
Extension of time motions, action on 66-1, 79a-7 Assignment of cases for argument 69-2
Judgment files, preparation of 71-1 Order of assignment 69-3
Notice, automatic bankruptcy stay, challenge to 61-16 Precedence of Supreme and Appellate Court assign-
Notice, bankruptcy petition and of resolution 61-16 ments 69-3
Notice, decisions on motions and of orders to be given Ready cases 69-2
by appellate clerk 71-4 Authorities, table of in briefs 67-11
Notice, relief from automatic bankruptcy stay or in rem Automatic stay, Bankruptcy, see Bankruptcy, this title
relief 61-16 Automatic stay pending appeal, noncriminal cases 61-11 (a)
Notification of trial court clerk of change in parties 62-5 Automatic stay not available 61-11 (b) and (c)
Ready cases, distributing docket of 69-1 Criminal cases, stays in 61-13
Taxation of costs 71-2 Death cases, stays in 61-15
Motion to reconsider 71-3 Discretionary stay, motion for 61-12
562
Copyrighted by the Secretary of the State of the State of Connecticut
INDEX
APPELLATE PROCEDURE — (Cont) APPELLATE PROCEDURE — (Cont)
Automatic stay pending appeal, noncriminal cases 61-11 Chief justice or chief judge
(a) — (Cont) Action by, on motion for permission to appeal judgment
Family matters, not available 61-11 (c) not disposing all claims by or against party 61-4
Family support magistrate matters 61-11 (c) Designation of appellate panels and presiding judges by
Review of order concerning stay 61-14 chief judge 62-1
Bankruptcy Designation of chief judge by chief justice 62-1
Automatic stay, challenge of, notice 61-16 Permission to exceed page limitations of briefs 67-3
Automatic stay, notice of 61-16 Permission to exceed word limitations of briefs 67-3A
Automatic stay, relief from, notice of 61-16 Scheduling of sessions by chief judge 62-1
In rem relief, notice of 61-16 Child protection matters, appeals, in general 35a-21, 79a-1
Notice to appellate clerk, 61-16 Appellate counsel, application for 35a-21
Briefs, in general 67-1 Appellate review attorney, limited ‘‘in addition to’’ appear-
Amended appeals 61-9 ance 79a-3
Amicus curiae briefs 67-7, 67-7A Appellate review attorney, motion for appointment of 35a-
Appellant’s brief, contents and organization 67-4 21, 79a-3
Appellee’s brief, contents and organization 67-5 Applicability of appellate rules 79a-15
Certification concerning 62-7 Briefs and appendices 67-13, 79a-6
Child protection matters 67-13, 79a-6 Confidentiality of hearings, exclusion of unnecessary per-
Citation of cases, form 67-11 sons 79a-13
Consolidated or joint appeals 61-7 Docketing for assignment, Supreme and Appellate Courts
Copies 67-2, 67-2A 79a-8
Death sentences, statutory review of, briefs 67-6 Duties of clerk for juvenile matters 79a-3
Electronic briefing requirement 67-2 Extension of time, length 35a-21
Family matters 67-13 Extension of time, motions for 35a-21, 60-2, 66-1, 79a-7
Format 67-2, 67-2A Extension of time, termination of parental rights 79a-2
Land use regulations, statement as to 67-4, 67-5 Filing appeal 79a-3
Copy to be filed with brief 81-6 Indigent party, appeal by 35a-21, 79a-3
Motion to stay briefing obligations 63-1 (d) Inspection of records 79a-12
Page limitations 67-3 Motion for in-court review 79a-3
Reply brief 67-5A Motions, statement of consent or objection thereto 79a-14
Stay of briefing obligations 67-12 New appeal period 79a-2
Supplemental authorities, citation after filing of brief 67-10 Official release date 79a-11
Supplemental briefs 61-9 Oral argument 79a-9
On amendment of transcript statement 63-4 (b) Slip opinions 79a-11
Table of authorities 67-11 Submission on briefs and record 79a-10
Time for filing 67-3, 67-3A Time for filing, appeal 35a-21, 79a-2
Unreported decisions, citation of 67-10 Transcripts, ordering of 79a-5
Word limitations 67-3A Videoconference, oral argument by 79a-9
Cameras and electronic media 70-9 Waiver of fees, costs and security 79a-4
Citation of cases in briefs 67-11
Case citations in briefs, form 67-11
Citation of unreported decisions 67-10
Case file, preparation of 68-1
Claims to be preserved 60-5
Additions to after appeal taken 68-1
Clerk, appellate, see Appellate clerk, this title
Workers’ compensation appeals 76-3
Clerk, trial court, responsibilities after appeal filed 68-1
Certificate of interested entities or individuals, definition 60-4
Clerk appendix, see Appendix, this title
Certification Compensation Review Board, reservation of question from
Filed papers, certification of 62-7 76-5
For review by Appellate Court, see Petitions for certifica- Complaint, included in appendix 67-8
tion, this title Conditional plea of guilty or nolo contendere
For review by Supreme Court, see Petitions for certifica- Appeal from denial of motion to suppress or to dismiss
tion, this title 61-6 (a) (2) (A)
General Statutes § 52-265a, application for certification Reservation of right to appeal 61-6 (a) (2) (B)
pursuant to, in general 83-1 Connecticut Law Journal date as date of judgment or order
Application denied 83-3 71-1
Application granted 83-2 Connecticut Reports and Connecticut Appellate Reports,
Unavailability of chief justice 83-4 official opinions contained in 71-4
Habeas corpus 80-1 Consolidation of appeals 61-7
Certified questions to or from courts of other jurisdictions Appendices 61-3, 67-3A
Briefs, appendices and argument 82-6 Briefs 67-3, 67-3A
Certification of questions from other courts 82-1 Constitutionality of statute, statement in appeal of challenge
Certification of questions to other courts 82-8 to 63-4 (a)
Certification request, contents of 82-3 Control of proceedings on appeal 60-2
Preparation of 82-4 Copies of filed papers, in general 62-7
Fees and Costs 82-5 Of appeal 63-3
Filing after preliminary acceptance 82-5 Of appendices 67-2, 67-2A
Opinion on 82-7 Of briefs 67-2, 67-2A
563
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INDEX
APPELLATE PROCEDURE — (Cont) APPELLATE PROCEDURE — (Cont)
Costs Documents, form and contents 62-7 — (Cont)
Certified questions from federal courts 82-5 Timely submission 62-7
Judicial Review Council, costs waived in appeals from Electronic briefing requirement, see Briefs, this title
74-1 Electronic filing of appeal 60-7
Probate judicial conduct, costs waived in appeals from Electronic filing, exemption 60-8
decisions of council on 75-1 Electronic media coverage at proceedings 70-9
Security for not required 60-9 En banc consideration and reconsideration of cases 70-7
Waiver, civil cases 63-6 Reconsideration, motion for en banc 71-5
Waiver, criminal cases 63-7 Entity, definition 60-4
Taxation of 71-2 Evidence and exhibits
Motion to reconsider 71-3 Availability to parties 62-10
Workers’ compensation appeals 76-4 Removal 62-11
Counsel Transmitting exhibits to appellate clerk 68-1
Appearance by 62-8 Expedited review, court closure order or order sealing or
Appellate review attorney 79a-3 limiting disclosure 77-1
Assignment list, delivery to counsel of record 69-3 Fact-finding, Supreme Court 84a-1—84a-6
Counsel of record, definition 60-4 Family matters, briefs 67-13
Hybrid representation prohibited in criminal appeals 62- Family support magistrates, appeal from 25a-29
9A Federal courts, certified questions from, see Certified ques-
Notification to counsel of intended disposition of case tions from federal courts, this title
without argument 70-1 Fees
Removal or substitution of in criminal appeals 62-9A Appeal, fees on filing, in general 60-7, 60-8
Review of withdrawal 62-9, 66-6 Certification for review by Supreme Court, fees on 84-4
Trial court files, review of 62-8, 62-10 Statement that fees paid or not required 84-9
Trial court motions, participation by appellate counsel Waiver of fees, certification 84-4
62-8 Certified questions from federal courts 82-5
Withdrawal of 62-9 Entry fee, cross appeal 61-8
Court closure order, expedited review of 77-1 Entry fee, joint appeal 61-7
Criminal cases Judicial Review Council, fees waived in appeals from 74-1
Appeal by defendant 61-6 (a) Probate judicial conduct, fees waived in appeals from
Appeal by state 61-6 (b) decisions of council on 75-1
Interlocutory ruling, appeal from 61-6 (c) Waiver, civil cases 63-6
Stays in 61-13 Waiver, criminal cases 63-7
Cross appeals 61-8 Workers’ compensation appeals 76-4
Appendices 67-3, 67-3A File, definition 60-4
Briefs 67-3, 67-3A Files
Cross petition for certification 81-1, 84-4 Availability to parties 62-10
Death sentences, statutory review of, briefs 67-6 Case file, preparation of 68-1
Stay of 61-15 Removal 62-11
Decision of trial court, statement of 64-1 Filing appeal 60-7, 63-3; see also 63-1 and 63-2 on appeal
Defendant, reference to in brief 67-1 period and calculating time
Deferral of appeal where undisposed complaint, counter- Additional papers to be filed 63-4 (a)
claim or cross complaint remains 61-2 Amendment of 63-4 (b)
Notice of intent to appeal 61-2, 61-5 (a) Exemption from electronic filing 60-8
Failure to file, consequences 61-5 (b) Final judgment, right to appeal from 61-1
Objection to deferral of appeal 61-5 (a) What constitutes 61-2
Definitions 60-4 Deferral of appeal 61-2, 61-3
Designation of proposed contents of clerk appendix 63-4 (a) Notice of intent to appeal 61-5 (a)
Diligence, lack in prosecuting or defending appeal 85-1 Failure to file, consequences 61-5 (b)
Dismiss, motion to 66-8 Objection to deferral 61-5 (a)
Docket Judgment disposing of part of complaint, counterclaim
Certified questions from federal courts 82-5 or cross complaint
Entry of cases on by appellate clerk 62-3 All claims by or against party in particular pleading
Ready case docket, distribution of 69-1 disposed 61-3
Transfer of matters between Supreme Court and Appel- All claims by or against party not disposed, motion
late Court 65-1, 65-1A for permission to appeal 61-4
Party motion for transfer from Appellate Court to Further articulation, remand for 60-5
Supreme Court 65-2 General Statutes § 52-265a, application for certification pur-
Trial court docket, appealed cases to remain on 62-4 suant to, in general 83-1
Docketing statement, filing with appeal 63-4 (a) Application denied 83-3
Amendment 63-4 (b) Application granted 83-2
Documents, form and contents 62-7 Unavailability of chief justice 83-4
Certification 62-7 Grand jury order, review of 78-1
Definition 60-4 Habeas corpus, certification to appeal 80-1
Filing and service 62-7 Hearings on motions 66-4
Time limitations, calculation 63-2 Issues, definition 60-4
564
Copyrighted by the Secretary of the State of the State of Connecticut
INDEX
APPELLATE PROCEDURE — (Cont) APPELLATE PROCEDURE — (Cont)
Joint appeals 61-7 Notice of intent to appeal 61-2, 61-5 (a)
Appendices 67-3, 67-3A Failure to file, consequences 61-5 (b)
Briefs 67-3, 67-3A Objection to deferral of appeal 61-5 (a)
Judges and justices sitting as Superior Court judges 60-6 Opinions
Judgments, appealability, see Final judgment, right to Certified questions from federal courts, opinions on 82-5
appeal from, this title Official opinions contained in Connecticut Reports and
Judgments in appellate proceedings Connecticut Appellate Reports 71-4
Connecticut Law Journal date as date of judgment or Official release date 71-1, 71-4
order 71-1 Child protection matters, appeals 79a-11
Costs, taxation of 71-2 Memorandum of decision 71-4
Motion to reconsider 71-3 Opinion 71-4
Judgment files, preparation by appellate clerk 71-1 Slip opinion 71-1, 71-4, 79a-11
Judicial Review Council, appeals from, in general 74-1 Reporter of Judicial Decisions to send copy to trial court
Appellate rules, applicability of 74-6 71-4
Decision of council statement of 74-4 Oral argument, assignment of cases for 69-2
Fees and costs waived 74-1 Child protection matters 79a-9
Initiation of proceedings by Supreme Court 74-3A Submission without oral argument 79a-10
Papers to be filed 74-1 Disposition of cases without argument, determination by
Parties, proper form of reference 74-5 court and notification of counsel 70-1
Referral to Supreme Court by council 74-2A En banc consideration 70-7
Jurisdiction, original of Supreme Court Nonappearance at 70-3
Discovery 84a-3 Order of argument 70-3
Evidence 84a-5 Order of assignment for argument 69-3
Fact-finding 84a-4 Points of argument 70-5
Filing original jurisdiction action 84a-2 Precedence of Supreme and Appellate Court assign-
Other officers, appointment of 84a-6 ments 69-3
Pleadings and motions 84a-2 Ready cases 69-2
Rules, Application of 84a-1 Rebuttal 70-5
Land use regulations Reconsideration where court evenly divided 70-6
Copy to be filed with brief 81-6 Right to oral argument, and exceptions 70-1, 70-2
Statement as to applicable version 67-4, 67-5 Submission without oral argument 70-2
Liberal interpretation of rules 60-1 Time allowed 70-4
Memorandum of decision by trial court 64-1 Videoconferencing, certain cases 70-1
Exceptions to requirement 64-2 Who may argue 70-4
Included in appendix 67-8 Orders, notice of to be given by appellate clerk 71-4
Motions Page limitations for briefs 67-3
Articulation, motion for 66-5 Papers
Costs, motion to reconsider 71-3 Additional papers to be filed with appeal 63-4 (a)
Decisions on motions, notice of to be given by appellate Amendment 63-4 (b)
clerk 71-4 Certification 62-7
Definition of motion 60-4 Copies, number of 62-7
Delaying commencement of appeal period 11-11, 63-1 Filing and service 62-7
(c) (1) Timely submission 62-7
Simultaneous filing of motions required 63-1 (e) Calculating time for filing 63-2
Dismiss, motion to 66-8 Parties
Extension of time 66-1, 79a-7 Availability to of files, evidence and exhibits 62-10
Petitions for certification 81-5 Change in, court where made 62-5
Filed after appeal that stays appeal period 63-1 (c) Party appendix, see Appendix, this title
Filing procedures 66-3 Perfection of record, motion to be filed in court having juris-
Form 66-2, 66-3 diction of appeal 60-2
Hearings on 66-4 Petition
In-court review 79a-3 Definition of petition 60-4
Memorandum in support or opposition 66-2 Filing procedures 66-3
Nonautomatic stay pending appeal, motion for 61-12 Form of 66-2, 66-3
Official notice date 66-2 Memorandum in support or opposition 66-2
Permission to appeal where all claims by or against party Petitions for certification
not disposed of, motion for 61-4 For review by Appellate Court, in general, filing 81-1
Rectification, motion for 66-5 Extensions of time 81-5
Review, motion for 66-6 Grant or denial 81-3A
Review of decision on motion for articulation or rectifica- Filing appeal after certification 81-4
tion 66-7 Form of petition 81-2
Review of order concerning stay, motion for 61-14 Opposition, statement in 81-3
Terminate stay pending appeal, motion for 61-11 For review by Supreme Court, in general 84-1
Transfer from Appellate Court to Supreme Court 65-2 Basis for 84-2
Nolo contendere, appeal from denial of motion to suppress Family and child protection and other matters involving
or dismiss after conditional plea of 61-6 (a) (2) minor children 84-6A
565
Copyrighted by the Secretary of the State of the State of Connecticut
INDEX
APPELLATE PROCEDURE — (Cont) APPELLATE PROCEDURE — (Cont)
Petitions for certification — (Cont) Review of order concerning stay 61-14
Filing, fees, time to file 84-4 Review of rectification or articulation 66-7
Extensions of time 84-7 Right to appeal 61-1
Form of petition 84-5 Reservation of on conditional plea of guilty or nolo conten-
Grant or denial of certification 84-8 dere 61-6 (a) (2) (B)
Appellate rules, applicability of 84-12 Rules
Filing appeal after certification granted 84-9, 84-11 Changes in, applicability to pending appeals 86-2
Opposition, statement in 84-6 Effective date 86-1
Record 84-10A Interim rules or changes 86-1
Stay of execution 84-3 Liberal interpretation 60-1
Trial court ruling, copy of, when required 84-5 Suspension of 60-3
Waiver of fees, certification 84-4 Sanctions
Workers’ compensation cases 84-4 Actions subject to 85-2
Petition for review of order concerning release on bail 78a-1 Diligence in prosecuting or defending appeal, sanctions
Petition for review of order denying application for waiver for 85-1
of fees to commence a civil action or a writ of habeas Failure to comply with rule on appeal papers 63-4 (c)
corpus 78b-1 Procedure 85-3
Petition for review seeking expedited review of order con- Security for costs 60-9
cerning court closure or that seals or limits disclosure of Waiver, civil cases 63-6
material 77-1 Waiver, criminal cases 63-7
Plain error review 60-5 Service and filing, in general 62-7
Plaintiff, reference to in brief 67-1 Sessions, scheduling by chief judge 62-1
Preargument conferences 63-10 Cameras and electronic media 70-9
Exceptions 63-10 Signature, definition 60-4
Failure to attend, sanctions for 85-1 On documents 62-6
Preargument conference statement, filing with appeal 63- Special sessions of court 70-8
4 (a) Stay of briefing obligations 67-12
Amendment 63-4 (b) Stay of execution pending appeal
Request for preargument conference, procedure in Automatic stay, noncriminal cases 61-11 (a)
exempt case 63-10 Automatic stay not available, where 61-11 (b)
Preliminary statement of issues 63-4 (a) Automatic stay, family matters, not available 61-11 (c)
Amendment 63-4 (b) Automatic stay, order of civil protection, not available
Preservation of claims 60-5 61-11 (c)
Probate judicial conduct, appeals from decisions of council Certification for review by Supreme Court, stay pending
on, in general 75-1 84-3
Appellate rules, applicability of 75-6 Criminal cases, stays in 61-13
Decision of council, statement of 75-4 Death penalty cases, stays in 61-15
Fees and costs waived 75-1 Discretionary stay, motion for 61-12
Papers to be filed 75-1 Discretionary stay, order sua sponte 61-12
Parties, proper form of reference 75-5 Reconsideration, stay pending 71-6
Publication of rules, effective date 86-1 Review of order concerning stay 61-14
Ready cases Termination of stay 61-11 (c) and (d)
Assignment, generally 69-2 United States Supreme Court, stay pending decision by
Order of 69-3 71-7
Precedence of Supreme and Appellate Court assign- Supervision of proceedings on appeal 60-2
ments 69-3 Supplemental authorities, citation after filing of brief 67-10
Definition of 69-2 Supplemental briefs, amended appeals 61-9
Docket, distribution of 69-1 Suspension of rules 60-3
Reconsideration en banc 70-7 Taxation of costs 18-5, 71-2
Motion for 71-5 Motion to reconsider 71-3
Stay pending 71-6 Time
Record Briefs and appendices, time for filing 67-3, 67-3A
Appellant to provide adequate record 60-5, 61-10 Motion to stay briefing obligations 63-1 (d)
Definition 60-4 Calculation of 63-2
Motion for perfection to be filed in court having jurisdiction Extension of 66-1
of appeal 60-2 Extension of, child protection matters 79a-7
Rectification, motion for 66-5 Petitions for certification for review by Appellate Court
Removal of files, records and exhibits 62-11 81-1
Reporter of Judicial Decisions Extension of time 81-5
Sending opinions to trial court 71-4 Petitions for certification for review by Supreme Court 84-4
Sending rescripts to trial court and appellate clerk 71-4 Extensions of time 84-7
Request, definition 60-4 Transcript
Rescripts, to be sent to trial court and appellate clerk 71-4 Electronic 63-8A
Reservations 73-1 Excerpts, included in appendix 67-8
By Compensation Review Board 76-5 Ordering and filing, paper 63-8
Review, motion for 66-6 Rectification, motion for 66-5
566
Copyrighted by the Secretary of the State of the State of Connecticut
INDEX
APPELLATE PROCEDURE — (Cont) ARBITRATION — (Cont)
Transcript — (Cont) Hearing in 23-63
Statement, filing with appeal 63-4 (a) Failure to appear at hearing 23-65
Amendment 63-4 (b) Referral to arbitrators 23-61
Statement that transcript not necessary, filing with appeal Selection of arbitrators 23-62
63-4 Trial de novo, claim for 23-66
Transfer
Matters between Supreme Court and Appellate Court ARGUMENT BY COUNSEL
65-1, 65-1A Generally 15-5, 15-6; see also APPELLATE PROCE-
Party motion for transfer from Appellate Court to Supreme DURE, Oral Argument
Court 65-2 Argument on interlocutory questions during trial 5-5
Petition for review of order concerning release 65-3 Time limit 15-7
Proceedings after 65-5 Criminal cases 42-37
Wrong court, matter brought to 65-4 ARREST AND PRELIMINARY CRIMINAL PROCEDURE
Trial court clerk, responsibilities 68-1 See also APPEARANCE AND ARRAIGNMENT—CRIM-
Trial court decision, statement of 64-1 INAL MATTERS; CRIMINAL PROCEDURE, Bail;
Copy of to accompany petition for certification, when 84-5 Bond; Pleas
Trial court docket, appealed cases to remain on 62-4 By warrant, issuance 36-1
Trial court files and motions, review of and participation in Affidavit supporting warrant application 36-2
by appellate counsel 62-8, 62-10 Cancellation of warrant 36-6
United States Supreme Court, stay pending decision by 71-7 Contents of warrant 36-3
Unreported decisions, citation of 67-10 Execution and return of warrant 36-5
Videoconference, hearings on motions 66-4 Information and complaint, use 36-11
Waiver of fees, costs and security Amendments, minor defects 36-16
Civil cases 63-6 Continuance necessitated by amendment 36-20
Criminal cases 63-7 Essential facts, request by defendant for 36-19
Petition for review of order denying application for, to Substantive amendment after trial commenced 36-18
commence action 78b-1 Substantive amendment before trial 36-17
Withdrawal of appeal or writ of error 63-9 Filing and availability of information 36-15
Withdrawal of appearance 62-9 Former conviction in information 36-14
Withdrawal of appearance, review of 62-9, 66-6 Election of jury trial 42-2
Word limitations for briefs 67-3A Plea to 37-10
Workers’ compensation appeals Form of information 36-13
Applicability of appellate rules 76-1 Issuance of information 36-12
Case file, exhibits 76-3 Joinder
Definitions 76-6 Defendants 36-22
Fees and costs 76-4 Offenses 36-21
Filing appeal 76-2 Summons, form of summons and complaint 36-7
Petitions for certification 84-4 Direction by judicial authority for use of 36-4
Reservation of question from Compensation Review Failure to respond to 36-10
Board 76-5, 76-5A In lieu of arrest warrant 36-12
Writ of error, in general 72-1 Service of 36-9
Appellate rules, applicability of 72-4
ARREST OF JUDGMENT
Copy of record not to be taxed in costs 18-6
Form of 72-2 Motion in arrest of judgment 16-35
Procedure applicable 72-3 ASSIGNMENT FOR TRIAL—CIVIL
Withdrawal 63-9 See generally Chapter 14; see also TRIALS IN
Wrong court, transfer of matters brought to 65-4 GENERAL
Administrative appeals
APPENDIX Briefing schedule 14-7
See APPELLATE PROCEDURE Civil rules, applicability of 14-6
Definition 14-5
APPLICATIONS
Appellate Court arguments, precedence of 1-2, 69-3
See MOTIONS, APPLICATIONS AND REQUESTS,
Assignment for trial, in general 14-15
CIVIL, MISCELLANEOUS
Counsel, availability of 14-25
APPRAISERS Methods of assigning 14-16
See generally RECEIVERS Bankruptcy
Claim for exemption from docket management program
ARBITRATION 14-2
Approval of arbitrators by chief court administrator 23-60 Claim for statutory exemption or stay 14-1
Confirming, correcting or vacating award 23-1 Case records, maintenance of 14-4
Decision of arbitrator 23-64 Clerk, communication with counsel to ensure sufficient busi-
As judgment 23-66 ness 14-21
Disqualification of arbitrators 23-62 Continuance or postponement, motion for 14-23
Failure to appear at hearing 23-65 Absent witness, missing evidence 14-24
Fee arbitration, order by Statewide Grievance Committee Counsel, availability of 14-25
2-37 Dismissal, lack of diligence 14-3
567
Copyrighted by the Secretary of the State of the State of Connecticut
INDEX
ASSIGNMENT FOR TRIAL—CIVIL — (Cont) ATTORNEYS — (Cont)
Family matters 25-48 Appointment of counsel
Criminal cases in general 44-1, 44-2; see also CRIMINAL
Case management 25-5, 25-50
PROCEDURE, Counsel
Garnishee, assignment on motion of 14-22
Family matters, motion for 25-24
Immediate trial 14-17 Juvenile matters appeals 35-4; see also JUVENILE
Jury assignments to have precedence over court assign- MATTERS, Attorney
ments 14-25 Juvenile matters, initial plea hearing, see JUVENILE
Jury, claims for 14-10 MATTERS, Attorney
Order of trial 14-20 Attorney trial referee, reference to 19-2A
Pleadings closed, certification 14-8 Time to file report 19-4
Pretrial, assignment for 14-11 Authorized house counsel 2-15A
Orders at 14-14 Bank and trust companies, payment of attorneys by 2-67
Pretrial procedure 14-13 Chief disciplinary counsel 2-34A
When case not disposed of at 14-12 Client funds, fiduciary accounts, overdraft notification 2-27,
Privileged cases 14-9 2-28
Supreme Court arguments, precedence of 1-2, 69-3 Audits and inspections, trust accounts 2-27
Unemployment compensation appeals 22-2 Notice of alleged misuse of 2-43
Registration 2-27
ATTORNEYS Client security fund 2-68
Generally Chapter 2 Annual fee, assessment, exemption, failure to pay 2-70
Admission to practice Enforcement of payment 2-79
Bar examining committee Pro hac vice, certification of payment 2-16
Examination of candidates 2-5 Claims
Personnel of 2-6 Attorney’s fee for prosecuting 2-77
Records of 2-4A Confidentiality 2-76
Regulations by 2-4 Reimbursement, eligibility for 2-71
By Superior Court 2-10 Restitution of claims 2-53
Certification of recommended applicants 2-9 Committee
Conditions of admission by Superior Court 2-9, 2-11 Action by 2-72
Appointment of members 2-72
Appeal from decision of bar examining committee con-
Claims processing 2-75
cerning 2-11A
Confidentiality 2-76
Drug, alcohol dependency 2-9
Duties and powers 2-73
Health diagnosis, treatment 2-9 Operation 2-72
Monitoring compliance with 2-11 Rules and regulations 2-74
Removal or modification of 2-11 Status of fund, review by committee 2-77
County committees on recommendations for admission Subrogation to rights of claimant 2-81
2-12 Complaints against attorney, filing, time, action on 2-32
County court designations 2-1 Conditions of admission
Fees for admission, disposition of 2-22 Drug, alcohol dependency 2-9
Fitness to practice law 2-5A, 2-8, 2-9, 2-13, 2-15, 2-17 Health diagnosis, treatment 2-9
Foreign legal consultants Continuing legal education 2-27A
Affiliation of with Connecticut bar 2-21 Enforcement of attorney registration 2-27B
Conditions of admission 2-9 Counsel
Disciplinary provisions regarding 2-20 Child protection matters appeals, appellate counsel, appli-
Filings to become 2-18 cation for 35a-21; appellate review attorney 35a-21;
Health diagnosis, treatment, or drug or alcohol depen- see also JUVENILE MATTERS, Attorney
dency, inquiries 2-8 Criminal cases, appointment 44-1, 44-2; see also CRIMI-
Licensing requirements 2-17 NAL PROCEDURE, Counsel
Scope of practice of 2-19 Family contempt, right to 25-63
In Absentia 2-10 Waiver 25-64
Military spouse temporary license 2-13A Family matters, motion for appointment 25-24
Number of times applicant may take examination 2-7 Fees, motion for in family matters 25-24
Other jurisdictions, attorneys of, qualifications and Paternity actions, right to 25-68
requirements for admission 2-13 Counsel of record, appeals, definition 60-4
Court officials, practice by 2-66
Practice of law, defined 2-13
Crisis intervention and referral assistance 2-68, 2-68A,
Pro hac vice appearance 2-16
2-70, 2-77
Qualifications for admission 2-8
Dishonest conduct, defined 2-69
Superior Court, admission by 2-10 Exemption, retirement 2-55
Superior Court, admission by with conditions 2-11 Restitution to fund by attorney 2-53, 2-80
Advertising, mandatory Filing 2-28A Subrogation of committee to rights of claimant 2-81
Advisory Opinions 2-28B Disciplinary counsel 2-34A
Appeal from decision of Statewide Grievance Committee Discipline, see also Grievances, this title
2-38 Admission of misconduct 2-82
Appearance, see APPEARANCES—IN GENERAL Alleged misuse of clients’ funds, notice 2-43
568
Copyrighted by the Secretary of the State of the State of Connecticut
INDEX
ATTORNEYS — (Cont) ATTORNEYS — (Cont)
Discipline, see also Grievances, this title — (Cont) Grievances — (Cont)
Appeal from decision of Statewide Grievance Committee Sanctions that may be imposed by 2-37
2-38 Grievance panels 2-29
Appointment of attorney to protect clients’ and attorney’s Counsel for panels and investigators 2-30
interests 2-64 Grievance counsel, duties and powers 2-31
Attorneys found guilty of serious crimes in Connecticut Health diagnosis, treatment, conditions of admission 2-9
2-40 Health diagnosis, treatment, or drug or alcohol dependency
Attorneys found guilty of serious crimes in another jurisdic- of applicant for admission, inquiries 2-8
tion 2-41 House counsel, authorized 2-15A
Costs and expenses 2-51 Juvenile matters, see JUVENILE MATTERS, Attorney
Deactivated attorney 2-47B Law-related activity, defined 2-47B
Discipline by consent 2-82 Legal interns, see LEGAL INTERNS
Foreign legal consultants 2-20 Notices
Inactive status 2-56 Admission in other jurisdiction 2-24
Appointment of attorney to protect interests 2-64 Alleged misuse of clients funds 2-43
Burden of proof 2-61 Change in address 2-26
Disability claimed during course of disciplinary proceed- Disciplinary action in other jurisdiction 2-25
ing 2-59 Disciplinary sanctions, miscellaneous 2-54
No prior determination of incompetency or involuntary Payment by bank and trust companies 2-67
commitment 2-58 Practice of law, definition 2-44A
Prior judicial determination of incompetency or involun- Pro hac vice appearance 2-16, 62-8A
tary commitment 2-57 Reciprocal discipline 2-39
Reinstatement upon termination of disability 2-60 Reciprocity 2-13
Waiver of doctor-patient privilege upon application Records
for 2-62 Statewide Grievance Committee, reviewing committee
Interim suspension, conduct constituting threat of harm and grievance panel 2-50
to clients 2-42 Reinstatement after suspension, disbarment or resignation
Misappropriation of funds, disbarment for 2-47A 2-53
Notice of inactive status, reprimand, suspension, disbar- Resignation of attorney facing disciplinary investigation 2-52
ment, publication of 2-54 Retirement of attorney 2-55
Presentments 2-47 Roll of attorneys 2-23
Prosecution of 2-48 Statewide bar counsel 2-34
Reciprocal discipline 2-39 Unauthorized practice of law, power of court to restrain 2-44
Reinstatement of attorney after suspension, disbarment Petitions 2-47
or resignation 2-53 Waiver of right to hearing, attorney facing disciplinary inves-
Resignation of attorney facing disciplinary investigation tigation 2-52
2-52
Restitution 2-49, 2-53 BAIL
Restriction on activities, deactivated attorney 2-47B See also CRIMINAL PROCEDURE, Bond
Sanctions of reprimand, suspension, disbarment, publica- Appearance for bail hearing 3-6
tion of notice of 2-54 Cash bail where bond allowed 38-7
Superior Court, power to discipline attorneys 2-44 Ten percent cash bail 38-8
Cause occurring in presence of court 2-45 Pretrial release by bail commissioner 38-3
Suspension, violation of support orders 2-46 Review of orders concerning release on bail
Unauthorized practice of law, power of court to restrain Petition for review of order concerning release on bail
2-44 78a-1
Petitions 2-47 BANKRUPTCY
Dishonest conduct, defined, client security fund 2-69 Claim for exemption from docket management program 14-2
Drug, alcohol dependency, conditions of admission 2-9 Claim for statutory exemption or stay 14-1
Felony Notice to appellate clerk of petition and of resolution 61-16
Connecticut conviction 2-40
Conviction elsewhere 2-41 BAR, ADMISSION TO
Fitness to practice law 2-5A, 2-8, 2-9, 2-13, 2-15, 2-17, 2- See ATTORNEYS, Admission To Practice
40, 2-41
Foreign legal consultants 2-17—2-21 BILL OF PARTICULARS 41-20—41-22
Good moral character, fitness to practice law 2-5A
Good standing of attorney 2-65 BOND
See CIVIL ACTIONS, Commencement of Action;
Grievances
See also Discipline, this title CRIMINAL PROCEDURE; RECEIVERS
Bar counsel, statewide 2-34 BRIEFS
Complaints against attorneys, filing, action on 2-32 See also APPELLATE PROCEDURE
Disciplinary counsel 2-34A Trial briefs 5-1
Grievance committee, statewide 2-33 Page limitations 4-6
Action by on request for review 2-36
Action by or by reviewing committee 2-35 CAMERAS IN COURTROOM
Appeal from decision by 2-38 See MEDIA
569
Copyrighted by the Secretary of the State of the State of Connecticut
INDEX
CELL PHONES IN COURTROOM CIVIL ACTIONS — (Cont)
See MEDIA Administrative appeals — (Cont)
Jury assignments to have precedence over court assign-
CENTRALIZED INFRACTIONS BUREAU ments 14-25
See INFRACTIONS Jury, claims for 14-10
Pretrial, assignment for 14-11
CERTIFICATION FOR REVIEW
Orders at 14-14
See APPELLATE PROCEDURE, Petitions for Certifi-
Pretrial procedure 14-13
cation
When case not disposed of at 14-12
CERTIFIED QUESTIONS TO OR FROM COURTS OF Privileged cases 14-9
OTHER JURISDICTIONS Cameras in courtroom, see MEDIA
Briefs, appendices, assignment and argument 82-6 Chambers, hearings in, see Hearings in chambers, this title
Certification of questions from other courts 82-1 Class actions, see CLASS ACTIONS
Certification of questions to other courts 82-8 Closure of court to public and media 11-20
Certification requests, contents of 82-3 Expedited review of order 77-1
Preparation of 82-4 Commencement of action
Docketing after preliminary acceptance 82-5 See also PLEADINGS—CIVIL ACTIONS
Fees and costs 82-5 Bond
For prosecution or recognizance 8-3A
Opinions on 82-7
Renewal of 8-12
CHAMBERS, HEARINGS IN Surety company bond acceptable 8-10
See generally HEARINGS Court fees and costs, waiver of 8-2
Process 8-1
CHILD PROTECTION Consolidation of actions for trial 9-5
See generally JUVENILE MATTERS Contempt, civil 1-21A
Review of 23-20
CHILD SUPPORT Continuances
See FAMILY MATTERS Absent or nonresident defendant 9-1
Garnishee not appearing to defend 9-2
CITATIONS IN BRIEFS
Small claims 11-16
See APPELLATE PROCEDURE
Decision, statement of by judicial authority, when required
CIVIL ACTIONS 6-1, 64-1, 64-2
See also FAMILY MATTERS; SMALL CLAIMS Discovery and depositions
Appearance, see APPEARANCES—IN GENERAL Admission of facts and execution of writings, requests for
Arbitration, see ARBITRATION admission 13-22
Argument by counsel, generally 15-5, 15-6 Answers and objections to requests for admission
Argument on interlocutory questions during trial 5-5 13-23
Time limit 15-7 Effect of admission 13-24
Administrative appeals Expenses on failure to admit 13-25
Construction, rules of 13-1
Certified list of papers 14-7A
Definitions 13-1
Civil rules, applicability of 14-6
Communication 13-1
Costs, taxation of 14-7A
Concerning 13-1
Definition 14-5
Document 13-1
Designation of record 14-7A Identify
Disputes concerning 14-7A Act or event 13-1
Exceptions 14-7 Electronically stored information 13-1
Scheduling order 14-7A Oral communications 13-1
Service 14-7A Persons 13-1
Assignment for trial, in general 14-15 Person 13-1
Clerk, communication with counsel to ensure sufficient You 13-1
business 14-21 Depositions, in general 13-26
Counsel, availability of 14-25 Deposition procedure 13-30
Immediate trial 14-17 Notice of deposition
Jury trial to have precedence over court trial 14-25 Deposition of organization, production of documents
Methods of assigning 14-16 and materials 13-27
Motion of garnishee, assignment on 14-22 General requirements, special notice, nonsteno-
Order of trial 14-20 graphic recording 13-27
Bankruptcy Persons before whom deposition taken, subpoenas
Claim for exemption from docket management program 13-28
14-2 Place of deposition 13-29
Claim for statutory exemption or stay 14-1 Remote electronic means of taking 13-30
Case records, maintenance of 14-4 Use of depositions in court proceedings 13-31
Continuance or postponement, motion for 14-23 Disclosure
Absent witness, missing evidence 14-24 Amount and provisions of insurance liability policy
Counsel, availability of 14-25 13-12
Dismissal, lack of diligence 14-3 Assets, where prejudgment remedy sought 13-13
570
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INDEX
CIVIL ACTIONS — (Cont) CIVIL ACTIONS — (Cont)
Discovery and depositions — (Cont) Fact-finding — (Cont)
Before court or committee 13-17 Failure to appear at hearing 23-59
Continuing duty to disclose 13-15 Fees and costs
Defense 13-19 Costs
In equity 13-18 For Exhibits 18-18
Medicare enrollment status, eligibility or payments Interest and costs unnecessary to claim 10-28
received 13-12A On appeal from commissioners 18-2
Order limiting, expedited review 77-1 On complaint and counterclaim 18-16
Discovery On counterclaim 18-17
Health information, motion for authorization to obtain On creditor’s appeal 18-3
protected 13-9, 13-11A On interlocutory proceedings 18-7
Outside the United States 13-21 On writ of error 18-6
Scope, in general 13-2 Several defendants 18-13
Experts 13-4 Taxation of, appeal 18-5
Materials prepared in anticipation of litigation, state- Where both legal and equitable issues 18-15
ments of parties 13-3 Where several issues 18-12
Privilege log 13-3 Court expenses, vouchers for 18-1
Protective order 13-5 Eminent ___domain, clerk’s fees 18-4
Sought by judgment creditor 13-20 Fees and costs, where plaintiffs join or actions consoli-
Duty to disclose, continuing 13-15 dated 18-14
Interrogatories, in general 13-6 Jury fee, where more than one trial 18-8
Answers to 13-7 Proceedings before judge, no costs 18-19
Objections to 13-8 Witness fees
Order for compliance, failure to answer or comply with In several suits 18-10
order 13-14 Nonresident witnesses 18-9
Orders by judge 13-16 Witness not called 18-11
Requests for admission 13-22 Files and documents, sealing 11-20
Answers and objections to 13-23 Expedited review of order 77-1
Requests for production, inspection and examination, in Foreclosures, see FORECLOSURE
general 13-9 Habeas, see HABEAS CORPUS
Physical or mental examination 13-11 Hearings in chambers
Responses to requests for production, objections 13-10 Certifying proceedings to court 20-2
Stipulations regarding discovery and deposition proce- Contested matters, procedure in 20-1
dure 13-32 Papers
Subpoenas 13-28 Cause affecting land 20-5
Subpoena duces tecum 13-27 Clerk designated by judge to take 20-6
Dismiss, motion to 10-30—10-34 Trial before judge, lodging papers and file 20-4
Dissolution of marriage or civil union, legal separation, Transfer of hearings before judges 20-3
annulment, see FAMILY MATTERS Identification of cases 7-4A
Dockets, see Assignment lists, dockets, pretrials and trial Interactive audiovisual device, appearance by means of
lists, this title 23-68
Electronic filing 4-4 Interest and costs unnecessary to claim 10-28
Evidence Jury trials, see JURIES—CIVIL
Exceptions not required 5-7 Lodging record 7-4C
Exhibits, marking 5-7 Media coverage of court proceedings, see MEDIA
Interlocutory matters, address by counsel 5-5, 5-8 Memorandum of decision by trial court 6-1, 64-1, 64-2
Medical evidence 15-4 Motions, applications and requests, miscellaneous
Motion in limine 15-3 Appeal period, motions that delay 11-11
Objections, reasons for 5-5 Argument of motions 11-18
Reception of evidence objected to 5-6 Cite in new parties, motion to 9-22
Prima facie case, dismissal for failure to make 15-8 Definition of 11-2
Witnesses, examination of 5-4 Dismiss, motion to 10-30—10-34
Oath, administration of 5-3 Dismissal for lack of diligence 14-3
Experts, see EXPERT WITNESSES Exclusion of public, sealing documents, motion for 11-20
Fact-finding Form of 11-1
Action by judicial authority on finding of facts 23-58 Limine, motion in 15-3
Appointment of fact finders by chief court administrator Memorandum of law required 11-10
23-52 Misjoinder and nonjoinder of parties, motion to strike for
Referral of cases to 23-53 11-3
Selection of, disqualification 23-54 New trial 17-4A
Committees and referees, see REFERENCES Order of notice, applications for 11-4
Failure to appear at hearing 23-59 Personal identifying information, motion to seal or redact
Finding of facts 23-56 documents containing 11-20B
Action on by judicial authority 23-58 Previous motions and applications, disclosure of 11-9
Objections to acceptance of 23-57 Reargue, motion to 11-12
Hearing in 23-55 Request to revise 10-35
571
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INDEX
CIVIL ACTIONS — (Cont) CIVIL UNIONS
Motions, applications and requests, miscellaneous — (Cont) See FAMILY MATTERS
Granting of and objection to 10-37
Reasons in 10-36 CLASS ACTIONS
Waiver of further pleading revisions 10-38 Generally 9-7, 9-8
Sealing documents, motion for 11-20 Adequate representation, orders to ensure 9-10
File record under seal 7-4B Appointment of class counsel 9-9
Strike, motion to 10-39—10-45 Notice required 9-9
Municipal officers, action to enforce bond to 9-25 Procedure for class certification and management of class
Orders of notice 9-9
Applications for 11-4 CLERKS
Attestation, publication, proof of compliance 11-7 Appellate clerk, see APPELLATE PROCEDURE
Continuance, subsequent orders of 11-5 Case records, maintenance of 14-4
Directed outside United States 11-8 Custody of files 7-7
