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OFFICIAL
2018
CONNECTICUT PRACTICE BOOK
(Revision of 1998)
CONTAINING
RULES OF PROFESSIONAL CONDUCT
CODE OF JUDICIAL CONDUCT
RULES FOR THE SUPERIOR COURT
RULES OF APPELLATE PROCEDURE
APPENDIX OF FORMS
INDEX OF OFFICIAL JUDICIAL BRANCH FORMS
Published by
The Commission on Official Legal Publications
Copyrighted by the Secretary of the State of the State of Connecticut
2018 by the Secretary of the State, 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 2018 edition of the Practice Book contains amendments
to the Superior Court Rules, Rules of Appellate Procedure, and Appendix of Forms. The
amendments were published in the Connecticut Law Journals dated April 4, July 4, August
8, and October 24, 2017.
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 numbers 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.
Where 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
notation concerning the derivation of the section. Where the title to a section has been
amended, a parenthetical notation appears immediately following the title. The Table of
Practice Book Changes, following the text of the rules, documents the dates on which rules
were adopted, repealed, amended, or transferred to another section.
Histories describing the nature of amendments and Commentaries 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 Commentary to Section 1-10B and the 2017 Commentary to Section 2-27A 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, 2018, will appear only in the 2018 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 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.
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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
chapter, 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 parenthe-
ses, (a), (b), subdivisions are designated by numbers in parentheses, (1), (2), and subpara-
graphs are designated by upper case letters in parentheses, (A), (B).
The Rules of Appellate Procedure, as well as the Superior Court Rules, were reorganized
in 1998. The reorganization of the Rules of Appellate Procedure 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 reorganizing 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 proceedings were organized into separate
chapters. No substantive changes were made in the course of reorganization, but there were
editorial changes.
Two versions of certain Rules of Appellate Procedure pertaining to the preparation of the
appellate record were published in the 2014, 2015, and 2016 editions of the Practice Book.
A parenthetical indicated whether the rule was applicable to appeals filed before July 1, 2013,
or applicable to appeals filed on or after July 1, 2013. Only one version of those rules is
included in this edition, and the parenthetical has been removed. The appellate clerk’s office
can provide guidance regarding appeals filed before July 1, 2013.
In 2002, an Appendix was added following the Index. The Appendix contains certain forms
that previously had been in Volume 2 of the 1978-1997 Practice Book. In 2010, an Index of
Official Judicial Branch Forms used in Civil, Family and Juvenile Matters was added to the
Practice Book, following the Appendix of Forms. In 2012, the Appendix of Superior Court
Standing Orders, which was added in 2010, was removed. A notice referring the reader to
the Judicial Branch website for access to the Superior Court Standing Orders was substituted
in its place. In 2018, the Index of Official Judicial Branch Forms Used in Civil, Family and
Juvenile Matters was removed. A notice referring the reader to the Judicial Branch website
for access to official Judicial Branch forms was substituted in its place.
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 wherever possible.
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.