Publication, notice by 11-6 Daybooks to be kept by 7-4
Parties Documents, prerequisites for filing with clerks 7-6
See also JOINDER Duties of, generally 7-2
Addition or substitution of 9-18 Electronic filings 4-4
Motion to cite in new parties 9-22 Nonoperational electronic filing system 7-17
Class actions 9-7, 9-8 Exhibits, removal from clerk’s office or destruction on deter-
Adequate representation, orders to ensure 9-10 mination of case 7-21
Dismissal or compromise 9-9 Files and records of cases to be kept by 7-1
Fiduciaries 9-11 Destruction of files 7-10
Parents as necessary parties in minor’s name change Motion to prevent 7-16
action 9-24 Retention and stripping of files, schedule 7-11
Real party in interest 9-23 Adult probation and family division, reports from 7-14
Substituted plaintiff 9-20 Criminal actions, records and files in 7-13
Third parties affected by counterclaim 9-21 Title to land, files in actions affecting 7-12
Personal indentifying information, see RECORDS, see also Transfer to records center or state library 7-15
Motions, this title Financial accounts to be kept 7-3
Pleadings, see PLEADINGS—CIVIL ACTIONS Hospital, medical and psychiatric records, prerequisites for
Pretrial, assignment for 14-11 filing with clerk 7-18
Orders at 14-14 Hours of offices 7-17
Pretrial procedure 14-13 Judgment files, see JUDGMENTS
When case not disposed of at 14-12 Lost files or pleadings 7-8
Process 8-1 Notice of judgments and rulings to be given counsel and
Public, exclusion of from court 11-20 self-represented parties 7-5
Expedited review of order 77-1 Offices, hours of 7-17
References, see REFERENCES Prerequisites for filing papers and documents 7-6
Sealing files and documents 11-20A, 11-20B Responsibilities after appeal filed 68-1
Motion to file record under seal 7-4B Short calendar matters, records of 7-20
Lodging record 7-4C Subpoena, issuing for self-represented parties 7-19
Short calendar, generally 11-13
Assignments automatic 11-15 CLIENT SECURITY FUND
Continuances 11-16 See ATTORNEYS
Frequency, time of sessions, lists 11-14
COLLATERAL SOURCE
Oral argument 11-18
Reduction of verdict, motion for 16-35
Time limit for deciding matters 11-19
Transfers 11-17 COMMITTEES AND REFEREES
Small claims, see SMALL CLAIMS See REFERENCES
Transfer of actions 12-1—12-3
Trial lists, see Assignment lists, dockets, pretrials and trial COMPUTERS, PORTABLE IN COURTROOM
lists, this title See MEDIA
Trials in general
See also ASSIGNMENT FOR TRIAL—CIVIL; EVI- CONNECTICUT LAW JOURNAL
DENCE; JURIES Appellate opinions and orders, date of 71-1
Briefs 5-1 Child protection matters, appeals 79a-11
Counsel Attorneys, inactive status, reprimand, suspension, disbar-
Argument by 15-5—15-7 ment, publication of notice of 2-54
Failure to appear by, sanctions 5-10 Rules of court, publication of 1-9, 86-1
New trial, motion for 17-4A Emergency adoption of rules 1-9B
Order of parties proceeding 15-5 CONNECTICUT REPORTS AND CONNECTICUT APPEL-
Order of trial of issues 15-1 LATE REPORTS
Question of law that may be subject of appeal, raising 5-2 Official appellate opinions contained in 71-4
Separate trials 15-2
Verdicts, see VERDICTS CONSOLIDATION OF ACTIONS FOR TRIAL 9-5
572
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INDEX
CONTEMPT CRIMINAL PROCEDURE — (Cont)
Generally 1-13A Appeal, see also APPELLATE PROCEDURE — (Cont)
Civil 1-21A Removal or substitution of 62-9A
Review of 23-20 Indigent defendant, appointment of counsel, waiver of
Criminal 1-14 fees and costs 43-33
Deferral of proceedings 1-17 Frivolous appeal, request by counsel to withdraw 43-
Disqualification of judicial authority, nonsummary pro- 34—43-38
ceedings 1-19 Interlocutory ruling, appeal from 61-6 (c)
Judgment, nonsummary proceedings 1-21 Notice of appeal rights 43-30
Jury trial, right to in nonsummary proceedings 1-20 Release from custody pending 43-1, 43-2
Nonsummary proceedings 1-18 State, appeal by 61-6 (b)
Summary proceedings 1-16 Stay of imprisonment pending 43-31
Family matters, motion for 25-27 Stay of probation pending 43-32
Right to counsel 25-63 Appearance and arraignment
Waiver 25-64 See also APPEARANCES—IN GENERAL; Bail, this
title; Pretrial release, this title
CONTINUANCES Appearance after pretrial release 38-6
Absent or nonresident defendant 9-1 Arraignment, timing, alternative proceedings 37-1
Garnishee not appearing to defend 9-2 Constitutional rights, advisement of 37-3, 37-4
Small claims 11-16 Indigency, investigation of 37-5
Subsequent orders of notice 11-5 Information and materials to be provided to defendant
COSTS 37-2
See APPELLATE PROCEDURE; FEES AND COSTS Public defender, appointment 37-6
Reference to, investigation of indigency 37-5
COUNSEL Detention prior to arraignment, trial, sentencing, limit on
See ATTORNEYS 38-18
Disposition conference 39-11—39-17
COURT CLOSURE Dispositions without trial, miscellaneous 39-33
Civil proceedings 11-20 Media coverage of arraignments 1-11A
Criminal trials 42-49 Nolle prosequi, see Nolle prosequi, this title
Expedited review of order 77-1 Plea, see Pleas, this title
Family matters 25-59 Probable cause, determination of where defendant in cus-
CRIMINAL CONTEMPT tody 37-12
See CONTEMPT Arrest and preliminary procedure
See also Bail, this title; Pretrial release, this title
CRIMINAL PROCEDURE By warrant, issuance 36-1
Accelerated pretrial rehabilitation without trial 39-33 Affidavit in support of warrant application 36-2
Acquittal Sealing 36-2
Judgment of following guilty verdict 42-51 Cancellation of warrant 36-6
Motion for directed verdict of abolished 42-40 Contents of warrant 36-3
Motion for judgment of 42-40 Execution and return of warrant 36-5
After guilty verdict 42-51 Information and complaint, use 36-11
After mistrial 42-50 Amendments, minor defects 36-16
At close of evidence, reservation of decision on 42-42 Continuance necessitated by amendment 36-20
At close of prosecution’s case 42-41 Essential facts, request by defendant for 36-19
Time limit for filing 42-52 Substantive amendment after trial commenced 36-18
Release pending appeal by state from judgment of 43-1 Substantive amendment before trial 36-17
Adult probation, commitment to of drug-dependent defend- Filing and availability of information 36-15
ant without trial 39-33 Former conviction in information 36-14
Alcohol education and treatment, commitment to without Election of jury trial 42-2
trial 39-33 Plea to 37-10
Alibi defense 40-21—40-25 Form of information 36-13
Alternate incarceration program Issuance of information 36-12
Order for assessment for placement in, following convic- Joinder
tion 43-3 Defendants 36-22
Assessment report not public record 43-9 Offenses 36-21
Copying assessment report prohibited 43-8 Summons, form of summons and complaint 36-7
Defense counsel, participation in 43-5 Direction by judicial authority for use of 36-4
Disclosure of assessment report 43-9 Failure to respond to 36-10
Persons receiving assessment report 43-7 In lieu of arrest warrant 36-12
Scope of assessment 43-4 Service of 36-9
Time to complete 43-6 Arrest of judgment, motion 42-54
Use of assessment report 43-9 Assignment and scheduling of cases, in general 44-11,
Reference to without trial 39-33 44-12
Appeal, see also APPELLATE PROCEDURE Continuances 44-13, 44-18
Appellate counsel Disposition conference, assignment for 44-15
Hybrid representation prohibited 62-9A Plea, assignment for 44-14
573
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INDEX
CRIMINAL PROCEDURE — (Cont) CRIMINAL PROCEDURE — (Cont)
Assignment and scheduling of cases, in general 44-11, 44- Depositions, in general, grounds 40-44; see also Discovery,
12 — (Cont) this title — (Cont)
Preliminary proceedings, continuances 44-13 Notice of 40-47
Trial, assignment for 44-15 Objections during 40-49
Motion to advance 44-17 Person taking deposition 40-47
Order of trial assignments, priorities 44-16 Protective order concerning 40-48
Bail During examination 40-52
See also Bond, this title; Pretrial release, this title Return of, depositions to be sealed 40-53
Cash, where bond allowed 38-7 Right of defendant to be present 40-54
For release pending appeal of conviction 43-2 Waiver of right 40-55
Petition for review of order concerning release on bail Scope of examination 40-50
78a-1 Unavailable deponent, defined 40-56
Ten percent cash bail 38-8 Use of 40-46, 40-57
Bill of particulars, motion for 41-20 Detention prior to arraignment, trial, sentencing, limit on
Amended or substitute information incorporating bill 41-22 38-18
Content 1-21 Discovery, in general 40-1; see also Depositions, this title
Bond Admissibility of defendant’s intent to offer evidence or call
See also Pretrial release, this title witness 40-30
As condition of release pending appeal of conviction 43-2 Alibi defense, required notices concerning 40-21—40-23
Attorney not to give bond 38-12 Exceptions 40-24
Cash bail in amount of 38-7 Withdrawn alibi not admissible 40-25
Forfeiture on violations of release, issuance of rearrest Continuing duty to disclose 40-3
warrant or capias 38-21 Custody of materials 40-10
Rebate to surety after forfeiture 38-22 Disclosure to unrepresented defendant 40-10
Modification, motion for 38-14 Defendant’s duty, materials discoverable by prosecution
Real property pledge in lieu of cash bond 38-9 as of right 40-26
As condition of release pending appeal of conviction Derivative materials, disclosure to defendant 40-28
43-2 Discretionary disclosure by 40-27
Rebate to surety after forfeiture 38-22 Materials excepted from disclosure 40-31
Surety, discharge of 38-23 Protective orders, for defendant 40-29
Ten percent cash bail 38-8 Documents or objects, subpoenas for 40-2
Capias for Failure to comply 40-5
Defendant unexcused from trial or sentencing 44-9 Law enforcement reports, affidavits and statements, dis-
Failure to appear for deposition 40-45 closure of 40-13A
Hearing to review conditions of release 38-15, 38-16 Mental disease or defect or extreme emotional distur-
Violation of bond or promise to appear 38-21 bance, disclosure of defense of 40-17
Closure of court 42-49 Expert testimony concerning, disclosure by defendant
Expedited review of order 77-1 of intent to use 40-18
Commissioner of Mental Health and Addiction Services, Failure of expert to submit report 40-20
commitment to without trial 39-33 Psychiatric examination, prosecutorial motion for 40-19
Community service labor program, reference to without trial Nontestimonial evidence, obtaining from defendant 40-32
39-33 Comparison of 40-39
Complaint, see Arrest and preliminary procedure, this title Emergency procedure for 40-33
Consolidation of informations for trial 41-19 Motion for, by defendant 40-38
Counsel, representation by Order for, scope 40-34
Appeal by indigent defendant 43-33 Contents 40-35
Frivolous appeal, request by counsel to withdraw 43- Implementation 40-37
34—43-38 Service 40-36
Appellate counsel 62-9A Objection to disclosure 40-8
Appointed counsel, right to in general 44-1, 44-2 Performance 40-6
Public defender, reference at arraignment 37-5, 37-6 Procedure 40-7
Waiver of right to counsel 44-3 Prosecuting authority’s duty to disclose 40-11
Standby counsel, appointment and role 44-4—44-6 Discretionary disclosure by 40-12
Crime, defined 44-37 Materials excepted from disclosure 40-14
Custody, see Release, this title Protective orders 40-29, 40-40
Decision, statement of by judicial authority, when required Factors to be considered 40-41
6-1, 64-1, 64-2 In camera proceedings on motion for 40-42, 40-43
Defense, alibi 40-1—40-25 Excision as relief, record of 40-43
Definitions 44-37 Requests and motions 40-4
Depositions, in general, grounds 40-44; see also Discovery, Scientific tests and experiments 40-9
this title Statements 40-15, 40-16
Defendant, right to be present and represented 40-54 Subpoenas for documents or objects 40-2
Waiver of right 40-55 Witnesses, information concerning and statements by
Expenses of 40-58 40-13
Failure to appear for, capias 40-45 Dismiss, motion to, see Motion to dismiss, this title
Manner of taking 40-49, 40-57 Disposition conference 39-11—39-17
574
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INDEX
CRIMINAL PROCEDURE — (Cont) CRIMINAL PROCEDURE — (Cont)
Docketing, see Assignment and scheduling of cases, this Jury trials, right to and waiver 42-1 — (Cont)
title Peremptory challenges 5-12, 42-13
Electronic filing 4-4 Voir dire 42-12
Family relations division, reference to without trial 39-33 Note taking by jurors 42-9
Fees Oath and admonitions to jurors 42-14
Extradition, officer’s fees 44-35 Questions by jurors 42-9
Subpoenas, return of 44-32 Questions of fact, jury to decide 42-20
Witnesses, travel fees 44-34 Requests to charge and exceptions 42-16
Indigent witnesses, transportation and support 44-33 Filing 42-17
Felony, defined 44-37 Form and contents 42-18
Files and documents, sealing 42-49A Selection of jurors, preliminary proceedings 42-11
Finding of guilty or not guilty by judicial authority 42-34 Peremptory challenges 5-12, 42-13
Fines Voir dire 42-12
Ability to pay, inquiry by judicial authority concerning Sequestration 42-22
43-17 Size of jury, election by defendant 42-3
Incarceration for wilful nonpayment 43-18 Testimony, request by jury for review of 42-26
Release on payment 43-19 Two part information 42-2
Mittimus where sentence includes fine as well as impris- Verdict, see VERDICT
onment 43-20 Viewing of place or thing by jury 42-6
Guardian ad litem, appointment 44-20 Voir dire of jurors 42-12
Identification of cases 7-4A Law enforcement officer, defined 44-37
Incarceration
Law enforcement reports, affidavits and statements 40-13A
Correction of illegal sentence 43-22
Limine, motion in 42-15
For wilful nonpayment of fine 43-18
Release on payment 43-19 Media coverage of criminal proceedings 1-11C
Inquiry by judicial authority concerning ability to pay fine Memorandum of decision by trial court 6-1, 64-1
43-17 Misdemeanor, defined 44-37
Mittimus where sentence includes fine as well as impris- Mistrial, for prejudice to defendant 42-43
onment 43-20 For prejudice to prosecution 42-44
Reduction of definite sentence 43-21 Mittimus, where sentence includes fine as well as imprison-
Release pending appeal 43-1 ment 43-20
Stay of imprisonment pending appeal 43-31 Motion for acquittal, see Acquittal, this title
Information, see Arrest and preliminary procedure, this title Motion for mistrial, see Mistrial, this title
Infraction, defined 44-37 Motion for new trial, see New trial, this title
See INFRACTIONS Motion in arrest of judgment 42-56
Interactive audiovisual device, presence of incarcerated Motion in limine 42-15
defendant by means of 44-10, 44-10A Motions and requests, pretrial, in general 41-1, 41-2
Joinder Form and manner of making 41-6
Defendants 36-22 Hearings and rulings 41-7
Offenses 36-21 List of motions 41-3
Severance 41-18 Speedy trial 43-41
Joint trial of two or more informations 41-19 Time to make, waiver 41-4, 41-5
Judge trial referee, reference to 44-19 Motion to dismiss, matters to be raised by 41-8
Judgment, motion in arrest of 42-56 Appeal from denial of after conditional plea of nolo conten-
Judicial authority, determination of guilt where no jury 42-43 dere 61-6 (a) (2) (A)
Jury trials, right to and waiver 42-1 Defects not requiring dismissal 41-10
Array, challenge to 42-4 Remedies for 41-11
Cause, excuse of juror for 42-11 Restrictions on 41-9
Charge, see Instructions, this title Motion to suppress 41-12
Communications Appeal from denial of after conditional plea of nolo conten-
Judicial authority and jurors 42-7 dere 61-6 (a) (2) (A)
Parties and jurors 42-8 Intercepted communications 41-14
Deaf, jurors who are, interpreters 42-10 Judicial authority, when disqualified from hearing 41-17
Deliberations 42-21
Seized property, return and suppression 41-13, 41-16
Deadlocked jury 42-28
Time to file 41-15
Testimony, request by jury for review of 42-26
Disqualification of jurors 42-5 New trial, motion for 42-53
Hard of hearing, jurors who are, interpreters 42-10 Time for filing 42-54
Information, exhibits, copy or tape of instructions to be Where based on newly discovered evidence 42-55
submitted to jury 42-23 Nolle prosequi 39-29
Instructions, conference with counsel concerning sub- Dismissal of information or complaint 39-32
stance 42-19 Effect of 39-31
Additional instructions 42-25 Objection by defendant 39-30
Jury’s request for 42-27 Offense, defined 44-37
Clarification or modification 42-24 Order of parties at trial 42-35
Jury selection, preliminary proceedings 42-11 Of defendants where two or more 42-38
575
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INDEX
CRIMINAL PROCEDURE — (Cont) CRIMINAL PROCEDURE — (Cont)
Pleas, in general 37-7 Pretrial release — (Cont)
Agreements, conditional pleas of guilty or nolo contendere Capias for hearing to review conditions of release 38-15,
39-5 38-16
Alternative dispositions recommended by prosecuting Detention prior to arraignment, trial, sentencing, limit on
authority 39-6 38-18
Appeal from denial of motion to dismiss or to suppress Modification 38-13
61-6 (a) (2) (A) Application for by surety on bail bond 38-16
Disclosure to judicial authority 39-7 Hearing to consider 38-17
Rejection by judicial authority 39-10 Motion for by bail commissioner 38-15
Reservation of right to appeal 61-6 (a) (2) (B) Motion for by parties 38-14
Sentencing 39-8, 39-9 Violation of conditions, hearing on 38-19
Discussions, procedure for in general 39-1 Forfeiture of bond, issuance of capias or rearrest war-
Defendant represented by counsel or not 39-2 rant 38-21
Defense counsel, role in plea agreements 39-3 Sanctions for 38-20
Subject matter 38-4 Probation
Guilty or nolo contendere 37-8, 39-18 Revocation 43-29
Acceptance and canvass of defendant by judicial Stay pending appeal 43-32
authority 39-19—39-21 Prosecuting authority, defined 44-37
Conditional pleas of 39-5 Disclosure of plea agreement 43-12
Other offenses, pleading to after finding of guilty 39-22 Role at sentencing 43-11
Record of proceedings 39-24 Public defender 37-5, 37-6
Rejected plea inadmissible 39-35
Appeals by indigent defendants 43-33—43-38
Sentencing, see Sentencing, this title
Appointed counsel, in general 44-1—44-6
Withdrawal of plea 39-26—39-28
Definition of 44-37
Nolle prosequi 39-29
Dismissal of information or complaint 39-32 Public, exclusion from court proceedings 42-48
Effect of 39-31 Expedited review of order 77-1
Objection by defendant 39-30 Reference to judge trial referee 44-19
Not guilty 37-9 Release
Two part information charging former conviction 37-10, See also Pretrial release, this title
37-11, 39-23 Appeal by defendant from judgment of conviction, release
Election of jury trial on second part 42-2 pending, conditions 43-2
Presence of defendant at arraignment, plea, evidentiary Appeal by state from judgment of acquittal, release pend-
hearings, trial and sentencing 44-7 ing 43-1
Trial and sentencing, when presence not required 44-8 Pretrial, see Pretrial release, this title
Other exceptions 44-10 Revocation of probation 43-29
Unexcused defendant, capias 44-9 Sealing affidavits in support of arrest warrant application
Presence of incarcerated defendant by interactive audiovi- 36-2
sual device 44-10, 44-10A Sealing files and documents 42-49A
Presentence investigation and report 43-3 Sentence review, see Sentencing, this title
Copying report prohibited 43-8 Sentencing
Defense counsel, participation in 43-5 See also Incarceration, this title
Familiarization of with report and correction of report Correction of illegal sentence 43-22
at sentencing 43-13, 43-14 Defendant’s right to make statement 43-10
Disclosure of report 43-9 Defense counsel
Persons receiving report 43-7 Correction of presentence investigation report 43-14
Report not public record 43-9 Disclosure of undisclosed plea agreement 43-15
Scope 43-4
Supplementary documents, submission of 43-16
Time to complete 43-6
Definite sentence, reduction of 43-21
Use of report 43-9
Hearing, procedure 43-10
Waiver by defendant 43-3
Pretrial motions in general 41-1, 41-2 Illegal sentence, correction of 43-22
Form and manner of making 41-6 Mittimus, where sentence includes fine as well as impris-
Hearings and rulings 41-7 onment 43-20
List of motions 41-3 Prosecuting authority, role 43-11
Time to make, waiver 41-4, 41-5 Disclosure of plea agreement 43-12
Pretrial release Reduction of definite sentence 43-21
By bail commissioner, conditions 38-3 Sentence review
By clerk, procedure 38-1 Application for, time for filing 43-24
By correction officials 38-5 Counsel, representation by before sentence review divi-
By intake, assessment and referral specialist 38-3 sion 43-23
By judicial authority, conditions 38-4 (a) Documents, preparation by clerk 43-25, 43-26
Factors to be considered 38-4 (b) Hearing, briefs and memoranda 43-27
Statement of reasons for conditions imposed 38-11 Scope of review 43-28
By law enforcement officer or probation officer on bond Stay pending appeal 61-13
or promise to appear 38-2 Victim, participation at 43-10
576
Copyrighted by the Secretary of the State of the State of Connecticut
INDEX
CRIMINAL PROCEDURE — (Cont) DAMAGES — (Cont)
Sequestration Liquidated damages
Jurors 42-22 Contract action 17-33
Witnesses 42-36 Procedure on default for failure to appear 17-24
Severance of offenses for trial 41-18 When judgment may be rendered following default for
Speedy trial, time limitations 43-39 failure to appear 17-33
Commencement of trial, defined 43-42 Offer of judgment 17-11—17-18
Excluded periods for calculation of time 43-40 Physical or mental examination, request for where personal
Failure to comply with disclosure by prosecuting authority injury damages claimed 13-11
43-40A Reduction of award where verdict exceeds demand 16-19
Included periods for calculation of time 43-40A Referrals
Motion for; dismissal 43-41 To arbitrators 23-61
Waiver 43-43 To fact finders 23-53
Stay Small claims rules, applicability 24-2
Of imprisonment pending appeal 43-31 Default where liquidated damages claimed 24-24
Of probation pending appeal 43-32 Statement of in demand for relief 10-20
Stay pending appeal 61-13
Subpoenas DEAF, JURORS WHO ARE
Fees, return of subpoenas 44-32 Civil juries 16-1, 16-8
For production of documents and objects 40-2 Criminal juries 42-10
Inquiry by investigative grand jury, motion to quash sub-
poena 44-31 DECLARATORY JUDGMENT
Summons, see Arrest and preliminary procedure, this title Generally 17-54
Suppress, motion to, see Motion to suppress, this title Appeal 17-58
Transfer of pending matter 41-23—41-25 Conditions 17-55
Trial, definition of 44-37 Costs 17-57
Argument by counsel, time limits 42-37 Order of priorities 17-59
Extrajudicial statements, warning not to make 42-48 Procedure 17-56
Order of parties proceeding at 42-35
Of defendants where two or more 42-38 DEFAULT JUDGMENTS
Public, exclusion of 42-49 Absent or nonresident defendant 9-1
Restraint of disruptive defendant 42-46 Default judgments and nonsuits
Removal of 42-47 Appear, failure to 17-19
Sealing files and documents 42-49 Affidavit of debt 17-25
Speedy trial, see Speedy trial, this title Judgment, entry of 17-27, 17-33
Without jury 42-34 Enforcement of 17-28
Verdict, see VERDICT Liquidated sum, action for, applicable procedure 17-24
Victim Military service, affidavit concerning 17-21, 17-25
Inquiry concerning during presentence investigation 43-4 Default rules not applicable to defendant in military
Participation at sentencing 43-10 or naval service 17-23
Violation, definition of 44-37 Motion for default for failure to appear 17-20, 17-25
Voir dire of jurors 42-12 Procedure not applicable to dissolution of marriage,
Warrant, see Arrest and preliminary procedure, this title legal separation, annulment 25-51
Witnesses Notice of judgment, mailing by counsel 17-22
Fees for travel and support 44-34 Short calendar, motion not on 17-29
Indigent witnesses, transportation and support for 44-33 Weekly payments, order for 17-26
Sequestration 42-36 Damages, hearing in
Youthful offender adjudication without trial 39-33 Defense, notice to be specific 17-37
Amending notice 17-38
CUSTODY Reply not allowed 17-39
See generally CRIMINAL PROCEDURE, Release; FAM- Time to give 17-35
ILY MATTERS; JUVENILE MATTERS Evidence to reduce damages 17-39
DAMAGES Notice by clerk of default 17-36
Assessment by court 17-2 Plead, default for failure to 17-31, 17-32
Claim for following default for failure to appear 17-20 Opening default where judgment not rendered 17-42
Time for filing 17-20 Opening judgment on default or nonsuit 17-43
Default for failure to plead, procedure to be followed 17-32 Small claims, defaults in 24-24
Demand for relief, statement of 10-20
DEFICIENCY JUDGMENTS
Interest and costs unnecessary to claim 10-28
See FORECLOSURE
Not to be disclosed to jury 16-19
Hearings in damages DELINQUENCY
Following default 17-34—17-40 See JUVENILE MATTERS
Following summary judgment on liability 17-50
Privileged for assignment 14-9 DISBARMENT
Jury trial where claim joined with equitable issues 16-11 See generally ATTORNEYS, Discipline; Grievances
577
Copyrighted by the Secretary of the State of the State of Connecticut
INDEX
DISCOVERY AND DEPOSITIONS—CIVIL DISCOVERY AND DEPOSITIONS—CRIMINAL — (Cont)
Admission of facts and execution of writings, requests for Depositions, in general, grounds 40-44 — (Cont)
admission 13-22 Failure to appear for, capias 40-45
Answers and objections to requests for admission 13-23 Manner of taking 40-49, 40-57
Effect of admission 13-24 Notice of 40-47
Expenses on failure to admit 13-25 Objections during 40-49
Definitions 13-1 Person taking deposition 40-47
Depositions, in general 13-26 Protective order concerning 40-48
Deposition procedure 13-30 During examination 40-52
Notice of deposition Return of, depositions to be sealed 40-53
Deposition of organization, production of documents Scope of examination 40-50
and materials 13-27 Unavailable deponent, defined 40-56
General requirements, special notice, nonstenographic Use of 40-46, 40-57
recording 13-27 Discovery, in general 40-1; see also Depositions, this title
Persons before whom deposition taken, subpoenas 13-28 Admissibility of defendant’s intent to offer evidence or call
Place of deposition 13-29 witness 40-30
Use of depositions in court proceedings 13-31 Alibi defense, required notices concerning 40-21—40-23
Disclosure Exceptions 40-24
Amount and provisions of insurance liability policy 13-12 Withdrawn alibi not admissible 40-25
Assets, where prejudgment remedy sought 13-13 Continuing duty to disclose 40-3
Before court or committee 13-17 Custody of materials 40-10
Continuing duty to disclose 13-15 Disclosure to unrepresented defendant 40-10
Defense 13-19 Defendant’s duty, materials discoverable by prosecution
In equity 13-18 as of right 40-26
Medicare enrollment, eligibility or payments received Derivative materials, disclosure to defendant 40-28
13-12A Discretionary disclosure by 40-27
Discovery Materials excepted from disclosure 40-31
Health information, motion for authorization to obtain pro- Protective orders, for defendant 40-29
tected 13-9, 13-11A Documents or objects, subpoenas for 40-2
Outside the United States 13-21 Failure to comply 40-5
Scope, in general 13-2 Law enforcement reports, affidavits and statements
Experts 13-4 40-13A
Materials prepared in anticipation of litigation, state- Mental disease or defect or extreme emotional distur-
ments of parties 13-3 bance, disclosure of defense of 40-17
Protective order 13-5 Expert testimony concerning, disclosure by defendant
Sought by judgment creditor 13-20 of intent to use 40-18
Duty to disclose, continuing 13-15 Failure of expert to submit report 40-20
Electronic deposition procedure 13-30 Psychiatric examination, prosecutorial motion for 40-19
Electronically stored information, loss of 13-14 Nontestimonial evidence, obtaining from defendant 40-32
Family matters 25-31, 25-32 Comparison of 40-39
Habeas corpus, civil 23-38, 23-39 Emergency procedure for 40-33
Interrogatories, in general 13-6 Motion for by defendant 40-38
Answers to 13-7 Order for, scope 40-34
Objections to 13-8 Contents 40-35
Juvenile matters 31a-16, 34a-20 Implementation 40-37
Order for compliance, failure to answer or comply with order Service 40-36
13-14 Objection to disclosure 40-8
Orders by judge 13-16 Performance 40-6
Physical or mental examination, request for 13-11 Procedure 40-7
Privilege or protection, postproduction claim of 13-33 Prosecuting authority’s duty, materials discoverable by
Remote deposition procedure 13-30 defendant as of right 40-11
Requests for admission 13-22 Discretionary disclosure by 40-12
Answers and objections to 13-23 Materials excepted from disclosure 40-14
Requests for production, inspection and examination, in Protective orders 40-29, 40-40
general 13-9 Factors to be considered 40-41
Physical or mental examination 13-11 In camera proceedings on motion for 40-42, 40-43
Responses to requests for production, objections 13-10 Excision as relief, record of 40-43
Stipulations regarding discovery and deposition procedure Requests and motions 40-4
13-32 Scientific tests and experiments 40-9
Subpoenas 13-28 Statements 40-15, 40-16
Subpoena duces tecum 13-27 Subpoenas for documents or objects 40-2
Witnesses, information concerning and statements by
DISCOVERY AND DEPOSITIONS—CRIMINAL 40-13
Depositions, in general, grounds 40-44
Defendant, right to be present and represented 40-54 DISMISS, MOTION TO
Waiver of right 40-55 Civil 10-30—10-34
Expenses of 40-58 Criminal 41-8—41-11
578
Copyrighted by the Secretary of the State of the State of Connecticut
INDEX
DISQUALIFICATION OF JUDICIAL AUTHORITY EXHIBITS
Generally 1-19, 1-22, 1-23 Appeals, availability and removal of exhibits 62-10, 62-11
Transmitting to appellate clerk 68-1
DISSOLUTION OF MARRIAGE or CIVIL UNION Marking 5-7
See FAMILY MATTERS Removal from clerk’s office on determination of case 7-21
DOCKET EXPERT WITNESSES
See generally ASSIGNMENTS FOR TRIAL—CIVIL; Appointment by judicial authority in family matters 25-33
CLERKS; CRIMINAL PROCEDURE Criminal cases 40-18—40-20
E-FILED CASES Deposition fees 13-4
See ELECTRONIC FILING Disclosure of 13-4
Reports of 13-4
ELECTRONIC BRIEFING REQUIREMENT Schedule for expert discovery 13-4
See APPELLATE PROCEDURE; BRIEFS
FACT-FINDING
ELECTRONIC DEPOSITION PROCEDURE 13-30 See CIVIL ACTIONS, Fact-Finding
ELECTRONIC FILING 4-4 FAMILY MATTERS
Appeals 60-7, 63-3 Definition of 25-1; see also CIVIL ACTIONS; FAMILY
Court system nonoperational 7-17, 63-2 SUPPORT MAGISTRATE MATTERS; JUVENILE
Small claims 24-3 MATTERS
ELECTRONIC DEVICES AND MEDIA Affidavit concerning minor child 25-57
See MEDIA Alimony, motions for 25-24
Modification 25-26
ELECTRONIC TRANSCRIPT 63-8A Order of notice concerning 25-29
Annulment, complaint 25-2
EMINENT DOMAIN Automatic orders on service 25-5
Clerk’s fees 18-4 Required information prior to hearing 25-58
Reference to committee or referee 19-6
Appearances, generally 25-6
EQUITABLE RELIEF By self-represented party in addition to a attorney 25-6A
See MANDAMUS Failure to file 25-51
Interactive audiovisual device, use of 23-68
EVIDENCE Appellate briefs 67-13
Exceptions not required 5-7 Application
Exhibits, marking 5-7 Automatic orders on service 25-5, 25-5A
Exhibits, transmitting to appellate clerk 68-1 Custody of minor child 25-3
Interlocutory matters, address by counsel 5-5, 5-8 Visitation of minor child 25-4
Medical evidence 15-4 Appointment of counsel for minor child, motion for 25-24
Family matters, procedure for introducing 25-55 Assignments 25-48
Motion in limine, civil 15-3 Attorney for minor child, appointment of 25-62A
Criminal 42-15 Automatic orders on service of complaint or application
Objections, reasons for 5-5 25-5, 25-5A, 25-5B
Reception of evidence objected to 5-6 Case management
Prima facie case, dismissal for failure to make 15-8 Conference 25-50
Suppress, motion to, criminal cases 41-12 Date, automatic order on 25-5
Appeal from denial of after conditional plea of nolo conten- Date, filings by 25-50
dere 61-6 (a) (2) (A) Scheduling 25-50
Intercepted communications 41-14 Child support, motion for 25-24
Judicial authority, when disqualified from hearing 41-17 Automatic orders on service of petition, child support
Seized property, return and suppression 41-13, 41-16 25-5A
Time to file 41-15
Child support and arrearage guidelines worksheet 25-30
Supreme Court, admission in original action 84a-5
Modification 25-26
Witnesses, examination of 5-4
Order of notice concerning 25-29
Oath, administration of 5-3
Support enforcement officer, services by 25a-30
Sequestration, criminal cases 42-36
Civil union, complaint for dissolution of 25-2
EXECUTIONS Automatic orders on service 25-2
Civil actions Motion for dissolution following legal separation 25-36
Application for, unsatisfied money judgment 17-52 Required information prior to hearing 25-58
Costs, execution for balance 18-12 Closure of courtroom 25-59
Default judgment, execution on 17-28 Complaint
Foreclosures Amendment 25-7, 25-8
Execution of ejectment, stay 23-17 Automatic orders on service 25-5
Small claims 24-30, 24-31, 24-32 Dissolution of marriage or civil union, legal separation,
Summary process executions 17-30, 17-53 annulment 25-2
Criminal matters Contempt, motion for 25-27
Bond, forfeiture of, stay of execution 38-21 Right to counsel 25-63
Warrant, execution and return of 36-5 Waiver 25-64
579
Copyrighted by the Secretary of the State of the State of Connecticut
INDEX
FAMILY MATTERS — (Cont) FAMILY MATTERS — (Cont)
Counsel Interactive audiovisual device, use of 23-68
Appointment for minor child, motion for 25-24 Judge trial referees, references to 25-53
Fees, motion for 25-24 Judgment files 25-38
Right to in contempt proceedings 25-63 Legal separation, complaint 25-2
Waiver 25-64 Automatic orders on service 25-5
Right to in paternity actions 25-68 Mandatory exchange of documents 25-32
Criminal restraining order, testimony by person on behalf Medical evidence 25-55
of whom order issued 5-11 Memorandum of decision 64-1, 64-2
Custody of minor child, action for 25-3 Minor child
Automatic orders on service of application 25-5 Affidavits concerning 25-57
Modification 25-26 Attorney for, appointment of 25-62A
Motion for 25-24 Automatic orders concerning filing of dissolution of mar-
Debt, unreasonable, automatic order not to incur 25-5 riage or civil union, annulment or separation complaint
Definitions 25-49 or custody or visitation application 25-5
Discovery and depositions 25-31, 25-32, 25-56 Automatic orders concerning petition for child support
Noncompliance with request or order 25-32A 25-5A
Special master 25-32B Custody action 25-3
Dissolution of marriage, complaint 25-2 Guardian ad litem, appointment for 25-62
Automatic orders on service 25-5, 25-5B Visitation action 25-4
Motion for following legal separation 25-36 Motions, generally 25-23
Notice and hearing on 25-36 Alimony 25-24
Required information prior to hearing 25-58 Appointment of counsel for minor child 25-24
Dockets 25-48 Child support 25-24
Documents Contempt 25-27
Limiting disclosure of 25-59A Counsel fees 25-24
Mandatory exchange of 25-32 Custody 25-24
Personal Identifying information in 25-59B Exclusive possession of property 25-25
Production on request prior to hearing or trial 25-56 Financial statement to be filed before hearing on motion
Evaluation, court-ordered 25-60A or order to show cause 25-30
Evaluation or study, disposition of case to await report 25-60 Personal identifying information, motion to seal or redact
Evaluation, prohibition against contract with evaluator 25-61 documents containing 25-59B
Evidence, medical 25-55 Visitation 25-24
Expert witnesses, appointment by judicial authority 25-33 Order of trial 25-54
Failure of defendant to appear, generally 25-51 Orders of notice 25-23, 25-28, 25-29
For scheduled disposition 25-52 Parenting education program, order to participate in 25-5
Family relations counselor Parenting disputes, definition 25-49
Disclosure to judicial authority of recommendations by Paternity actions, right to counsel 25-68
concerning alimony and child support 25-35 Pendente lite orders in absence of sworn statements by
Duties of 25-69 parties 25-30
Evaluations and studies 25-60 Pleadings
Investigations by 25-69 Answer 25-9
Family services unit, assistance by 25-61 Complaints and applications 25-2—25-4
Family services mediation reports and family services con- Amendments 25-7, 25-8
flict resolution reports 25-60 Cross complaint 25-9
Family support magistrates, determination of matters by Answer 25-10
25a-1 Dismiss, motion to 25-12
Appeal from 25a-29 Denial, further pleading 25-15
Files, sealing 25-59A Grounds 25-13
Financial disputes, definition 25-49 Subject matter jurisdiction, lack of not subject to waiver
Financial statements, automatic orders to complete and 25-14
exchange 25-5 Electronic filing 4-4
To be filed before hearing on motion or order to show Order of 25-11
cause 25-30 Strike, motion to, grounds 25-16
Guardian ad litem, appointment 25-62 Hearing on 25-17
Comprehensive training program 25-62 Judgment, failure to plead after pleading stricken 25-21
Habeas corpus, petition 25-40 Memorandum of decision, when required 25-20
Discovery 25-47 Memorandum of law required 25-19
Dismissal, grounds for 25-42 Reasons to be specified 25-18
Issuance of writ, preliminary 25-41 Short calendar, hearing on motion to be placed on 25-17
Return 25-43 Stricken pleading part of other cause of action 25-22
Reply to return 25-44 Substitute pleading following granting 25-21
Schedule for filing pleadings 25-45 Postnuptial agreements, enforcement or avoidance of 25-2A
Summary judgment, motion for 25-46 Pretrials 25-48
Identification of cases 7-4A Production of documents on request prior to hearing or trial
Insurance coverage, automatic orders to maintain 25-5, 25-56
25-5A Premarital agreements, enforcement or avoidance of 25-2A
580
Copyrighted by the Secretary of the State of the State of Connecticut
INDEX
FAMILY MATTERS — (Cont) FAMILY SUPPORT MAGISTRATE MATTERS — (Cont)
Property, automatic order not to dispose of 25-5 Production, inspection and examination, requests for 25a-24
Proposed written orders to be filed and served by parties Continuing duty to disclose 25a-26
25-30 Failure to comply 25a-25
Protective order, testimony by individual on behalf of whom Reclaim of matters gone off family support magistrate calen-
order issued 5-11 dar 25a-13
References to judge trial referees 25-53
Rules in other chapters, applicability of 25a-1
Removal of minor child from state, automatic order concern-
ing 25-5 Short calendar matters, continuance where counsel’s pres-
Residence, automatic orders concerning 25-5 ence or oral argument required 25a-14
Restraining order, testimony by person on behalf of whom Support enforcement officer, services to be provided 25a-30
order issued 5-11
Sealing files 25-59A, 25-59B FEES AND COSTS
Securities, purchasing or selling, automatic order concern- Admission to bar, disposition of fees 2-22
ing 25-5 Appeals 60-7, 60-8, 61-7, 61-8
Short calendar, procedure 25-34 Certification for review by Supreme Court 84-4, 84-9
Support enforcement officer, services by 25a-30 Civil actions, application for waiver 8-2
Trial, order of 25-54
Client security fund fee 2-70
Uncontested matter, definition 25-49
Uniform Interstate Family Support Act 25-1 Pro hac vice, payment by 2-16
Visitation of minor child, action for 25-4 Consolidated actions 18-14
Automatic orders on service of application 25-5 Costs
Motion for 25-24 For exhibits 18-18
Witnesses, expert, appointment by judicial authority 25-33 Interest and costs, unnecessary to claim 10-28
On appeal from commissioners 18-2
FAMILY RELATIONS COUNSELOR
On complaint and counterclaim 18-16
See FAMILY MATTERS
On counterclaim 18-17
FAMILY SUPPORT MAGISTRATE MATTERS On creditor’s appeal 18-3
Alimony or child support, modification 25a-18 On interlocutory proceedings 18-7
Appeal from decision of family support magistrate 25a-29 On writ of error 18-6
Appearance, filing, duration and withdrawal 25a-2, 25a-3 Several defendants 18-13
Applicability of rules in other chapters 25a-1 Taxation of, appeal 18-5
Automatic orders on service of petition 25a-7 Where both legal and equitable issues 18-15
Certificate of completion of limited appearance, filing of Where several issues 18-12
25a-3
Counsel fees in family matters, motion for 25-24
Child support or alimony, modification 25a-18
Cite in new party, motion for 25a-10 Court expenses, vouchers for 18-1
Continuance, matters requiring counsel’s presence or oral Criminal cases
argument 25a-14 Extradition, officer’s fees 44-35
Depositions 25a-27, 25a-28 Subpoenas, return of 44-32
Disclosure and production of documents 25a-19 Waiver, appeal of conviction by indigent defendant 43-33
Discovery 25a-24, 25a-25, 25a-26 Witnesses, travel fees 44-34
Expert witnesses, disclosure of 25a-21 Indigent witnesses, transportation and support 44-33
Financial affidavits, filing 25a-15 Eminent ___domain, clerk’s fees 18-4
Hearings, telephonic 25a-4 Family matters, counsel fees 25-24