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TABLE OF CONTENTS
Attorney’sOath............................................. 1
Rules of Professional Conduct
Preamble................................................. 1
Scope .................................................. 2
RulesandCommentaries ....................................... 4
Code of Judicial Conduct
Preamble................................................. 65
Scope .................................................. 65
Terminology............................................... 66
Application................................................ 67
Canons,RulesandComments .................................... 68
Superior Court Rules and Rules of Appellate Procedure
Chapter and Section Headings of the Rules . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 82
Superior Court—General Provisions
Chapter1ScopeofRules....................................... 102
Chapter2Attorneys........................................... 112
Chapter3Appearances ........................................ 163
Chapter4Pleadings .......................................... 169
Chapter5Trials............................................. 171
Chapter6Judgments.......................................... 173
Chapter 7 Clerks; Files and Records . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 175
Superior Court—Procedure in Civil Matters
Chapter 8 Commencement of Action . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 181
Chapter9Parties............................................ 183
Chapter10Pleadings.......................................... 189
Chapter 11 Motions, Requests, Orders of Notice, and Short Calendar . . . . . . . . . . . . . . 201
Chapter12TransferofActions .................................... 210
Chapter 13 Discovery and Depositions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 211
Chapter 14 Dockets, Trial Lists, Pretrials and Assignment Lists . . . . . . . . . . . . . . . . . . 231
Chapter 15 Trials in General; Argument by Counsel . . . . . . . . . . . . . . . . . . . . . . . . 238
Chapter16JuryTrials......................................... 240
Chapter17Judgments......................................... 246
Chapter18FeesandCosts...................................... 258
Chapter19References......................................... 261
Chapter20HearingsinChambers .................................. 265
Chapter21Receivers.......................................... 266
Chapter 22 Unemployment Compensation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 270
Chapter 23 Miscellaneous Remedies and Procedures . . . . . . . . . . . . . . . . . . . . . . . 272
Chapter24SmallClaims........................................ 282
Superior Court—Procedure in Family Matters
Chapter25GeneralProvisions .................................... 289
Superior Court—Procedure in Family Support Magistrate Matters
Chapter 25a Family Support Magistrate Matters . . . . . . . . . . . . . . . . . . . . . . . . . . . 310
Superior Court—Procedure in Juvenile Matters
Chapter26GeneralProvisions .................................... 319
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Chapter 27 Reception and Processing of Delinquency and Family with Service Needs Com-
plaintsorPetitions......................................... 322
Chapter 28 Delinquency and Family with Service Needs Nonjudicial Supervision [Repealed] . 325
Chapter 29 Reception and Processing of Delinquency and Child from Family with Service Needs
Petitions and Delinquency Informations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 326
Chapter30Detention.......................................... 327
Chapter 30a Delinquency and Family with Service Needs Hearings. . . . . . . . . . . . . . . . 331
Chapter 31 Delinquency and Family with Service Needs Hearing [Repealed] . . . . . . . . . . 334
Chapter 31a Delinquency and Family with Service Needs Motions and Applications . . . . . . 335
Chapter 32 Neglected, Uncared for and Dependent Children and Termination of Parental Rights
[Repealed]............................................. 341
Chapter 32a Rights of Parties, Neglected, Abused and Uncared for Children and Termination
ofParentalRights......................................... 342
Chapter 33 Hearings concerning Neglected, Uncared for and Dependent Children and Termina-
tion of Parental Rights [Repealed] . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 345
Chapter 33a Petitions for Neglect, Uncared for, Dependency and Termination of Parental Rights:
Initiation of Proceedings, Orders of Temporary Custody and Preliminary Hearings . . . . . 346
Chapter 34 Rights of Parties [Repealed] . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 350
Chapter 34a Pleadings, Motions and Discovery Neglected, Abused and Uncared for Children
and Termination of Parental Rights . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 351
Chapter 35 General Provisions [Repealed] . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 356
Chapter 35a Hearings concerning Neglected, Abused and Uncared for Children and Termination
ofParentalRights......................................... 357
Superior Court—Procedure in Criminal Matters
Chapter 36 Procedure Prior to Appearance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 366
Chapter37Arraignment........................................ 370
Chapter38PretrialRelease...................................... 373
Chapter 39 Disposition without Trial. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 380
Chapter 40 Discovery and Depositions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 384
Chapter41PretrialMotions...................................... 394
Chapter42TrialProcedure ...................................... 398
Chapter 43 Sentencing, Judgment, and Appeal . . . . . . . . . . . . . . . . . . . . . . . . . . . 410
Chapter44GeneralProvisions .................................... 419
Rules of Appellate Procedure
Chapter 60 General Provisions Relating to Appellate Rules and Appellate Review . . . . . . . 427
Chapter61RemedybyAppeal.................................... 431
Chapter 62 Chief Judge, Appellate Clerk and Docket: General Administrative Matters . . . . . 440
Chapter 63 Filing the Appeal; Withdrawals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 445
Chapter 64 Procedure concerning Memorandum of Decision . . . . . . . . . . . . . . . . . . . 452
Chapter65TransferofCases..................................... 453
Chapter 66 Motions and Other Procedures. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 454
Chapter67Briefs............................................ 459
Chapter68CaseFile.......................................... 467
Chapter 69 Assignment of Cases for Argument . . . . . . . . . . . . . . . . . . . . . . . . . . . 469
Chapter 70 Arguments and Media Coverage of Court Proceedings . . . . . . . . . . . . . . . . 470
Chapter 71 Appellate Judgments and Opinions . . . . . . . . . . . . . . . . . . . . . . . . . . . 473
Chapter72WritsofError........................................ 475
Chapter73Reservations........................................ 477
Chapter 74 Decisions of Judicial Review Council . . . . . . . . . . . . . . . . . . . . . . . . . . 478
Chapter 75 Appeals from Council on Probate Judicial Conduct . . . . . . . . . . . . . . . . . . 480
Chapter 76 Appeals in Workers’ Compensation Cases . . . . . . . . . . . . . . . . . . . . . . . 481
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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 . . . . . . . . . . . . . . . . . 483
Chapter 78 Review of Grand Jury Record or Finding Order . . . . . . . . . . . . . . . . . . . . 485
Chapter 78a Review of Orders concerning Release on Bail . . . . . . . . . . . . . . . . . . . . 486
Chapter 79 Appeals in Juvenile Matters [Repealed] . . . . . . . . . . . . . . . . . . . . . . . . . 487
Chapter 79a Appeals in Child Protection Matters . . . . . . . . . . . . . . . . . . . . . . . . . . 488
Chapter 80 Appeals in Habeas Corpus Proceedings Following Conviction . . . . . . . . . . . . 492
Chapter 81 Appeals to Appellate Court by Certification for Review in Accordance with General
StatutesChapters124and440 ................................. 493
Chapter 82 Certified Questions to or from Courts of Other Jurisdictions . . . . . . . . . . . . . 495
Chapter 83 Certification Pursuant to General Statutes § 52-265a in Cases of Substantial Public
Interest............................................... 497
Chapter 84 Appeals to Supreme Court by Certification for Review . . . . . . . . . . . . . . . . 498
Chapter 84a Matters within Supreme Court’s Original Jurisdiction in which Facts May Be Found 501
Chapter85Sanctions.......................................... 502
Chapter 86 Rule Changes; Effective Date; Applicability. . . . . . . . . . . . . . . . . . . . . . . 503
Tables and Index
Reference Table 1978-1997 to 1998 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 505
Reference Table 1998 to 1978-1997 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 518
TableofPracticeBookChanges ................................... 529
TableofStatutesNoted ........................................ 544
Index................................................... 547
Appendix:Forms............................................ 581
OfficialJudicialBranchForms..................................... 639
SuperiorCourtStandingOrders.................................... 640
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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
A lawyer, as a member of the legal profession,
is a representative of clients, an officer of the
legal system and a public citizen having special
responsibility for the quality of justice.
As a representative of clients, a lawyer per-
forms various functions. As advisor, a lawyer pro-
vides a client with an informed understanding of
the client’s legal rights and obligations and
explains their practical implications. As advocate,
a lawyer zealously asserts the client’s position
under the rules of the adversary system. As nego-
tiator, a lawyer seeks a result advantageous to the
client but consistent with requirements of honest
dealing with others. As evaluator, a lawyer exam-
ines a client’s legal affairs and reports about them
to the client or to others on the client’s behalf.
In addition to these representational functions,
a lawyer may serve as a third-party neutral, a
nonrepresentational role helping the parties to
resolve a dispute or other matter. Some of these
Rules apply directly to lawyers who are or have
served as third-party neutrals. See, e.g., Rules
1.12 and 2.4. In addition, there are Rules that
apply to lawyers who are not active in the practice
of law or to practicing lawyers even when they
are acting in a nonprofessional capacity. For
example, a lawyer who commits fraud in the con-
duct of a business is subject to discipline for
engaging in conduct involving dishonesty, fraud,
deceit or misrepresentation. See Rule 8.4.
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In all professional functions a lawyer should be
competent, prompt and diligent. A lawyer should
maintain communication with a client concerning
the representation. A lawyer should keep in confi-
dence information relating to representation of a
client except so far as disclosure is required or
permitted by the Rules of Professional Conduct
or other law.