Hospital records as evidence 25a-20 Joint plaintiffs or consolidated actions 18-14
Interrogatories and answers to interrogatories 25a-22,
25a-23 Jury fee, where more than one trial 18-8
Failure to comply 25a-25 Motor vehicle violation, fee on motion to open judgment
Modification of alimony or child support 25a-18 44-36
Motions 25a-9 Proceedings before judge, no costs 18-19
Cite in new party 25a-10 Small claims 24-32
Open judgment of paternity by acknowledgment 25a-17 On motion to open judgment 24-31
Notice of child support enforcement services 25a-1A Waiver, appeals 63-6, 63-7
Opening statement to be allowed at discretion of judicial Waiver, civil actions 8-2
authority 25a-16
Witness fees
Orders of notice 25a-8
Paternity acknowledgment, motion to open 25a-17 In several suits 18-10
Petitions, contents 25a-6 Nonresident witnesses 18-9
Automatic orders on service of petition 25a-7 Witness not called 18-11
Cross petition, answer to 25a-11
Pleadings, signing of 25a-5 FILES
Answer to cross-petition 25a-11 Appeals, availability and removal of files 62-10, 62-11
Order of pleadings 25a-12 Review of trial court files by appellate counsel 62-8
581
Copyrighted by the Secretary of the State of the State of Connecticut
INDEX
FILES — (Cont) HABEAS CORPUS — (Cont)
Clerks, records and files of cases to be kept by 7-1 Family cases, petition 25-40 — (Cont)
Custody of 7-7 Schedule for filing pleadings 25-45
Destruction of files 7-10, 7-11 Summary judgment, motion for 25-46
Motion to prevent 7-16 Fees and costs 23-25
Retention and stripping of files, schedule 7-11 Petitioner’s presence in court 23-40
Adult probation and family division, reports from 7-14 By interactive audiovisual device 23-40
Criminal actions, records and files in 7-13 Pleadings
Sealing 42-49 Petition 23-22
Motor vehicle cases, files in 7-13 Amendment of 23-32
Title to land, files in actions affecting 7-12 Consideration by judicial authority, preliminary 23-24
Transfer to records center or state library 7-15 Dismissal of 23-29
Documents and papers, prerequisites for filing 7-6 Noncomplying petition, return of 23-23
Electronic filings 4-4 Reply to return 23-31
Nonoperational electronic filing system 7-17, 63-2 Return 23-30
Exhibits, removal or destruction on determination of case Request for more specific statement 23-33
7-21 Schedule of filing 23-35
Financial accounts, records of to be kept by clerks 7-3 Record 23-36
Hospital, psychiatric and medical records, prerequisites for Summary judgment 23-37
filing with clerk 7-18 Summary procedure 23-34
Identification of cases 7-4A Transfer 23-28
Judgment files, see JUDGMENTS Venue 23-27
Lost files or pleadings 7-8
Sealing HARD OF HEARING, JURORS WHO ARE
Civil matters 11-20A, 11-20B Civil juries 16-1, 16-8
Criminal cases 42-49A Criminal juries 42-10
Expedited review of order 77-1
Family matters 25-59A HEARINGS
Unfinished record, completion of by clerk 7-9 See also CIVIL ACTIONS, Fact-Finding; JUVENILE
MATTERS
FORECLOSURE Appeals, hearings on motions 66-4
Judgment, timing to file motion for 17-33A Videoconference of hearings 66-4
Expedited procedure; opening judgment of foreclosure 17-4 Civil actions
Mortgages, appraisal report to be served on each appearing Counsel’s failure to appear 5-10
defendant 23-16 Fact-finding hearings 23-55
Complaint 10-69 Failure to appear at by party 23-59
Complex litigation status and assignment 23-13 Hearings in chambers
Assigned judge, powers of 23-14 Certifying proceedings to court 20-2
Request for 23-15 Contested matters, procedure in 20-1
Deficiency judgment, motion for 23-19 Papers
Law days, listing 23-17 Cause affecting land 20-5
Proof of debt 23-18 Clerk designated by judge to take 20-6
Municipal tax liens, foreclosure of, allegations 10-70 Trial before judge, lodging papers and file 20-4
GRAND JURY Transfer of hearings before judges 20-3
Review of order of 78-1 Hearings in damages
Following default 17-34—17-40
GRIEVANCES Following summary judgment on liability 17-50
See ATTORNEYS Privileged for assignment 14-9
Small claims 24-22, 24-23
GUARDIAN AD LITEM Scheduling, continuances 24-15
Appointment in criminal cases 44-20 Time and place, notice 24-14
Appointment in family matters 25-62 Unemployment compensation 22-2
HABEAS CORPUS Delinquency, see JUVENILE MATTERS
Appeal, notice of right to 43-30; see also CRIMINAL PRO- Telephonic hearings, family support magistrate proceedings
CEDURE, Appeal 25a-4
Certification to appeal 80-1 Termination of parental rights, see JUVENILE MATTERS
Appointment of counsel 23-26 HEARSAY
Motion for leave to withdraw appearance 23-41 Child’s hearsay statement; residual exception 35a-23
Judicial action on 23-42
Discovery and depositions 23-38, 23-39 IN CAMERA
Family cases, petition 25-40 See generally HEARINGS
Discovery 25-47 Proceedings on motion for protective order in criminal case
Dismissal, grounds for 25-42 40-42, 40-43
Issuance of writ, preliminary 25-41
Return 25-43 INDIGENT DEFENDANT
Reply to return 25-44 See PUBLIC DEFENDER
582
Copyrighted by the Secretary of the State of the State of Connecticut
INDEX
INFORMATION JOINDER — (Cont)
See ARREST AND PRELIMINARY CRIMINAL PRO- Criminal Matters — (Cont)
CEDURE Motion for 41-3
Motion for severance 41-18
INFRACTIONS Offenses in information 36-22
As offenses 44-21 Family Matters
Centralized infractions bureau 44-28 Nonjoinder of necessary party, motion to strike 25-16
Powers of 44-29
Custody, when not required 44-23 JUDGES AND JUDICIAL AUTHORITIES
When required 44-24 Appellate jurists sitting as Superior Court judges 60-6
Definition of 44-37 Chief judge of Appellate Court 62-1
Magistrates, hearings by 44-30 Complaint or action filed against, notice of 4-8
Not guilty pleas 44-26 Disqualification 1-22
Hearings following entry of 44-27 Motion for 1-23
Payment of fine as plea of nolo contendere 44-25 Judge trial referee, reference to 19-3
Summons and complaint, form 44-22 Criminal cases 44-19
Senior judges, references, applicable rules 19-1
INJUNCTION
Notice required for ex parte temporary 4-5 JUDGMENT FILES
See JUDGMENTS
INSTRUCTIONS
See JURIES—CIVIL; JURIES—CRIMINAL JUDGMENTS
Generally 17-1, chapters 6 and 17; see also APPELLATE
INTAKE, ASSESSMENT AND REFERRAL SPECIALIST PROCEDURE; VERDICT
Release by 38-3 Automatic stay pending appeal, and exceptions 61-11
INTERACTIVE AUDIOVISUAL DEVICE Nonautomatic stay 61-12
Civil and family proceedings, use of for appearance of incar- Decision, statement of by judicial authority, when required
cerated individual 23-68 6-1, 64-1, 64-2
Criminal proceedings, presence of incarcerated individual Declaratory judgments, see DECLARATORY JUDGMENT
by means of 44-10, 44-10A Default judgments and nonsuits
Detention hearings, presence of detained child by means Appear, failure to 17-19
of 30-12 Affidavit of debt 17-25
Juvenile matters, appearance of person by means of 35a-22 Judgment, entry of 17-27, 17-33
Oath, administration of by means of 23-68 Enforcement of 17-28
Liquidated sum, action for, applicable procedure 17-24
INTEREST Military or naval service, affidavit concerning 17-21,
See FEES AND COSTS 17-25
Default rules not applicable to defendant in military
INTERNS or naval service 17-23
See LEGAL INTERNS Motion for default for failure to appear 17-20, 17-25
INTERPLEADER Notice of judgment, mailing by counsel 17-22
Pleadings 23-43 Short calendar, motion not on 17-29
Procedure in 23-44 Weekly payments, order for 17-26
Damages, hearing in
JOINDER Defense, notice to be specific 17-37
Civil Actions Amending notice 17-38
Causes of action 10-21—10-22 Reply not allowed 17-39
Class actions, see CLASS ACTIONS Time to give 17-35
Consolidations of actions for trial 9-5 Evidence to reduce damages 17-39
Impleading of third party 10-11 Notice by clerk of default 17-36
Interested persons as defendants 9-6 Opening default where judgment not rendered 17-42
Legal and equitable relief, claims for 10-24 Opening judgment on default or nonsuit 17-43
Miscellaneous parties, joinder as plaintiffs or defendants Plead, default for failure to 17-31, 17-32
Assignees 9-15, 9-16 Executions 17-52
Defendants alleged to be alternatively liable 9-14 Facts underlying judgment to appear of record 17-5
Personal representatives of deceased cocontractors on Finality for purposes of appeal, see APPELLATE PRO-
joint contract 9-12 CEDURE
Persons liable on same instrument 9-13 Finding, form of 17-6
Misjoinder 9-19 Special finding, request for 17-7
Motion to strike as remedy for 11-3 Form and contents of 17-9
Nonjoinder 9-19 Functions of 17-8
Motion to strike for nonjoinder 10-39, 11-3 Foreclosure, timing to file motion for judgment, see FORE-
Parties and actions 9-3 CLOSURE
Plaintiffs in one action 9-4 Judgment files, captions and contents 6-2
Torts 10-23 Appeal papers, filing requirements 63-4, 67-8
Criminal Matters Appellate proceedings, judgment files in, see APPEL-
Defendants 36-22 LATE PROCEDURE
Misjoinder not requiring dismissal 41-10 Family matters 25-38
583
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INDEX
JUDGMENTS — (Cont) JURIES—CIVIL — (Cont)
Judgment files, captions and contents 6-2 — (Cont) Fact, questions of to be decided by jury 16-9
Notation of satisfaction of judgment 6-5 Equitable actions, facts decided by jury, when 16-10
Preparation, when, by whom, filing 6-3 Judgment of court 16-13
Signing 6-4 Hard of hearing, jurors who are, interpreters for 16-1
Memorandum of decision 6-1, 64-1, 64-2 Interpreters not to participate in deliberations 16-8
Modifying judgment after appeal 17-10 Instructions
Offer of compromise Additional instructions 16-26, 16-28
By defendant 17-11 Counsel to be informed of substance of charge 16-25
Acceptance of offer 17-12 Deadlocked jury 16-29
Failure to accept offer 17-13 Modification for correction or clarification 16-25
By plaintiff, counterclaim plaintiff 17-14 Requests for, see Requests to charge and exceptions,
Acceptance of offer 17-15 this title
Failure to accept offer 17-16 Interrogatories 16-18
Judgment where amount greater than offer recovered Jury selection, preliminary proceedings
17-18 Disqualification of jurors 16-4
Negligence of health care provider alleged 17-14A Peremptory challenges 5-12, 16-5
Offer and acceptance to be included in record 17-17 Voir dire 16-6
Opening 17-4 Legal and equitable issues, determination of case pre-
Expedited procedure, opening judgment of foreclosure senting both 16-11
17-4 Judgment in 16-13
Record of proceeding, facts to appear on 17-5 Note taking by jurors 16-7
Remittitur where judgment too large 17-3 Oath and admonitions to jurors 16-8
Setting aside 17-4 Pleadings, submission to jury 16-15
Stay pending appeal, and exceptions 61-11, 61-12 Polling after verdict 16-32
Summary judgments, scope of remedy 17-44 Questions by jurors during trial 16-7
Affidavits Questions of fact, jury to decide 16-9
Bad faith, affidavits made in 17-48 Judgment 16-13
Form of 17-46 Questions of law, judicial authority to decide 16-9
Appropriate documents not available 17-47 Request to charge and exceptions 16-20
Judgment 17-49 Filing 16-22
For part of claim 17-51 Form, contents and number 16-23
Motion for, proceedings upon 17-45 Principles of law in 16-21
Permission to file, motion for 17-44 Selection of jurors
Timing of, when scheduling order exists 17-44 Disqualification of jurors 16-4
Timing of, when assigned for trial, no scheduling order Peremptory challenges 5-12, 16-5
14-44 Voir dire 16-6
Triable issue as to damages only 17-50 Verdict, see VERDICT
Summary process 17-30 Viewing of place or thing by jury 16-12
Execution 17-53 Voir dire of prospective jurors 16-6
JUDICIAL REVIEW COUNCIL JURIES—CRIMINAL
Appeals from, in general 74-1 Array, challenge to 42-4
Appellate rules, applicability of 74-6 Cause, excuse of juror for 42-11
Complaint filed by attorney or party, notice of 4-8 Charge, see Instructions, this title
Decision of council, statement of 74-4 Communications
Initiation of proceedings by Supreme Court 74-3A Judicial authority and jurors 42-7
Papers to be filed 74-1 Parties and jurors 42-8
Parties, proper form of reference 74-5 Deaf, jurors who are, interpreters 42-10
Recommendation by council, action on by Supreme Court Deliberations 42-21
where no appeal 74-2A Deadlocked jury 42-28
Testimony, request by jury for review of 42-26
JURIES—CIVIL Disqualification of jurors 42-5
Amount in demand, disclosure to jury prohibited 16-19 Duty to report prejudicial information, improper outside influ-
Array, challenge to 16-2 ence, clerical mistake in verdict 42-8
Cause, excuse of juror for 16-3 Hard of hearing, jurors who are, interpreters 42-10
Charge, see Instructions this title Information, exhibits, copy or tape of instructions to be sub-
Communications with jurors prohibited 16-14 mitted to jury 42-23
Deaf, jurors who are, interpreters for 16-1 Instructions, conference with counsel concerning substance
Deliberations 16-16 42-19
Deadlocked jury 16-29 Additional instructions 42-25
Interrogatories 16-18 Jury’s request for 42-27
Return for reconsideration 16-17 Clarification or modification 42-24
Review of testimony during 16-27 Jury selection, preliminary proceedings 42-11
Discharge after verdict 16-33 Array, challenge to 42-4
Exhibits, pleadings and copy or tape of instructions, submis- Peremptory challenges 5-12, 42-13
sion to jury 16-15 Voir dire 42-12
584
Copyrighted by the Secretary of the State of the State of Connecticut
INDEX
JURIES—CRIMINAL — (Cont) JUVENILE MATTERS — (Cont)
Note taking by jurors 42-9 Delinquency, complaint or petition, nonjudicial handling, see
Oath and admonitions to jurors 42-14 Nonjudicial handling of delinquency complaints or peti-
Questions by jurors 42-9 tions, this title
Questions of fact, jury to decide 42-20 Delinquency hearing, see Hearings: delinquency, this title
Requests to charge and exceptions 42-16 Delinquency informations or petitions, contents and service
Filing 42-17 29-1, 29-2
Form and contents 42-18 Processing 29-1A
Right to jury trial, waiver 42-1 Detention
Selection of jurors, preliminary proceedings 42-11 Basis for, requirements 30-6
Array, challenge to 42-4 Conditional release 30-10
Peremptory challenges 5-12, 42-13 Duration of 30-5, 30-8, 30-10
Voir dire 42-12 Requirements for extension 30-5
Sequestration 42-22 Hearing
Information to be considered 30-9
Size of jury, election by defendant 42-3
Place of 30-7
Testimony, request by jury for review of 42-26
Waiver of 30-8
Two part information 42-2 Initial order for, without hearing 30-8
Verdict, see VERDICT Release to parents 30-8
Viewing of place or thing by jury 42-6 Nondelinquent child, other jurisdiction 30-5
Voir dire of jurors 42-12 Nondelinquent juvenile runaway from another state 30-2A
Waiver of right to jury trial 42-1 Order for, after hearing, on finding of necessary factor
30-10
JUVENILE MATTERS
Release, and periodic drug testing as condition 30-10
Adjudicatory hearing Subsequent to dispositional hearing, mandatory review
Neglected, abused and uncared for child; termination of 30-11
parental rights 35a-1 Disclosure of defenses, delinquency proceedings 31a-17
Appeal, see also APPELLATE PROCEDURE Discovery
Applicability of general Superior Court rules 34a-1 Delinquency, youth in crisis matters 31a-16
Attorney Neglected, abused and uncared for child; termination of
Access to reports and studies parental rights 34a-20
Delinquency 30-9, 30a-8 Dismiss, motion to 34a-9—34a-11
Neglected, abused and uncared for child; termination Electronic filing 26-3
of parental rights 32a-1, 32a-7 Emergency medical situations requiring temporary custody
Appellate counsel, application for 35a-21 33a-8
Review by appellate review attorney 35a-21 Emergency relief 34a-23
Right to 27-5, 27-6, 30-3, 30a-1, 32a-1 Evaluation of child 34a-21
Waiver of right, neglected, abused and uncared for child; Examinations, physical or mental, delinquency 31a-14
termination of parental rights 35a-1 Guardian, definition 26-1
Chief public defender, assignment of attorney to represent Hearing procedure, neglected, abused and uncared for
child 32a-1 child; termination of parental rights 32a-2
Child, definition of 26-1 Hearings
As witness, procedure for testimony 32a-4 Adjudicatory, neglected, abused and uncared for child;
Child protection, see Neglected, abused and uncared for termination of parental rights 35a-1
child; termination of parental rights, this title Advancement of 34a-5
Commitment, definition 26-1 Attendance of persons 26-2
Commitment of child as mentally ill 31a-15 Agency representative 26-2
Revocation of 35a-14A Exclusion of persons not necessary 26-2
Complaint, definition of 26-1 Foster parent 26-2
Contempt 34a-22 News media 26-2
Continuances and advancements 34a-5 Prohibition of disclosure of identifying information for
For case status conference on denial of petition alleging good cause 26-2
neglected, abused and uncared for child and termina- Relatives 26-2
tion of parental rights 33a-7, 35a-2 Service provider 26-2
Termination of parental rights or allegations of uncared
Coterminous petitions, neglected, abused and uncared for
for, neglected or abused child, attendance of per-
child; termination of parental rights 35a-3
sons with legitimate interest 26-2
Counsel, see Attorney, this title
Victim in delinquency hearings, exclusion of for good
Court-ordered evaluation of child 34a-21 cause 26-2
Custody, order of temporary 33a-6 Audiovisual device, appearance by 35a-22
Emergency or life-threatening situation, application proce- Civil proceedings, hearings as 32a-2
dure 33a-8 Continuance 34a-5
Preliminary hearing 33a-7 For case status conference, neglected, abused and
Respondent’s rights, statement of 33a-7 uncared for child; termination of parental rights 33a-
Default, opening order obtained by 35a-18 7, 35a-2
Defenses, disclosure of, delinquency proceedings 31a-17 Definition 26-1
Definitions 26-1 Delinquency hearing, see Hearings: delinquency, this title
585
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INDEX
JUVENILE MATTERS — (Cont) JUVENILE MATTERS — (Cont)
Hearings — (Cont) Neglected, abused and uncared for child; termination of
Detention hearing, see Detention, hearing, this title parental rights — (Cont)
Dispositional hearings 30a-5, 30a-6, 35a-9—35a-11 Evidence 35a-7
Dispositive hearing, definition 26-1 Exclusion of unnecessary persons from courtroom
Hearings: delinquency 35a-1B
Advisement of rights, initial plea hearing 30a-1 Explanation of petition 35a-1
Burden of going forward 30a-3 Nolo contendere plea 35a-1
Continuance for pretrial conference 30a-2 Record of case 35a-1A
Counsel, request for 30a-2 Advisement of rights 32a-1
Dispositional hearing 30a-5 Allegations of petition 33a-1
Victim, statement on behalf of 30a-6 Chief public defender, assignment of attorney to represent
Plea agreement 30a-2 child 32a-1
Plea canvass 30a-4 Child or youth
Plea hearing, initial 30a-1 As witness 32a-4
Counsel, appointment of 30a-1 Consultation with in court 32a-5
Pretrial conference 30a-2 Exclusion from courtroom 32a-5
Recording of hearings 30a-7 Competency of parent 32a-9
Records 30a-8 Coterminous petitions 35a-3
Testimony admissible at dispositional hearing 30a-5 Counsel, right to 32a-1
Hearsay, child’s statement; residual exception 35a-23 Default, opening 35a-18
Indian child, definition of 26-1 Hearing 35a-18
Indigent parties, requests for subpoenas 32a-2 Discovery 34a-20
Information, definition 26-1 Dismiss, motion to 34a-9—34a-13
Informations, delinquency, contents and service 29-1, 29-2 Dispositional hearing
Processing 29-1A Evidence and mandated social study 35a-9
Interactive audiovisual device, appearance by 35a-22 Mandated social study, availability to parties, counsel
Interactive audiovisual device, appearance by detained child and self-represented parties 35a-10
by means of in detention hearings 30-12 Witnesses, respondents’ right to produce 35a-11
Mentally ill child, commitment as 31a-15 Dispositions, motions to modify 35a-16
Modification of probation 31a-18 Evaluation of child 34a-21
Motions and applications: delinquency Foster parents, prospective adoptive parent, relative care
Adult criminal docket, motion to transfer to 31a-12 giver and siblings, right to be heard 35a-5
Bill of particulars, motion for 31a-2 Guardian, role of 35a-6
Continuances and advancements 31a-1A Hearing procedure in general 32a-2
Discovery, motions for 31a-16 Interpreter 32a-6
Dismiss, motion to 31a-3 Intervene, motions to 35a-4
Form of motions, time for filing, amendment 31a-1 Modification of guardianship, post-disposition motion for
Joint trial of petitions or informations, motion for 31a-10 35a-20, 35a-20A
Judgment of acquittal, motion for 31a-5 Motions to modify dispositions 35a-16
Motion in limine 31a-7 Order of temporary custody 33a-6
New trial, motion for 31a-11 Preliminary hearing 33a-7
Sequestration of witnesses, motion for 31a-8 Permanency plan, motion for review 35a-14
Severance of offenses for trial, motion for 31a-9 Petitions, allegations 33a-1
Suppress, motion to 31a-4 Petitions, consolidation of 35a-6A
Take into custody order, application for 31a-13 Petitions, coterminous 35a-3
Transfer of venue, motion for 31a-6 Petition to reinstate former legal guardian as guardian
Transfer to adult criminal docket, motion for 31a-12 35a-20A
Motions, in general 31a-1, 34a-1 Petition to reinstate parent as guardian 35a-20
Changes in court dates, continuances 34a-5 Petition to remove parent as guardian, transfer from Pro-
Contempt 34a-22 bate Court 35a-19
Dismiss 34a-9—34a-13 Pleading 34a-6—34a-8
Emergency relief 34a-23 Probate court, transfer of petition to remove parent as
Evaluation of child 34a-21 guardian 35a-19
Intervene 35a-4 Protective supervision
Strike 34a-15—34a-19 Application to modify 33a-6
Transfer of guardianship 35a-12 Conditions, modification and termination 35a-12
Neglected, abused and uncared for child; termination of Publication as service 33a-5
parental rights Records, confidentiality 32a-7
Adjudication 35a-1 Records, substance abuse treatment 32a-8
Admission or denial of allegations of petition 35a-1 Reinstatement of former legal guardian as guardian,
Adverse inference 35a-7A motion for 35a-20A
Burden of proceeding 35a-8 Reinstatement of parent as guardian, motion for 35a-20
Consolidation of petitions 35a-6A Removal of child from home 35a-13
Consolidation with hearing on temporary custody order Residential center 30-1A
33a-7 Admission to 30-1A
Continuance for case status conference 33a-7, 35a-2 Advisement of rights 30-3
586
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INDEX
JUVENILE MATTERS — (Cont) JUVENILE MATTERS — (Cont)
Neglected, abused and uncared for child; termination of Parties, definition of 26-1
parental rights — (Cont) Intervening party, definition of 26-1
Definition of 26-1 Legal party, definition of 26-1
Notice to parents 30-4 Permanency plan, definition 26-1
Respondent, identity or ___location unknown 33a-4 Motion for review of 35a-14
Chief child protection attorney to assign counsel 33a-4 Petitions
Reunification efforts 35a-15 Amendment 31a-1, 34a-1
Revocation of commitment 35a-14A Definition of 26-1
Rights of parents or guardians 32a-1 Delinquency petition, contents and service 29-1, 29-2
Service 33a-2 Processing 29-1A
Standard of proof Neglected, abused and uncared for child; termination of
Clear and convincing evidence and proof beyond a parental rights 33a-1
reasonable doubt, termination of parental rights Removal of parent as guardian 35a-19
32a-3 Termination of parental rights 35a-19
Fair preponderance of evidence, neglect, uncared for Physical and mental examinations, delinquency 31a-14
and dependency petition 32a-3 Pleadings, neglected, abused and uncared for child; termi-
Strike, motion to 34a-15—34a-19 nation of parental rights
Subpoenas 32a-2 Contempt, motion for 34a-22
Substance abuse treatment records 32a-8 Dismiss, motion to 34a-9—34a-13
Summons accompanying petition, neglected, abused and Emergency relief, motion for 34a-23
uncared for child 33a-2 Evaluation of child, motion for 34a-21
Temporary custody, order of 33a-6 Order 34a-6
Emergency or life-threatening situation, application pro- Response to summary of facts 34a-14
cedure 33a-8 Strike, motion to 34a-15—34a-19
Location of minor child, information provided under seal Time to plead 34a-8
to counsel for child 33a-2 Waiver of right to plead 34a-7
Preliminary hearing; notification of rights 33a-7 Pretrial conference, delinquency 30a-2
Respondent’s rights, statement of 33a-7 Probate Court, transfer from, or application for removal of
Transfer of guardianship, motions for 35a-12A parent as guardian 35a-19
Venue 33a-3 Probation
Nonjudicial handling of delinquency complaints 27-1A Department, assignment to of delinquency complaints
27-1A
Additional offenses and misconduct 27-4
Presentation of information at detention hearing 30-9
Denial of responsibility for misconduct 27-6
Modification of probation 31a-18
Dismissal following successful completion of nonjudicial
Officer, investigation of delinquency complaints 27-1A,
handling 27-8A
27-5, 27-8A
Eligibility for delinquency nonjudicial handling, initial inter-
Predispositional study by, consideration of at disposi-
view 27-5
tional hearing 30a-5
Erasure following successful completion of nonjudicial
Probation status review hearing, definition of 26-1
handling 27-8A
Probation supervision, definition of 26-1
Ineligibility for nonjudicial handling 27-4A
Probation supervision with residential placement, defini-
Initial interview, explanation of allegations 27-5 tion of 26-1
Notice to appear 27-1A Records
Probation department, referral to 27-1A Attorney access to 30a-8, 32a-7
Responsibility, acknowledgment or denial 27-6, 27-7 Confidentiality, copying and reproduction of 30a-8, 32a-7
Nonjudicial supervision of child 27-8A Erasure 27-8A
Written statement of responsibility 27-7 Substance abuse treatment 32a-8
Rights of parties, explanation of 27-5 Recording of hearings 30a-7, 32a-7, 35a-1A
Successful completion of nonjudicial handling, dismissal Removal of child from home, required findings 35a-13
and erasure of matter 27-8A Respondent, definition of 26-1
Notice Rights of parties
Detention 30-4 Right of respondents to neglected, abused and uncared
To appear, delinquency 27-1A for child or termination of parental rights petition 33a-7
Orders To confrontation and cross-examination 30a-1, 32a-1
Custody, take into, definition of 26-1 To counsel 27-5, 30-3, 30a-1, 32a-1, 35a-21
Application for 31a-13 To remain silent 30a-1, 32a-1
Following violation of condition of suspended detention Secure-residential facility, definition of 26-1
30-10 Short calendar sessions 34a-2—34a-4
Temporary custody 33a-6 Specific steps, definition 26-1
Emergency or life-threatening situation, application pro- Staff-secure facility, definition of 26-1
cedure 33a-8 Staff-secure residential facility, definition of 26-1
Location of minor child, information provided to counsel Standards of proof 30a-3, 32a-3
for child under seal, 33a-2 Subpoenas 32a-2
Preliminary order of first hearing 33a-7 Substance abuse treatment records 32a-8
Respondent’s rights, statement of 33a-7 Superior Court Rules, general provisions, applicability 34a-1
587
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INDEX
JUVENILE MATTERS — (Cont) MEDIA — (Cont)
Supervision Coverage of court proceedings in general, requests for and
Judicial, definition of 26-1 limitations on 1-10B
Nonjudicial, definition of 26-1 Criminal proceedings, media coverage 1-11C
After acknowledgment of responsibility, delinquency Definition of media 1-10A
27-8A Electronic devices in courts, generally 1-10
Protective 26-1, 35a-12 Exclusion by judicial authority 11-20
Take into custody order, definition 26-1 Homicide involving sexual assault, media coverage 1-11C
After violation of condition of suspended detention 30-10 Juvenile matters 26-2
Application for 31a-13 Personal digital assistant in courts 1-10
Temporary custody, order of 33a-6
Consolidation of hearing with underlying petition 33a-7 MEDICAL, HOSPITAL AND PSYCHIATRIC RECORDS
Emergency or life-threatening situation, application proce- Family matters, procedure for introducing 25-55
dure 33a-8 Prerequisites for filing in clerks’ offices 7-18
Preliminary order or first hearing 33a-7
Preliminary order 33a-7 MEDICARE ENROLLMENT, disclosure of
Respondent’s rights, statement of 33a-7 See CIVIL ACTIONS; DISCOVERY and
Termination of parental rights, see Neglected, abused and See also DEPOSITIONS-CIVIL
uncared for child; termination of parental rights, this title MORTGAGES
Testimony See FORECLOSURE
Admissible at dispositional hearing, delinquency 30a-5
Child as witness, procedure 32a-4 MOTIONS, APPLICATIONS AND REQUESTS, CIVIL, MIS-
Narrative form permissible 32a-2 CELLANEOUS
Recording of 30a-7, 32a-7 See also FAMILY MATTERS; JUVENILE MATTERS
Transfer from Probate Court of petition to remove parent Appeal period, motions that delay 11-11
as guardian 35a-19 Appellate counsel, participation in trial court motions 62-8
Transfer to adult criminal docket 31a-12 Argument of motions 11-18
Uncared for child, see Neglected, abused and uncared for Cite in new parties 9-22
child; termination of parental rights, this title Definition of 11-2
Venue, child protection 33a-3 Destruction of files and records, motion to prevent 7-16
Venue, delinquency, motion for transfer 31a-6 Dismiss, motion to 10-30
Victim, definition 26-1 Family matters 25-12—25-15
Attendance at hearing 26-2 Further pleading by defendant following denial 10-34
Youth, definition 26-1 Grounds 10-31
Subject matter jurisdiction not subject to waiver 10-33
LAND USE REGULATIONS Waiver of lack of personal jurisdiction, insufficiency of
Copy to be filed with appellate brief 81-6 process or service 10-32
Statement in brief as to applicable version 67-4, 67-5 Electronic filing 4-4
LAW DAYS Electronic filing system nonoperational 7-17
See FORECLOSURE Exclusion of public, sealing documents, motion for 11-20
Family matters 25-23
LEGAL INTERNS 3-14 Form of 11-1
Activities of 3-17 Health information, motion for authorization to obtain pro-
Certification of 3-18 tected 13-9, 13-11A
Out-of-state interns 3-21 Limine, motion in 15-3
Requirements and limitations 3-16 Memorandum of law required 11-10
Supervision of 3-15 Misjoinder and nonjoinder of parties, motion to strike for 11-3
Motion to dismiss, see Dismiss, motion to, this title
LEGAL SEPARATION Motion to strike, see Strike, motion to, this title
See FAMILY MATTERS New trial, motion for 17-4A
MAGISTRATES Oral argument of motions 11-18
Family support, see FAMILY MATTERS Order of notice, applications for 11-4
Infractions, hearings on 44-30 Postverdict motions: arrest of judgment, additur, remittitur,
set aside verdict, new trial, collateral source reduction
MANDAMUS 16-35
Complaint 23-45 Previous motions and applications, disclosure of 11-9
Order in pending action 23-47 Reargue, motion to 11-12
Parties plaintiff 23-45 Request to revise 10-35
Pleadings in 23-49 Granting of and objection to 10-37
Privileged in assignment for trial 14-9 Reasons in 10-36
Temporary order of 23-48 Waiver of further pleading revisions 10-38
MEDIA Sealing files and documents 11-20
Appellate proceedings 70-9 Strike, motion to, grounds 10-39
Arraignments, media coverage 1-11A Date for hearing 10-40
Cell phones in courts 1-10 Family matters 25-16—25-22
Civil proceedings, media coverage 1-11B Memorandum of decision, when required 10-43
Computers, portable in courts 1-10 Memorandum of law 10-39
588
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INDEX
MOTIONS, APPLICATIONS AND REQUESTS, CIVIL, MIS- NOTICE — (Cont)
CELLANEOUS — (Cont) Criminal convictions, notice of right to appeal 43-30
Strike, motion to, grounds 10-39 — (Cont) Default judgments 17-22, 17-36
Misjoinder and nonjoinder of parties 11-3 Depositions, criminal cases 40-48
Opposition 10-40 Ex parte temporary injunction 4-5
Stricken pleading part of other cause or defense 10-45 Habeas corpus, notice of right to appeal 43-30
Substitute pleading, or judgment after motion granted Juvenile matters, detention 30-4
10-44 Orders of notice 11-4—11-8; see ORDERS OF NOTICE
Pleading notice 10-68
MOTIONS, MISCELLANEOUS, CRIMINAL Receivers, appointment 21-1, 21-3
See also CRIMINAL PROCEDURE Small claims, notice in 24-1
Acquittal, motion for Notice of suit, service of 24-10
Motion for directed verdict of, abolished 42-40 Notice of time and place of hearing 24-14
Motion for judgment of 42-40
After guilty verdict 42-51 OATH
After mistrial 42-50 Administration by interactive audiovisual device 23-68
At close of evidence, reservation of decision on 42-42 Administration to jurors 16-8, 42-14
At close of prosecution’s case 42-41 Administration to witnesses 5-3
Time limit for filing 42-52 Deposed witnesses, criminal cases 40-49
Arrest of judgment, motion in 42-56 Juvenile matters, child witnesses 34-4
Dismiss, motion to, matters to be raised by 41-8
Appeal from denial after conditional plea of nolo conten- OFFER OF COMPROMISE
dere 61-6 (a) (2) (A) See Judgments
Defects not requiring dismissal 41-10 OFF-SITE JUDICIAL PROCEEDINGS
Remedies for 41-11 Transcript, recording, summary of 1-24
Restrictions on 41-9
Electronic filing 4-4 ORAL ARGUMENT
Limine, motion in 42-15 See also APPELLATE PROCEDURE
Mistrial, motion for Appellate Court arguments, precedence over trial court
Prejudice to defendant 42-43 assignments 1-2
Prejudice to prosecution 42-44 Argument on interlocutory questions during trial 5-5
New trial, motion for 42-53 Child protection matters, appeals 79a-9
Time for filing 42-54 Short calendar 11-18
Where based on newly discovered evidence 42-55 Supreme Court arguments, precedence over trial court
Pretrial motions and requests, in general 41-1, 41-2 assignments 1-2
Form and manner of making 41-6 Time limit 15-7
Hearings and rulings 41-7 Criminal cases 42-37
List of motions 41-3
Speedy trial 43-41 ORDER OF TEMPORARY CUSTODY
Time to make, waiver 41-4, 41-5 See JUVENILE MATTERS
Suppress, motion to 41-12 ORDERS OF NOTICE
Appeal from denial after conditional plea of nolo conten- Applications for 11-4
dere 61-6 (a) (2) (A) Attestation, publication, proof of compliance 11-7
Intercepted communications 41-14 Continuance, subsequent orders of 11-5
Judicial authority, when disqualified from hearing 41-17 Directed outside United States 11-8
Seized property, return and suppression 41-13, 41-16 Family matters 25-23, 25-28, 25-29
Time to file 41-15 Publication, notice by 11-6
MOTOR VEHICLE OFFENSES Receivers, presentation of claims to 21-7
See generally INFRACTIONS PARENTAL RIGHTS, TERMINATION OF
See JUVENILE MATTERS
MUNICIPAL OFFICERS
Bond to, action to enforce 9-25 PARKING OR CITATION ASSESSMENT
Petition to open 23-51
MUNICIPAL TAX LIENS
Foreclosure, allegations 10-70 PARTIES, CIVIL ACTIONS
See also JOINDER
NOLLE PROSEQUI Addition or substitution of 9-18
Generally 39-29—39-32 Motion to cite in new parties 9-22
NONSUIT Class actions 9-7, 9-8
See generally DEFAULT JUDGMENTS Adequate representation, orders to ensure 9-10
Dismissal or compromise 9-9
NOTICE Fiduciaries 9-11
Alimony and support, notice of orders concerning 25-29 Parents as necessary parties in minor’s name change action
Clerks to notify counsel and self-represented parties of judg- 9-24
ments, decisions and rulings 7-5 Real party in interest 9-23
Complaint or action filed against judicial authority, notice Substituted plaintiff 9-20
filed 4-8 Third parties affected by counterclaim 9-21
589
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INDEX
PATERNITY ACTIONS PLEADINGS, CIVIL ACTIONS — (Cont)
Right to counsel 25-68 Filing and endorsing pleadings 4-3
Electronic filing 4-4
PERSONAL DIGITAL ASSISTANT IN COURTROOM Signing pleadings 4-2
See MEDIA Prepared with assistance of counsel notation 4-2
Foreign law, notice of claim based on 10-3
PERSONAL IDENTIFYING INFORMATION Form of pleadings 4-1
See RECORDS; CIVIL ACTIONS, Motions; FAMILY Electroncially filed 4-1
MATTERS, Documents; see also APPELLATE PRO- Filing and endorsing pleadings 4-3
CEDURE, Appendix Signing pleadings 4-2
PICTURE IDENTIFICATION CARD Prepared with assistance of counsel notation 4-2
See also MEDIA Impleading, of third party defendant 10-11
Authorizing attorney use of electronic devices in courtroom Implied admissions of material allegations 10-19
Implied duty, unnecessary to allege 10-4
1-10
Interest and costs, unnecessary to claim 10-28
PLAIN ERROR REVIEW 60-5 Joinder of causes of action 10-21
Legal and equitable relief 10-24
PLEA AGREEMENTS Torts 10-23
See PLEAS—CRIMINAL Transactions connected with same subject 10-22
Legal effect, pleading 10-2
PLEADINGS, CIVIL ACTIONS Miscellaneous special matters and required pleadings
See also FAMILY MATTERS; JUVENILE MATTERS; Action by assignee of chose in action, required pleading
SMALL CLAIMS 10-72
Admissions Charters, pleading 10-73
Express admissions and denials to be direct and specific Collateral source payments, pleading 10-78
10-48 Foreclosure of mortgage or real property lien, required
In special defenses 10-52 pleading 10-69
Of material allegations, implied 10-19 Foreclosure of municipal liens, required pleading 10-70
Alternative relief, claims for 10-25 Incorporation by General Assembly, pleading 10-73
Amendments Insurance, policy limitations or payments by insurer, spe-
Amendment calling for legal relief, issue to be placed on cial defense of 10-79
jury docket 10-64 Probate appeals, required pleading 10-76
Amount in demand 10-66 Appeals from commissioners appointed by Probate
As of right by plaintiff, time limit 10-59 Court, required pleading 10-77
Claim against insolvent estate, amendment of 10-67 Probate bond 10-71
Consent, order of judicial authority, or failure to object, Wrongful sale, wrongful conversion 10-74
amendment by 10-60 Motion to dismiss 10-30
Contract to tort 10-65 Family matters 25-12—25-15
Equitable to legal relief, legal to equitable relief 10-63 Further pleading by defendant following denial 10-34
Pleading after amendment 10-61 Opposition 10-31
Time limit, amendment by plaintiff as of right 10-59 Subject matter not subject to waiver 10-33
Tort to contract 10-65 Waiver of lack of personal jurisdiction, improper venue,
Variance between pleadings and proof, amendment in insufficiency of process or service 10-32
cases of 10-62 Motion to strike, grounds 10-39
Answer, general and special denial 10-46 Date for hearing 10-40
Contributory negligence, pleading of 10-53 Family matters 25-16—25-22
Counterclaim and setoff, pleading of 10-54 Memorandum of decision, when required 10-43
Right to prosecute after withdrawal of action 10-55 Memorandum of law 10-41
Denials to meet substance of allegations 10-47 Substitute pleading, or judgment after motion granted
Express admissions and denials 10-48 10-44
General denial in action by corporation on contract 10-49 Where stricken pleading part of other cause or defense
10-45
Response to answer by plaintiff 10-56
Notice, pleading of 10-68
Matter in avoidance of answer 10-57
Order of pleading 10-6
Pleadings subsequent to reply 10-58
Pleadings closed, certification of 14-8
Special defenses 10-50
Request to revise 10-35
Admissions and denials in 10-52 Granting of and objection to 10-37
Several special defenses 10-51 Reasons in 10-36
Closed pleadings, certification of 14-8 Waiver of further pleading revisions 10-38
Common counts writ, abolished 10-9 Separate counts for separate causes of action 10-26
Complaint, contents of 10-20 Service 10-12
Counterclaim, supplemental pleadings 10-10 Electronic delivery, service by 10-13
Dismiss, motion to see Motion to dismiss, this title Exception for request for mediation 10-12
Equitable relief, claim for 10-27 Indifferent person, service by 10-17
Exhibits as part of pleading 10-29 Method of 10-13
Fact pleading 10-1 Numerous defendants, service where 10-15
Family matters 25-2—25-4, 25-7—25-11 Proof of service 10-14
590
Copyrighted by the Secretary of the State of the State of Connecticut
INDEX
PLEADINGS, CIVIL ACTIONS — (Cont) PRETRIAL CRIMINAL PROCEDURE
Service 10-12 — (Cont) See CRIMINAL PROCEDURE, Appearance and
Several parties represented by one attorney 10-16 Arraignment; Arrest and Preliminary Procedure;
Signing pleadings 4-2 Bail; Bond; Pleas
Prepared with assistance of counsel notation 4-2
Statutory grounds, allegations based on 10-3 PRETRIAL RELEASE
Strike, motion to, see Motion to strike, this title See CRIMINAL PROCEDURE
Third party, impleading of by defendant 10-11 PRIVILEGE LOG
Time to plead 10-8 See CIVIL ACTIONS, Discovery
Untrue allegations or denials, payment of reasonable
expenses required 10-5 PROBABLE CAUSE
Variance, in action for goods sold at reasonable price 10-75 See APPEARANCE AND ARRAIGNMENT—CRIMI-
Waiver of right to plead 10-7 NAL MATTERS
PLEAS—CRIMINAL PROBATE
See also APPEARANCE AND ARRAIGNMENT—CRIM- Action on bond 10-71
INAL MATTERS Appeals, pleading in 10-76
Agreements, conditional pleas of guilty or nolo contendere Commissioners, appeals from, pleading in 10-77
39-5 Application for removal of parent as guardian, transfer from
Alternative dispositions recommended by prosecuting Probate Court 35a-19
authority 39-6 Physical or mental examination, request for 13-11
Appeal from denial of motion to dismiss or suppress 61-
6 (a) (2) (i) PROBATE JUDICIAL CONDUCT, COUNCIL ON
Appeals from decisions of, in general 75-1
Disclosure to judicial authority 39-7
Appellate rules, applicability of 75-6
Rejection by judicial authority 39-10
Decision of council, statement of 75-4
Reservation of right to appeal 61-6 (a) (2) (ii)
Fees, costs and security waived 75-1
Sentencing 39-8, 39-9
Papers to be filed 75-1
At arraignment 37-7
Parties, proper form of reference 75-5
Discussions, procedure for in general 39-1
Defendant represented or unrepresented by counsel 39-2 PROBATION
Defense counsel, role in plea agreements 39-3 Delinquency, referral to probation department 27-1A
Subject matter 38-4 Investigation by probation officer 27-1A, 27-5, 27-8A
Guilty or nolo contendere 37-8, 39-18 Modification of probation 31a-18
Acceptance and canvass of defendant by judicial authority Nonjudicial supervision of child 27-8A
39-19—39-21 Predispositional study by probation officer, consideration
Conditional pleas of 39-5 at dispositional hearing 30a-5
Other offenses, pleading to after finding of guilty 39-22 Vocational probation, definition 26-1
Record of proceedings 39-24 Revocation of 43-29
Rejected plea inadmissible 39-35 Stay pending appeal 43-32
Withdrawal of plea 39-26—39-28
Nolle prosequi 39-29 PROCESS 8-1
Dismissal of information or complaint 39-32 PRO HAC VICE
Effect of 39-31 See ATTORNEYS
Objection by defendant 39-30
Not guilty 37-9 PUBLIC DEFENDER
Two part information charging former conviction 37-10, 37- Appeals by indigent defendant 43-33—43-38
11, 39-23 Appointment of 37-6
Reference to, investigation of indigency 37-5
PRACTICE OF LAW Appointment of counsel, criminal cases in general 44-1—
See ATTORNEYS 44-6
PREJUDGMENT REMEDIES QUESTIONS OF LAW AND FACT
Disclosure of assets by party against whom prejudgment See generally JURIES—CIVIL; JURIES—CRIMINAL
remedy granted 13-13
RECEIVERS
PRESENTENCE INVESTIGATION Accounts, semiannual 21-14
See CRIMINAL PROCEDURE Ancillary receivers 21-18
Application for 21-1
PRETRIAL—CIVIL Appraisers and temporary receivers, appointment 21-1,
Assignment for 14-11 21-3
Orders at 14-14 Bond 21-4
Pretrial procedure 14-13 Business, continuance of 21-11
When case not disposed of at 14-12 Reports 21-12
Family matters 25-48 Chambers, appointment of receiver in 21-1
Interactive audiovisual device, presence of incarcerated Applications for orders, receiver appointed in chambers
individual by 23-68 21-15
591
Copyrighted by the Secretary of the State of the State of Connecticut
INDEX
RECEIVERS — (Cont) REFERENCES — (Cont)
Claims, presentation 21-7 Exceptions to finding and report 19-13
Allowance and disallowance 21-8 Extension of time 19-18
Extensions of time 21-9 Family matters 25-53
Hearing 21-10 Finding of facts 19-2
Clerks, duty to enforce rules 21-16 Request for 19-9
Inventory of estate, receiver to give 21-5 Function of court 19-17
Insolvent estates, liquidation 21-6 Judge trial referee 19-3
Permanent receivers, assignment of case for appointment Criminal cases 44-19
21-2 Powers of Superior Court to be exercised by 19-3, 44-19
Removal 21-17 Judgment on report 19-16, 19-17
Rents, receivers of 21-19 Motions
Appointment 21-20 Appointment of committee 19-2
Bond 21-21 Summary judgment, reference of motion for 19-3
Discharge 21-22 Original action, Supreme Court 84a-4
Orders concerning 21-23 Pleadings to be closed before reference made 19-7
Reports 21-24 Recommendations by counsel 19-5
Summary of orders, semiannual, receiver to file 21-13 Report 19-8
Temporary receivers, appointment 21-1, 21-3 Acceptance 19-14, 19-15
Alternative claims, report on 19-10
RECORD ON APPEAL Amendment 19-11
See APPELLATE PROCEDURE Attorney trial referee, report by 19-4
RECORDS Judgment on 19-16
Clerks, records of cases to be kept by 7-1 Objections 19-14, 19-15
Destruction of files and records 7-10 Rejection 19-17
Motion to prevent 7-16 Special assignment probate judges, report by 19-4
Retention and stripping of files, schedule 7-11 Request for finding 19-9
Adult probation and family division, reports from 7-14 Revocation of reference 19-6
Criminal actions, records and files 7-13 Senior judge, applicability of rules to 19-1
Title to land, files in actions affecting 7-12 Special assignment probate judges 19-3A
Transfer to records center or state library 7-15 Applicability of rules to 19-1
Financial accounts, clerks to keep records of 7-3 State referees, applicability of rules to 19-1
Juvenile, erasure 27-8A Summary judgment, reference of motion for 19-3
Lodged records 7-4C REMITTITUR
Treatment during appellate process 68-1, 77-2 Judgment too large 17-3
Motion to file record under seal 7-4B Motion for 16-35
Personal identifying information, omission and redaction of
in civil and family matters 4-7 REQUESTS
Motion to redact or seal 11-20B See MOTIONS, APPLICATIONS AND REQUESTS,
Short calendar matters, records of 7-20 CIVIL, MISCELLANEOUS
Unfinished record, completion of by clerk 7-9
REQUESTS TO CHARGE
REFERENCES Civil trials 16-20—16-23
See also ARBITRATION; CIVIL ACTIONS, Fact-Finding Criminal trials 42-16—42-18
Acceptance of report, objections 19-14, 19-15
Accountant, reference to 19-19 RESCRIPTS
Application of rules 19-1 To be sent to trial court and appellate clerk 71-4
Dissolution of marriage or civil union, legal separation,
annulment, excepted from rules 19-1 RESERVATIONS
Appointment, committee or referee 19-2, 19-5 Procedure, form 73-1
Hearing on motion for 19-2 RETENTION AND DESTRUCTION OF FILES AND
Appraiser, applicability of rules to 19-1 RECORDS 7-10—7-16
Appraisal fees, recommendation by committee 19-8
Appraisal report in eminent ___domain proceeding 19-6 RULES OF COURT
Attorney trial referee, reference to 19-2A Appellate rules, applicability of changes to pending appeals
Report by 19-4 86-2
Auditor, applicability of rules to 19-1 Definitions 1-1
Cases that may be referred 19-3 Effective date 1-9
Committee, reference to 19-2 Appellate rules 86-1
Consent of parties 19-2, 19-3 Emergency powers of rules committee 1-9B
Correction of report 19-17 Liberal interpretation of 1-8
Court, action by on report 19-17 Appellate rules 60-1
Dissolution of marriage or civil union, legal separation, Promulgation and publication 1-9
annulment, excepted from rules 19-1 Appellate rules 86-1
Effect of reference 19-6 Emergency 1-9B
Eminent ___domain proceeding, appraisal report in 19-6 Judicial website, placement of rules information on 1-9A
Examination of account or books 19-19 Scope 1-1
592
Copyrighted by the Secretary of the State of the State of Connecticut
INDEX
SANCTIONS SMALL CLAIMS
Actions subject to 1-25 Actions, institution 24-3, 24-8
Answer, date 24-10, 24-12
SEALING FILES OR LIMITING DISCLOSURE Failure to file 24-25
Appeal, first time 77-3, 77-4 Notice of defense 24-16
Civil cases 11-20A, 11-20B Electronic filing 24-3
Criminal cases 42-49A Filing claims, where 24-4
Affidavit supporting arrest warrant application 36-2 Notice of suit, service 24-10
During appellate process 77-2 Undelivered notice, further notice 24-11
Family matters 25-59A, 25-59B Pleadings
Identification of cases 7-4A Amendment of claim, answer, counterclaim or setoff
Motion to file record under seal 7-4B, 77-4 24-20
Lodging record 7-4C, 77-4 Answer, notice of defense 24-16
Counterclaim or setoff, claim for 24-19
SECURITIES, PURCHASING OR SELLING, AUTOMATIC Deposition or documents, request 24-20A
ORDERS concerning Dismiss, motion to 24-20
See FAMILY MATTERS Prohibited pleadings 24-17
Setoff or counterclaim, claim for 24-19
SENTENCE REVIEW
Time to pay, request for 24-16
See SENTENCING
Service, notice of suit 24-10
SENTENCING Undelivered writ and notice, further notice 24-11
Correction of illegal sentence 43-22 Writ, preparation of 24-9
Defendant’s right to make statement 43-10 Affidavits required for judgment 24-24
Defense counsel Allowable actions 24-2
Correction of presentence investigation report 43-14 Applicability of rules, limitations 24-2
Disclosure of undisclosed plea agreement 43-15 Attorney, services of not required 24-1
Supplementary documents, submission of 43-16 Costs 24-33
Definite sentence, reduction of 43-21 Default judgments 24-24, 24-25
Hearing, procedure 43-10 Definition of representative 24-6
Illegal sentence, correction of 43-22 Deposition or documents, request for 24-20A
Mittimus, where sentence includes fine as well as imprison- Dismissal for failure to obtain judgment 24-27
ment 43-20 Electronic institution of action 24-3
Execution, application for 24-32
Prosecuting authority, role 43-11
File, what constitutes 24-7
Disclosure of plea agreement 43-12
Hearings
Reduction of definite sentence 43-21
Continuances 24-15
Sentence review
Failure of party to appear 24-26
Application for, time for filing 43-24
Hearing in damages following default 24-25
Counsel, representation by before sentence review divi-
Notice of time and place 24-14
sion 43-23
Scheduling 24-15
Documents, preparation by clerk 43-25, 43-26
Judgments 24-24
Hearing, briefs and memoranda 43-27
Appear, failure of party to 24-26
Scope of review 43-28
Dismissal of action for failure to obtain 24-27
Stay pending appeal 61-13 Execution, application for 24-32
Victim, participation at 43-10 Finality 24-28
SERVICE Notice of 24-29
See PLEADINGS—CIVIL ACTIONS Opening, costs 24-31
Satisfaction 24-30
SHORT CALENDAR Time limit on 24-29
Generally 11-13 Written decision, when required 24-29
Assignments automatic 11-15 Purpose of 24-1
Continuances 11-16 Regular docket, transfer to 24-21
Default for failure to appear, motion for not on short calendar Representative, definition of 24-6
17-29 Subpoenas, issuance by clerk 24-22
Family matters, 25-23, 25-34 Transfer to regular docket 24-21
Frequency, time of sessions, lists 11-14 Venue 24-25
Interactive audiovisual device, presence of incarcerated Where claims to be filed 24-4
individual by 23-68 Witnesses 24-33
Juvenile matters 34a-2—34a-4 Writ, form of service 24-9
Motion to strike, family matters 25-17 Service 24-10
Oral argument 11-18 Written decision, when required 24-29
Records to be kept by clerks 7-20 SPEEDY TRIAL
Time limit for deciding matters 11-19 See CRIMINAL PROCEDURE
Transfers 11-17
Unemployment compensation appeals to be claimed for STATEWIDE GRIEVANCE COMMITTEE
22-2 See ATTORNEYS
593
Copyrighted by the Secretary of the State of the State of Connecticut
INDEX
STAY OF EXECUTION PENDING APPEAL TRIALS IN GENERAL
See APPELLATE PROCEDURE See also ASSIGNMENT FOR TRIAL—CIVIL; EVI-
DENCE; JURIES—CIVIL; JURIES—CRIMINAL;
STRIKE, MOTION TO VERDICT
Generally 10-39—10-45 Briefs 5-1
SUBPOENAS Page limitations 4-6
Generally 13-27, 13-28; see also DISCOVERY AND Civil actions, consolidation for trial 9-5
DEPOSITIONS—CIVIL Counsel
Criminal cases, subpoenas for documents or objects 40-2 Argument by 15-5—15-7
Issuance by clerk for self-represented parties 7-19 Criminal trials, time limits 42-37
Juvenile matters 32a-2 Failure to appear by, sanctions 5-10
Small claims, issuance by clerk 24-22 New trial, motion for 17-4A
Order of parties proceeding 15-5
SUMMARY JUDGMENTS Order of trial of issues 15-1
Affidavits, bad faith 17-48 Protective order, restraining order, criminal protective order
Affidavits, form 17-46 or criminal restraining order, testimony by person on
Appropriate documents, unavailability 17-47 behalf of whom order issued 5-11
Habeas corpus Public, exclusion
Civil cases 23-34, 23-37 Expedited review of order 77-1
Family cases 25-46 From civil proceedings 11-20
Judgment 17-49 From criminal trials 42-48
Judgment for part of claim 17-51 Question of law that may be subject of appeal, raising 5-2
Motion for, proceedings upon 17-45 Separate trials 15-2
Triable issue as to damages only 17-50
UNEMPLOYMENT COMPENSATION
SUMMARY PROCESS Appeals from Employment Security Board of Review
Default for failure to appear 17-30 Filing and form of appeal 22-1
Executions 17-53 Finding of board 22-3
Correction, motion for by appellant 22-4
SUMMONS AND COMPLAINT—CRIMINAL
Additional evidence, filing by appellee 22-5
See ARREST AND PRELIMINARY CRIMINAL PRO-
Decision of board, challenge to 22-8
CEDURE
Duty of board 22-7
SUPERIOR COURT Motion by appellee 22-6
See also CLERKS; FILES; RECORDS Hearing, assignment for, privileged status 22-2
Adjournment 1-13 Record 22-1
County court designations, admission of attorneys 2-1 Time limit 22-1
Divisions 1-3 Court, function on appeal 22-9
Civil 1-5
Criminal 1-6 VERDICT
Family 1-4 Civil actions
Housing 1-7 Acceptance of 16-31
Judicial authority, disqualification 1-22 Communication with jurors prohibited 16-14
Motion for 1-23 Deliberations by jury 16-16
Opening 1-12 Directed verdict, reservation of decision on motion for
Recess 1-13 16-37
Discharge of jury 16-33
SUPPORT ENFORCEMENT OFFICER Impeachment of verdict 16-34
Services by 25a-30 In excess of amount in demand 16-19
Judgment on verdict 16-13, 17-2
SUPREME COURT
Jury interrogatories 16-18
See generally APPELLATE PROCEDURE
Memorandum of decision by trial court 64-1, 64-2
TERMINATION OF PARENTAL RIGHTS Motion for directed verdict, reservation of decision on
See JUVENILE MATTERS 16-37
Polling jury after verdict 16-32
THIRD PARTY Postverdict motions: additur, arrest of judgment, remittitur,
Impleading in civil action 10-11 set aside verdict, new trial, collateral source reduction
16-35
TRANSCRIPT, APPELLATE PROCEDURE
Electronic 63-8A Reduce verdict, motion to 17-2A
Ordering and filing, paper 63-8 Reduction by judicial authority 16-19
Ordering, child protection matters 79a-5 Return of jury for reconsideration 16-17
Rectification, motion for 66-5 Return of verdict 16-30
Statement concerning, filing with appeal 63-4 (a) Setting aside, memorandum on 16-38
Amendment 63-4 (b) Criminal matters
Acceptance of verdict 42-30
TRANSFER OF ACTIONS 12-1—12-3 Acquittal
Small claims to regular docket 24-21 Judgment of following guilty verdict 42-51
Wrong court, appeals brought to 65-4 Motion for directed verdict of abolished 42-40
594
Copyrighted by the Secretary of the State of the State of Connecticut
INDEX
VERDICT — (Cont) WARRANT
Criminal matters — (Cont) See ARREST AND PRELIMINARY CRIMINAL PRO-
Motion for judgment of 42-40 CEDURE
After guilty verdict 42-51
WITNESSES
After mistrial 42-50
Absent witness, missing evidence 14-24
At close of evidence, reservation of decision on 42-42 Child witness, juvenile matters 34-3
At close of prosecution’s case 42-41 Discovery concerning, criminal cases 40-13
Time limit for filing 42-52 Examination of 5-4
Communication with jurors prohibited 42-8 Oath, administration of 5-3
Deliberations by jury 42-21 Expert, appointment by judicial authority in family matters
Directed verdict of acquittal, motion for abolished 42-40 25-33
Discharge of jury 42-32 Experts, criminal cases 40-18—40-20
Impeachment of verdict 42-33 Experts, disclosure of 13-4
Inability of jury to reach verdict 42-45 Fees
Lesser included offense, modification of verdict 42-51 In several suits 18-10
Memorandum of decision by trial court 64-1, 64-2 Nonresident witnesses 18-9
New trial, time limit for motion following verdict 42-54 Witness not called 18-11
Polling jury after verdict 42-31 Protective order, restraining order, criminal protective order
Return of verdict 42-29 or criminal restraining order, testimony by person on
Submission of facts to jury 42-20 behalf of whom order issued 5-11
Sequestration, criminal cases 42-36
VICTIM Small claims 24-23
Inquiry concerning during presentence investigation 43-4
Participation at sentencing 43-10 WORKERS’ COMPENSATION APPEALS
Applicability of appellate rules 76-1
Statement of at dispositional hearing, delinquency 30a-6
Case file, exhibits 76-3
VIDEOCONFERENCING Definitions 76-6
See also INTERACTIVE AUDIOVISUAL DEVICE Fees and costs 76-4
Filing appeal 76-2
Appeals, hearings on motion, certain cases 66-4
Reservation of question from Compensation Review Board
Appeals; oral argument, certain cases 70-1
76-5, 76-5A
Child protection matters; appeals; oral argument; certain
cases 79a-9 WRITS OF ERROR
Deposition by 13-30 Generally 72-1
Family relations matter, testimony in, when protective Appellate rules, applicability of 72-4
order, restraining order or standing criminal restraining Assignments of error 23-50
order issued on behalf of party or child 5-11 Copy of record not to be taxed in costs 18-6
Form 72-2
VOIR DIRE Procedure applicable 72-3
See JURIES Withdrawal 63-9
595
Copyrighted by the Secretary of the State of the State of Connecticut
APPENDIX OF FORMS
APPENDIX OF FORMS
The forms in this appendix were adopted by the judges of the Superior Court and are specifically
referenced in the rules, with the exception of Form 101, which implements Section 4-1.
Table of Contents
101 Heading of Pleadings, Motions and Requests . . . . . . . . . . . . . . . . . . . . . . . . 598
201 Plaintiff’s Interrogatories . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 599
202 Defendant’s Interrogatories . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 603
203 Plaintiff’s Interrogatories—Premises Liability Cases . . . . . . . . . . . . . . . . . . . . . 610
204 Plaintiff’s Requests for Production . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 614
205 Defendant’s Requests for Production . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 616
206 Plaintiff’s Requests for Production—Premises Liability . . . . . . . . . . . . . . . . . . . 619
207 Interrogatories—Actions To Establish, Enforce or Modify Child Support Orders . . . . . 621
208 Defendant’s Supplemental Interrogatories—Workers’ Compensation Benefits—No
Intervening Plaintiff . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 626
209 Defendant’s Supplemental Requests for Production—Workers’ Compensation Benefits—
No Intervening Plaintiff. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 629
210 Defendant’s Interrogatories—Workers’ Compensation Benefits—Intervening Plaintiff . . 631
211 Defendant’s Requests for Production—Workers’ Compensation Benefits—Intervening
Plaintiff . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 633
212 Defendant’s Interrogatories—Loss of Consortium . . . . . . . . . . . . . . . . . . . . . . 635
213 Plaintiff’s Interrogatories—Uninsured/Underinsured Motorist Cases . . . . . . . . . . . . 638
214 Defendant’s Interrogatories—Uninsured/Underinsured Motorist Cases . . . . . . . . . . 642
215 Plaintiff’s Requests for Production—Uninsured/Underinsured Motorist Cases . . . . . . 650
216 Defendant’s Requests for Production—Uninsured/Underinsured Motorist Cases . . . . . 652
217 Interrogatories—Civil Actions Alleging Personal Injury—Medicare Enrollment, Eligibility
and Payments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 655
218 Defendant’s Interrogatories—Medical Negligence . . . . . . . . . . . . . . . . . . . . . . 657
219 Defendant’s Requests for Production—Medical Negligence . . . . . . . . . . . . . . . . 665
220 Plaintiff’s Interrogatories—Medical Negligence—Health Care Provider . . . . . . . . . . 670
221 Plaintiff’s Interrogatories—Medical Negligence—Hospital and/or Medical Group . . . . . 675
222 Plaintiff’s Requests for Production—Medical Negligence—Health Care Provider . . . . . 679
223 Plaintiff’s Requests for Production—Medical Negligence—Hospital and/or Medical Group. 682
597
Copyrighted by the Secretary of the State of the State of Connecticut
Form 101 APPENDIX OF FORMS
Form 101
Heading of Pleadings, Motions and Requests
No.
Superior Court
(First Named Plaintiff)
Judicial District of (or) G.A. No.
v.
at
(First Named Defendant) (Date)
(Name or Designation of Pleading or Motion)
(P.B. 1963, Form 249; P.B. 1978–1997, Form 105.1)
598
Copyrighted by the Secretary of the State of the State of Connecticut
APPENDIX OF FORMS Form 201
Form 201
Plaintiff’s Interrogatories
No. CV- : SUPERIOR COURT
(Plaintiff) : JUDICIAL DISTRICT OF
VS. : AT
(Defendant) : (Date)
The undersigned, on behalf of the Plaintiff, hereby propounds the following interrogatories to be
answered by the Defendant, , under oath, within sixty (60) days of the filing hereof
in compliance with Practice Book Section 13-2.
Definition: ‘‘You’’ shall mean the Defendant to whom these interrogatories are directed except that
if that Defendant has been sued as the representative of the estate of a decedent, ward, or incapable
person, ‘‘you’’ shall also refer to the Defendant’s decedent, ward or incapable person unless the context
of an interrogatory clearly indicates otherwise.
In answering these interrogatories, the Defendant(s) is (are) required to provide all information within
their knowledge, possession or power. If an interrogatory has subparts, answer each subpart separately
and in full and do not limit the answer to the interrogatory as a whole. If any interrogatories cannot be
answered in full, answer to the extent possible.
(1) State the following:
(a) your full name and any other name(s) by which you have been known;
(b) your date of birth;
(c) your motor vehicle operator’s license number;
(d) your home address;
(e) your business address;
(f) if you were not the owner of the subject vehicle, the name and address of the owner or lessor
of the subject vehicle on the date of the alleged occurrence.
(2) Have you made any statements, as defined in Practice Book Section 13-1, to any person regarding
any of the incidents alleged in the Complaint?
COMMENT:
This interrogatory is intended to include party statements made to a representative of an insurance company prior to involvement
of defense counsel.
(3) If the answer to Interrogatory #2 is affirmative, state:
(a) the name and address of the person or persons to whom such statements were made;
(b) the date on which such statements were made;
(c) the form of the statement (i.e., whether written, made by recording device or recorded by a
stenographer, etc.);
(d) the name and address of each person having custody, or a copy or copies of each statement.
(4) State the names and addresses of all persons known to you who were present at the time of
the incident alleged in the Complaint or who observed or witnessed all or part of the incident.
599
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Form 201 APPENDIX OF FORMS
(5) As to each individual named in response to Interrogatory #4, state whether to your knowledge,
or the knowledge of your attorney, such individual has given any statement or statements as defined
in Practice Book Section 13-1 concerning the subject matter of the Complaint in this lawsuit. If your
answer to this interrogatory is affirmative, state also:
(a) the date on which the statement or statements were taken;
(b) the names and addresses of the person or persons who took such statement or statements;
(c) the names and addresses of any person or persons present when such statement or statements
were taken;
(d) whether such statement or statements were written, made by recording device or taken by court
reporter or stenographer;
(e) the names and addresses of any person or persons having custody or a copy or copies or such
statement or statements.
(6) Are you aware of any photographs or any recordings by film, video, audio or any other digital
or electronic means depicting the incident alleged in the Complaint, the scene of the incident, any
vehicle involved in the incident alleged in the Complaint, or any condition or injury alleged to have
been caused by the incident alleged in the Complaint? If so, for each set of photographs or each
recording taken, obtained or prepared of each such subject, please state:
(a) the name and address of the person who took, obtained or prepared such photograph or recording,
other than an expert who will not testify at trial;
(b) the dates on which such photographs were taken or such recordings were obtained or prepared;
(c) the subject (e.g., ‘‘Plaintiff’s vehicle,’’ ‘‘scene,’’ etc.);
(d) the number of photographs or recordings;
(e) the nature of the recording (e.g., film, video, audio, etc.).
(7) If, at the time of the incident alleged in the Complaint, you were covered by an insurance policy
under which an insurer may be liable to satisfy part or all of a judgment or reimburse you for payments
to satisfy part or all of a judgment, state the following:
(a) the name(s) and address(es) of the insured(s);
(b) the amount of coverage under each insurance policy;
(c) the name(s) and address(es) of said insurer(s).
(8) If at the time of the incident which is the subject of this lawsuit you were protected against the type
of risk which is the subject of this lawsuit by excess umbrella insurance, or any other insurance, state:
(a) the name(s) and address(es) of the named insured;
(b) the amount of coverage effective at this time;
(c) the name(s) and address(es) of said insurer(s).
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(9) State whether any insurer, as described in Interrogatories #7 and #8 above, has disclaimed/
reserved its duty to indemnify any insured or any other person protected by said policy.
(10) If applicable, describe in detail the damage to your vehicle.
(11) If applicable, please state the name and address of an appraiser or firm which appraised or
repaired the damage to the vehicle owned or operated by you.
(12) If any of the Defendants are deceased, please state the date and place of death, whether an
estate has been created, and the name and address of the legal representative thereof.
(13) If any of the Defendants is a business entity that has changed its name or status as a business
entity (whether by dissolution, merger, acquisition, name change, or in any other manner) since the
date of the incident alleged in the Complaint, please identify such Defendant, state the date of the
change, and describe the change.
(14) If you were the operator of any motor vehicle involved in the incident that is the subject of this
action, please state whether, at the time of the incident, you were operating that vehicle in the course
of your employment with any person or legal entity not named as a party to this lawsuit, and, if so,
state the full name and address of that person or entity.
(15) If you were the operator of any motor vehicle involved in the incident that is the subject of this
action, please state whether you consumed or used any alcoholic beverages, drugs or medications
within the eight (8) hours next preceding the time of the incident alleged in the Complaint and, if so,
indicate what you consumed or used, how much you consumed, and when.
(16) Please state whether, within eight (8) hours after the incident alleged in the Complaint, any
testing was performed to determine the presence of alcohol, drugs or other medications in your blood,
and, if so, state:
(a) the name and address of the hospital, person or entity performing such test or screen;
(b) the date and time;
(c) the results.
(17) Please identify surveillance material discoverable under Practice Book Section 13-3 (c), by
stating the name and address of any person who obtained or prepared any and all recordings by film,
photograph, videotape, audiotape, or any other digital or electronic means, of any party concerning
this lawsuit or its subject matter, including any transcript thereof which are in your possession or control
or in the possession or control of your attorney, and state the date on which each such recordings
were obtained and the person or persons of whom each such recording was made.
(18) If you were the operator of any motor vehicle involved in the incident that is the subject of this
action, please state whether you were using a cell phone for any activity including, but not limited to,
calling, texting, e-mailing, posting, tweeting, or visiting sites on the Internet for any purpose, at or
immediately prior to the time of the incident.
PLAINTIFF,
BY
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I, , hereby certify that I have reviewed the above interrogatories and responses thereto
and that they are true and accurate to the best of my knowledge and belief.
(Defendant)
Subscribed and sworn to before me this day of , 20 .
Notary Public/
Commissioner of the Superior Court
CERTIFICATION
I certify that a copy of this document was or will immediately be mailed or delivered electronically
or non-electronically on (date) to all attorneys and self-represented parties of record and that
written consent for electronic delivery was received from all attorneys and self-represented parties of
record who received or will immediately be receiving electronic delivery.
Name and address of each party and attorney that copy was or will immediately be mailed or
delivered to*
*If necessary, attach additional sheet or sheets with the name and address which the copy was or
will immediately be mailed or delivered to.
Signed (Signature of filer) Print or type name of person signing Date Signed
Mailing address (Number, street, town, state and zip code) or E-mail address, if applicable Telephone number
(P.B. 1978-1997, Form 106.10A.) (Amended June 21, 2004, to take effect Jan. 1, 2005; amended June 29, 2007, to take
effect Jan. 1, 2008; amended June 14, 2013, to take effect Jan. 1, 2014; amended June 13, 2014, to take effect Jan. 1, 2015;
amended June 24, 2016, to take effect Jan. 1, 2017; amended June 23, 2017, to take effect Jan. 1, 2018.)
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APPENDIX OF FORMS Form 202
Form 202
Defendant’s Interrogatories
No. CV- : SUPERIOR COURT
(Plaintiff) : JUDICIAL DISTRICT OF
VS. : AT
(Defendant) : (Date)
The undersigned, on behalf of the Defendant, hereby propounds the following interrogatories to be
answered by the Plaintiff, , under oath, within sixty (60) days of the filing hereof in
compliance with Practice Book Section 13-2.
Definition: ‘‘You’’ shall mean the Plaintiff to whom these interrogatories are directed except that if
suit has been instituted by the representative of the estate of a decedent, ward, or incapable person,
‘‘you’’ shall also refer to the Plaintiff’s decedent, ward or incapable person unless the context of an
interrogatory clearly indicates otherwise.
In answering these interrogatories, the Plaintiff(s) is (are) required to provide all information within
their knowledge, possession or power. If an interrogatory has subparts, answer each subpart separately
and in full and do not limit the answer to the interrogatory as a whole. If any interrogatories cannot be
answered in full, answer to the extent possible.
(1) State the following:
(a) your full name and any other name(s) by which you have been known;
(b) your date of birth;
(c) your motor vehicle operator’s license number;
(d) your home address;
(e) your business address;
(f) if you were not the owner of the subject vehicle, the name and address of the owner or lessor
of the subject vehicle on the date of the alleged occurrence.
(2) Identify and list each injury you claim to have sustained as a result of the incidents alleged in
the Complaint.
(3) When, where and from whom did you first receive treatment for said injuries?
(4) If you were treated at a hospital for injuries sustained in the alleged incident, state the name
and ___location of each hospital and the dates of such treatment and confinement therein.
(5) State the name and address of each physician, therapist or other source of treatment for the
conditions or injuries you sustained as a result of the incident alleged in your Complaint.
(6) When and from whom did you last receive any medical attention for injuries alleged to have
been sustained as a result of the incident alleged in your Complaint?
(7) On what date were you fully recovered from the injuries or conditions alleged in your Complaint?
(8) If you claim you are not fully recovered, state precisely from what injuries or conditions you are
presently suffering?
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(9) Are you presently under the care of any doctor or other health care provider for the treatment
of injuries alleged to have been sustained as a result of the incident alleged in your Complaint?
(10) If the answer to Interrogatory #9 is in the affirmative, state the name and address of each
physician or other health care provider who is treating you.
(11) Do you claim any present disability resulting from injuries or conditions allegedly sustained as
a result of the incident alleged in your Complaint?
(12) If so, state the nature of the disability claimed.
(13) Do you claim any permanent disability resulting from said incident?
(14) If the answer to Interrogatory #13 is in the affirmative, please answer the following:
(a) list the parts of your body which are disabled;
(b) list the motions, activities or use of your body which you have lost or which you are unable
to perform;
(c) state the percentage of loss of use claimed as to each part of your body;
(d) state the name and address of the person who made the prognosis for permanent disability and
the percentage of loss of use;
(e) list the date for each such prognosis.
(15) If you were or are confined to your home or your bed as a result of injuries or conditions
sustained as a result of the incident alleged in your Complaint, state the dates you were so confined.
(16) List each medical report received by you or your attorney relating to your alleged injuries or
conditions by stating the name and address of the treating doctor or other health care provider, and
of any doctor or health care person you anticipate calling as a trial witness, who provided each such
report and the date thereof.
(17) List each item of expense which you claim to have incurred as a result of the incident alleged
in your Complaint, the amount thereof and state the name and address of the person or organization
to whom each item has been paid or is payable.
(18) For each item of expense identified in response to Interrogatory #17, if any such expense, or
portion thereof, has been paid or reimbursed or is reimbursable by an insurer, state, as to each such
item of expense, the name of the insurer that made such payment or reimbursement or that is responsible
for such reimbursement.
(19) If, during the ten year period prior to the date of the incident alleged in the Complaint, you were
under a doctor’s care for any conditions which were in any way similar or related to those identified
and listed in your response to Interrogatory #2, state the nature of said conditions, the dates on which
treatment was received, and the name of the doctor or health care provider.
(20) If, during the ten year period prior to the date of the incident alleged in your Complaint, you
were involved in any incident in which you received personal injuries similar or related to those identified
and listed in your response to Interrogatory #2, please answer the following with respect to each such
earlier incident:
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(a) on what date and in what manner did you sustain such injuries?
(b) did you make a claim against anyone as a result of said accident?
(c) if so, provide the name and address of the person or persons against whom a claim was made;
(d) if suit was brought, state the name and ___location of the Court, the return date of the suit, and the
docket number;
(e) state the nature of the injuries received in said accident;
(f) state the name and address of each physician who treated you for said injuries;
(g) state the dates on which you were so treated;
(h) state the nature of the treatment received on each such date;
(i) if you are presently or permanently disabled as a result of said injuries, please state the nature
of such disability, the name and address of each physician who diagnosed said disability and the date
of each such diagnosis.
(21) If you were involved in any incident in which you received personal injuries since the date of
the incident alleged in the Complaint, please answer the following:
(a) on what date and in what manner did you sustain said injuries?
(b) did you make a claim against anyone as a result of said accident?
(c) if so, provide the name and address of the person or persons against whom a claim was made;
(d) if suit was brought, state the name and ___location of the Court, the return date of the suit, and the
docket number;
(e) state the nature of the injuries received in said accident;
(f) state the name and address of each physician who treated you for said injuries;
(g) state the dates on which you were so treated;
(h) state the nature of the treatment received on each such date;
(i) if you are presently or permanently disabled as a result of said injuries, please state the nature
of such disability, the name and address of each physician who diagnosed said disability and the date
of each such diagnosis.
(22) Please state the name and address of any medical service provider who has rendered an
opinion in writing or through testimony that you have sustained a permanent disability to any body part
other than those listed in response to Interrogatories #13, #14, #20 or #21, and:
(a) list each such part of your body that has been assessed a permanent disability;
(b) state the percentage of loss of use assessed as to each part of your body;
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(c) state the date on which each such assessment was made.
(23) If you claim that as a result of the incident alleged in your Complaint you were prevented from
following your usual occupation, or otherwise lost time from work, please provide the following infor-
mation:
(a) the name and address of your employer on the date of the incident alleged in the Complaint;
(b) the nature of your occupation and a precise description of your job responsibilities with said
employer on the date of the incident alleged in the Complaint;
(c) your average, weekly earnings, salary, or income received from said employment for the year
preceding the date of the incident alleged in the Complaint;
(d) the date following the date of the incident alleged in the Complaint on which you resumed the
duties of said employment;
(e) what loss of income do you claim as a result of the incident alleged in your Complaint and how
is said loss computed?
(f) the dates on which you were unable to perform the duties of your occupation and lost time from
work as a result of injuries or conditions claimed to have been sustained as a result of the incident
alleged in your Complaint;
(g) the names and addresses of each employer for whom you worked for three years prior to the
date of the incident alleged in your Complaint.
(24) Do you claim an impairment of earning capacity?
(25) List any other expenses or loss and the amount thereof not already set forth and which you
claim to have incurred as a result of the incident alleged in your Complaint.
(26) If you have signed a covenant not to sue, a release or discharge of any claim you had, have
or may have against any person, corporation or other entity as a result of the incident alleged in your
Complaint, please state in whose favor it was given, the date thereof, and the consideration paid to
you for giving it.
(27) If you or anyone on your behalf agreed or made an agreement with any person, corporation
or other entity to limit in any way the liability of such person, corporation or other entity as a result of
any claim you have or may have as a result of the incident alleged in your Complaint, please state in
whose favor it was given, the date thereof, and the consideration paid to you for giving it.
(28) If since the date of the incident alleged in your Complaint, you have made any claims for
workers’ compensation benefits, state the nature of such claims and the dates on which they were made.
(29) Have you made any statements, as defined in Practice Book Section 13-1, to any person
regarding any of the events or happenings alleged in your Complaint?
COMMENT:
This interrogatory is intended to include party statements made to a representative of an insurance company prior to involvement
of defense counsel.
(30) State the names and addresses of all persons known to you who were present at the time of
the incident alleged in your Complaint or who observed or witnessed all or part of the accident.
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(31) As to each individual named in response to Interrogatory #30, state whether to your knowledge,
or the knowledge of your attorney, such individual has given any statement or statements as defined
in Practice Book Section 13-1 concerning the subject matter of your Complaint or alleged injuries. If
your answer to this interrogatory is affirmative, state also:
(a) the date on which such statement or statements were taken;
(b) the names and addresses of the person or persons who took such statement or statements;
(c) the names and addresses of any person or persons present when such statement or statements
were taken;
(d) whether such statement or statements were written, made by recording device or taken by court
reporter or stenographer;
(e) the names and addresses of any person or persons having custody or a copy or copies of such
statement or statements.