A lawyer’s conduct should conform to the
requirements of the law, both in professional ser-
vice to clients and in the lawyer’s business and
personal affairs. A lawyer should use the law’s
procedures only for legitimate purposes and not
to harass or intimidate others. A lawyer should
demonstrate respect for the legal system and for
those who serve it, including judges, other lawyers
and public officials. While it is a lawyer’s duty,
when necessary, to challenge the rectitude of offi-
cial action, it is also a lawyer’s duty to uphold
legal process.
As a public citizen, a lawyer should seek
improvement of the law, access to the legal sys-
tem, the administration of justice and the quality
of service rendered by the legal profession. As a
member of a learned profession, a lawyer should
cultivate knowledge of the law beyond its use for
clients, employ that knowledge in reform of the
law and work to strengthen legal education. All
lawyers should work to ensure equal access to
our system of justice for all those who, because
of economic or social barriers, cannot afford or
RULES OF PROFESSIONAL CONDUCT
secure adequate legal counsel. A lawyer should
aid the legal profession in pursuing these objec-
tives and should help the bar regulate itself in the
public interest.
Many of a lawyer’s professional responsibilities
are prescribed in the Rules of Professional Con-
duct, as well as substantive and procedural law.
However, a lawyer is also guided by personal
conscience and the approbation of professional
peers. A lawyer should strive to attain the highest
level of skill, to improve the law and the legal
profession and to exemplify the legal profession’s
ideals of public service.
A lawyer’s responsibilities as a representative
of clients, an officer of the legal system and a
public citizen are usually harmonious. Thus, when
an opposing party is well represented, a lawyer
can be a zealous advocate on behalf of a client
and at the same time assume that justice is being
done. So also, a lawyer can be sure that preserv-
ing client confidences ordinarily serves the public
interest because people are more likely to seek
legal advice, and thereby heed their legal obliga-
tions, when they know their communications will
be private.
In the nature of law practice, however, conflict-
ing responsibilities are encountered. Virtually all
difficult ethical problems arise from conflict
between a lawyer’s responsibilities to clients, to
the legal system and to the lawyer’s own interest
in remaining an ethical person while earning a
satisfactory living. The Rules of Professional Con-
duct often prescribe terms for resolving such con-
flicts. Within the framework of these Rules,
however, many difficult issues of professional dis-
cretion can arise. Such issues must be resolved
through the exercise of sensitive professional and
moral judgment guided by the basic principles
underlying the Rules. These principles include the
lawyer’s obligation zealously to protect and pur-
sue a client’s legitimate interests, within the
bounds of the law, while maintaining a profes-
sional, courteous and civil attitude toward all per-
sons involved in the legal system.
The legal profession is largely self-governing.
Although other professions also have been
granted powers of self-government, the legal pro-
fession is unique in this respect because of the
close relationship between the profession and the
processes of government and law enforcement.
This connection is manifested in the fact that ulti-
mate authority over the legal profession is vested
largely in the courts.
To the extent that lawyers meet the obligations
of their professional calling, the occasion for gov-
ernment regulation is obviated. Self-regulation
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also helps maintain the legal profession’s inde-
pendence from government domination. An inde-
pendent legal profession is an important force in
preserving government under law, for abuse of
legal authority is more readily challenged by a
profession whose members are not dependent on
government for the right to practice.
The legal profession’s relative autonomy car-
ries with it special responsibilities of self-govern-
ment. The profession has a responsibility to
assure that its regulations are conceived in the
public interest and not in furtherance of parochial
or self-interested concerns of the bar. Every law-
yer is responsible for observance of the Rules of
Professional Conduct. A lawyer should also aid
in securing their observance by other lawyers.
Neglect of these responsibilities compromises the
independence of the profession and the public
interest which it serves.
Lawyers play a vital role in the preservation of
society. The fulfillment of this role requires an
understanding by lawyers of their relationship to
our legal system. The Rules of Professional Con-
duct, when properly applied, serve to define
that relationship.
(Amended June 26, 2006, to take effect Jan. 1, 2007.)