(32) Are you aware of any photographs or any recordings by film, video, audio or any other digital
or electronic means depicting the incident alleged in the Complaint, the scene of the incident, any
vehicle involved in the incident alleged in the Complaint, or any condition or injury alleged to have
been caused by the incident alleged in the Complaint? If so, for each set of photographs or each
recording taken, obtained or prepared of each such subject, please state:
(a) the name and address of the person who took, obtained or prepared such photograph or recording,
other than an expert who will not testify at trial;
(b) the dates on which such photographs were taken or such recordings were obtained or prepared;
(c) the subject (e.g., ‘‘Plaintiff’s vehicle,’’ ‘‘scene,’’ etc.);
(d) the number of photographs or recordings;
(e) the nature of the recording (e.g., film, video, audio, etc.).
(33) If you were the operator of any motor vehicle involved in the incident that is the subject of this
action, please state whether you consumed or used any alcoholic beverages, drugs or medications
within the eight (8) hours next preceding the time of the incident alleged in the Complaint and, if so,
indicate what you consumed or used, how much you consumed, and when.
(34) Please state whether, within eight (8) hours after the incident alleged in the Complaint, any
testing was performed to determine the presence of alcohol, drugs or other medications in your blood,
and, if so, state:
(a) the name and address of the hospital, person or entity performing such test or screen;
(b) the date and time;
(c) the results.
(35) Please identify surveillance material discoverable under Practice Book Section 13-3 (c), by
stating the name and address of any person who obtained or prepared any and all recordings, by film,
photograph, videotape, audiotape or any other digital or electronic means, of any party concerning this
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lawsuit or its subject matter, including any transcript thereof which are in your possession or control
or in the possession or control of your attorney, and state the date on which each such recordings
were obtained and the person or persons of whom each such recording was made.
COMMENT:
The following two interrogatories are intended to identify situations in which a Plaintiff has applied for and received workers’
compensation benefits. If compensation benefits were paid, then the supplemental interrogatories and requests for production
may be served on the Plaintiff without leave of the court if the compensation carrier does not intervene in the action.
(36) Did you make a claim for workers’ compensation benefits as a result of the incident/occurrence
alleged in the Complaint?
(37) Did you receive workers’ compensation benefits as a result of the incident/occurrence alleged
in the Complaint?
(38) If you were the operator of any motor vehicle involved in the incident that is the subject of this
action, please state whether you were using a cell phone for any activity including, but not limited to,
calling, texting, e-mailing, posting, tweeting, or visiting sites on the Internet for any purpose, at or
immediately prior to the time of the incident.
DEFENDANT,
BY
I, , hereby certify that I have reviewed the above interrogatories and responses
thereto and that they are true and accurate to the best of my knowledge and belief.
(Plaintiff)
Subscribed and sworn to before me this day of , 20 .
Notary Public/
Commissioner of the Superior Court
CERTIFICATION
I certify that a copy of this document was or will immediately be mailed or delivered electronically
or non-electronically on (date) to all attorneys and self-represented parties of record and that
written consent for electronic delivery was received from all attorneys and self-represented parties of
record who received or will immediately be receiving electronic delivery.
Name and address of each party and attorney that copy was or will immediately be mailed or
delivered to*
*If necessary, attach additional sheet or sheets with the name and address which the copy was or
will immediately be mailed or delivered to.
Signed (Signature of filer) Print or type name of person signing Date Signed
Mailing address (Number, street, town, state and zip code) or E-mail address, if applicable Telephone number
608
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APPENDIX OF FORMS Form 202
(P.B. 1978-1997, Form 106.10B.) (Amended June 21, 2004, to take effect Jan. 1, 2005; amended June 29, 2007, to take
effect Jan. 1, 2008; amended June 14, 2013, to take effect Jan. 1, 2014; amended June 13, 2014, to take effect Jan. 1, 2015;
amended June 24, 2016, to take effect Jan. 1, 2017; amended June 23, 2017, to take effect Jan. 1, 2018.)
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Form 203 APPENDIX OF FORMS
Form 203
Plaintiff’s Interrogatories
Premises Liability Cases
No. CV- : SUPERIOR COURT
(Plaintiff) : JUDICIAL DISTRICT OF
VS. : AT
(Defendant) : (Date)
The undersigned, on behalf of the Plaintiff, hereby propounds the following interrogatories to be
answered by the Defendant, , under oath, within sixty (60) days of the filing
hereof in compliance with Practice Book Section 13-2.
In answering these interrogatories, the Defendant(s) is (are) required to provide all information within
their knowledge, possession or power. If an interrogatory has subparts, answer each subpart separately
and in full and do not limit the answer to the interrogatory as a whole. If any interrogatories cannot be
answered in full, answer to the extent possible.
(1) Identify the person(s) who, at the time of the Plaintiff’s alleged injury, owned the premises where
the Plaintiff claims to have been injured.
(a) If the owner is a natural person, please state:
(i) your name and any other name by which you have been known;
(ii) your date of birth;
(iii) your home address;
(iv) your business address.
(b) If the owner is not a natural person, please state:
(i) your name and any other name by which you have been known;
(ii) your business address;
(iii) the nature of your business entity (corporation, partnership, etc.);
(iv) whether you are registered to do business in Connecticut;
(v) the name of the manager of the property, if applicable.
(2) Identify the person(s) who, at the time of the Plaintiff’s alleged injury, had a possessory interest
(e.g., tenants) in the premises where the Plaintiff claims to have been injured.
(3) Identify the person(s) responsible for the maintenance and inspection of the premises at the time
and place where the Plaintiff claims to have been injured. ‘‘Maintenance and inspection’’ includes, but
is not limited to, snow and ice removal.
(4) State whether you received or prepared any invoices or records related to such maintenance
and inspection for the thirty days prior to, or on, the date on which the Plaintiff claims to have been injured.
(5) State whether you had in effect at the time of the Plaintiff’s injuries any written policies, procedures
or contracts that relate to the kind of conduct or condition the Plaintiff alleges caused the injury.
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(6) State whether it is your business practice to prepare, or to obtain from your employees, a written
report of the circumstances surrounding injuries sustained by persons on the subject premises.
(7) State whether any written report of the incident described in the Complaint was prepared by you
or your employees in the regular course of business.
(8) State whether any warnings or caution signs or barriers were erected at or near the scene of
the incident at the time the Plaintiff claims to have been injured.
(9) If the answer to the previous interrogatory is in the affirmative, please state:
(a) the name, address and employer of the person who erected the warning or caution signs or barriers;
(b) the name, address and employer who instructed the person to erect the warning or caution signs
or barriers;
(c) the time and date a sign or barrier was erected;
(d) the size of the sign or barrier and wording that appeared thereon.
(10) State whether you received, at any time within twenty-four (24) months before the incident
described by the Plaintiff, complaints from anyone about the defect or condition that the Plaintiff claims
caused the Plaintiff’s injury,
(11) If the answer to the previous interrogatory is in the affirmative, please state:
(a) the name and address of the person who made the complaint;
(b) the name, address and person to whom said complaint was made;
(c) whether the complaint was in writing;
(d) the nature of the complaint.
(12) Please identify surveillance material discoverable under Practice Book Section 13-3 (c), by
stating the name and address of any person who obtained or prepared any and all recordings, by film,
photograph, videotape, audiotape or any other digital or electronic means, of any party concerning this
lawsuit or its subject matter, including any transcript thereof which are in your possession or control
or in the possession or control of your attorney, and state the date on which each such recordings
were obtained and the person or persons of whom each such recording was made.
(13) Are you aware of any photographs or any recordings by film, video, audio or any other digital
or electronic means depicting the incident alleged in the Complaint, the scene of the incident, or any
condition or injury alleged to have been caused by the incident alleged in the Complaint? If so,
for each set of photographs or each recording taken, obtained or prepared of each such subject,
please state:
(a) the name and address of the person who took, obtained or prepared such photographs or
recording, other than an expert who will not testify at trial;
(b) the dates on which such photographs were taken or such recordings were obtained or prepared;
(c) the subject (e.g., ‘‘scene of incident,’’ etc.);
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(d) the number of photographs or recordings;
(e) the nature of the recording (e.g., film, video, audio, etc.).
(14)-(24) (Interrogatories #1 (a) through (e), #2 through #5, #7, #8, #9, #12, #13 and #16 of Form
201 may be used to complete this standard set of interrogatories.)
PLAINTIFF,
BY
CERTIFICATION
I certify that a copy of this document was or will immediately be mailed or delivered electronically
or non-electronically on (date) to all attorneys and self-represented parties of record and that
written consent for electronic delivery was received from all attorneys and self-represented parties of
record who received or will immediately be receiving electronic delivery.
Name and address of each party and attorney that copy was or will immediately be mailed or
delivered to*
*If necessary, attach additional sheet or sheets with the name and address which the copy was or
will immediately be mailed or delivered to.
Signed (Signature of filer) Print or type name of person signing Date Signed
Mailing address (Number, street, town, state and zip code) or E-mail address, if applicable Telephone number
(P.B. 1978-1997, Form 106.10C.) (Amended June 20, 2005, to take effect Jan. 1, 2006; amended June 29, 2007, to take
effect Jan. 1, 2008; amended June 22, 2009, to take effect Jan. 1, 2010; amended June 14, 2013, to take effect Jan. 1, 2014;
amended June 13, 2014, to take effect Jan. 1, 2015; amended June 24, 2016, to take effect Jan. 1, 2017; amended June 23,
2017, to take effect Jan. 1, 2018; amended June 10, 2022, to take effect Jan. 1, 2023.)
HISTORY—2023: What is now the second sentence of subdivision (3) was added. In addition, what is now subdivision (4)
was added and what had been subdivisions (4) through (12) were redesignated as subdivisions (5) through (13), respectively.
In what is now subdivision (5), ‘‘or contracts’’ was added after ‘‘procedures.’’ Further, in the last sentence of the form, ‘‘(13)–(23)’’
was deleted and replaced with ‘‘(14)–(24).’’
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COMMENTARY—2023: The changes to this form include an inquiry into whether there was an agreement for snow and ice
removal and the existence of a contract for such.
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Form 204 APPENDIX OF FORMS
Form 204
Plaintiff’s Requests for Production
No. CV- : SUPERIOR COURT
(Plaintiff) : JUDICIAL DISTRICT OF
VS. : AT
(Defendant) : (Date)
The Plaintiff(s) hereby request(s) that the Defendant provide counsel for the Plaintiff(s) with copies
of the documents described in the following requests for production, or afford counsel for said Plaintiff(s)
the opportunity or, if necessary, sufficient written authorization, to inspect, copy, photograph or otherwise
reproduce said documents. The production of such documents, copies or written authorization shall
take place at the offices of on (day), (date) at (time).
In answering these production requests, the Defendant(s) are required to provide all information
within their possession, custody or control. If any production request cannot be answered in full, answer
to the extent possible.
Definition: ‘‘You’’ shall mean the Defendant to whom these interrogatories are directed except that
if that Defendant has been sued as the representative of the estate of a decedent, ward, or incapable
person, ‘‘you’’ shall also refer to the Defendant’s decedent, ward or incapable person unless the context
of an interrogatory clearly indicates otherwise.
(1) A copy of the appraisal or bill for repairs as identified in response to Interrogatory #11.
(2) A copy of declaration page(s) of each insurance policy identified in response to Interrogatory #7
and/or #8.
(3) If the answer to Interrogatory #9 is in the affirmative, a copy of the complete policy contents of
each insurance policy identified in response to Interrogatory #7 and/or #8.
(4) A copy of any photographs or recordings identified in response to Interrogatory #6.
(5) A copy of any nonprivileged statement, as defined in Practice Book Section 13-1, of any party
in this lawsuit concerning this action or its subject matter.
(6) A copy of all lease agreements pertaining to any motor vehicle involved in the incident which is
the subject of this action, which was owned or operated by you or your employee, and all documents
referenced or incorporated therein.
(7) A copy of all records of blood alcohol testing or drug screens referred to in answer to Interrogatory
#16, or a signed authorization, sufficient to comply with the provisions of the Health Insurance Portability
and Accountability Act (HIPAA) or those of the Public Health Service Act, whichever is applicable, to
obtain the same for each hospital, person or entity that performed such test or screen. Information
obtained pursuant to the provisions of HIPAA or the Public Health Service Act shall not be used or
disclosed by the parties for any purpose other than the litigation or proceeding for which such information
is requested.
(8) A copy of each and every recording of surveillance material discoverable under Practice Book
Section 13-3 (c), by film, photograph, videotape, audiotape or any other digital or electronic means,
of any party to this lawsuit concerning this lawsuit or the subject matter thereof, including any transcript
of such recording.
PLAINTIFF,
BY
614
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APPENDIX OF FORMS Form 204
CERTIFICATION
I certify that a copy of this document was or will immediately be mailed or delivered electronically
or non-electronically on (date) to all attorneys and self-represented parties of record and that
written consent for electronic delivery was received from all attorneys and self-represented parties of
record who received or will immediately be receiving electronic delivery.
Name and address of each party and attorney that copy was or will immediately be mailed or
delivered to*
*If necessary, attach additional sheet or sheets with the name and address which the copy was or
will immediately be mailed or delivered to.
Signed (Signature of filer) Print or type name of person signing Date Signed
Mailing address (Number, street, town, state and zip code) or E-mail address, if applicable Telephone number
(P.B. 1978-1997, Form 106.11A.) (Amended June 21, 2004, to take effect Jan. 1, 2005; amended June 20, 2005, to take
effect Jan. 1, 2006; amended June 26, 2007, to take effect Jan. 1, 2008; amended June 14, 2013, to take effect Jan. 1, 2014;
amended June 13, 2014, to take effect Jan. 1, 2015; amended June 24, 2016, to take effect Jan. 1, 2017; amended June 23,
2017, to take effect Jan. 1, 2018.)
615
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Form 205 APPENDIX OF FORMS
Form 205
Defendant’s Requests for Production
No. CV- : SUPERIOR COURT
(Plaintiff) : JUDICIAL DISTRICT OF
VS. : AT
(Defendant) : (Date)
The Defendant(s) hereby request(s) that the Plaintiff provide counsel for the Defendant(s) with
copies of the documents described in the following requests for production, or afford counsel for said
Defendant(s) the opportunity or, where requested, sufficient written authorization, to inspect, copy,
photograph or otherwise reproduce said documents. The production of such documents, copies or
written authorizations shall take place at the offices of not later than
sixty (60) days after the service of the Requests for Production.
In answering these production requests, the Plaintiff(s) are required to provide all information within
their possession, custody or control. If any production request cannot be answered in full, answer to
the extent possible.
(1) All hospital records relating to treatment received as a result of the alleged incident, and to
injuries, diseases or defects to which reference is made in the answers to Interrogatories #19, #20,
#21 and #22, or written authorization, sufficient to comply with the provisions of the Health Insurance
Portability and Accountability Act (HIPAA), to inspect and make copies of said hospital records. Informa-
tion obtained pursuant to the provisions of HIPAA shall not be used or disclosed by the parties for any
purpose other than the litigation or proceeding for which such information is requested.
(2) All reports and records of all doctors and all other care providers relating to treatment allegedly
received by the Plaintiff(s) as a result of the alleged incident, and to the injuries, diseases or defects
to which reference is made in the answers to Interrogatories #19, #20, #21 and #22 (exclusive of any
records prepared or maintained by a licensed psychiatrist or psychologist) or written authorization,
sufficient to comply with provisions of the Health Insurance Portability and Accountability Act, to inspect
and make copies of said reports. Information obtained pursuant to the provisions of HIPAA shall not
be used or disclosed by the parties for any purpose other than the litigation or proceeding for which
such information is requested.
(3) If a claim for lost wages or lost earning capacity is being made, copies of, or sufficient written
authorization to inspect and make copies of, the wage and employment records of all employers of
the Plaintiff(s) for three (3) years prior to the date of the incident and for all years subsequent to the
date of the incident to and including the date hereof.
(4) If a claim of impaired earning capacity or lost wages is being alleged, provide copies of, or
sufficient written authorization to obtain copies of, that part of all income tax returns relating to lost
income filed by the Plaintiff(s) for a period of three (3) years prior to the date of the incident and for
all years subsequent to the date of the incident through the time of trial.
(5) All property damage bills that are claimed to have been incurred as a result of this incident.
(6) All medical bills that are claimed to have been incurred as a result of this incident or written
authorization, sufficient to comply with the provisions of the Health Insurance Portability and Accountabil-
ity Act, to inspect and make copies of said medical bills. Information obtained pursuant to the provisions
of HIPAA shall not be used or disclosed by the parties for any purpose other than the litigation or
proceeding for which such information is requested.
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APPENDIX OF FORMS Form 205
(7) All bills for each item of expense that is claimed to have been incurred in the answer to Interroga-
tory #17, and not already provided in response ¶5 and ¶6 above.
(8) Copies of all documentation of claims of right to reimbursement provided to the Plaintiff by third
party payors, and copies of, or written authorization, sufficient to comply with provisions of the Health
Insurance Portability and Accountability Act, to obtain any and all documentation of payments made
by a third party for medical services received or premiums paid to obtain such payment. Information
obtained pursuant to the provisions of HIPAA shall not be used or disclosed by the parties for any
purpose other than the litigation or proceeding for which such information is requested.
(9) All documents identified or referred to in the answers to Interrogatory #26.
(10) A copy of any nonprivileged statement, as defined in Practice Book Section 13-1, of any party
in this lawsuit concerning this action or its subject matter.
(11) Any and all photographs or recordings identified in response to Interrogatory #32.
(12) A copy of all records of blood alcohol testing or drug screens referred to in answer to Interrogatory
#34, or a signed authorization, sufficient to comply with the provisions of the Health Insurance Portability
and Accountability Act or those of the Public Health Service Act, whichever is applicable, to obtain the
same. Information obtained pursuant to the provisions of HIPAA or the Public Health Service Act shall
not be used or disclosed by the parties for any purpose other than the litigation or proceeding for which
such information is requested.
(13) A copy of each and every recording of surveillance material discoverable under Practice Book
Section 13-3 (c), by film, photograph, videotape, audiotape or any other digital or electronic means,
of any party to this lawsuit concerning this lawsuit or the subject matter thereof, including any transcript
of such recording.
DEFENDANT,
BY
CERTIFICATION
I certify that a copy of this document was or will immediately be mailed or delivered electronically
or non-electronically on (date) to all attorneys and self-represented parties of record and that
written consent for electronic delivery was received from all attorneys and self-represented parties of
record who received or will immediately be receiving electronic delivery.
Name and address of each party and attorney that copy was or will immediately be mailed or
delivered to*
*If necessary, attach additional sheet or sheets with the name and address which the copy was or
will immediately be mailed or delivered to.
Signed (Signature of filer) Print or type name of person signing Date Signed
Mailing address (Number, street, town, state and zip code) or E-mail address, if applicable Telephone number
617
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Form 205 APPENDIX OF FORMS
(P.B. 1978-1997, Form 106.11B.) (Amended June 21, 2004, to take effect Jan. 1, 2005; amended June 20, 2005, to take
effect Jan. 1, 2006; amended June 26, 2007, to take effect Jan. 1, 2008; amended June 20, 2011, to take effect Jan. 1, 2012;
amended June 14, 2013, to take effect Jan. 1, 2014; amended June 13, 2014, to take effect Jan. 1, 2015; amended June 24,
2016, to take effect Jan. 1, 2017; amended June 23, 2017, to take effect Jan. 1, 2018.)
618
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APPENDIX OF FORMS Form 206
Form 206
Plaintiff’s Requests for Production—Premises Liability
No. CV- : SUPERIOR COURT
(Plaintiff) : JUDICIAL DISTRICT OF
VS. : AT
(Defendant) : (Date)
The Plaintiff hereby requests that the Defendant provide counsel for the Plaintiff with copies of the
documents described in the following requests for production, or afford counsel for said Plaintiff the
opportunity or, if necessary, sufficient written authorization, to inspect, copy, photograph or otherwise
reproduce said documents. The production of such documents, copies or written authorization shall
take place at the offices of on (day), (date) at (time).
In answering these production requests, the Defendant(s) are required to provide all information
within their possession, custody or control. If any production request cannot be answered in full, answer
to the extent possible.
(1) A copy of the policies, procedures, contracts, invoices, or records identified in response to
Interrogatories #4 and #5.
(2) A copy of the report identified in response to Interrogatory #7.
(3) A copy of any written complaints identified in Interrogatory #11.
(4) A copy of declaration page(s) evidencing the insurance policy or policies identified in response
to Interrogatories numbered and .
(5) A copy of any nonprivileged statement, as defined in Practice Book Section 13-1, of any party
in this lawsuit concerning this action or its subject matter,
(6) A copy of each and every recording of surveillance material discoverable under Practice Book
Section 13-3 (c), by film, photograph, videotape, audiotape or any other digital or electronic means,
of any party to this lawsuit concerning this lawsuit or the subject matter thereof, including any transcript
of such recording.
(7) A copy of any photographs or recordings, identified in response to Interrogatory #13.
(8) A copy of any written lease(s) and any amendments or extensions to such lease(s) for the
premises where the Plaintiff claims to have been injured in effect at the time of the Plaintiff’s injury
between you and the person or entity identified in Interrogatory #2.
(9) A copy of any written contract or agreement regarding the maintenance and inspection of the
premises where the Plaintiff claims to have been injured in effect at the time of the Plaintiff’s injury
between you and the person or entity identified in Interrogatory #3.
PLAINTIFF,
BY
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Form 206 APPENDIX OF FORMS
CERTIFICATION
I hereby certify that a copy of this document was or will immediately be mailed or delivered electroni-
cally or non-electronically on (date) to all attorneys and self-represented parties of record and
that written consent for electronic delivery was received from all attorneys and self-represented parties
of record who received or will immediately be receiving electronic delivery.
Name and address of each party and attorney that copy was or will immediately be mailed or
delivered to*
*If necessary, attach additional sheet or sheets with the name and address which the copy was or
will immediately be mailed or delivered to.
Signed (Signature of filer) Print or type name of person signing Date Signed
Mailing address (Number, street, town, state and zip code) or E-mail address, if applicable Telephone number
(P.B. 1978-1997, Form 106.11C.) (Amended June 29, 2007, to take effect Jan. 1, 2008; amended June 14, 2013, to take
effect Jan. 1, 2014; amended June 13, 2014, to take effect Jan. 1, 2015; amended June 24, 2016, to take effect Jan. 1, 2017;
amended June 23, 2017, to take effect Jan. 1, 2018; amended June 10, 2022, to take effect Jan. 1, 2023.)
HISTORY—2023: In subdivision (1), ‘‘or’’ was deleted after ‘‘policies,’’ ‘‘, contracts, invoices, or records’’ was inserted after
‘‘procedures,’’ and ‘‘and #5’’ was inserted after ‘‘#4.’’ In addition, in subdivision (3), ‘‘#10’’ was deleted after ‘‘Interrogatory’’ and
replaced with ‘‘#11.’’ In subdivision (7), ‘‘#12’’ was deleted after ‘‘Interrogatory’’ and replaced with ‘‘#13.’’
COMMENTARY—2023: The changes to this form include an inquiry into whether there was an agreement for snow and ice
removal and the existence of a contract for such.
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APPENDIX OF FORMS Form 207
Form 207
Interrogatories—Actions To Establish, Enforce or Modify Child Support Orders
No. : SUPERIOR COURT
(Plaintiff) : FAMILY SUPPORT
: MAGISTRATE DIVISION
VS. : JUDICIAL DISTRICT OF
: AT
(Defendant) : (Date)
The undersigned, on behalf of the Plaintiff/Defendant, propounds the following interrogatories to be
answered by the Defendant/Plaintiff within sixty (60) days of the filing hereof.
(1) For your present residence:
(a) What is the address?
(b) What type of property is it (apartment, condominium, single-family home)?
(c) Who is the owner of the property?
(d) What is your relationship to the owner (landlord, parents, spouse)?
(e) When did you start living at this residence?
(2) List the names of all the adults that live with you.
(a) For each adult you live with, what is your relationship to them (spouse, sibling, roommate, parent,
girlfriend or boyfriend)?
(b) For each adult you live with, what is their financial contribution to the household (who pays the
rent, who pays the utilities, who buys the groceries)?
(3) Give the name and address of your employer.
(a) Are you employed full-time or part-time? Are you self-employed? If you are self-employed, do
not answer (b) through (h) and go directly to Interrogatory #4.
(b) Are you paid a salary, on an hourly basis, or do you work on commission or tips?
(c) What is your income per week?
(d) How many hours per week do you usually work?
(e) Is overtime available, and if it is, how many hours per week do you work overtime and what are
you paid?
(f) Do you, or have you, ever received bonus income from your employment and what is the basis
for the bonus?
(g) Does your employer deduct federal and state taxes and Medicare from your wages or are you
responsible for filing your own deductions? If you file, provide a copy of your most recent tax returns.
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Form 207 APPENDIX OF FORMS
(h) Do you have a second source of employment? If so, please provide the same information as
requested in (a) through (g).
(4) If you are self-employed:
(a) Are you part of a partnership, corporation or LLC, and if you are, give the name of the business
and your role in it?
(b) Name the other people involved in your business and their roles.
(c) Does the business file taxes (if so, bring copies of the last two tax returns filed to your next
court date)?
(d) Describe the work you do.
(e) How many hours per week do you work, on average?
(f) How much do you typically earn per hour?
(g) List your business expenses, and what they cost per week.
(h) State how you are typically paid (check or cash).
(i) Name the five people or companies you did most of your work for in the last year.
(j) If you have a business account, what bank is it at (bring copies of the last six months of bank
statements to your next court date)?
(k) Do you work alone or do you employ anyone and pay them wages? If you employ anyone, please
identify them, their relationship to you, if any, and the amount you pay them.
(l) How do you keep your payment and expense records? Do you employ an accountant, and if so,
please give the name and address of the accountant responsible for your records?
(5) Except for your current job, list all the places you have worked for the last three years. For each
place, list the address, the type of work you did, the dates you worked there and how much you were
paid at each job.
(6) If you cannot work because of a disability, what is the nature of your disability?
(a) What is the date you became disabled?
(b) Is this disability permanent or temporary?
(c) If a doctor has told you that you cannot work, what is the name of the doctor and his or her office
(bring a note from this doctor stating that you cannot work to your next court date)?
(d) If a doctor has told you that you cannot work, did he or she say you cannot work full-time or
part-time?
(e) If you have a partial or permanent disability, please provide the percentage rating.
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APPENDIX OF FORMS Form 207
(f) Is your disability the result of an automobile accident, an accident at work, an accident at home
or otherwise? Please give the date and details of the incident and whether you have filed a lawsuit or
workers’ compensation claim as a result.
(g) Have you had any children since the incident? If so, list their dates of birth.
(7) Have you applied for Social Security Disability (SSD) or Supplemental Security Income (SSI)?
(a) If you did, when did you apply and where are you in the application process?
(b) Have you been told if or when you will receive benefits? If so, who told you and what is the date
they gave you?
(c) If your application for SSD and/or SSI has been denied, did you appeal? If you appealed, what
is the status of the appeal and what lawyer, if any, represents you?
(d) Have you applied for or are you receiving state assistance?
(e) Are you a recipient of the state supplement program, medical assistance program, temporary
family assistance program, state-administered general assistance program (SAGA medical or cash)?
If so, state the source of the benefit, the effective date of the benefit and the date when your eligibility
for benefits will be redetermined by the Department of Social Services.
(8) Do you have any lawsuits pending?
(a) If you do, what type of case is it?
(b) Give the name, address, e-mail address and phone number of the lawyer handling the case for you.
(c) What amount do you expect to recover and when do you expect to receive it?
(d) If you have already settled the case, please provide a copy of the settlement statement.
(9) Do you expect to inherit any money or property in the next six months?
(a) If you do, who do you expect to inherit from and where do they or where did they live?
(b) What do you expect to inherit, what is its value and when do you expect to inherit it?
(c) What is the name and address of the person or lawyer handling the estate and where is the
Probate Court in which the action is filed?
(10) Is anyone holding any money for you? If so, name the person, their relationship to you, their
address and the amount of money they are holding.
(11) Do you own any rental properties, by yourself, with someone else or in trust? If the answer is yes:
(a) Is the property residential or commercial?
(b) Please identify the ___location of the property or properties, include the address and identify your
ownership interest.
(c) Do you derive any income from the property? Do you calculate your net income from the property
on a weekly, monthly or yearly basis?
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Form 207 APPENDIX OF FORMS
(d) What are your expenses relating to the property or properties? Please state the amount of your
mortgage payment, if any, and the amount of your taxes, insurance and utility payments, if any, and
your method of payment of these expenses.
(e) Did you have to apply for a loan to finance any part of the real property or to finance the purchase
of any personal property? If so, identify the item, state the amount of the loan and give a copy of the
loan application.
(12) Are you the beneficiary or settlor of a trust?
(a) If so, please identify the trust, the type of trust, the date of the creation of the trust, the name
and address of the trustee and how the trust is funded.
(b) How often do you receive a distribution from the trust and from whom and in what amounts are
the distributions?
BY
I, , certify that I have reviewed the interrogatories set out above and the responses
to those interrogatories and they are true and accurate to the best of my knowledge and belief.
Subscribed and sworn to before me this day of , 20 .
Notary Public/
Commissioner of the Superior Court
CERTIFICATION
I certify that a copy of this document was or will immediately be mailed or delivered electronically
or non-electronically on (date) to all attorneys and self-represented parties of record and that
written consent for electronic delivery was received from all attorneys and self-represented parties of
record who received or will immediately be receiving electronic delivery.
624
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APPENDIX OF FORMS Form 207
Name and address of each party and attorney that copy was or will immediately be mailed or
delivered to*
*If necessary, attach additional sheet or sheets with the name and address which the copy was or
will immediately be mailed or delivered to.
Signed (Signature of filer) Print or type name of person signing Date Signed
Mailing address (Number, street, town, state and zip code) or E-mail address, if applicable Telephone number
(Adopted June 21, 2010, to take effect Aug. 1, 2010; amended June 13, 2014, to take effect Jan. 1, 2015; amended June
24, 2016, to take effect Jan. 1, 2017; amended June 23, 2017, to take effect Jan. 1, 2018.)
625
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Form 208 APPENDIX OF FORMS
Form 208
Defendant’s Supplemental Interrogatories
Workers’ Compensation Benefits—No Intervening Plaintiff
No. CV- : SUPERIOR COURT
(Plaintiff) : JUDICIAL DISTRICT OF
VS. : AT
(Defendant) : (Date)
The undersigned, on behalf of the Defendant, hereby propounds the following interrogatories to be
answered by the Plaintiff, , under oath, within sixty (60) days of the filing
hereof insofar as the disclosure sought will be of assistance in the defense of this action and can be
provided by the Plaintiff with substantially greater facility than could otherwise be obtained.
Definition: ‘‘You’’ shall mean the Plaintiff to whom these interrogatories are directed except that if
suit has been instituted by the representative of the estate of a decedent, ward, or incapable person,
‘‘you’’ shall also refer to the Plaintiff’s decedent, ward or incapable person unless the context of an
interrogatory clearly indicates otherwise.
In answering these interrogatories, the Plaintiff(s) is (are) required to provide all information within
their knowledge, possession or power. If an interrogatory has subparts, answer each subpart separately
and in full, and do not limit the answer to the interrogatory as a whole. If any interrogatories cannot
be answered in full, answer to the extent possible.
(1) State your full name, home address, and business address.
(2) State the workers’ compensation claim number and the date of injury of each workers’ compensa-
tion claim that you have filed as a result of the incident/occurrence alleged in the complaint.
(3) State the total amount paid on your behalf on each of the claims filed as a result of the incident/
occurrence alleged in the complaint and referred to in Interrogatory #2, and if known, specify the
amount of medical benefits, loss of income benefits, and specific award benefits, and if unknown,
provide an authorization for the same.
(4) Identify any First Report of Injury, Notice of Claim for Compensation, Notice of Intention to Reduce
or Discontinue Benefits, Notice to Administrative Law Judge and Employee of Intention to Contest
Employee’s Right to Compensation Benefits, and any reports of medical exams requested by the
administrative law judge, respondent and/or employer arising out of the incident/occurrence alleged in
the Complaint.
(5) Identify any voluntary agreements, approved stipulations to date, approved full and final stipula-
tions and findings and awards, and findings and denials arising out of the incident/occurrence alleged
in the Complaint and which formed the basis for your answer to Interrogatory #3.
(6) Which of your claims arising out of the incident/occurrence alleged in the Complaint and referenced
in your answer to Interrogatory #2 are still open?
COMMENT:
These supplemental interrogatories are specifically directed at eliciting information about any workers’ compensation claims,
benefits and agreements. Unless the compensation carrier is a party to the action, it can be difficult to obtain this information.
Often the Plaintiff’s lawyers do not represent the client in the workers’ compensation case, and although this information is
available in the workers’ compensation file, providing these records to lawyers not involved in the compensation case could be
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APPENDIX OF FORMS Form 208
time-consuming for the workers’ compensation office staff. If compensation benefits were paid, these supplemental interrogatories
may be served on the Plaintiff without leave of the court if there is no Intervening Plaintiff in the action.
DEFENDANT,
BY
I, , hereby certify that I have reviewed the above interrogatories and responses
thereto and that they are true and accurate to the best of my knowledge and belief.
(Plaintiff)
Subscribed and sworn to before me this day of , 20 .
Notary Public/
Commissioner of the Superior Court
CERTIFICATION
I certify that a copy of this document was or will immediately be mailed or delivered electronically
or non-electronically on (date) to all attorneys and self-represented parties of record and that
written consent for electronic delivery was received from all attorneys and self-represented parties of
record who received or will immediately be receiving electronic delivery.
Name and address of each party and attorney that copy was or will immediately be mailed or
delivered to*
*If necessary, attach additional sheet or sheets with the name and address which the copy was or
will immediately be mailed or delivered to.
627
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Form 208 APPENDIX OF FORMS
Signed (Signature of filer) Print or type name of person signing Date Signed
Mailing address (Number, street, town, state and zip code) or E-mail address, if applicable Telephone number
(Adopted June 14, 2013, to take effect Jan. 1, 2014; amended June 13, 2014, to take effect Jan. 1, 2015; amended June
24, 2016, to take effect Jan. 1, 2017; amended June 23, 2017, to take effect Jan. 1, 2018.)
TECHNICAL CHANGE: The changes to this form are consistent with the adoption of Public Acts 2021, No. 21-18, § 1, codified
at General Statutes (Supp. 2022) § 31-275d, which replaced the term ‘‘workers’ compensation commissioner’’ with ‘‘administrative
law judge.’’
628
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APPENDIX OF FORMS Form 209
Form 209
Defendant’s Supplemental Requests for Production
Workers’ Compensation Benefits—No Intervening Plaintiff
No. CV- : SUPERIOR COURT
(Plaintiff) : JUDICIAL DISTRICT OF
VS. : AT
(Defendant) : (Date)
The Defendant(s) hereby request(s) that the Plaintiff provide counsel for the Defendant(s) with
copies of the documents described in the following requests for production, or afford counsel for said
Defendant(s) the opportunity or, where requested, sufficient written authorization, to inspect, copy,
photograph or otherwise reproduce said documents. The production of such documents, copies or
written authorizations shall take place at the offices of not later than sixty (60) days
after the service of the Requests for Production.
In answering these production requests, the Plaintiff(s) are required to provide all information within
their possession, custody or control. If any production request cannot be answered in full, answer to
the extent possible.
(1) Produce a copy of the First Report of Injury (Form FRI), Notice of Claim for Compensation (Form
30C), Notice of Intention to Reduce or Discontinue Benefits (Form 36), and Notice to Administrative
Law Judge and Employee of Intention to Contest Employee’s Right to Compensation Benefits (Form 43).
(2) Produce a copy of all of the approved voluntary agreements, approved stipulations to date,
approved full and final stipulations, findings and awards, and findings and denials that relate to one
or more of the claims referenced in your answer to Interrogatory #2 on Form 208.
(3) Produce a copy of all reports of medical exams requested by the administrative law judge,
respondent and/or employer that were prepared concerning any of the claims referenced in your answer
to Interrogatory #2 on Form 208.
(4) If you are unable to specify the amount of medical benefits, loss of income benefits, and specific
award benefits paid on your behalf, provide an authorization for the same.
COMMENT:
These supplemental requests for production are specifically directed at eliciting information about any workers’ compensation
claims, benefits and agreements. Unless the compensation carrier is a party to the action, it can be difficult to obtain this
information. Often the Plaintiff’s lawyers do not represent the client in the workers’ compensation case, and although this
information is available in the workers’ compensation file, providing these records to lawyers not involved in the compensation
case could be time-consuming for the workers’ compensation office staff. If compensation benefits were paid, these supplemental
requests for production may be served on the Plaintiff without leave of the court if there is no Intervening Plaintiff in the action.
DEFENDANT,
BY
CERTIFICATION
I certify that a copy of this document was or will immediately be mailed or delivered electronically
or non-electronically on (date) to all attorneys and self-represented parties of record and that
written consent for electronic delivery was received from all attorneys and self-represented parties of
record who received or will immediately be receiving electronic delivery.
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Form 209 APPENDIX OF FORMS
Name and address of each party and attorney that copy was or will immediately be mailed or
delivered to*
*If necessary, attach additional sheet or sheets with the name and address which the copy was or
will immediately be mailed or delivered to.
Signed (Signature of filer) Print or type name of person signing Date Signed
Mailing address (Number, street, town, state and zip code) or E-mail address, if applicable Telephone number
(Adopted June 14, 2013, to take effect Jan. 1, 2014; amended June 13, 2014, to take effect Jan. 1, 2015; amended June
24, 2016, to take effect Jan. 1, 2017; amended June 23, 2017, to take effect Jan. 1, 2018.)
TECHNICAL CHANGE: The changes to this form are consistent with the adoption of Public Acts 2021, No. 21-18, § 1, codified
at General Statutes (Supp. 2022) § 31-275d, which replaced the term ‘‘workers’ compensation commissioner’’ with ‘‘administrative
law judge.’’
630
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APPENDIX OF FORMS Form 210
Form 210
Defendant’s Interrogatories
Workers’ Compensation Benefits—Intervening Plaintiff
No. CV- : SUPERIOR COURT
(Plaintiff) : JUDICIAL DISTRICT OF
VS. : AT
(Defendant) : (Date)
The undersigned, on behalf of the Defendant, hereby propounds the following interrogatories to be
answered by the Intervening Plaintiff, , under oath, within sixty (60) days of the filing
hereof insofar as the disclosure sought will be of assistance in the defense of this action and can be
provided by the Intervening Plaintiff with substantially greater facility than could otherwise be obtained.
Definition: ‘‘You’’ shall mean the Intervening Plaintiff to whom these interrogatories are directed
except that if suit has been instituted by the representative of the estate of a decedent, ward, or
incapable person, ‘‘you’’ shall also refer to the Intervening Plaintiff’s decedent, ward or incapable person
unless the context of an interrogatory clearly indicates otherwise.
In answering these interrogatories, the Plaintiff(s) is (are) required to provide all information within
their knowledge, possession or power. If an interrogatory has subparts, answer each subpart separately
and in full, and do not limit the answer to the interrogatory as a whole. If any interrogatories cannot
be answered in full, answer to the extent possible.
(1) State the name, business address, business telephone number, business e-mail address and
relationship to the workers’ compensation lien holder of the person answering these interrogatories.
(2) State the workers’ compensation claim number and the date of injury of each workers’ compensa-
tion claim that gave rise to the lien asserted by the workers’ compensation lien holder.
(3) State the total amount paid on each claim referenced in the answer to Interrogatory #2, specifying
the amount of medical benefits, loss of income benefits, and specific award benefits paid.
(4) Identify any First Report of Injury, Notice of Claim for Compensation, Notice of Intention to Reduce
or Discontinue Benefits, Notice to Administrative Law Judge and Employee of Intention to Contest
Employee’s Right to Compensation Benefits, and any reports of medical exams requested by the
administrative law judge, respondents and/or employer arising out of the incident/occurrence alleged
in the Complaint.
(5) Identify any voluntary agreements, approved stipulations to date, approved full and final stipula-
tions and findings and awards, and findings and denials.
(6) Identify the claims referenced in your answer to Interrogatory #2 that are still open.
COMMENT:
These standard interrogatories are intended to tailor the discovery from the intervening compensation carrier to the limited
role and limited material information in the workers’ compensation lien holder’s file. The existing standard interrogatories directed
to the Plaintiffs place an unnecessary burden on the parties, result in discovery disputes, and require the compensation carrier
to produce information and documentation, in many instances, that is duplicative of the responses engendered by the same
interrogatories served upon the Plaintiff in the case.
DEFENDANT,
BY
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Form 210 APPENDIX OF FORMS
I, , hereby certify that I have reviewed the above interrogatories and responses thereto
and that they are true and accurate to the best of my knowledge and belief.
(Plaintiff)
Subscribed and sworn to before me this day of , 20 .
Notary Public/
Commissioner of the Superior Court
CERTIFICATION
I certify that a copy of this document was or will immediately be mailed or delivered electronically
or non-electronically on (date) to all attorneys and self-represented parties of record and that
written consent for electronic delivery was received from all attorneys and self-represented parties of
record who received or will immediately be receiving electronic delivery.
Name and address of each party and attorney that copy was or will immediately be mailed or
delivered to*
*If necessary, attach additional sheet or sheets with the name and address which the copy was or
will immediately be mailed or delivered to.
Signed (Signature of filer) Print or type name of person signing Date Signed
Mailing address (Number, street, town, state and zip code) or E-mail address, if applicable Telephone number
(Adopted June 14, 2013, to take effect Jan. 1, 2014; amended June 13, 2014, to take effect Jan. 1, 2015; amended June
24, 2016, to take effect Jan. 1, 2017; amended June 23, 2017, to take effect Jan. 1, 2018.)
TECHNICAL CHANGE: The changes to this form are consistent with the adoption of Public Acts 2021, No. 21-18, § 1, codified
at General Statutes (Supp. 2022) § 31-275d, which replaced the term ‘‘workers’ compensation commissioner’’ with ‘‘administrative
law judge.’’
632
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APPENDIX OF FORMS Form 211
Form 211
Defendant’s Requests for Production
Workers’ Compensation Benefits—Intervening Plaintiff
No. CV- : SUPERIOR COURT
(Plaintiff) : JUDICIAL DISTRICT OF
VS. : AT
(Defendant) : (Date)
The Defendant(s) hereby request(s) that the Intervening Plaintiff provide counsel for the Defendant(s)
with copies of the documents described in the following requests for production, or afford counsel for
said Defendant(s) the opportunity or, where requested, sufficient written authorization, to inspect, copy,
photograph or otherwise reproduce said documents. The production of such documents, copies or
written authorizations shall take place at the offices of not later than sixty (60) days
after the service of the Requests for Production.
In answering these production requests, the Plaintiff(s) are required to provide all information within
their possession, custody or control. If any production request cannot be answered in full, answer to
the extent possible.
(1) Produce a copy of the First Report of Injury (Form FRI), Notice of Claim for Compensation (Form
30C), Notice of Intention to Reduce or Discontinue Benefits (Form 36), and Notice to Administrative
Law Judge and Employee of Intention to Contest Employee’s Right to Compensation Benefits (Form 43).
(2) Produce a copy of all of the approved voluntary agreements, approved stipulations to date,
approved full and final stipulations, findings and awards, and findings and denials that relate to one
or more of the claims referenced in your answer to Interrogatory #2 on Form 210.
(3) Produce a copy of all reports of medical exams requested by the administrative law judge,
respondent and/or employer that were prepared concerning any of the claims referenced in your answer
to Interrogatory #2 on Form 210.
(4) Produce a copy of your workers’ compensation lien calculations.
COMMENT:
These standard requests for production are intended to tailor the discovery from the intervening compensation carrier to the
limited role and limited material information in the workers’ compensation lien holder’s file. The existing standard requests for
production directed to the Plaintiffs place an unnecessary burden on the parties, result in discovery disputes, and require the
compensation carrier to produce information and documentation, in many instances, that is duplicative of the responses engen-
dered by the same requests for production served upon the Plaintiff in the case.
DEFENDANT,
BY
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Form 211 APPENDIX OF FORMS
CERTIFICATION
I certify that a copy of this document was or will immediately be mailed or delivered electronically
or non-electronically on (date) to all attorneys and self-represented parties of record and that
written consent for electronic delivery was received from all attorneys and self-represented parties of
record who received or will immediately be receiving electronic delivery.
Name and address of each party and attorney that copy was or will immediately be mailed or
delivered to*
*If necessary, attach additional sheet or sheets with the name and address which the copy was or
will immediately be mailed or delivered to.
Signed (Signature of filer) Print or type name of person signing Date Signed
Mailing address (Number, street, town, state and zip code) or E-mail address, if applicable Telephone number
(Adopted June 14, 2013, to take effect Jan. 1, 2014; amended June 13, 2014, to take effect Jan. 1, 2015; amended June
24, 2016, to take effect Jan. 1, 2017; amended June 23, 2017, to take effect Jan. 1, 2018.)
TECHNICAL CHANGE: The changes to this form are consistent with the adoption of Public Acts 2021, No. 21-18, § 1, codified
at General Statutes (Supp. 2022) § 31-275d, which replaced the term ‘‘workers’ compensation commissioner’’ with ‘‘administrative
law judge.’’
634
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APPENDIX OF FORMS Form 212
Form 212
Defendant’s Interrogatories—Loss of Consortium
No. CV- : SUPERIOR COURT
(Plaintiff) : JUDICIAL DISTRICT OF
VS. : AT
(Defendant) : (Date)
The undersigned, on behalf of the Defendant, hereby propounds the following interrogatories to be
answered by the Plaintiff, , under oath, within sixty (60) days of the filing hereof in
compliance with Practice Book Section 13-2.
Definition: ‘‘You’’ shall mean the Plaintiff to whom these interrogatories are directed except that if
suit has been instituted by the representative of the estate of a decedent, ward, or incapable person,
‘‘you’’ shall also refer to the Plaintiff’s decedent, ward or incapable person unless the context of an
interrogatory clearly indicates otherwise.
In answering these interrogatories, the Plaintiff(s) is (are) required to provide all information within
their knowledge, possession or power. If an interrogatory has subparts, answer each subpart separately
and in full and do not limit the answer to the interrogatory as a whole. If any interrogatories cannot be
answered in full, answer to the extent possible.
(1) Please state your name, address and occupation.
(2) Please state the date and place of your marriage.
(3) Do you have any children? If so, state their names and dates of birth.
(4) Describe the nature of your loss of consortium claim.
(5) During your marriage, please list your employers, the length of time employed by each, and the
average number of hours worked per month.
(6) Prior to the incident which is the subject of this lawsuit (‘‘the incident’’), did your spouse regularly
perform work, services and/or chores (‘‘services’’) in or around the home?
(7) If the answer to the previous interrogatory is in the affirmative, please describe the nature and
frequency of such services.
(8) Subsequent to the incident, did such services change? If so, state how, and describe the impact
of this change on you.
(9) Subsequent to the incident, did anyone other than your spouse perform the services usually
performed by your spouse in and around the home?
(10) If the answer to the previous interrogatory is in the affirmative, please state the name(s) and
address(es) of each person(s), the amount paid, the period of time they were hired and what services
they performed.
(11) Have you or your spouse ever instituted legal proceedings seeking a divorce or separation? If
so, state when.
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Form 212 APPENDIX OF FORMS
(12) Did you, at any time during your marriage live apart from or separate yourself from your spouse?
If so, state when and for how long such separation occurred, and state the reason for such separation.
(13) Describe any change(s) in the affection your spouse expressed or displayed toward you following
the incident.
(14) If claimed, describe any change(s) in the frequency and satisfaction of your sexual relations
with your spouse following the incident.
(15) Describe any change(s) in the activities which you and your spouse enjoyed together before
the incident that you claim were caused by the incident.
(16) Within two years prior to the year of the incident up to the present, have you and/or your spouse
had any marriage counseling? If so, state the name of each person consulted and the dates consulted
or treated.
DEFENDANT,
BY
I, , hereby certify that I have reviewed the above interrogatories and responses
thereto and that they are true and accurate to the best of my knowledge and belief.
(Plaintiff)
Subscribed and sworn to before me this day of , 20 .
Notary Public/
Commissioner of the Superior Court
636
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APPENDIX OF FORMS Form 212
CERTIFICATION
I certify that a copy of this document was or will immediately be mailed or delivered electronically
or non-electronically on (date) to all attorneys and self-represented parties of record and that
written consent for electronic delivery was received from all attorneys and self-represented parties of
record who received or will immediately be receiving electronic delivery.
Name and address of each party and attorney that copy was or will immediately be mailed or
delivered to*
*If necessary, attach additional sheet or sheets with the name and address which the copy was or
will immediately be mailed or delivered to.
Signed (Signature of filer) Print or type name of person signing Date Signed
Mailing address (Number, street, town, state and zip code) or E-mail address, if applicable Telephone number
(Adopted June 24, 2016, to take effect Jan. 1, 2017; amended June 23, 2017, to take effect Jan. 1, 2018.)
637
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Form 213 APPENDIX OF FORMS
Form 213
Plaintiff’s Interrogatories—Uninsured/Underinsured Motorist Cases
No. CV- : SUPERIOR COURT
(Plaintiff) : JUDICIAL DISTRICT OF
VS. : AT
(Defendant) : (Date)
The undersigned, on behalf of the Plaintiff, hereby propounds the following interrogatories to be
answered by the Defendant, , under oath, within sixty (60) days of the filing hereof
in compliance with Practice Book Section 13-2.
In answering these interrogatories, the Defendant(s) is (are) required to provide all information within
their knowledge, possession or power. If an interrogatory has subparts, answer each subpart separately
and in full and do not limit the answer to the interrogatory as a whole. If any interrogatories cannot be
answered in full, answer to the extent possible.
(1) State whether the Plaintiff or Plaintiffs were insured by you for purposes of uninsured/underinsured
motorist coverage with regard to this incident under the policy.
(2) If the answer to the preceding interrogatory is other than ‘‘yes,’’ please state each reason for
which you contend that such Plaintiff(s) were not so insured.
(3) Identify each policy of motor vehicle liability insurance, excess liability insurance, and/or umbrella
liability insurance, of which you are aware, that provided coverage to the alleged tortfeasor(s) or the
vehicle owned or operated by the alleged tortfeasor(s), his, her, its, or their agents, servants, and/or
employees, with regard to this incident, stating:
(a) The name and address of each such insurer;
(b) The named insured(s);
(c) The policy number;
(d) The effective dates;
(e) The limits of uninsured/underinsured motorists coverage under such policy (including per person
and per accident limits, if applicable); and
(f) The basis for contending that said alleged tortfeasor(s) are covered under said policy, including
a brief description of any documents supporting that contention, and the names and addresses of any
witnesses supporting that contention.
(4) State the limits of uninsured/underinsured motorist coverage available under the policy (including
per person and per accident limits, if applicable), which you issued.
(5) State whether the policy affords uninsured/underinsured motorist conversion coverage, pursuant
to General Statutes § 38a-336a.
(6) With regard to each credit, setoff, reduction, or deduction, which you contend lowers the maximum
amount that you could be required to pay any plaintiff below the limits of the uninsured/underinsured
motorist coverage as stated on the declarations page of the policy, state:
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APPENDIX OF FORMS Form 213
(a) The policy provision providing for said credit, setoff, reduction, or deduction;
(b) The amount of the credit, setoff, reduction, or deduction; and
(c) A brief description of the factual basis for the credit, setoff, reduction, or deduction.
COMMENT:
Interrogatory # 6 is not intended to address any reduction in the verdict that may arise from the application of General Statutes
§ 52-572h (regarding comparative negligence and apportionment) or General Statutes § 52-225a (regarding collateral sources,
as defined by General Statutes § 52-225b).
(7) Are you aware of any other insurance policy affording uninsured/underinsured motorist coverage,
to any plaintiff herein, that is primary to the coverage afforded by your policy?
(8) If so, for each such policy, state:
(a) The name and address of the insurer;
(b) The name and address of each named insured;
(c) The policy number;
(d) The limits of uninsured/underinsured motorist coverage under such policy; and
(e) The basis for your contention that it is primary to your policy.
(9) State the names and addresses of all persons known to you who were present at the time of
the incident alleged in the Complaint or who observed or witnessed all or part of the incident.
(10) As to each individual named in response to Interrogatory #9, state whether to your knowledge,
or the knowledge of your attorney, such individual has given any statement or statements as defined
in the Practice Book Sections 13-1 and 13-3 (b) concerning the subject matter of the Complaint in this
action. If the answer to this interrogatory is affirmative, state also:
(a) The name and address of the person giving the statement;
(b) The date on which the statement or statements were taken;
(c) The names and addresses of the person or people who took such statement(s);
(d) The name and address of any person present when such statement(s) was taken;
(e) Whether such statement(s) was written, made by recording device, or taken by court reporter or
stenographer; and
(f) The name and address of each person having custody or a copy or copies of such statement(s).
(11) Are you aware of any photographs or any recordings by film, video, audio or any other digital
or electronic means depicting the incident alleged in the Complaint, the scene of the incident, any
vehicle involved in the incident alleged in the Complaint, or any condition or injury alleged to have
been caused by the incident alleged in the Complaint? If so, for each set of photographs or each
recording taken, obtained or prepared of each such subject, state:
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Form 213 APPENDIX OF FORMS
(a) the name and address of the person who took, obtained or prepared such photograph or recording,
other than an expert who will not testify at trial;
(b) the dates on which such photographs were taken or such recordings were obtained or prepared;
(c) the subject (e.g., ‘‘Plaintiff’s vehicle,’’ ‘‘scene,’’ etc.)
(d) the number of photographs or recordings
(e) the nature of the recording (e.g., film, video, audio, etc.)
(12) Identify surveillance material discoverable under Practice Book Section 13-3 (c), by stating the
name and address of any person who obtained or prepared any and all recordings, by film, photograph,
videotape, audiotape or any other digital or electronic means, of any party concerning this action or
its subject matter, including any transcript thereof which are in your possession or control or in the
possession or control of your attorney, and state the date on which each such recording was obtained
and the person or persons of whom each such recording was made.
PLAINTIFF,
BY
I, , hereby certify that I have reviewed the above interrogatories and responses
thereto and that they are true and accurate to the best of my knowledge and belief.
(Defendant)
Subscribed and sworn to before me this day of , 20 .
Notary Public/
Commissioner of the Superior Court
640
Copyrighted by the Secretary of the State of the State of Connecticut
APPENDIX OF FORMS Form 213
CERTIFICATION
I certify that a copy of this document was or will immediately be mailed or delivered electronically
or non-electronically on (date) to all attorneys and self-represented parties of record and that
written consent for electronic delivery was received from all attorneys and self-represented parties of
record who received or will immediately be receiving electronic delivery.
Name and address of each party and attorney that copy was or will immediately be mailed or
delivered to*
*If necessary, attach additional sheet or sheets with the name and address which the copy was or
will immediately be mailed or delivered to.
Signed (Signature of filer) Print or type name of person signing Date Signed
Mailing address (Number, street, town, state and zip code) or E-mail address, if applicable Telephone number
(Adopted June 23, 2017, to take effect Jan. 1, 2018.)
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Form 214 APPENDIX OF FORMS
Form 214
Defendant’s Interrogatories—Uninsured/Underinsured Motorist Cases
No. CV- : SUPERIOR COURT
(Plaintiff) : JUDICIAL DISTRICT OF
VS. : AT
(Defendant) : (Date)
The undersigned, on behalf of the Defendant, hereby propounds the following interrogatories to be
answered by the Plaintiff, , under oath, within sixty (60) days of the filing hereof in
compliance with Practice Book Section 13-2.
In answering these interrogatories, the Plaintiff(s) is (are) required to provide all information within
their knowledge, possession or power. If an interrogatory has subparts, answer each subpart separately
and in full and do not limit the answer to the interrogatory as a whole. If any interrogatories cannot be
answered in full, answer to the extent possible.
(1) State the following:
(a) Your full name and any other name(s) by which you have been known;
(b) Your date of birth;
(c) Your motor vehicle operator’s license number;
(d) Your home address
(e) Your business address;
(f) If you were not the owner of the subject vehicle, the name and address of the owner or lessor
of the subject vehicle on the date of the alleged occurrence.
(2) If, at the time of the incident alleged in the Complaint, you were covered by any uninsured/
underinsured motorist policy, including any excess or umbrella policies, under which an insurer may
be liable to satisfy part or all of a judgment after the underlying policy limits are exhausted or reimburse
you for payments to satisfy part or all of a judgment after the underlying policy limits are exhausted,
state the following:
(a) the name(s) and address(es) of the insured(s);
(b) the amount of coverage under each insurance policy;
(c) the name(s) and address(es) of said insurer(s); and
(d) whether a claim has been made for underinsured motorist benefits.
(3) State whether you resided with any relatives at the time of the incident, and, if so, identify any
auto insurance policy they had that was in effect at the time of the accident.
(4) State whether any insurer, as described in Interrogatory #1 or #2 above, has disclaimed/reserved
its duty to indemnify any insured or any other person protected by said policy.
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APPENDIX OF FORMS Form 214
(5) State the date on which your claim/lawsuit in the underlying matter settled, the sum(s) for which
it settled and when you received the check.
(6) State all liability coverage that covered the person(s) against whom you brought suit in the
underlying matter, including the policy limits.
(7) State whether the driver of the other vehicle in the underlying claim was working at the time of
the incident and if so, state whether you made a claim against the other driver’s employer.
(8) Identify and list each injury you claim to have sustained as a result of the incident alleged in
the Complaint.
(9) When, where and from whom did you first receive treatment for said injuries?
(10) If you were treated at a hospital for injuries sustained in the alleged incident, state the name
and ___location of each hospital and the dates of such treatment and confinement therein.
(11) State the name and address of each physician, therapist or other source of treatment for the
conditions or injuries you sustained as a result of the incident alleged in your Complaint.
(12) When and from whom did you last receive any medical attention for injuries alleged to have
been sustained as a result of the incident alleged in your Complaint?
(13) On what date were you fully recovered from the injuries or conditions alleged in your Complaint?
(14) If you claim you are not fully recovered, state precisely from what injuries or conditions you are
presently suffering.
(15) Are you presently under the care of any doctor or other health care provider for the treatment
of injures alleged to have been sustained as a result of the incident alleged in your Complaint?
(16) If the answer to Interrogatory #15 is in the affirmative, state the name and address of each
physician or other health care provider who is treating you.
(17) Do you claim any present disability resulting from injuries or conditions allegedly sustained as
a result of the incident alleged in your Complaint?
(18) If so, state the nature of the disability claimed.
(19) Do you claim any permanent disability resulting from said incident?
(20) If the answer to Interrogatory #19 is in the affirmative, please answer the following:
(a) List the parts of your body which are disabled;
(b) List the motions, activities or use of your body which you have lost or which you are unable
to perform;
(c) State the percentage of loss of use or the loss of function claimed as to each part of your body
as provided by a medical service provider, if any;
(d) State the name and address of the person who made the prognosis for permanent disability and
the percentage of loss of use;
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(e) List the date for each such prognosis.
(21) If you were or are confined to your home or your bed as a result of injuries or conditions
sustained as a result of the incident alleged in your Complaint, state the dates you were so confined.
(22) List each medical report received by you or your attorney relating to your alleged injuries or
conditions by stating the name and address of the treating doctor or other health care provider, and
of any doctor or health care person you anticipate calling as a trial witness, who provided each such
report and the date thereof.
(23) List each item of expense which you claim to have incurred as a result of the incident alleged
in your Complaint, the amount thereof, and state the name and address of the person or organization
to whom each item has been paid or is payable.
(24) For each item of expense identified in response to Interrogatory #23, if any such expense, or
portion thereof, has been paid or reimbursed or is reimbursable by an insurer, state, as to each such
item of expense, the name of the insurer that made such payment or reimbursement or that is responsible
for such reimbursement.
(25) If, during the ten year period prior to the date of the incident alleged in the Complaint, you were
under a doctor’s care for any conditions which were in any way similar or related to those identified
and listed in your response to Interrogatory #8, state the nature of said conditions, the dates on which
treatment was received, and the name of the doctor or health care provider.
(26) If, during the ten year period prior to the date of the incident alleged in your Complaint, you
were involved in any incident in which you received personal injuries similar or related to those identified
and listed in your response to Interrogatory #8, please answer the following with respect to each such
earlier incident:
(a) On what date and in what manner did you sustain such injuries?
(b) Did you make a claim against anyone as a result of said incident?
(c) If so, provide the name and address of the person or persons against whom a claim was made;
(d) If suit was brought, state the name and ___location of the court, the return date of the suit, and the
docket number;
(e) State the nature of the injuries received in said incident;
(f) State the name and address of each physician who treated you for said injuries;
(g) State the dates on which you were so treated;
(h) State the nature of the treatment received on each such date;
(i) If you are presently or permanently disabled as a result of said injuries, please state the nature
of such disability, the name and address of each physician who diagnosed said disability and the date
of each such diagnosis.
(27) If you were involved in any incident in which you received personal injuries since the date of
the incident alleged in the Complaint, please answer the following:
(a) On what date and in what manner did you sustain such injuries?
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APPENDIX OF FORMS Form 214
(b) Did you make a claim against anyone as a result of said incident?
(c) If so, provide the name and address of the person or persons against whom a claim was made;
(d) If suit was brought, state the name and ___location of the court, the return date of the suit, and the
docket number;
(e) State the nature of the injuries received in said incident;
(f) State the name and address of each physician who treated you for said injuries;
(g) State the dates on which you were so treated;
(h) State the nature of the treatment received on each such date;
(i) If you are presently or permanently disabled as a result of said injuries, please state the nature
of such disability, the name and address of each physician who diagnosed said disability and the date
of each such diagnosis.
(28) Please state the name and address of any medical service provider who has rendered an
opinion in writing or through testimony that you have sustained a permanent disability to any body part
other than those listed in response to Interrogatories #19, #20, #26, or #27, and:
(a) List each such part of your body that has been assessed a permanent disability;
(b) State the percentage of loss of use or function assessed as to each part of your body, if any;
(c) State the date on which each such assessment was made.
(29) If you claim that as a result of the incident alleged in your Complaint you were prevented from
following your usual occupation, or otherwise lost time from work, please provide the following infor-
mation:
(a) The name and address of your employer on the date of the incident alleged in the Complaint;
(b) The nature of your occupation and a precise description of your job responsibilities with said
employer on the date of the incident alleged in the Complaint;
(c) Your average weekly earnings, salary, or income received from said employment for the year
preceding the date of the incident alleged in the Complaint;
(d) The date following the date of the incident alleged in the Complaint on which you resumed the
duties of said employment;
(e) What loss of income do you claim as a result of the incident alleged in your Complaint and how
is said loss computed?
(f) The dates on which you were unable to perform the duties of your occupation and lost time from
work as a result of injuries or conditions claimed to have been sustained as a result of the incident
alleged in your Complaint;
(g) The names and addresses of each employer for whom you worked for three years prior to the
date of the incident alleged in your Complaint.
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(30) Do you claim an impairment of earning capacity?
(31) List any other expenses or loss and the amount thereof not already set forth and which you
claim to have incurred as a result of the incident alleged in your Complaint.
(32) If you have signed a covenant not to sue, a release or discharge of any claim you had, have
or may have against any person, corporation or other entity as a result of the incident alleged in your
Complaint, please state in whose favor it was given, the date thereof, and the consideration paid to
you for giving it.
(33) If, you or anyone on your behalf agreed or made an agreement with any person, corporation
or other entity to limit in any way the liability of such person, corporation or other entity as a result of
any claim you have or may have as a result of the incident alleged in your Complaint, please state in
whose favor it was given, the date thereof, and the consideration paid to you for giving it.
(34) If, since the date of the incident alleged in your Complaint, you have made any claims for
workers’ compensation benefits as a result of the incident alleged in your Complaint:
(a) State the nature of such claims and the dates on which they were made.
(b) State the workers’ compensation claim number and the date of injury of each workers’ compensa-
tion claim that you have filed as a result of the incident/occurrence alleged in the Complaint.
(c) State the total amount paid on your behalf on each of the claims filed as a result of the incident/
occurrence alleged in the Complaint and referred to in Interrogatory #34, and if known, specify the
amount of medical benefits, loss of income benefits, and specific award benefits, and if unknown,
provide an authorization for the same.
(d) Identify any First Report of Injury, Notice of Claim for Compensation, Notice of Intention to Reduce
or Discontinue Benefits, Notice to Administrative Law Judge and Employee of Intention to Contest
Employee’s Right to Compensation Benefits, and any reports of medical exams requested by the
administrative law judge, respondent and/or employer arising out of the incident/occurrence alleged in
the Complaint.
(e) Identify any voluntary agreements, approved stipulations to date, approved full and final stipula-
tions and findings and awards, and findings and denials arising out of the incident/occurrence alleged
in the Complaint and which formed the basis for your answer to Interrogatory #34.
(f) Which of your claims arising out of the incident/occurrence alleged in the complaint and referenced
in your answer to Interrogatory #34 are still open?
(35) Have you made any statements, as defined in Practice Book Section 13-1, to any person
regarding any of the events or happenings alleged in your Complaint?
(36) State the names and addresses of all persons known to you who were present at the time of
the incident alleged in your Complaint or who observed or witnessed all of part of the incident.
(37) As to each individual named in response to Interrogatory #36, state whether to your knowledge,
or the knowledge of your attorney, such individual has given any statement or statements as defined
in Practice Book Section 13-1 concerning the subject matter of the Complaint in this action. If the
answer to this interrogatory is affirmative, state also:
(a) The date on which the statement or statements were taken;
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APPENDIX OF FORMS Form 214
(b) The names and addresses of the person or people who took such statement(s);
(c) The name and address of any person present when such statement(s) was taken;
(d) Whether such statement(s) was written, made by recording device, or taken by court reporter or
stenographer; and
(e) The name and address of each person having custody or a copy or copies of such statement(s).
(38) Are you aware of any photographs or any recordings by film, video, audio or any other digital
or electronic means depicting the incident alleged in the Complaint, the scene of the incident, any
vehicle involved in the incident alleged in the Complaint, or any condition or injury alleged to have
been caused by the incident alleged in the Complaint? If so, for each set of photographs or each
recording taken, obtained or prepared of each such subject state:
(a) The name and address of the person who took, obtained or prepared such photograph or
recording, other than an expert who will not testify at trial;
(b) The dates on which such photographs were taken or such recordings were obtained or prepared;
(c) The subject (e.g., ‘‘Plaintiff’s vehicle,’’ ‘‘scene,’’ etc.);
(d) The number of photographs or recordings; and
(e) The nature of the recording (e.g., film, videotape, audiotape, etc.)
(39) If you were the operator of any motor vehicle involved in the incident that is the subject of this
action, please state whether you consumed or used any alcoholic beverages, drugs or medications
within the eight (8) hours next preceding the time of the incident alleged in the Complaint, and, if so,
indicate what you consumed or used, how much you consumed, and when.
(40) Please state whether, within eight (8) hours after the incident alleged in the Complaint, any
testing was performed to determine the presence of alcohol, drugs or other medications in your blood,
and, if so, state:
(a) The name and address of the hospital, person or entity performing such test or screen;
(b) The date and time;
(c) The results.
(41) Please identify surveillance material discoverable under Practice Book Section 13-3 (c), by
stating the name and address of any person who obtained or prepared any and all recordings, by film,
photograph, videotape, audiotape or any other digital or electronic means, of any party concerning this
lawsuit or its subject matter, including any transcript thereof, which are in your possession or control
or in the possession or control of your attorney, and state the date on which each such recording was
obtained and the person or persons of whom each such recording was made.
(42) If you were the operator of any motor vehicle involved in the incident that is the subject of this
action, please state whether you were using a cellular telephone for any activity including, but not
limited to, calling, texting, e-mailing, posting, tweeting, or visiting sites on the Internet for any purpose,
at or immediately prior to the time of the incident.
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Form 214 APPENDIX OF FORMS
DEFENDANT,
BY
I, , hereby certify that I have reviewed the above interrogatories and responses
thereto and that they are true and accurate to the best of my knowledge and belief.
(Plaintiff)
Subscribed and sworn to before me this day of , 20 .
Notary Public/
Commissioner of the Superior Court
CERTIFICATION
I certify that a copy of this document was or will immediately be mailed or delivered electronically
or non-electronically on (date) to all attorneys and self-represented parties of record and that
written consent for electronic delivery was received from all attorneys and self-represented parties of
record who received or will immediately be receiving electronic delivery.
Name and address of each party and attorney that copy was or will immediately be mailed or
delivered to*
*If necessary, attach additional sheet or sheets with the name and address which the copy was or
will immediately be mailed or delivered to.
648
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APPENDIX OF FORMS Form 214
Signed (Signature of filer) Print or type name of person signing Date Signed
Mailing address (Number, street, town, state and zip code) or E-mail address, if applicable Telephone number
(Adopted June 23, 2017, to take effect Jan. 1, 2018.)
TECHNICAL CHANGE: The changes to this form are consistent with the adoption of Public Acts 2021, No. 21-18, § 1, codified
at General Statutes (Supp. 2022) § 31-275d, which replaced the term ‘‘workers’ compensation commissioner’’ with ‘‘administrative
law judge.’’
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Form 215 APPENDIX OF FORMS
Form 215
Plaintiff’s Requests for Production—Uninsured/Underinsured Motorist Cases
No. CV- : SUPERIOR COURT
(Plaintiff) : JUDICIAL DISTRICT OF
VS. : AT
(Defendant) : (Date)
The Plaintiff(s) hereby request(s) that the Defendant provide counsel for the Plaintiff(s) with copies
of the documents described in the following requests for production, or afford counsel for said Plaintiff(s)
the opportunity or, if necessary, sufficient written authorization, to inspect, copy, photograph or otherwise
reproduce said documents. The production of such documents, copies or written authorizations shall
take place at the offices of not later than sixty (60) days after the service of the Requests
for Production.
In answering these production requests, the Defendant is required to provide all information within
its possession, custody or control. If any production request cannot be answered in full, answer to
the extent possible.
(1) A copy of the declarations page and complete policy for each insurance policy referred to in the
allegations against you in the Complaint and for any other policy of insurance in effect on the date of
the incident, by which you provided uninsured/underinsured motorist coverage with regard to any
person or vehicle involved in the incident that is the subject of this action.
(2) Copies of all documents and records regarding the existence of or the lack of insurance on the
alleged tortfeasor(s) or the motor vehicle operated by the alleged tortfeasor(s), his, her, its or their
agent, servant and/or employee, at the time of this incident, including but not limited to reservations
of rights letters and letters about declination of coverage.
(3) A copy of any written request by any insured for a lesser limit of uninsured/underinsured motorist
coverage than the amount equal to their limits for liability imposed by law, under the policy or any
earlier policy of which the policy was a renewal, extension, change, replacement, or superseding policy.
(4) Any copy of any nonprivileged statement, as defined in Practice Book Sections 13-1 and 13-3
(b), of any party in this action concerning this action or its subject matter.
(5) A copy of each and every recording of surveillance material discoverable under Practice Book
Section 13-3 (c), by film, photograph, videotape, audiotape or any other digital or electronic means,
of any party to this lawsuit concerning this action or the subject matter thereof, including any transcript
of such recording.
(6) A copy of any photographs or recordings identified in response to Interrogatory #11.
PLAINTIFF,
BY
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CERTIFICATION
I certify that a copy of this document was or will immediately be mailed or delivered electronically
or non-electronically on (date) to all attorneys and self-represented parties of record and that
written consent for electronic delivery was received from all attorneys and self-represented parties of
record who received or will immediately be receiving electronic delivery.
Name and address of each party and attorney that copy was or will immediately be mailed or
delivered to*
*If necessary, attach additional sheet or sheets with the name and address which the copy was or
will immediately be mailed or delivered to.
Signed (Signature of filer) Print or type name of person signing Date Signed
Mailing address (Number, street, town, state and zip code) or E-mail address, if applicable Telephone number
(Adopted June 23, 2017, to take effect Jan. 1, 2018.)
651
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Form 216 APPENDIX OF FORMS
Form 216
Defendant’s Requests for Production—Uninsured/Underinsured Motorist Cases
No. CV- : SUPERIOR COURT
(Plaintiff) : JUDICIAL DISTRICT OF
VS. : AT
(Defendant) : (Date)
The Defendant(s), hereby request(s) that the Plaintiff, , provide counsel for the
Defendant(s) with copies of the documents described in the following requests for production, or afford
counsel for said Defendant(s) the opportunity or, where requested, sufficient written authorization, to
inspect, copy, photograph or otherwise reproduce said documents. The production of such documents,
copies or written authorizations shall take place at the offices of not later than sixty
(60) days after the service of the Requests for Production.
In answering these production requests, the Plaintiff(s) are required to provide all information within
their possession, custody or control. If any production request cannot be answered in full, answer to
the extent possible.
(1) A copy of the declarations page and of the complete policy for each insurance policy in effect
at the time of the incident alleged in your Complaint, including any excess or umbrella policies identified
in response to Interrogatory #2.
(2) A copy of the declarations page and of the complete policy for each insurance policy in effect
at the time of the incident alleged in your Complaint, including any excess or umbrella policies identified
in response to Interrogatory #3.
(3) Copies of all documents and records regarding the existence or the lack of insurance on the
alleged tortfeasor(s) or the motor vehicle operated by the alleged tortfeasor(s), his, her, its or their
agent, servant and/or employee, at the time of this incident, including but not limited to reservations
of rights letters and declination of coverage letters.
(4) A copy of any affidavit of ‘‘no other insurance’’ in the underlying matter.
(5) A copy of any notice to the defendant in writing of your claim in this action.
(6) All hospital records relating to treatment received as a result of the alleged incident, and to
injuries, diseases or defects to which reference is made in the answers to Interrogatories #25, #26,
#27 and #28, or written authorization, sufficient to comply with the provisions of the Health Insurance
Portability and Accountability Act (HIPAA), to inspect and make copies of said hospital records. Informa-
tion obtained pursuant to the provisions of HIPAA shall not be used or disclosed by the parties for any
purpose other than the litigation or proceeding for which such information is requested.
(7) All reports and records of all doctors and all other care providers relating to treatment allegedly
received by the Plaintiff(s) as a result of the alleged incident, and to the injuries, diseases or defects
to which reference is made in the answers to Interrogatories #25, #26, #27 and #28, or written
authorization, sufficient to comply with the provisions of the Health Insurance Portability and Accountabil-
ity Act (HIPAA), to inspect and make copies of said reports. Information obtained pursuant to the
provisions of HIPAA shall not be used or disclosed by the parties for any purpose other than the
litigation or proceeding for which such information is requested.
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(8) If a claim for lost wages or lost earning capacity has been made as a result of the alleged incident,
copies of, or sufficient written authorization to inspect and make copies of the wage and employment
records of all employers of the Plaintiff(s) for three (3) years prior to the date of the incident and for
all years subsequent to the date of the incident to and including the date hereof.
(9) If a claim of impaired earning capacity or lost wages has been made as a result of the alleged
incident, copies of, or sufficient written authorization to obtain copies of, that part of all income tax
returns relating to lost income filed by the Plaintiff(s) for a period of three (3) years prior to the date
of the incident and for all years subsequent to the date of the incident through the time of trial.
(10) All property damage bills that are claimed to have been incurred as a result of the alleged incident.
(11) All medical bills that are claimed to have been incurred as a result of this incident or written
authorization, sufficient to comply with the provisions of the Health Insurance Portability and Accountabil-
ity Act (HIPAA), to inspect and make copies of said medical bills. Information obtained pursuant to
the provisions of HIPAA shall not be used or disclosed by the parties for any purpose other than the
litigation or proceeding for which such information is requested.
(12) All bills for each item of expense that is claimed to have been incurred in the answer to
Interrogatory #23, and not already provided in response to Production requests #10 and #11.
(13) Copies of all documentation of claims of right to reimbursement provided to the Plaintiff by third
party payors, and copies of, or written authorization, sufficient to comply with provisions of the Health
Insurance Portability and Accountability Act (HIPAA), to obtain any and all documentation of payments
made by a third party for medical services received or premiums paid to obtain such payment. Informa-
tion obtained pursuant to the provisions of HIPAA shall not be used or disclosed by the parties for any
purpose other than the litigation or proceeding for which such information is requested.
(14) All documents identified or referenced in your answer to Interrogatory #32 and #33.
(15) A copy of any nonprivileged statement, as defined in Practice Book Section 13-1, of any party
in this action concerning this action or its subject matter.
(16) Any and all photographs or recordings identified in response to Interrogatory #38.
(17) A copy of all records of blood alcohol testing or drug screens referred to in answer to Interrogatory
#39, or a signed authorization, sufficient to comply with the provisions of the Health Insurance Portability
and Accountability Act (HIPAA) or those of the Public Health Service Act, whichever is applicable, to
obtain the same. Information obtained pursuant to the provisions of HIPAA or the Public Health Service
Act shall not be used or disclosed by the parties for any purpose other than the litigation or proceeding
for which such information is requested.
(18) A copy of each and every recording of surveillance material discoverable under Practice Book
Section 13-3 (c), by film, photograph, videotape, audiotape or any other digital or electronic means,
of any party to this action concerning this action or the subject matter thereof, including any transcript
of such recording.
(19) A copy of the First Report of Injury (Form FRI), Notice of Claim for Compensation (Form 30C),
Notice of Intention to Reduce or Discontinue Benefits (Form 36), and Notice to Administrative Law
Judge and Employee of Intention to Contest Employee’s Right to Compensation Benefits (Form 43)
referenced in your answer to Interrogatory #34.
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(20) A copy of all of the approved voluntary agreements, approved stipulations to date, approved
full and final stipulations, findings and awards, and findings and denials that relate to one or more of
the claims referenced in your answer to Interrogatory #34.
(21) A copy of all reports of medical exams requested by the administrative law judge, respondent
and/or employer that were prepared concerning any of the claims referenced in your answer to Interroga-
tory #34.
(22) If you are unable to specify the amount of medical benefits, loss of income benefits, and specific
award benefits paid on your behalf, provide an authorization for the same.
DEFENDANT,
BY
CERTIFICATION
I certify that a copy of this document was or will immediately be mailed or delivered electronically
or non-electronically on (date) to all attorneys and self-represented parties of record and that
written consent for electronic delivery was received from all attorneys and self-represented parties of
record who received or will immediately be receiving electronic delivery.
Name and address of each party and attorney that copy was or will immediately be mailed or
delivered to*
*If necessary, attach additional sheet or sheets with the name and address which the copy was or
will immediately be mailed or delivered to.
Signed (Signature of filer) Print or type name of person signing Date Signed
Mailing address (Number, street, town, state and zip code) or E-mail address, if applicable Telephone number
(Adopted June 23, 2017, to take effect Jan. 1, 2018.)
TECHNICAL CHANGE: The changes to this form are consistent with the adoption of Public Acts 2021, No. 21-18, § 1, codified
at General Statutes (Supp. 2022) § 31-275d, which replaced the term ‘‘workers’ compensation commissioner’’ with ‘‘administrative
law judge.’’
654
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APPENDIX OF FORMS Form 217
Form 217
Interrogatories
Civil Actions Alleging Personal Injury
Medicare Enrollment, Eligibility and Payments
No. CV- : SUPERIOR COURT
(Plaintiff) : JUDICIAL DISTRICT OF
VS. : AT
(Defendant) : (Date)
The undersigned, on behalf of the , hereby propounds the following
interrogatories to be answered under oath by the party being served within sixty (60) days of the service
hereof in compliance with Practice Book Section 13-2.
Definition: ‘‘You’’ shall mean the party to whom these interrogatories are directed except that if suit
has been instituted by the representative of the estate of a decedent, ward, or incapable person, ‘‘You’’
shall also refer to the party’s decedent, ward or incapable person unless the context of an interrogatory
clearly indicates otherwise.
In answering these interrogatories, You are required to provide all information within your knowledge,
possession or power. If an interrogatory has subparts, answer each subpart separately and in full and
do not limit the answer to the interrogatory as a whole. If any interrogatories cannot be answered in
full, answer to the extent possible.
(1) State the following:
(a) your full name:
(b) any other name(s) by which You have been known:
(c) your date of birth:
(d) your home address:
(e) your business address:
(2) State whether You have ever been enrolled in a plan offered pursuant to any Medicare Part:
If your answer to Interrogatory (2) is affirmative, state the following:
(a) the effective date(s):
(b) your Medicare claim number(s):
(c) your name exactly as it appears on your Medicare card:
(3) State whether a plan offered pursuant to any Medicare Part has paid any bills for treatment of
any injuries allegedly sustained as a result of the incident alleged in your complaint:
If your answer to Interrogatory (3) is affirmative, state the amount paid:
(4) If You are not presently enrolled in any Medicare Part, state whether You are eligible to enroll:
(5) If You are not presently enrolled in any Medicare Part, state whether You plan to apply within
the next thirty-six (36) months:
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Form 217 APPENDIX OF FORMS
BY
I, , hereby certify that I have reviewed the above interrogatories and
responses thereto and that they are true and accurate to the best of my knowledge and belief.
Subscribed and sworn to before me this day of , 20 .
Notary Public/
Commissioner of the Superior Court
CERTIFICATION
I certify that a copy of this document was or will immediately be mailed or delivered electronically
or non-electronically on (date): to all attorneys and self-represented parties of record
and to all parties who have not appeared in this matter and that written consent for electronic delivery
was received from all attorneys and self-represented parties receiving electronic delivery.
Name and address of each party and attorney that copy was or will immediately be mailed or
delivered to*
*If necessary, attach additional sheet or sheets with the name and address which the copy was or
will immediately be mailed or delivered to.
Signed (Signature of filer) Print or type name of person signing Date Signed
Mailing address (Number, street, town, state and zip code) or E-mail address, if applicable Telephone number
(Adopted June 13, 2019, to take effect Jan. 1, 2020.)
656
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APPENDIX OF FORMS Form 218
Form 218
Defendant’s Interrogatories
Medical Negligence
No. CV- : SUPERIOR COURT
(Plaintiff) : JUDICIAL DISTRICT OF
VS. : AT
(Defendant) : (Date)
The undersigned, on behalf of the Defendant, hereby propounds the following interrogatories to be
answered by the Plaintiff, , under oath, within sixty (60) days of the
filing hereof in compliance with Practice Book Section 13-2.