Scope
The Rules of Professional Conduct are rules of
reason. They should be interpreted with reference
to the purposes of legal representation and of the
law itself. Some of the Rules are imperatives, cast
in the terms ‘‘shall’’ or ‘‘shall not.’’ These define
proper conduct for purposes of professional disci-
pline. Others, generally cast in the term ‘‘may,’’
are permissive and define areas under the Rules
in which the lawyer has discretion to exercise pro-
fessional judgment. No disciplinary action should
be taken when the lawyer chooses not to act or
acts within the bounds of such discretion. Other
Rules define the nature of relationships between
the lawyer and others. The Rules are thus partly
obligatory and disciplinary and partly constitutive
and descriptive in that they define a lawyer’s pro-
fessional role.
The Rules presuppose a larger legal context
shaping the lawyer’s role. That context includes
court rules and statutes relating to matters of licen-
sure, laws defining specific obligations of lawyers
and substantive and procedural law in general.
Compliance with the Rules, as with all law in an
open society, depends primarily upon under-
standing and voluntary compliance, secondarily
upon reinforcement by peer and public opinion
and finally, when necessary, upon enforcement
through disciplinary proceedings. The Rules do
RULES OF PROFESSIONAL CONDUCT
not, however, exhaust the moral and ethical con-
siderations that should inform a lawyer, for no
worthwhile human activity can be completely
defined by legal rules. The Rules simply provide
a framework for the ethical practice of law.
Furthermore, for purposes of determining the
lawyer’s authority and responsibility, principles of
substantive law external to these Rules determine
whether a client-lawyer relationship exists. Most
of the duties flowing from the client-lawyer rela-
tionship attach only after the client has requested
the lawyer to render legal services and the lawyer
has agreed to do so. But there are some duties,
such as that of confidentiality under Rule 1.6, that
attach when the lawyer agrees to consider
whether a client-lawyer relationship shall be
established. See Rule 1.18. Whether a client-law-
yer relationship exists for any specific purpose
can depend on the circumstances and may be a
question of fact.
Under various legal provisions, including con-
stitutional, statutory and common law, the respon-
sibilities of government lawyers may include
authority concerning legal matters that ordinarily
reposes in the client in private client-lawyer rela-
tionships. For example, a lawyer for a government
agency may have authority on behalf of the gov-
ernment to decide upon settlement or whether to
appeal from an adverse judgment. Such authority
in various respects is generally vested in the attor-
ney general and the state’s attorney in state gov-
ernment, and their federal counterparts, and the
same may be true of other government law offi-
cers. Also, lawyers under the supervision of these
officers may be authorized to represent several
government agencies in intragovernmental legal
controversies in circumstances where a private
lawyer could not represent multiple private clients.
They also may have authority to represent the
‘‘public interest’’ in circumstances where a private
lawyer would not be authorized to do so. These
Rules do not abrogate any such authority.
Failure to comply with an obligation or prohibi-
tion imposed by a Rule is a basis for invoking the
disciplinary process. The Rules presuppose that
disciplinary assessment of a lawyer’s conduct will
be made on the basis of the facts and circum-
stances as they existed at the time of the conduct
in question and in recognition of the fact that a
lawyer often has to act upon uncertain or incom-
plete evidence of the situation. Moreover, the
Rules presuppose that whether or not discipline
should be imposed for a violation, and the severity
of a sanction, depend on all the circumstances,
such as the wilfulness and seriousness of the
violation, extenuating factors and whether there
have been previous violations.
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Violation of a Rule should not itself give rise to
a cause of action against a lawyer nor should it
create any presumption that a legal duty has been
breached. In addition, violation of a Rule does
not necessarily warrant any other nondisciplinary
remedy, such as disqualification of a lawyer in
pending litigation. The Rules are designed to pro-
vide guidance to lawyers and to provide a struc-
ture for regulating conduct through disciplinary
agencies. They are not designed to be a basis
for civil liability. Furthermore, the purpose of the
Rules can be subverted when they are invoked
by opposing parties as procedural weapons. The
fact that a Rule is a just basis for a lawyer’s self-
assessment, or for sanctioning a lawyer under the
administration of a disciplinary authority, does not
imply that an antagonist in a collateral proceeding
or transaction has standing to seek enforcement
of the Rule. Nevertheless, since the Rules do
establish standards of conduct by lawyers, a law-
yer’s violation of a Rule may be evidence of
breach of the applicable standard of conduct.