Definition: ‘‘You’’ or ‘‘your’’ shall mean the Plaintiff to whom these interrogatories are directed, except
that if a lawsuit has been instituted by the representative of the estate of a decedent, ward, or incapable
person, ‘‘you’’ or ‘‘your’’ shall also refer to the Plaintiff’s decedent, ward or incapable person unless
the context of an interrogatory clearly indicates otherwise.
In answering these interrogatories, the Plaintiff(s) is (are) required to provide all information within
their knowledge, possession or power. If an interrogatory has subparts, answer each subpart separately
and in full and do not limit the answer to the interrogatory as a whole. If any interrogatories cannot be
answered in full, answer to the extent possible.
(1) State the following:
(a) Your full name and any other name(s) by which you have been known;
(b) Your date of birth;
(c) Your current home address;
(d) Your home address as of the time of the negligence alleged in the Complaint; and
(e) Your home address for the five years prior to and since the negligence alleged in the Complaint.
(2) State your marital status at the time of and since the negligence alleged in the Complaint and,
if married, provide the date of the marriage, the full legal name, and current address of your spouse.
(3) State the full legal names and ages of each person with whom you have lived at or since the
time of the negligence alleged in the Complaint and identify each time period.
(4) State the full legal names and ages of your children. For each child, identify the time periods
during which they resided with you at or since the time of the negligence alleged in the Complaint.
(5) Identify and list each physical and mental injury or condition you claim to have sustained as a
result of the negligence alleged in the Complaint.
(6) If you were treated at a hospital for injuries and conditions sustained as a result of the negligence
alleged in the Complaint, state the name and ___location of each hospital and the dates of such treatment
and admission.
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(7) State the name and address of each physician or other health care provider who treated you for
the injuries and conditions you sustained as a result of the negligence alleged in the Complaint.
(8) When and from whom did you last receive any medical treatment for injuries and conditions
alleged to have been sustained as a result of the negligence alleged in the Complaint?
(9) Identify the date you last received medical services or treatment from the Defendant.
(10) State the date you fully recovered from the injuries and conditions alleged in your Complaint
(11) If you are not fully recovered, state precisely from what injuries and conditions you are pres-
ently suffering.
(12) Are you presently under the care of any physician or other health care provider for the treatment
of injuries and conditions alleged to have been sustained as a result of the negligence alleged in
your Complaint?
(13) If the answer to the prior interrogatory is in the affirmative, state the name and address of each
physician or other health care provider who is treating you.
(14) Do you claim any disability resulting from injuries and conditions allegedly sustained as a result
of the negligence alleged in your Complaint?
(15) If so, state the nature of the disability claimed.
(16) Do you claim any permanent disability resulting from the negligence alleged in the Complaint?
(17) If the answer to the prior interrogatory is in the affirmative, answer the following:
(a) List the parts of your body which are disabled;
(b) List the motions, activities or use of your body which you have lost or which you are unable
to perform;
(c) State the percentage of loss of use claimed as to each part of your body;
(d) State the name and address of the person who made the prognosis for permanent disability and
the percentage of loss of use; and
(e) List the date for each such prognosis.
(18) If you were or are confined to your home or your bed as a result of injuries and conditions
sustained as a result of the negligence alleged in your Complaint, state the dates you were so confined.
(19) Identify any nonprivileged medical reports received by you or your attorney relating to your
alleged injuries and conditions by stating the name and address of the treating physician or other
health care provider, and any physician or health care provider you anticipate calling as a trial witness,
who provided such reports and the date of the report.
(20) List each item of expense which you claim to have incurred as a result of the negligence alleged
in your Complaint, and state the name and address of the person or organization to whom each item
has been paid or is payable.
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APPENDIX OF FORMS Form 218
(21) For each item of expense identified in response to the prior interrogatory, if any such expense,
or portion thereof, has been paid or reimbursed or is reimbursable by an insurer, state, as to each
such item of expense, the name of the insurer that made such payment or reimbursement or that is
responsible for such reimbursement.
(22) If, during the ten year period prior to the date of the negligence alleged in the Complaint, you
were under a physician’s or other health care provider’s care for any conditions which were in any
way similar or related to those identified and listed in your response to Interrogatory #5, state the
nature of said injuries or conditions, the dates you received treatment, and the name of the physician
or other health care provider who provided treatment for the prior condition.
(23) State whether you have ever filed a claim or lawsuit for physical or mental injury or condition.
If so, state the caption, venue and docket number of any such lawsuit.
(24) If you were involved in any incident in which you received physical or mental injuries or conditions
since the date of the negligence alleged in the Complaint, provide the following information:
(a) On what date and in what manner did you sustain said injuries?
(b) Did you make a claim against anyone as a result of said incident?
(c) If so, provide the name and address of the person or persons against whom a claim was made;
(d) If a lawsuit was brought, state the name and ___location of the Court, the return date of the lawsuit,
and the docket number;
(e) State the nature of the physical or mental injuries or conditions received in said incident;
(f) State the name and address of each physician or health care provider who treated you for said
injuries or conditions;
(g) State the dates on which you were so treated;
(h) State the nature of the treatment received on each such date; and
(i) If you are presently or permanently disabled as a result of said injuries, state the nature of such
disability, the name and address of each physician or health care provider who diagnosed said disability
and the date of each such diagnosis.
(25) At the time of the negligence alleged in your Complaint or thereafter, have you filed a personal
bankruptcy petition? If yes, identify the type of bankruptcy, the court and court address, caption and
docket number, name and address of trustee and whether the petition is pending or has been discharged.
(26) List all secondary schools and colleges you attended, the years attended, and degrees conferred,
if any.
(27) If you claim that as a result of the negligence alleged in your Complaint you were prevented
from pursuing your usual occupation, or otherwise lost time from work, provide the following information:
(a) The name and address of your employer on the date of the negligence alleged in the Complaint;
(b) The nature of your occupation and a precise description of your job responsibilities with said
employer on the date of the negligence alleged in the Complaint;
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(c) Your average, weekly earnings, salary, or income received from said employment for the year
preceding the date of the negligence alleged in the Complaint;
(d) The date following the date of the negligence alleged in the Complaint on which you resumed
the duties of said employment;
(e) Any loss of income you claim resulted from the negligence alleged in your Complaint and how
the loss is computed;
(f) The dates you were unable to perform the duties and lost time from work as a result of injuries
or conditions claimed to have been sustained as a result of the negligence alleged in your Complaint; and
(g) The names and addresses of each employer for whom you worked for three years prior to the
date of the negligence alleged in your Complaint.
(28) Do you claim an impairment of earning capacity?
(29) State whether you made an application(s) for life/disability insurance in the past ten years, and
if so state the date of the application(s).
(30) Identify the administrative/funeral and burial expenses incurred on behalf of the Plaintiff, if
applicable, as well as the date such expenses were incurred, the recipient of such monies and the
identity of the individual who paid such expenses.
(31) If you are introducing the condition of your mental health as an element of a claim in this lawsuit,
state whether you have sought treatment with a mental health provider, including but not limited to a
psychiatrist, psychologist, therapist, or counselor, in the ten years prior to, or subsequent to the
negligence alleged in the Complaint.
COMMENT:
Where appropriate, and where the Plaintiff does not consent to the production of the mental health records, the Defendant
may seek a court order for the production of the records.
(32) Has any treating physician or other health care provider told you directly that the above-named
Defendant(s) failed to adhere to the acceptable standard of care in any respect?
(33) If the answer to the preceding interrogatory is in the affirmative, state the name and address
of each such physician or health care provider, the date each communication was made and the
content of any such communication.
(34) If you have signed a covenant not to sue, a release or discharge of any claim you had, have
or may have against any person, corporation or other entity as a result of the negligence alleged in
your Complaint, state in whose favor it was given, the date thereof, and to the extent it is not subject
to a confidentiality agreement, the consideration paid to you for giving it. If you are unable to respond
to this interrogatory, in whole or in part, due to a confidentiality agreement, state so.
(35) If you or anyone on your behalf agreed to or contracted with any person, corporation or other
entity to limit in any way the liability of such person, corporation or other entity as a result of any claim
you have or may have as a result of the negligence alleged in your Complaint, state in whose favor it
was given, the date thereof, and to the extent it is not subject to a confidentiality agreement, the
consideration paid to you for giving it. If you are unable to respond to this interrogatory due to a
confidentiality agreement, state so.
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(36) State the names and addresses of all persons known to you who were present at the time of
the negligence alleged in your Complaint or who observed or witnessed all or part of the care provided
by the Defendant.
(37) As to each individual named in response to the preceding interrogatory, state whether to your
knowledge, or the knowledge of your attorney, such individual has given any statement or statements
as defined in Practice Book Section 13-1 concerning the subject matter of your Complaint or alleged
injuries and conditions. If your answer to this interrogatory is affirmative, state also:
(a) The date on which such statement or statements were taken;
(b) The names and addresses of the person or persons who took such statement or statements;
(c) The names and addresses of any person or persons present when such statement or statements
were taken;
(d) Whether such statement or statements were written, made by recording device or taken by court
reporter or stenographer; and
(e) The names and addresses of any person or persons having custody or a copy or copies of such
statement or statements.
(38) Have you made any statements, as defined in Practice Book Section 13-1, to any person
regarding any of the events alleged in your Complaint?
(39) State the name and address of any person(s) who you may call as a fact witness at trial of this
matter regarding the claims of damage alleged by Plaintiff(s) in the Complaint.
COMMENT:
These individuals or witnesses shall be disclosed, except for good cause shown, no later than sixty days prior to trial and
may be thereafter deposed.
(40) Have you documented in any form any of the events, injuries, or conditions alleged in your
Complaint? State whether any privilege is claimed.
(41) Are you aware of any photographs or any recordings by film, video, audio or any other digital
or electronic means depicting the negligence alleged in the Complaint, the care provided by the
Defendant or any injury or condition alleged to have been caused by the negligence alleged in the
Complaint? If so, for each set of photographs or each recording taken, obtained or prepared of each
such subject, state:
(a) The name and address of the person who took, obtained or prepared such photograph or
recording, other than an expert who will not testify at trial;
(b) The dates on which such photographs were taken or such recordings were obtained or prepared;
(c) The subject;
(d) The number of photographs or recordings;
(e) The nature of the recording (e.g., film, video, audio, etc.).
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(42) Identify surveillance material discoverable under Practice Book Section 13-3 (c), by stating the
name and address of any person who obtained or prepared any and all recordings, by film, photograph,
videotape, audiotape or any other digital or electronic means, of any party concerning this lawsuit or
its subject matter, including any transcript thereof which are in your possession or control or in the
possession or control of your attorney, and state the date on which each such recordings were obtained
and the person or persons of whom each such recording was made.
(43) Have you ever filed a claim/application for Social Security Disability and/or any form of govern-
ment disability including military?
(44) If the answer to the preceding interrogatory is in the affirmative, state:
(a) The dates of all such applications;
(b) The reasons for seeking disability, including all listed medical conditions;
(c) How the listed medical conditions caused you to be disabled;
(d) The dates you were deemed disabled;
(e) The names and addresses of any physicians or health care providers whom you saw for disability
evaluations; and,
(f) The address of any disability offices involved in obtaining such benefits.
Interrogatories #45 through #52 apply in wrongful death cases:
(45) If the decedent underwent a physical examination for any reason including, but not limited to,
examinations related to employment, or employment applications within the five (5) years prior to the
date of the negligence alleged in the Complaint, please state:
(a) The date(s) the exam was performed; and
(b) The name and address of the physician or health care provider who performed each exam.
(46) If a claim for loss of earning capacity is being made, please state the decedent’s average
monthly personal living expenses for the two (2) years preceding his/her death including, but not limited
to, the decedent’s food, rent and housing, clothing, transportation, and medical and dental care.
(47) Did the decedent suffer from any illness, injury, disease, condition, disability or defect from the
time of the negligence alleged in the Complaint to the time of death? If so, please identify the illness,
injury, disease, condition, disability or defect.
(48) If you are claiming that any preexisting physical or mental condition exacerbated, contributed
to, or accelerated the decedent’s death, identify the condition(s) and physician or health care provider(s)
treating the decedent for those condition(s) in the ten years prior to his or her death.
(49) Other than what is contained in the medical records, are you aware of any treating physician,
physician’s assistant (P.A.), or advanced practice registered nurse (APRN) who discussed the primary
cause of the decedent’s death with a patient representative? If so, please identify that individual and
the substance of that conversation.
(50) Was an autopsy and/or postmortem toxicology testing ever performed on the decedent? If the
answer is yes, state:
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(a) The name of the person who ordered or requested the autopsy;
(b) The date the autopsy was performed;
(c) The place where the autopsy was performed;
(d) The name of the individual who performed the autopsy; and
(e) The findings of the autopsy and/or postmortem toxicology testing.
(51) Have any entries, memoranda, and/or declarations, as defined in General Statutes § 52-172,
been made by the Plaintiff concerning the issues alleged in the Complaint?
(52) If the answer to the foregoing interrogatory is affirmative, state:
(a) The date on which such entries, memoranda, and/or declarations were made;
(b) The form of the entries, memoranda, and/or declarations (i.e., whether oral, written, made by
recording device or recorded by a stenographer, etc.);
(c) The substance or content of such entries, memoranda, and/or declarations;
(d) The name and address of each person having custody or a copy or copies of the entries,
memoranda, and/or declarations; and
(e) The name and address of any witnesses to such entries, memoranda, and/or declarations.
Interrogatory #53 applies to cases involving a minor Plaintiff:
(53) If the minor Plaintiff attends or has attended a day care, preschool, school or camp on a regular
basis from the time of the negligence alleged in the Complaint to the present time, state:
(a) The name and address of the institution or facility;
(b) The amount of time each day that the minor Plaintiff attended there; and,
(c) The dates of attendance.
DEFENDANT,
BY
I, , hereby certify that I have reviewed the above interrogatories and responses thereto
and that they are true and accurate to the best of my knowledge and belief.
(Plaintiff)
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Subscribed and sworn to before me this day of , 20 .
Notary Public/
Commissioner of the Superior Court
CERTIFICATION
I certify that a copy of this document was or will immediately be mailed or delivered electronically
or non-electronically on (date) to all attorneys and self-represented parties of record and that
written consent for electronic delivery was received from all attorneys and self-represented parties of
record who received or will immediately be receiving electronic delivery.
Name and address of each party and attorney that copy was or will immediately be mailed or
delivered to*
*If necessary, attach additional sheet or sheets with the name and address which the copy was or
will immediately be mailed or delivered to.
Signed (Signature of filer) Print or type name of person signing Date Signed
Mailing address (Number, street, town, state and zip code) or E-mail address, if applicable Telephone number
(Adopted June 11, 2021, to take effect Jan. 1, 2022.)
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Form 219
Defendant’s Requests for Production
Medical Negligence
No. CV- : SUPERIOR COURT
(Plaintiff) : JUDICIAL DISTRICT OF
VS. : AT
(Defendant) : (Date)
The Defendant(s) hereby request(s) that the Plaintiff provide counsel for the Defendant(s) with
copies of the documents described in the following requests for production, or afford counsel for said
Defendant(s) the opportunity or, where requested, sufficient written authorization, to inspect, copy,
photograph or otherwise reproduce said documents. The production of such documents, copies or
written authorizations shall take place at the offices of not later than
sixty (60) days after the service of the Requests for Production.
In answering these production requests, the Plaintiff(s) are required to provide all information within
their possession, custody or control. If any production request cannot be answered in full, answer to
the extent possible.
(1) All hospital records relating to treatment received as a result of the negligence alleged in the
Complaint, and to injuries, diseases or defects to which reference is made in the answers to Interrogato-
ries #6 and #24 (exclusive of any records relating to mental health injuries or conditions), or written
authorization, sufficient to comply with the provisions of the Health Insurance Portability and Accountabil-
ity Act (HIPAA), to inspect and make copies of the hospital records. Information obtained pursuant to
the provisions of HIPAA shall not be used or disclosed by the parties for any purpose other than the
above captioned action.
(2) All reports and records of all physicians and other health care providers relating to treatment
allegedly received by the Plaintiff(s) as a result of the negligence alleged in the Complaint and to the
injuries, diseases or defects to which reference is made in the answers to Interrogatories #7, #22, and
#24 (exclusive of any records relating to mental health injuries or conditions) or written authorization,
sufficient to comply with provisions of HIPAA, to inspect and make copies of said reports. Information
obtained pursuant to the provisions of HIPAA shall not be used or disclosed by the parties for any
purpose other than the above captioned action.
(3) If a claim of impaired earning capacity or lost wages is being alleged, copies of, or sufficient
written authorization to obtain copies of, that part of all income tax returns relating to lost income filed
by the Plaintiff(s) for a period of three (3) years prior to the date of the negligence alleged in the
Complaint and for all years subsequent to the date of the negligence alleged in the Complaint through
the time of trial.
(4) If a claim for lost wages or lost earning capacity is being made, copies of, or sufficient written
authorization to inspect and make copies of, the wage and employment records of all employers of
the Plaintiff(s) for three (3) years prior to the negligence alleged in the Complaint and for all years
subsequent to the date of the negligence alleged in the Complaint.
(5) A copy of any nonprivileged statement, as defined in Practice Book Section 13-1, of any party
to this lawsuit concerning this action or its subject matter.
(6) All medical bills that are claimed to have been incurred as a result of the negligence alleged in
the Complaint or written authorization, sufficient to comply with the provisions of HIPAA, to inspect
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and make copies of said medical bills. Information obtained pursuant to the provisions of HIPAA shall
not be used or disclosed by the parties for any purpose other than the above captioned action.
(7) All bills for each item of expense that are claimed to have been incurred in the answer to
Interrogatories #20 and #30, and not already provided in response to Production Request #6.
(8) Copies of all documents pertaining to claims of right to reimbursement provided to the Plaintiff
by third-party payers, and copies of, or written authorization, sufficient to comply with provisions of
HIPAA, to obtain any and all documentation of payments made by a third party for medical services
received or premiums paid to obtain such payment. Information obtained pursuant to the provisions
of HIPAA shall not be used or disclosed by the parties for any purpose other than the above-cap-
tioned action.
(9) All documents identified or referred to in the answers to Interrogatory #34 unless a claim of
confidentiality has been stated.
(10) Nonprivileged copies, whether in hard copies or electronic media, of any and all documentation
referenced in Interrogatory #40.
(11) A copy of each and every recording of surveillance material discoverable under Practice Book
Section 13-3 (c), by film, photograph, videotape, audiotape or any other digital or electronic means,
of any party to this lawsuit concerning this lawsuit or the subject matter thereof, including any transcript
of such recording.
(12) Copies of any and all documents and communications concerning any and all of your disability
claim(s) with the issuing governmental office as set forth in Interrogatory #43, excluding any material
which is claimed to be protected by attorney-client privilege or other applicable privilege. In addition,
written authorization, in the form attached, permitting the undersigned to obtain a full and complete
copy of Plaintiff’s social security disability file.
(13) Any and all photographs or recordings identified in response to Interrogatory #41.
Requests for Production #14 through #19 apply in wrongful death cases:
(14) A copy of the probate appointment, identifying the Plaintiff as Administrator of the subject estate.
(15) A copy of the death certificate.
(16) A copy of any autopsy report and/or postmortem toxicology testing report.
(17) Copies of declarations of the Plaintiff that your attorney intends to use at time of trial pursuant
to General Statutes § 52-172.
(18) Any documents, written or digital recordings, entries, memoranda, and/or transcripts of digital
recordings offered pursuant to General Statutes § 52-174.
(19) Copies of or an authorization to obtain the records referenced in Interrogatory #45.
Request for Production #20 applies to cases involving a minor Plaintiff:
(20) Copies of all education records, attendance records, nurses’ records, and materials from each
day care, preschool, school, or other educational institution the minor Plaintiff has attended (exclusive
of any records relating to mental health injuries or conditions) for the last five years to the present or
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written authorization in the form attached permitting the undersigned to inspect and to make copies
of said educational records.
DEFENDANT,
BY
CERTIFICATION
I certify that a copy of this document was or will immediately be mailed or delivered electronically
or non-electronically on (date) to all attorneys and self-represented parties of record and that
written consent for electronic delivery was received from all attorneys and self-represented parties of
record who received or will immediately be receiving electronic delivery.
Name and address of each party and attorney that copy was or will immediately be mailed or
delivered to*
*If necessary, attach additional sheet or sheets with the name and address which the copy was or
will immediately be mailed or delivered to.
Signed (Signature of filer) Print or type name of person signing Date Signed
Mailing address (Number, street, town, state and zip code) or E-mail address, if applicable Telephone number
(Adopted June 11, 2021, to take effect Jan. 1, 2022.)
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Form 219 APPENDIX OF FORMS
EDUCATION / SCHOOL RECORDS AUTHORIZATION
TO:
(Any educational institution, including any school, special education program, remedial education
program, developmental program, including special treatment, teacher aides and assistance that has
provided educational services to):
(insert name above)
I hereby authorize you to release copies of the records of ,
including educational records to (**defense firm name**), or its authorized representative. ‘‘Educational
records’’ for purposes of this authorization shall include, but not be limited to, attendance records,
medical records, occupational therapy records, nurses’ notes, progress reports, teacher notes, report
cards, achievement scores, evaluations, teacher progress notes, transcripts, social worker’s records,
and correspondence.
This authorization does not expire until expressly withdrawn by the undersigned.
A copy of this authorization is deemed as valid as the original.
Signature of patient or patient’s representative Date
If a patient’s representative signs this authorization, please complete the following:
Printed name of patient’s representative: Relationship to patient
(Adopted June 11, 2021, to take effect Jan. 1, 2022.)
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DAY CARE / CHILD CARE / HOME CARE RECORDS AUTHORIZATION
TO:
(Any day care, child care, home care provider that has provided services to)
(insert name above)
I hereby authorize you to release copies of the records of ,
including educational records to (**defense firm name**), or its authorized representative. ‘‘Records’’
for purposes of this authorization shall include, but not be limited to, attendance records, medical
records, occupational therapy records, nurses’ notes, progress reports, teacher notes, report cards,
achievement scores, evaluations, teacher progress notes, transcripts, social worker’s records, and
correspondence.
This authorization does not expire until expressly withdrawn by the undersigned.
A copy of this authorization is deemed as valid as the original.
Signature of patient or patient’s representative Date
If a patient’s representative signs this authorization, please complete the following:
Printed name of patient’s representative: Relationship to patient
(Adopted June 11, 2021, to take effect Jan. 1, 2022.)
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Form 220
Plaintiff’s Interrogatories
Medical Negligence—Health Care Provider
No. CV- : SUPERIOR COURT
(Plaintiff) : JUDICIAL DISTRICT OF
VS. : AT
(Defendant) : (Date)
The undersigned, on behalf of the Plaintiff(s), hereby propounds the following Interrogatories to be
answered by the Defendant, (Defendant Health Care Provider’s
Name), under oath, within sixty (60) days of the filing hereof in compliance with Practice Book Section
13-2.
Definition: ‘‘You’’ or ‘‘your’’ shall mean the Defendant to whom these interrogatories are directed,
except that if that Defendant has been sued as the representative of the estate of a decedent, ward,
or incapable person, ‘‘you’’ or ‘‘your’’ shall also refer to the Defendant’s decedent, ward or incapable
person unless the context of an interrogatory clearly indicates otherwise.
In answering these interrogatories, the Defendant(s) is (are) required to provide all information within
their knowledge, possession or power. If an interrogatory has subparts, answer each subpart separately
and in full and do not limit the answer to the interrogatory as a whole. If any interrogatories cannot be
answered in full, answer to the extent possible.
(1) State the following:
(a) Your full name and any other name(s) by which you have been known;
(b) Your date of birth; and
(c) Your business address.
(2) If the Defendant is deceased, state the date and place of death, whether an estate has been
created, and the name and address of the Administrator or Executor thereof.
Unless the information requested is provided in your curriculum vitae, respond to Interrogatories #3
through #11:
(3) State the name of each college and graduate school you attended, the date of graduation, and
each degree obtained, or provide your curriculum vitae including such information.
(4) State the name and address of each medical institution where you underwent post-graduate
training (e.g., internship, residency, fellowship, or similar training), and the dates of attendance, or
provide your curriculum vitae including such information.
(5) If you have been trained in a medical or surgical specialty, identify the specialty, the dates you
practiced the specialty, and the name and address of each institution where you were trained, or
provide your curriculum vitae including such information.
(6) If you have ever specialized in or limited your practice to a particular field or branch of medicine
or surgery, for each specialized or limited practice, state the field or branch of medicine or surgery,
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the inclusive dates you so practiced, and each ___location where you so practiced in the past ten years,
or provide your curriculum vitae including such information.
(7) If you have held any teaching positions, for each institution, state:
(a) The name and address of the institution;
(b) The inclusive dates of your association; and
(c) The title held in each position.
(8) State the name and ___location of any hospital or medical facility at which you have or have had
appointments and/or clinical privileges in the past ten years, and the dates you had such appointments
or privileges.
(9) Identify each medical book, paper, article, or other document that you have published, written,
or contributed, and for each, state the title, whether you were an author, co-author, or contributor.
(10) State the name of every jurisdiction in which you are or have been licensed as a health
care provider.
(11) State whether you are, or have ever been, a member of any medical or other health care
provider association, society or organization, and if so, as to each such membership, state:
(a) The name and address of the medical or other health care provider association, society, or organi-
zation;
(b) The inclusive dates of your membership; and
(c) Whether you have ever held any office and, if so, the title of the office and the dates you held
such office.
(12) With respect to any medical specialty board or other specialty board, for each board state,
whether you were refused or granted certification, the reasons therefor, and, if granted certification,
your title or rank (e.g., diplomate, fellow, member), and whether you still hold such certification, title,
or rank.
(13) During the past ten years have you ever had your privileges or application for privileges denied,
revoked, restricted, suspended, or limited in any way at any hospital or medical facility?
(14) Unless agency or another vicarious liability relationship is admitted to such codefendant, state
whether at the time of the negligence alleged in the Complaint to the present you were an officer,
shareholder, employee, member, partner, or otherwise affiliated with any entity or person involved in
the care and treatment of the Plaintiff. If the answer is yes, describe the nature and time period of
the affiliation.
(15) During the ten years prior to the negligence alleged in the Complaint, have you ever had your
application for a license denied, revoked, restricted, suspended, or limited in any way in any jurisdiction?
(16) State the time period(s) of the physician-patient relationship, if any, you had with the Plaintiff.
(17) With respect to the negligence alleged in the Complaint, did you ever consult with any physician
or other health care provider regarding your diagnosis, care, or treatment of the Plaintiff that is not
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documented in the medical record? If so, identify the person consulted, his or her specialty, and the
reason for the consultation.
(18) Are you aware of any nonprivileged documents concerning consultations, care or treatment of
the Plaintiff regarding the negligence alleged in the Complaint that are not contained in the medical
records or hospital chart? If so, identify each document.
(19) If you are covered by an insurance policy under which an insurer may be liable to satisfy part
or all of a judgment or reimburse you for payments to satisfy part or all of a judgment relating to the
negligence alleged in the Complaint, state the following:
(a) The name(s) and address(es) of the insured(s);
(b) The amount of coverage under each insurance policy; and
(c) The name(s) and address(es) of said insurer(s).
(20) If you are covered by an excess or umbrella insurance policy, or any other insurance policy
relating to the negligence alleged in the Complaint, state:
(a) The name(s) and address(es) of the named insured;
(b) The amount of effective coverage; and
(c) The name(s) and address(es) of the insurer(s).
(21) As to each insurance policy identified in response to the preceding two interrogatories, state
whether:
(a) Any disclaimer or reservation of rights letter has been issued; and
(b) It is an eroding policy.
(22) Pursuant to General Statutes § 19a-17b, were your staff privileges terminated or restricted by
a medical review committee conducting a peer review with respect to the negligence alleged in the
Complaint? If so, please disclose the specific restriction imposed, if any.
(23) Have you or any entity or person been sued for medical negligence arising out of your conduct
as a health care provider? If so, state the caption, venue and docket number of the lawsuit(s).
(24) Have you made any statements, as defined in Practice Book Section 13-1, to any person
regarding any of the allegations in the Complaint?
COMMENT:
Interrogatory #24 is intended to include party statements made to a representative of an insurance company prior to involvement
of defense counsel.
(25) If the answer to the previous interrogatory is affirmative, state:
(a) The name and address of the person or persons to whom such statements were made;
(b) The date on which such statements were made;
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(c) The form of the statement (i.e., whether written, made by recording device or recorded by a
stenographer, etc.); and
(d) The name and address of each person having custody or a copy of each statement.
(26) Other than those individuals referenced in the medical record, state the names and addresses
of all persons known to you who were present at the time of the negligence alleged in the Complaint
or who observed or witnessed all or part of the negligence alleged in the Complaint.
(27) As to each individual named in response to the previous interrogatory, state whether, to your
knowledge or the knowledge of your attorney, the individual(s) has given any statement or statements,
as defined in Practice Book Section 13-1, concerning the subject matter of the Complaint. If your
answer to this interrogatory is affirmative, state:
(a) The date on which the statement(s) were taken;
(b) The names and addresses of the person(s) who took the statement(s);
(c) The names and addresses of any person(s) present when the statement(s) were taken;
(d) Whether the statement(s) were written, made by recording device or taken by court reporter
or stenographer;
(e) The names and addresses of any person(s) that have custody or copies of the statement(s).
(28) State whether the Plaintiff was referred to you, and if so, identify the person or entity that made
the referral and the date thereof.
(29) Did you create, use, or maintain any ‘‘electronic protected health information’’ (hereinafter ‘‘health
information’’), as defined in 45 C.F.R. § 160.103, during your treatment of Plaintiff?
(30) If the answer to the previous interrogatory is in the affirmative, list the names of any and all
electronic ‘‘information system(s)’’ (hereinafter ‘‘EMR system[s]’’), as defined in 45 C.F.R. § 164.304,
that contain or previously contained the health information of the Plaintiff.
(31) Identify surveillance material discoverable under Practice Book Section 13-3 (c), by stating the
name and address of any person who obtained or prepared any and all recordings, by film, photograph,
videotape, audiotape or any other digital or electronic means, of any party concerning this lawsuit or
its subject matter, including any transcripts which are in your possession or control or in the possession
or control of your attorney, and state the date on which each recording(s) was obtained and the person
or persons of whom each such recording was made.
PLAINTIFF,
BY
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I, , hereby certify that I have reviewed the above interrogatories and responses thereto and
that they are true and accurate to the best of my knowledge and belief.
(Defendant)
Subscribed and sworn to before me this day of , 20 .
Notary Public/
Commissioner of the Superior Court
CERTIFICATION
I certify that a copy of this document was or will immediately be mailed or delivered electronically
or non-electronically on (date) to all attorneys and self-represented parties of record and that
written consent for electronic delivery was received from all attorneys and self-represented parties of
record who received or will immediately be receiving electronic delivery.
Name and address of each party and attorney that copy was or will immediately be mailed or
delivered to*
*If necessary, attach additional sheet or sheets with the name and address which the copy was or
will immediately be mailed or delivered to.
Signed (Signature of filer) Print or type name of person signing Date Signed
Mailing address (Number, street, town, state and zip code) or E-mail address, if applicable Telephone number
(Adopted June 11, 2021, to take effect Jan. 1, 2022.)
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Form 221
Plaintiff’s Interrogatories
Medical Negligence—Hospital and/or Medical Group
No. CV- : SUPERIOR COURT
(Plaintiff) : JUDICIAL DISTRICT OF
VS. : AT
(Defendant) : (Date)
The undersigned, on behalf of the Plaintiff(s), hereby propounds the following Interrogatories to be
answered by the Defendant, (Defendant Hospital’s Name), under oath, within sixty
(60) days of the filing hereof in compliance with Practice Book Section 13-2.
Definition: ‘‘You’’ or ‘‘your’’ shall mean the Defendant, and its agents, servants, or employees to
whom these interrogatories are directed.
In answering these interrogatories, the Defendant(s) is (are) required to provide all information within
their knowledge, possession or power. If an interrogatory has subparts, answer each subpart separately
and in full and do not limit the answer to the interrogatory as a whole. If any interrogatories cannot be
answered in full, answer to the extent possible.
(1) State the following:
(a) Your full name and any other name(s) by which you have been known; and
(b) Your business address.
(2) If you are a business entity that has changed its name or status as a business entity (whether
by dissolution, merger, acquisition, name change, or in any other manner) since the negligence alleged
in the Complaint, state the date of the change, and describe the change.
(3) Unless agency or another vicarious liability relationship is admitted as to such codefendant, state
whether from the time of the negligence alleged in the Complaint to the present you were a shareholder,
partner, or otherwise affiliated with any codefendant. If the answer is yes, describe the nature and time
period of the affiliation.
(4) With respect to the negligence alleged in the Complaint, did you ever consult with any physician(s)
or health care provider(s) regarding your diagnosis, care, or treatment that is not documented in the
medical record? If so, identify the person(s) consulted and their specialty as well as the reason for
the consult.
(5) Are you aware of any nonprivileged documents concerning consultations, care or treatment
regarding the negligence alleged in the Complaint that are not contained in the medical record or
hospital chart? If so, identify each document.
(6) If you are covered by an insurance policy under which an insurer may be liable to satisfy part
or all of a judgment or reimburse you for payments to satisfy part or all of a judgment relating to the
negligence alleged in the Complaint, state the following:
(a) The name(s) and address(es) of the insured(s);
(b) The amount of coverage under each insurance policy; and
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Form 221 APPENDIX OF FORMS
(c) The name(s) and address(es) of said insurer(s).
(7) If you are covered by excess or umbrella insurance or any other insurance relating to the
negligence alleged in the Complaint, state:
(a) The name(s) and address(es) of the named insured(s);
(b) The amount of coverage effective at this time; and
(c) The name(s) and address(es) of said insurer(s).
(8) As to each insurance policy identified in response to the preceding two interrogatories, state
whether:
(a) Any disclaimer or reservation of rights letter has been issued; and
(b) It is an eroding policy.
(9) Have you made any statements, as defined in Practice Book Section 13-1, to any person regarding
any of the allegations in the Complaint?
COMMENT:
Interrogatory #9 is intended to include party statements made to a representative of an insurance company prior to involvement
of defense counsel. This interrogatory is not intended to include attorney–client communications.
(10) If the answer to the previous interrogatory is affirmative, state:
(a) The name and address of the person(s) to whom the statement(s) were made;
(b) The date the statement(s) were made;
(c) The form of the statement(s) (i.e., whether written, made by recording device or recorded by a
stenographer, etc.); and
(d) The name and address of the person(s) having custody or copies of the statement(s).
(11) Other than those individuals referenced in the medical record, state the names and addresses
of all persons known to you who were present at the time of the negligence alleged in the Complaint
or who observed or witnessed all or part of the negligence alleged in the Complaint.
(12) As to each individual named in response to the previous interrogatory, state whether to your
knowledge, or the knowledge of your attorney, the individual(s) has given any statement(s) as defined
in Practice Book Section 13-1, concerning the subject matter of the Complaint in this lawsuit. If your
answer to this interrogatory is affirmative, state also:
(a) The date on which the statement(s) were taken;
(b) The names and addresses of the person(s) who took the statement(s);
(c) The names and addresses of any person(s) present when the statement(s) were taken;
(d) Whether the statement(s) were written, made by recording device or taken by court reporter or
stenographer; and
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APPENDIX OF FORMS Form 221
(e) The names and addresses of any person(s) having custody or copies of the statement(s).
(13) Did you create, use, or maintain any ‘‘electronic protected health information’’ (hereinafter ‘‘health
information’’), as defined in 45 C.F.R. § 160.103, during the treatment of the Plaintiff?
(14) If the answer to the previous interrogatory is in the affirmative, list the names and versions of
any and all electronic ‘‘information system(s)’’ (hereinafter ‘‘EMR system(s)’’), as defined in 45 C.F.R.
§ 164.304, that contain or previously contained the health information of the Plaintiff.
(15) Indicate whether you were accredited by the Joint Commission (formerly Joint Commission on
Accreditation of Healthcare Organizations [JCAHO]) during the time of the negligence alleged in
the Complaint.
(16) With respect to the negligence alleged in the Complaint, state whether you had any manuals,
directives, instructions, guidelines, and/or written or unwritten protocols related to specific allegations
of negligence in the Complaint that were in effect at the office, hospital, or other medical facility where
the defendant physician or health care provider practiced at the time of the negligence alleged in the
Complaint concerning:
(a) Care, treatment, monitoring, evaluation, diagnosis, consultation or referral to others, at the time
of the event(s) that is(are) the subject of this litigation;
(b) Training requirements and/or protocols for any physician or health care provider, including but
not limited to medical staff, caring for, evaluating, diagnosing, consulting or referring patients either in
the facility, department, or unit where the care, treatment, evaluation, diagnosis, consultation or referral
to others at issue took place; and
(c) Reporting and/or investigation of adverse events at the facility, department, or unit where the
care, treatment, evaluation, diagnosis, consultation or referral to others at issue took place.
COMMENT:
There is no corresponding request for production to Interrogatory #16, but documents may be pursued by way of supplemen-
tal discovery.
(17) Identify surveillance material discoverable under Practice Book Section 13-3 (c), by stating the
name and address of any person who obtained or prepared any and all recordings, by film, photograph,
videotape, audiotape or any other digital or electronic means, of any party concerning this lawsuit or
its subject matter, including any transcript thereof which are in your possession or control or in the
possession or control of your attorney, and state the date on which each such recordings were obtained
and the person or persons of whom each such recording was made.
PLAINTIFF,
BY
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Form 221 APPENDIX OF FORMS
I, , hereby certify that I have reviewed the above interrogatories and
responses thereto and that they are true and accurate to the best of my knowledge and belief.
(Defendant)
Subscribed and sworn to before me this day of , 20 .
Notary Public/
Commissioner of the Superior Court
CERTIFICATION
I certify that a copy of this document was or will immediately be mailed or delivered electronically
or non-electronically on (date) to all attorneys and self-represented parties of record and that
written consent for electronic delivery was received from all attorneys and self-represented parties of
record who received or will be immediately be receiving electronic delivery.
Name and address of each party and attorney that copy was or will immediately be mailed or
delivered to*
*If necessary, attach additional sheet or sheets with the name and address which the copy was or
will immediately be mailed or delivered to.
Signed (Signature of filer) Print or type name of person signing Date Signed
Mailing address (Number, street, town, state and zip code) or E-mail address, if applicable Telephone number
(Adopted June 11, 2021, to take effect Jan. 1, 2022.)
678
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APPENDIX OF FORMS Form 222
Form 222
Plaintiff’s Requests for Production
Medical Negligence—Health Care Provider
No. CV- : SUPERIOR COURT
(Plaintiff) : JUDICIAL DISTRICT OF
VS. : AT
(Defendant) : (Date)
The Plaintiff(s) hereby request(s) that the Defendant (Defendant Health Care
Provider’s Name) provide counsel for the Plaintiff(s) with copies of the documents described in the
following requests for production, or afford counsel for said Plaintiff(s) the opportunity or, if necessary,
sufficient written authorization, to inspect, copy, photograph or otherwise reproduce said documents.
The production of such documents, copies or written authorizations shall take place at the offices
of on (day), (date) at (time).
In answering these production requests, the Defendant(s) are required to provide all information
within their possession, custody or control. If any production request cannot be answered in full, answer
to the extent possible.
Definition: ‘‘You’’ or ‘‘your’’ shall mean the Defendant to whom these interrogatories are directed,
except that if the Defendant has been sued as the representative of the estate of a decedent, ward,
or incapable person, ‘‘you’’ or ‘‘your’’ shall also refer to the Defendant’s decedent, ward or incapable
person unless the context of an interrogatory clearly indicates otherwise.
(1) All documents (excluding privileged documents, such as attorney-client, work product, and peer
review documents) that you know of, possess, or have power to obtain, concerning the Plaintiff’s care,
scheduling, appointments, treatment, evaluation, diagnosis, consultation or referral to others including
but not limited to:
(a) All documents normally maintained as part of a patient’s designated health record;
(b) Office management records including jackets, file covers, face sheets, transmittal documents for
any requests for studies or consultations, and/or transportation records;
(c) Nursing notes;
(d) Hospital records;
(e) Laboratory records;
(f) Testing records;
(g) Radiology requisitions, reports, images/studies (lossless images), and audio recordings of radiol-
ogy reviews;
(h) Notes, sticky notes or written markings;
(i) Pharmacy medication records;
(j) Automated medication dispensing system records;
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(k) Any images/photographs taken during treatment or pathological examination;
(l) Pathology reports;
(m) Drafts and/or audio recordings of pathology reports;
(n) Quality improvement documents related to root cause analysis;
(o) Documents provided in connection with a peer review;
(p) Intradepartment transportation records;
(q) Laboratory test results;
(r) Documents and communications concerning the Plaintiff and the allegations in the Complaint; and
(s) Investigations or reports concerning the incident that is the subject of this lawsuit.
COMMENT:
Where privilege is claimed, counsel shall follow the relevant Practice Book rule(s). This request contemplates production of
all medical records and documents, not limited to the treatment related to the allegations in the complaint, subject to plaintiff
providing a HIPAA compliant authorization if necessary.
(2) Your current curriculum vitae.
(3) Each document identified in response to Interrogatory #18.
(4) A copy of the declaration page(s) of each insurance policy identified in response to Interrogatories
#19 and #20.
(5) If the answer to Interrogatory #21 is in the affirmative, a copy of the complete policy contents of
each insurance policy identified in response to Interrogatories #19 and #20.
(6) Each nonprivileged statement identified in response to Interrogatories #25 and #27.
(7) A copy of each and every recording of surveillance material discoverable under Practice Book
Section 13-3 (c), by film, photograph, videotape, audiotape or any other digital or electronic means,
of any party to this lawsuit concerning this lawsuit or the subject matter thereof, including any transcript
of such recording.
PLAINTIFF,
BY
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APPENDIX OF FORMS Form 222
CERTIFICATION
I certify that a copy of this document was or will immediately be mailed or delivered electronically
or non-electronically on (date) to all attorneys and self-represented parties of record and that
written consent for electronic delivery was received from all attorneys and self-represented parties of
record who received or will immediately be receiving electronic delivery.
Name and address of each party and attorney that copy was or will immediately be mailed or
delivered to*
*If necessary attach additional sheet or sheets with the name and address which the copy was or
will immediately be mailed or delivered to.
Signed (Signature of filer) Print or type name of person signing Date Signed
Mailing address (Number, street, town, state and zip code) or E-mail address, if applicable Telephone number
(Adopted June 11, 2021, to take effect Jan. 1, 2022.)
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Form 223 APPENDIX OF FORMS
Form 223
Plaintiff’s Requests for Production
Medical Negligence—Hospital/Medical Group
No. CV- : SUPERIOR COURT
(Plaintiff) : JUDICIAL DISTRICT OF
VS. : AT
(Defendant) : (Date)
The Plaintiff(s) hereby request(s) that the Defendant (Defendant Hospital’s Name)
provide counsel for the Plaintiff(s) with copies of the documents described in the following requests
for production, or afford counsel for said Plaintiff(s) the opportunity or, if necessary, sufficient written
authorization, to inspect, copy, photograph or otherwise reproduce said documents. The production
of such documents, copies or written authorizations shall take place at the offices of
on (day), (date) at (time).
In answering these production requests, the Defendant(s) are required to provide all information
within their possession, custody or control. If any production request cannot be answered in full, answer
to the extent possible.
Definition: ‘‘You’’ or ‘‘your’’ shall mean the Defendant, and its agents, servants, or employees to
whom these requests for production are directed.
(1) All documents (excluding privileged documents such as attorney-client, work product, and peer
review documents) that you know of, possess, or have power to obtain concerning the Plaintiff’s care,
scheduling, appointments, treatment, evaluation, diagnosis, consultation or referral to others, including
but not limited to:
(a) All documents typically maintained as part of a patient’s designated health record;
(b) Office management records including jackets, file covers, face sheets, transmittal documents for
any requests for studies or consultations, and/or transportation records;
(c) Nursing notes;
(d) Hospital records;
(e) Laboratory records;
(f) Testing records;
(g) Radiology requisitions, reports, images/studies (lossless images), and audio recordings of radiol-
ogy reviews;
(h) Notes, sticky notes or written markings;
(i) Pharmacy medication records;
(j) Automated medication dispensing system records;
(k) Any images/photographs taken during treatment or pathological examination;
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APPENDIX OF FORMS Form 223
(l) Pathology reports;
(m) Drafts and/or audio recordings of pathology reports;
(n) Quality improvement documents related to root cause analysis;
(o) Documents provided in connection with a peer review;
(p) Intradepartment transportation records;
(q) Laboratory test results;
(r) Documents and communications concerning the subject matter of the Complaint; and
(s) Investigations or reports concerning the Plaintiff and the allegations in the Complaint.
COMMENT:
Where privilege is claimed, counsel shall follow the relevant Practice Book rule(s). This request contemplates production of
all medical records and documents, not limited to the treatment related to the allegations in the complaint, subject to plaintiff
providing a HIPAA compliant authorization if necessary.
(2) Each document identified in response to Interrogatory #5.
(3) A copy of the declaration page(s) of each insurance policy identified in response to Interrogatories
#6 and #7.
(4) If the answer to Interrogatory #8 is in the affirmative, a copy of the complete policy contents of
each insurance policy identified in response to Interrogatories #6 and #7.
(5) Each non-privileged statement identified in response to Interrogatories #10 and #12.
(6) A copy of each and every recording of surveillance material discoverable under Practice Book
Section 13-3 (c), by film, photograph, videotape, audiotape or any other digital or electronic means,
of any party to this lawsuit concerning this lawsuit or the subject matter thereof, including any transcript
of such recording.
PLAINTIFF,
BY
CERTIFICATION
I certify that a copy of this document was or will immediately be mailed or delivered electronically
or non-electronically on (date) to all attorneys and self-represented parties of record and that
written consent for electronic delivery was received from all attorneys and self-represented parties of
record who received or will immediately be receiving electronic delivery.
683
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Form 223 APPENDIX OF FORMS
Name and address of each party and attorney that copy was or will immediately be mailed or
delivered to*
*If necessary attach additional sheet or sheets with the name and address which the copy was or
will immediately be mailed or delivered to.
Signed (Signature of filer) Print or type name of person signing Date Signed
Mailing address (Number, street, town, state and zip code) or E-mail address, if applicable Telephone number
(Adopted June 11, 2021, to take effect Jan. 1, 2022.)
684
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OFFICIAL JUDICIAL BRANCH FORMS
OFFICIAL JUDICIAL BRANCH FORMS
Public forms are available in hard copy from any Clerk’s Office or Court Service Center,
and may also be accessed electronically on the Judicial Branch Forms website at
www.jud.ct.gov/webforms. The Forms website has forms organized by category, forms
grouped by subject and by case type, and also allows the option to search for specific forms
by form name, form number, or keyword. Select State agency forms are also included on the
Forms website.
Please note: The Judicial Branch periodically updates official forms. Therefore, users
should not save electronic forms to local computers. The saved file will not reflect any updates
made to the official form, and outdated versions of forms may not satisfy current statutory
or Practice Book requirements. Instead, users should access electronic forms through the
appropriate website each time the form is used.
685
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SUPERIOR COURT STANDING ORDERS
SUPERIOR COURT STANDING ORDERS
Standing Orders that have been issued for civil, family, juvenile and criminal matters in the
Superior Court may be accessed on the Judicial Branch website at www.jud.ct.gov. From the
link to Courts on the main page of the website, click on Superior Court and then click on
Standing Orders.
Standing Orders are provided on the Judicial Branch website for the convenience of the
bench and bar. They are not adopted by the Superior Court judges and are not Practice
Book rules.
686
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APPENDIX OF SECTION 1-9B CHANGES
APPENDIX OF SECTION 1-9B CHANGES
Practice Book Rules Adopted, Amended or Suspended on an
Interim Basis Under Section 1-9B in Light of the Declared Public
Health Emergency
On March 10, 2020, Governor Lamont declared a public health emergency and a civil prepared-
ness emergency. Those states of emergency were renewed by Governor Lamont on September
1, 2020, and January 26, 2021. Subsequently, the General Assembly adopted, inter alia, Special
Acts Nos. 21-2 and 21-5, which ratified and renewed the states of emergency and provided
procedures for further renewals. Various renewals of the states of emergency followed.
On June 28, 2022, Governor Lamont declared that after June 30, 2022, a public health
emergency continues to exist and to remain in effect through December 28, 2022, or until the
federal public health emergency ends, whichever ends earlier. The civil preparedness emer-
gency is no longer in effect. As of the date of publication, it is anticipated that this appendix
will no longer be in effect; however, it is included in this volume due to the fluid nature of the
public health emergency. The reader is cautioned to refer to www.jud.ct.gov, www.jud.ct.gov/
COVID19.htm and www.jud.ct.gov/pb.htm for the current status of the provisions contained in
this appendix.
On March 24, 2020, May 11, 2020, and May 10, 2021, the Rules Committee of the Superior
Court met pursuant to its emergency authority in Section 1-9B and adopted, amended, or
suspended various rules that the committee deemed necessary in light of the declared emergen-
cies. On June 26, 2020, the judges of the Superior Court considered the actions taken by the
Rules Committee and adopted those changes. On June 11, 2021, the judges of the Superior
Court considered the rules contained in this appendix, which were the subject of a public
hearing on May 10, 2021, and thereafter recommended that those rules remain in effect no later
than the expiration of the declared emergencies. The judges also adopted certain exceptions
as to the effective dates, which are noted in the parentheticals. The changes under Section
1-9B were first promulgated in the Connecticut Law Journal on July 14, 2020, and published
in this appendix in the 2021 Practice Book. The changes contained in this edition of the
appendix were promulgated in the Connecticut Law Journal of July 13, 2021.
The provisions in this appendix describe the manner in which the corresponding rule of
practice was suspended or otherwise altered, with the exception of Sections E1-9C and E3-
22. The full text of those rules is contained in this appendix. The prefix ‘‘E’’ has been added
to existing section numbers in order to facilitate independent citations to the material contained
within this appendix. Sections E23-68 and E44-10A, have been incorporated into their corres-
ponding rules of practice, and no longer appear in this appendix.
NOTE CONCERNING STATUS OF APPENDIX: This appendix reflects the status of rules that
were adopted, amended, or suspended as of July 13, 2021, the date of publication in the Connecti-
cut Law Journal. Subsequent to that publication, some of these provisions have changed due to
the fluid nature of the public health emergency. The reader is cautioned to refer to www.jud.ct.gov,
www.jud.ct.gov/COVID19.htm and www.jud.ct.gov/pb.htm for the current status of the provisions
contained in this appendix.
CHAPTER 1 CHAPTER 2
SCOPE OF RULES ATTORNEYS
Sec.
Sec. E2-11A. Appeal from Decision of Bar Examining Com-
E1-9C. —Adjustment or Suspension of Time or Loca- mittee concerning Conditions of Admission
tion Requirement E2-27A. Minimum Continuing Legal Education
E1-24. Record of Off-Site Judicial Proceedings E2-28B (c), (e). —Advisory Opinions
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APPENDIX OF SECTION 1-9B CHANGES
E2-32. Filing Complaints against Attorneys; Action; CHAPTER 30
Time Limitation
E2-35. Action by Statewide Grievance Committee or DETENTION
Reviewing Committee
E2-36. Action by Statewide Grievance Committee Sec.
on Request for Review E30-7. Place of Detention Hearings
E2-38. Appeal from Decision of Statewide Griev-
ance Committee or Reviewing Committee CHAPTER 37
Imposing Sanctions or Conditions
E2-39 (b). Reciprocal Discipline ARRAIGNMENT
E2-40 (f). Discipline of Attorneys Found Guilty of Seri-
ous Crimes in Connecticut Sec.
E37-1. Arraignment; Timing
E2-41 (f). Discipline of Attorneys Found Guilty of Seri-
E37-12. Defendant in Custody; Determination of Prob-
ous Crimes in Another Jurisdiction
able Cause
E2-47 (a). Presentments and Unauthorized Practice of
Law Petitions
E2-53 (h), (j). Reinstatement after Suspension, Disbarment CHAPTER 38
or Resignation
E2-70 (a). —Client Security Fund Fee PRETRIAL RELEASE
E2-71 (b) (3). —Eligible Claims Sec.
E2-75 (a). —Processing Claims E38-6. Appearance after Release
E2-79 (a). —Enforcement of Payment of Fee E38-18. —Review of Detention Prior to Arraignment,
Trial or Sentencing
CHAPTER 3 E38-21. —Forfeiture of Bail and Rearrest Warrant
APPEARANCES CHAPTER 40
Sec. DISCOVERY AND DEPOSITIONS
E3-22. Certified Law School Graduates
Sec.
E40-11. Disclosure by the Prosecuting Authority
CHAPTER 7
E40-13. Names of Witnesses; Prior Record of Wit-
CLERKS; FILES AND RECORDS nesses; Statements of Witnesses
E40-13A. Law Enforcement Reports, Affidavits and
Sec. Statements
E7-13. —Criminal/Motor Vehicle Files and Records E40-17. Defense of Mental Disease or Defect or
E7-17. Clerks’ Offices Extreme Emotional Disturbance; Notice
by Defendant
E40-18. —Notice by Defendant of Intention To Use
CHAPTER 25 Expert Testimony regarding Mental State;
Filing Reports of Exam
GENERAL PROVISIONS E40-21. Defense of Alibi; Notice by Defendant
Sec. E40-22. —Notice by Prosecuting Authority concern-
E25-3. Action for Custody of Minor Child ing Alibi Defense
E25-4. Action for Visitation of Minor Child E40-26. Disclosure by the Defendant; Information and
E25-17. —Date for Hearing Materials Discoverable by the Prosecuting
E25-59A. Sealing Files or Limiting Disclosure of Docu- Authority as of Right
ments in Family Matters
CHAPTER 41
CHAPTER 25a PRETRIAL MOTIONS
FAMILY SUPPORT MAGISTRATE MATTERS Sec.
E41-5. —Time for Making Pretrial Motions or Requests
Sec.
E25a-2. Prompt Filing of Appearance
E25a-3. Withdrawal of Appearance; Duration of Appear- CHAPTER 42
ance
E25a-14. —Continuances when Counsel’s Presence
TRIAL PROCEDURE
or Oral Argument Required Sec.
E25a-15. Statements To Be Filed E42-49A. Sealing or Limiting Disclosure of Documents
E25a-17. Motion To Open Judgment of Paternity by in Criminal Cases
Acknowledgment E42-52. —Time for Filing Motion for Judgment of
E25a-19. Standard Disclosure and Production Acquittal
E25a-23. Answers to Interrogatories E42-54. —Time for Filing Motion for New Trial
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APPENDIX OF SECTION 1-9B CHANGES Sec. E2-35
CHAPTER 43 CHAPTER 44
GENERAL PROVISIONS
SENTENCING, JUDGMENT AND APPEAL Sec.
E44-13. —Scheduling of Proceedings before Trial;
Sec. Continuances
E44-14. —Assignments for Plea in Judicial District
E43-24. —Time for Filing Application for Sentence
Court Location
Review E44-27. —Hearing of Infractions, Violations to Which
E43-33. Appointment of Initial Counsel for Appeal by Not Guilty Plea Filed
Indigent Defendant E44-30. —Hearing by Magistrates of Infractions and
E43-39. Speedy Trial; Time Limitations Certain Motor Vehicle Violations
Sec. E1-9C. —Adjustment or Suspension of Sec. E2-27A. Minimum Continuing Legal Edu-
Time or Location Requirement cation
The chief administrative judge of each division, in The requirements of this are suspended for cal-
consultation with the appropriate Presiding Judge of endar year 2020, and any credits earned by attor-
each Judicial District, if possible, and subject to the neys in 2020 shall be allowed to be carried over
approval of the chief court administrator, shall have completely to 2021, even if the amount exceeds
the authority to adjust or suspend any time or loca- the two hour cap provided for in the rule.
tion requirement in the Practice Book. Any such (Adopted June 26, 2020, to take effect July 14, 2020, on
adjustment or suspension, as approved by the chief an interim basis.)
court administrator, shall be effective immediately Sec. E2-28B (c), (e). —Advisory Opinions
upon the issuance of an order by said chief adminis-
Sec. 2-28B (c) prescribes timelines by which
trative judge; provided, however that (1) any such
the Statewide Grievance Committee must issue
adjustment or suspension shall be reported to the
advisory opinions. Sec. 2-28B (e) states that the
Rules Committee of the Superior Court and (2) the
failure of the Committee to issue a timely opinion
Rules Committee may, on a prospective basis only,
means that the Committee acquiesces that rele-
reject any such adjustment or suspension. Absent vant advertisement or communication is compli-
such rejection, any adjustment or suspension made ant with the Rules. Current staffing levels require
hereunder shall be effective until further notice. greater flexibility.
(Adopted June 26, 2020, to take effect retroactively March 24,
(Adopted June 26, 2020, to take effect retroactively March
2020, on an interim basis, but until no later than the duration of
24, 2020, on an interim basis, but until no later than the duration
the declared emergencies.)
of the declared emergencies.)
Sec. E1-24. Record of Off-Site Judicial Pro- Sec. E2-32. Filing Complaints against Attor-
ceedings neys; Action; Time Limitation
Sec. 1-24 requires an on-the-record summary of Sec. 2-32 contains various deadlines, including
off-site judicial proceedings ‘‘by the next court day.’’ deadlines that are akin to a statute of limitations.
Suspending this rule would allow flexibility for the Sec. 2-32 (a) requires the statewide bar counsel
court given limited resources. to review and process complaints within seven
(Adopted June 26, 2020, to take effect retroactively March 24, days of receipt. Current staffing levels require
2020, on an interim basis, but until no later than the duration of
the declared emergencies.) greater flexibility.
(Adopted June 26, 2020, to take effect retroactively March
Sec. E2-11A. Appeal from Decision of Bar 24, 2020, on an interim basis, but until no later than the duration
of the declared emergencies.)
Examining Committee concerning Conditions
of Admission Sec. E2-35. Action by Statewide Grievance
Sec. 2-11A provides that an appeal of a decision Committee or Reviewing Committee
of the Connecticut Bar Examining Committee be Sec. 2-35 contains various deadlines including
filed within thirty days of the decision. Given the a requirement that Disciplinary Counsel has four-
suspension of statutes of limitation, it is consistent teen days to respond to a request for review. Cur-
to suspend this requirement. rent staffing levels require greater flexibility.
(Adopted June 26, 2020, to take effect retroactively March 24, (Adopted June 26, 2020, to take effect retroactively March
2020, on an interim basis, but until no later than the duration of 24, 2020, on an interim basis, but until no later than the duration
the declared emergencies.) of the declared emergencies.)
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Sec. E2-36 APPENDIX OF SECTION 1-9B CHANGES
Sec. E2-36. Action by Statewide Grievance written notice of the finding of guilt to the disciplinary
Committee on Request for Review counsel and the Statewide Grievance Committee,
Sec. 2-36 requires that the Statewide Griev- by certified mail, return receipt requested, or with
ance Committee must issue its decision on a electronic delivery confirmation, within ten days of
request for review within sixty days. The current the date of the finding of guilt.’’
situation requires greater flexibility. (Adopted June 26, 2020, to take effect retroactively March
(Adopted June 26, 2020, to take effect retroactively March 24, 2020, on an interim basis, but until no later than the duration
24, 2020, on an interim basis, but until no later than the duration of the declared emergencies.)
of the declared emergencies.)
Sec. E2-47 (a). Presentments and Unautho-
Sec. E2-38. Appeal from Decision of State- rized Practice of Law Petitions
wide Grievance Committee or Reviewing Sec. 2-47 (a) requires that a hearing on the
Committee Imposing Sanctions or Con- merits of the complaint shall be held within sixty
ditions days of the date a complaint was filed with the
Sec. 2-38 provides that an appeal of a griev- court. The current situation requires greater flexi-
ance decision must be taken within thirty days. bility.
Given the suspension of statutes of limitation, it (Adopted June 26, 2020, to take effect retroactively March
is consistent to suspend this requirement. 24, 2020, on an interim basis, but until no later than the duration
of the declared emergencies.)
(Adopted June 26, 2020, to take effect retroactively March
24, 2020, on an interim basis, but until no later than the duration
of the declared emergencies.)
Sec. E2-53 (h), (j). Reinstatement after Sus-
pension, Disbarment or Resignation
Sec. E2-39 (b). Reciprocal Discipline Sec. 2-53 (h) requires that the Statewide Griev-
Sec. 2-39 (b) sets forth time limits with regard ance Committee and the Office of the Chief Disci-
to reciprocal discipline. The current situation plinary Counsel file a report with the standing
requires greater flexibility. committee within sixty days of referral from the
(Adopted June 26, 2020, to take effect retroactively March chief justice. Sec. 2-53 (j) requires that the stand-
24, 2020, on an interim basis, but until no later than the duration ing committee shall complete its work within 180
of the declared emergencies.) days of the referral. The current situation requires
greater flexibility.
Sec. E2-40 (f). Discipline of Attorneys Found (Adopted June 26, 2020, to take effect retroactively March
Guilty of Serious Crimes in Connecticut 24, 2020, on an interim basis, but until no later than the duration
Sec. 2-40 (f) requires that a hearing on a pre- of the declared emergencies.)
sentment complaint shall be held within sixty days
of the filing of the presentment. The current situa- Sec. E2-70 (a). —Client Security Fund Fee
tion requires greater flexibility. Note that it is not Sec. 2-70 (a) requires the collection of the Client
recommended that Sec. 2-40 (d) be suspended. Security Fund Fee. Suspension of the rule would
Sec. 2-40 (d) requires that ‘‘any attorney found allow for flexibility in assessing the fee.
guilty of any crime shall send written notice of the (Adopted June 26, 2020, to take effect retroactively March
24, 2020, on an interim basis, but until no later than the duration
finding of guilt to the disciplinary counsel and the of the declared emergencies.)
State-wide Grievance Committee, by certified
mail, return receipt requested, or with electronic Sec. E2-71 (b) (3). —Eligible Claims
delivery confirmation, within ten days of the date Sec. 2-71 (b) (3) requires that claims for reim-
of the finding of guilt.’’ bursement be filed within four years. Given the
(Adopted June 26, 2020, to take effect retroactively March
24, 2020, on an interim basis, but until no later than the duration
suspension of statutes of limitation, it is consistent
of the declared emergencies.) to suspend this requirement.
(Adopted June 26, 2020, to take effect retroactively March
Sec. E2-41 (f). Discipline of Attorneys Found 24, 2020, on an interim basis, but until no later than the duration
Guilty of Serious Crimes in Another Juris- of the declared emergencies.)
diction Sec. E2-75 (a). —Processing Claims
Sec. 2-41 (f) requires that a hearing on a pre- Sec. 2-75 (a) sets forth timelines by which the
sentment complaint shall be held within sixty days client security fund committee and attorney must
of the filing of the presentment. The current situa- take certain actions. The current situation requires
tion requires greater flexibility. Note that it is not greater flexibility.
recommended that Sec. 2-41 (d) be suspended. (Adopted June 26, 2020, to take effect retroactively March
Sec. 2-41 (d) requires that ‘‘[a]ny attorney found 24, 2020, on an interim basis, but until no later than the duration
guilty of any crime in another jurisdiction shall send of the declared emergencies.)
690
Copyrighted by the Secretary of the State of the State of Connecticut
APPENDIX OF SECTION 1-9B CHANGES Sec. E25-17
Sec. E2-79 (a). —Enforcement of Payment (h) In all other respects, Sections 3-14 through
of Fee 3-21 remain unchanged, and legal interns may con-
Sec. 2-79 (a) sets out the timeframe for adminis- tinue to appear and/or practice to the extent permit-
trative suspensions. The current situation requires ted under the existing rules.
greater flexibility. (Adopted June 26, 2020, to take effect retroactively May
(Adopted June 26, 2020, to take effect retroactively March 11, 2020, on an interim basis, but until no later than November
24, 2020, on an interim basis, but until no later than the duration 15, 2021.)
of the declared emergencies.)
Sec. E7-13. —Criminal/Motor Vehicle Files
Sec. E3-22. Certified Law School Graduates and Records
(a) On a temporary and emergency basis, Sec- Sec. 7-13 addresses the destruction of files and
tions 3-14 through 3-21 are expanded for 2019 mandates the destruction of certain criminal files.
and 2020 law school graduates who have not The timelines for such destruction may not be
previously taken an administration of any bar appropriate given the current situation.
examination before February, 2020 and who have (Adopted June 26, 2020, to take effect retroactively March
graduated from a law school approved by the 24, 2020, on an interim basis, but until no later than the duration
American Bar Association or by the Committee of the declared emergencies.)
(‘‘Certified Law School Graduates’’).
(b) The supervising attorney for a Certified Law Sec. E7-17. Clerks’ Offices
School Graduate must be in good standing and Sec. 7-17 provides that each clerk’s office shall
have no history of professional discipline, includ- be open at least five days per week, except during
ing administrative suspension. weeks with legal holiday. The current situation
(c) For civil cases, the supervising attorney is requires that the chief court administrator have
not required to be present in court with the Certi- greater flexibility to operate the clerks’ offices
fied Law School Graduate: (1) for short calendar and courthouses.
call and argument; (2) to report and seek ratifica- (Adopted June 26, 2020, to take effect retroactively March
tion by the Court of a written agreement; (3) to 24, 2020, on an interim basis, but until no later than the duration
conduct an unopposed foreclosure proceeding of the declared emergencies.)
seeking judgment; (4) to participate in a pre-trial
conference or status conference; (5) to participate Sec. E25-3. Action for Custody of Minor
in an uncontested dissolution of marriage pro- Child
ceeding; or (6) to participate in the housing court This rule requires hearings on new custody
mediation program; so long as the person or entity applications to be held no more than thirty days
on whose behalf the appearance is being made from filing. We are continuing, and should con-
consents to the absence of the supervising attor- tinue, to accept new filings and the clerks must
ney. However, the supervising attorney must be set dates for hearings and for service of the papers
present during trial. on the opposing party, but under current circum-
(d) For all criminal cases, the supervising attor- stances it is not feasible to set a hearing date
ney must be present in court with the Certified within the thirty-day time limit.
Law School Graduate. (Adopted June 26, 2020, to take effect retroactively March
(e) For oral argument before the Connecticut 24, 2020, on an interim basis, but until no later than the duration
Appellate or Supreme Court, the supervising of the declared emergencies.)
attorney must be present in court with the Certified
Law School Graduate. Sec. E25-4. Action for Visitation of Minor
(f) A Certified Law School Graduate may, under Child
the general supervision of the supervising attor- This rule requires hearings on new visitation appli-
ney but outside of his or her presence, give legal cations to be held no more than thirty days from
advice to a client, negotiate on behalf of a client, filing. We have the same concern as for custody
and prepare contracts and other documents for applications described above.
the client, provided that the graduate obtains the (Adopted June 26, 2020, to take effect retroactively March
supervising attorney’s approval of any legal 24, 2020, on an interim basis, but until no later than the duration
advice, negotiation plan, or final document. of the declared emergencies.)
(g) The certification for each Certified Law
School Graduate shall remain in effect until Sec. E25-17. —Date for Hearing
November 15, 2021, unless terminated at an ear- This rule requires that a motion to strike in a
lier date by the Dean or Superior Court in accord- family case be placed on a short calendar within
ance with Section 3-18. fifteen days. Such motions in family cases are
691
Copyrighted by the Secretary of the State of the State of Connecticut
Sec. E25-17 APPENDIX OF SECTION 1-9B CHANGES
very rare, but if one were to be filed, the court likely than thirty days from filing. Under current circum-
would be unable to meet the time requirement. stances, it is not feasible to set a hearing date within
(Adopted June 26, 2020, to take effect retroactively March the thirty-day time limit.
24, 2020, on an interim basis, but until no later than the duration (Adopted June 26, 2020, to take effect retroactively March
of the declared emergencies.) 24, 2020, on an interim basis, but until no later than the duration
of the declared emergencies.)
Sec. E25-59A. Sealing Files or Limiting Dis-
closure of Documents in Family Matters Sec. E25a-19. Standard Disclosure and Pro-
This rule, in subsection (f) (1), requires that a duction
motion to seal a file in a family case be placed This rule imposes on parties and counsel the
on a short calendar within fifteen days, which likely obligation to exchange certain documents by way
would not be possible. of discovery within thirty days of a request or
(Adopted June 26, 2020, to take effect retroactively March order. It involves time periods binding on the par-
24, 2020, on an interim basis, but until no later than the duration ties, not the court.
of the declared emergencies.) (Adopted June 26, 2020, to take effect retroactively March
Sec. E25a-2. Prompt Filing of Appearance 24, 2020, on an interim basis, but until no later than the duration
of the declared emergencies.)
This section requires appearances in Title IV-
D child support matters (which could include Sec. E25a-23. Answers to Interrogatories
appearances by Support Enforcement Services), This rule imposes on parties and counsel the
to be filed ‘‘promptly,’’ which may not be possible. obligation to respond to interrogatories within sixty
(Adopted June 26, 2020, to take effect retroactively March days. It also involves time periods binding on the
24, 2020, on an interim basis, but until no later than the duration
of the declared emergencies.)
parties, not the court, although a request for exten-
sion of time may be filed with the court.
Sec. E25a-3. Withdrawal of Appearance; (Adopted June 26, 2020, to take effect retroactively March
Duration of Appearance 24, 2020, on an interim basis, but until no later than the duration
of the declared emergencies.)
This section establishes automatic time periods
for the withdrawal of appearances which may not Sec. E30-7. Place of Detention Hearings
be feasible and may result in the premature elimi- Pursuant to the Branch’s consolidation of courts,
nation of attorney appearances. only two of the eleven juvenile courthouses remain
(Adopted June 26, 2020, to take effect retroactively March open. Priority 1 delinquency cases are being heard
24, 2020, on an interim basis, but until no later than the duration
of the declared emergencies.) only in the Hartford and Bridgeport juvenile court-
houses.
Sec. E25a-14. —Continuances when Coun- (Adopted June 26, 2020, to take effect retroactively March
sel’s Presence or Oral Argument Required 24, 2020, on an interim basis, but until no later than the duration
of the declared emergencies.)
This section only allows for continuances from
certain short calendar matters for good cause Sec. E37-1. Arraignment; Timing
shown, unless the parties agree or the court orders The request is being made to allow flexibility in
otherwise. the timing of the presentment of a defendant
(Adopted June 26, 2020, to take effect retroactively March
24, 2020, on an interim basis, but until no later than the duration
before a court. In the event that arraignment pro-
of the declared emergencies.) cedures needed to be modified to a more restricted
schedule, the suspension of the rule would permit
Sec. E25a-15. Statements To Be Filed the arraignments to be conducted in a manner
This rule imposes on parties and counsel the consistent with the court’s ability to operate.
obligation to file certain documents before a hear- (Adopted June 26, 2020, to take effect retroactively March
ing. It may not be necessary to address this as it 24, 2020, on an interim basis, but until no later than the duration
of the declared emergencies.)
involves time periods binding on the parties, not
the court, and would likely be deemed moot if the Sec. E37-12. Defendant in Custody; Deter-
hearing did not go forward due to limited court oper- mination of Probable Cause
ations. The courts have continued to maintain probable
(Adopted June 26, 2020, to take effect retroactively March
24, 2020, on an interim basis, but until no later than the duration cause findings, specifically as it relates to week-
of the declared emergencies.) end arrests. In the event that it is not possible
to have this finding within forty-eight hours, the
Sec. E25a-17. Motion To Open Judgment of suspension of the rule would permit the court to
Paternity by Acknowledgment make the probable cause determination at the
This rule requires hearings on motions to open soonest date available under the circumstances.
acknowledgments of paternity to be held no more The suspension would also address the sealing
692
Copyrighted by the Secretary of the State of the State of Connecticut
APPENDIX OF SECTION 1-9B CHANGES Sec. E40-18
requirement so as not to require a party to respond Sec. E40-11. Disclosure by the Prosecuting
within seven days for recommendations as to the Authority
court order and also allows the court to continue The rule requires the prosecution to disclose
its sealing order beyond fourteen days. This sus- certain materials within forty-five days from the
pension of the rule would allow for appropriate filing of a request to disclose. By suspending the
notice and a full hearing to take place on the merits rule, it would allow the court to permit an extension
of any sealing order. of this time period without requiring each case to
(Adopted June 26, 2020, to take effect retroactively March have a finding of good cause shown for the delay.
24, 2020, on an interim basis, but until no later than the duration (Adopted June 26, 2020, to take effect retroactively March
of the declared emergencies.) 24, 2020, on an interim basis, but until no later than the duration
of the declared emergencies.)
Sec. E38-6. Appearance after Release
The suspension of the rule only applies to a Sec. E40-13. Names of Witnesses; Prior
defendant who is not in custody. Currently, the Record of Witnesses; Statements of Wit-
courts are receiving all domestic arraignments on nesses
the next court date. All domestic arraignments The rule requires the prosecution to disclose
have protective orders issued by law enforcement the names of witnesses, the records of witnesses
which remain in effect until the defendant is seen and the statements of witnesses within forty-five
before the court. In the event that it is not possible days from the filing of a request to produce these
to conduct an arraignment on the next court date, materials. By suspending the rule, it would allow
the suspension of the rule would allow for the the court to permit an extension of this time period
court to schedule the first presentment on a differ- without requiring each case to have a finding of
ent, but still expedited date. In cases where the good cause shown for the delay.
defendant is not in custody and it is not a domestic (Adopted June 26, 2020, to take effect retroactively March
arraignment, the suspension of the rule requiring 24, 2020, on an interim basis, but until no later than the duration
an initial appearance of not more than fourteen of the declared emergencies.)
days allows the courts to maintain appropriately Sec. E40-13A. Law Enforcement Reports,
sized dockets and provides notice to all parties Affidavits and Statements
as to the scheduling of the cases.
(Adopted June 26, 2020, to take effect retroactively March The rule requires the prosecution to disclose
24, 2020, on an interim basis, but until no later than the duration certain materials within forty-five days from the
of the declared emergencies.) filing of a request to disclose. By suspending the
rule, it would allow the court to permit an extension
Sec. E38-18. —Review of Detention Prior to of this time period without requiring each case to
Arraignment, Trial or Sentencing have a finding of good cause shown for the delay.
The rule requires the review of any detained (Adopted June 26, 2020, to take effect retroactively March
person’s bail within forty-five days and within thirty 24, 2020, on an interim basis, but until no later than the duration
days if the person is held on a misdemeanor or of the declared emergencies.)
class D felony. The suspension of the rule would Sec. E40-17. Defense of Mental Disease or
remove mandatory bail reviews within these time Defect or Extreme Emotional Disturbance;
restraints. A court could still conduct bail reviews Notice by Defendant
by way of motion or through a videoconference
at an appropriately scheduled date. The rule requires the defendant, when relying on
(Adopted June 26, 2020, to take effect retroactively March one of the above-captioned affirmative defenses,
24, 2020, on an interim basis, but until no later than the duration to notice the prosecution within forty-five days of
of the declared emergencies.) the intention to use said defense. By suspending
the rule, it would allow the court to permit an exten-
Sec. E38-21. —Forfeiture of Bail and Rear- sion of this time period without requiring each
rest Warrant case to have a finding of good cause shown for
The rule requires any person whose bond has the delay.
been forfeited to be returned to custody within six (Adopted June 26, 2020, to take effect retroactively March
months in order to release a surety from their 24, 2020, on an interim basis, but until no later than the duration
bond obligation. The suspension of the rule would of the declared emergencies.)
allow the surety additional time to locate the per- Sec. E40-18. —Notice by Defendant of Inten-
son and is consistent with the court focusing on tion To Use Expert Testimony regarding
designated priority cases. Mental State; Filing Reports of Exam
(Adopted June 26, 2020, to take effect retroactively March
24, 2020, on an interim basis, but until no later than the duration The rule requires the defendant to notice the
of the declared emergencies.) prosecution within forty-five days of the intention
693
Copyrighted by the Secretary of the State of the State of Connecticut
Sec. E40-18 APPENDIX OF SECTION 1-9B CHANGES
to use an expert witness and to produce the report to grant permission for an extension of time due to
of the expert within five days of receipt. By sus- the current circumstances.
pending the rule, it would allow the court to permit (Adopted June 26, 2020, to take effect retroactively March 24,
an extension of this time period without requiring 2020, on an interim basis, but until no later than the duration of
the declared emergencies.)
each case to have a finding of good cause shown
for the delay. Sec. E42-49A. Sealing or Limiting Disclosure of
(Adopted June 26, 2020, to take effect retroactively March Documents in Criminal Cases
24, 2020, on an interim basis, but until no later than the duration
of the declared emergencies.) The rule pertains to any motion sealing or limiting
order on criminal documents which must be held not
Sec. E40-21. Defense of Alibi; Notice by less than fifteen days following the filing of the motion
Defendant and must notice the public as to the date, time and
The rule requires the defendant to notice the place of the hearing. By suspending the rule, it would
prosecution within twenty days after written allow the court to provide appropriate notice and to
demand of the intention to use said defense. By schedule a full hearing to take place on the merits of
suspending the rule, it would allow the court to any sealing order.
(Adopted June 26, 2020, to take effect retroactively March 24,
permit an extension of this time period without 2020, on an interim basis, but until no later than the duration of
requiring each case to have the court direct the the declared emergencies.)
time period in which the defense needs to comply
with the notice. Sec. E42-52. —Time for Filing Motion for Judg-
(Adopted June 26, 2020, to take effect retroactively March ment of Acquittal
24, 2020, on an interim basis, but until no later than the duration The rule pertains to requiring the motion to be filed
of the declared emergencies.) within five days after a mistrial or verdict. By sus-
Sec. E40-22. —Notice by Prosecuting Author- pending the rule for those cases affected by the cur-
rent situation, the court would be allowed to extend
ity concerning Alibi Defense
the timing as it deems appropriate.
The rule requires the prosecution to notice the (Adopted June 26, 2020, to take effect retroactively March 24,
defense within twenty days, but no less than ten 2020, on an interim basis, but until no later than the duration of
days before trial, the use of witnesses to rebut an the declared emergencies.)
alibi defense. By suspending the rule, it would
Sec. E42-54. —Time for Filing Motion for New
allow the court to permit an extension of this time
Trial
period without requiring each case to have the
court direct the time period in which the prosecu- The rule pertains to requiring the motion to be filed
tion needs to comply with the notice. within five days after a verdict. By suspending the rule
(Adopted June 26, 2020, to take effect retroactively March for those cases affected by the current situation, the
24, 2020, on an interim basis, but until no later than the duration court would be allowed to extend the timing as it
of the declared emergencies.) deems appropriate.
(Adopted June 26, 2020, to take effect retroactively March 24,
Sec. E40-26. Disclosure by the Defendant; 2020, on an interim basis, but until no later than the duration of
Information and Materials Discoverable by the declared emergencies.)
the Prosecuting Authority as of Right
Sec. E43-24. —Time for Filing Application for
The rule requires the prosecution to disclose Sentence Review
certain materials within forty-five days from the By suspending the rule, it would dispense with the
filing of a request to disclose. By suspending the thirty day time requirement for filing an application for
rule, it would allow the court to permit an extension sentence review. Because of the limited courthouse
of this time period without requiring each case to access, some filings may not be able to be processed
have a finding of good cause shown for the delay. within the time frame allowed.
(Adopted June 26, 2020, to take effect retroactively March (Adopted June 26, 2020, to take effect retroactively March 24,
24, 2020, on an interim basis, but until no later than the duration 2020, on an interim basis, but until no later than the duration of
of the declared emergencies.) the declared emergencies.)
Sec. E41-5. —Time for Making Pretrial Motions Sec. E43-33. Appointment of Initial Counsel for
or Requests Appeal by Indigent Defendant
The rule requires the filing of pretrial motions not The rule requires the application to be heard within
later than ten days after the first pretrial conference. twenty days. By suspending the rule, it will allow the
By suspending the rule, the court will not be required courts to maintain appropriately sized dockets and
694
Copyrighted by the Secretary of the State of the State of Connecticut
APPENDIX OF SECTION 1-9B CHANGES Sec. E44-30
not require a finding of good cause shown under of the rule would give the courts the flexibility neces-
the circumstances. sary to maintain appropriately sized dockets and
(Adopted June 26, 2020, to take effect retroactively March 24, attend to those matters designated as priority cases.
2020, on an interim basis, but until no later than the duration of
(Adopted June 26, 2020, to take effect retroactively March 24,
the declared emergencies.)
2020, on an interim basis, but until no later than the duration of
Sec. E43-39. Speedy Trial; Time Limitations the declared emergencies.)
The suspension of the rule would allow the court
flexibility in scheduling a trial, in the event that trials Sec. E44-27. —Hearing of Infractions, Viola-
are restricted. The suspension would still allow courts tions to Which Not Guilty Plea Filed
the ability to schedule trials as expeditiously as The rule requires that within ten days of filing a not
possible. guilty plea, the clerk shall schedule a hearing in the
(Adopted June 26, 2020, to take effect retroactively March 24,
2020, on an interim basis, but until no later than the duration of matter. By allowing the suspension of the rule, it will
the declared emergencies.) allow the courts to delay scheduling of infractions so
Sec. E44-13. —Scheduling of Proceedings that they may focus on those matters designated as
before Trial; Continuances priority cases.
The rule requires that a continuance shall not (Adopted June 26, 2020, to take effect retroactively March 24,
exceed two weeks. The suspension of the rule would 2020, on an interim basis, but until no later than the duration of
the declared emergencies.)
give the courts the flexibility necessary to maintain
appropriately sized dockets and attend to those mat- Sec. E44-30. —Hearing by Magistrates of Infrac-
ters designated as priority cases.
(Adopted June 26, 2020, to take effect retroactively March 24, tions and Certain Motor Vehicle Violations
2020, on an interim basis, but until no later than the duration of Suspension of the rule will dispense with the five
the declared emergencies.)
day time requirement imposed on the defendant to
Sec. E44-14. —Assignments for Plea in Judicial file a trial de novo during this time period.
District Court Location (Adopted June 26, 2020, to take effect retroactively March 24,
The rule requires that the assignment to a Judicial 2020, on an interim basis, but until no later than the duration of
District shall not exceed two weeks. The suspension the declared emergencies.)
695
Copyrighted by the Secretary of the State of the State of Connecticut
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