Moreover, these Rules are not intended to gov-
ern or affect judicial application of either the attor-
ney-client or work product privilege. Those
privileges were developed to promote compliance
with law and fairness in litigation. In reliance on
the attorney-client privilege, clients are entitled to
expect that communications within the scope of
the privilege will be protected against compelled
disclosure. The attorney-client privilege is that of
the client and not of the lawyer. The fact that in
exceptional situations the lawyer under the Rules
has a limited discretion to disclose a client confi-
dence does not vitiate the proposition that, as a
general matter, the client has a reasonable expec-
tation that information relating to the client will
not be voluntarily disclosed and that disclosure of
such information may be judicially compelled only
in accordance with recognized exceptions to the
attorney-client and work product privileges.
The lawyer’s exercise of discretion not to dis-
close information under Rule 1.6 should not be
subject to reexamination. Permitting such reex-
amination would be incompatible with the general
policy of promoting compliance with law through
assurances that communications will be protected
against disclosure.
The Commentary accompanying each Rule
explains and illustrates the meaning and purpose
of the Rule. The Preamble and this note on Scope
provide general orientation. The Commentaries
are intended as guides to interpretation, but the
text of each Rule is authoritative. Commentaries
do not add obligations to the Rules but provide
RULES OF PROFESSIONAL CONDUCT
guidance for practicing in compliance with the
Rules. The Commentaries are sometimes used
to alert lawyers to their responsibilities under other
law, such as court rules and statutes relating to
RULES OF PROFESSIONAL CONDUCT
Rule Rule
1.0. Terminology
Client-Lawyer Relationships
1.1. Competence
1.2. Scope of Representation and Allocation of Authority
between Client and Lawyer
1.3. Diligence
1.4. Communication
1.5. Fees
1.6. Confidentiality of Information
1.7. Conflict of Interest: Current Clients
1.8. Conflict of Interest: Prohibited Transactions
1.9. Duties to Former Clients
1.10. Imputation of Conflicts of Interest: General Rule
1.11. Special Conflicts of Interest for Former and Current
Government Officers and Employees
1.12. Former Judge, Arbitrator, Mediator or Other Third-
Party Neutral
1.13. Organization as Client
1.14. Client with Impaired Capacity
1.15. Safekeeping Property
1.16. Declining or Terminating Representation
1.17. Sale of Law Practice
1.18. Duties to Prospective Client
Counselor
2.1. Advisor
2.2. Intermediary [Repealed]
2.3. Evaluation for Use by Third Persons
2.4. Lawyer Serving as Third-Party Neutral
Advocate
3.1. Meritorious Claims and Contentions
3.2. Expediting Litigation
3.3. Candor toward the Tribunal
3.4. Fairness to Opposing Party and Counsel
3.5. Impartiality and Decorum
3.6. Trial Publicity
3.7. Lawyer as Witness
3.8. Special Responsibilities of a Prosecutor
Rule 1.0. Terminology
(a) ‘‘Belief’’ or ‘‘believes’’ denotes that the per-
son involved actually supposed the fact in ques-
tion to be true. A person’s belief may be inferred
from circumstances.
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matters of licensure, laws defining specific obliga-
tions of lawyers and substantive and procedural
law in general.
(Amended June 26, 2006, to take effect Jan. 1, 2007.)
3.9. Advocate in Nonadjudicative Proceedings
Transactions with Persons Other than Clients
4.1. Truthfulness in Statements to Others
4.2. Communication with Person Represented by Counsel
4.3. Dealing with Unrepresented Person
4.4. Respect for Rights of Third Persons
Law Firms and Associations
5.1. Responsibilities of Partners, Managers, and Supervi-
sory Lawyers
5.2. Responsibilities of a Subordinate Lawyer
5.3. Responsibilities regarding Nonlawyer Assistance
5.4. Professional Independence of a Lawyer
5.5. Unauthorized Practice of Law
5.6. Restrictions on Right to Practice
Public Service
6.1. Pro Bono Publico Service
6.2. Accepting Appointments
6.3. Membership in Legal Services Organization
6.4. Law Reform Activities Affecting Client Interests
6.5. Nonprofit and Court-Annexed Limited Legal Ser-
vices Programs
Information about Legal Services
7.1. Communications concerning a Lawyer’s Services
7.2. Advertising
7.3. Solicilation of Clients
7.4. Communication of Fields of Practice
7.4A. Certification as Specialist
7.4B. Legal Specialization Screening Committee
7.4C. Application by Board or Entity to Certify Lawyers as
Specialists
7.5. Firm Names and Letterheads
Maintaining the Integrity of the Profession
8.1. Bar Admission and Disciplinary Matters
8.2. Judicial and Legal Officials
8.3. Reporting Professional Misconduct
8.4. Misconduct
8.5. Disciplinary Authority; Choice of Law
(b) ‘‘Client’’ or ‘‘person’’ as used in these Rules
includes an authorized representative unless
otherwise stated.
(c) ‘‘Confirmed in writing,’’ when used in refer-
ence to the informed consent of a person, denotes
RULES OF PROFESSIONAL CONDUCT Rule 1.0
informed consent that is given in writing by the
person or a writing that a lawyer promptly trans-
mits to the person confirming an oral informed
consent. See subsection (f) for the definition of
‘‘informed consent.’’ If it is not feasible to obtain
or transmit the writing at the time the person gives
informed consent, then the lawyer must obtain or
transmit it within a reasonable time thereafter.
(d) ‘‘Firm’’ or ‘‘law firm’’ denotes a lawyer or
lawyers in a law partnership, professional corpo-
ration, sole proprietorship or other association
authorized to practice law; or lawyers employed
in a legal services organization or the legal depart-
ment of a corporation or other organization.
(e) ‘‘Fraud’’ or ‘‘fraudulent’’ denotes conduct
that is fraudulent under the substantive or proce-
dural law of the applicable jurisdiction and has a
purpose to deceive.
(f) ‘‘Informed consent’’ denotes the agreement
by a person to a proposed course of conduct after
the lawyer has communicated adequate informa-
tion and explanation about the material risks of
and reasonably available alternatives to the pro-
posed course of conduct.
(g) ‘‘Knowingly,’’ ‘‘known,’’ or ‘‘knows’’ denotes
actual knowledge of the fact in question. A per-
son’s knowledge may be inferred from circum-
stances.
(h) ‘‘Partner’’ denotes a member of a partner-
ship, a shareholder in a law firm organized as
a professional corporation, or a member of an
association authorized to practice law.
(i) ‘‘Reasonable’’ or ‘‘reasonably,’’ when used
in relation to conduct by a lawyer, denotes the
conduct of a reasonably prudent and competent
lawyer.
(j) ‘‘Reasonable belief’’ or ‘‘reasonably be-
lieves,’’ when used in reference to a lawyer,
denotes that the lawyer believes the matter in
question and that the circumstances are such that
the belief is reasonable.
(k) ‘‘Reasonably should know,’’ when used in
reference to a lawyer, denotes that a lawyer of
reasonable prudence and competence would
ascertain the matter in question.
(l) ‘‘Screened’’ denotes the isolation of a lawyer
from any participation in a matter through the
timely imposition of procedures within a firm that
are reasonably adequate under the circum-
stances to protect information that the isolated
lawyer is obligated to protect under these Rules
or other law.
(m) ‘‘Substantial,’’ when used in reference to
degree or extent denotes a material matter of clear
and weighty importance.
(n) ‘‘Tribunal’’ denotes a court, an arbitrator in
a binding arbitration proceeding or a legislative
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body, administrative agency or other body acting
in an adjudicative capacity. A legislative body,
administrative agency or other body acts in an
adjudicative capacity when a neutral official, after
the presentation of evidence or legal argument
by a party or parties, will render a binding legal
judgment directly affecting a party’s interests in a
particular matter.
(o) ‘‘Writing’’ or ‘‘written’’ denotes a tangible or
electronic record of a communication or represen-
tation, including handwriting, typewriting, printing,
photostatting, photography, audio or videore-
cording and electronic communications. A
‘‘signed’’ writing includes an electronic sound,
symbol or process attached to or logically associ-
ated with a writing and executed or adopted by a
person with the intent to sign the writing.
(Amended June 26, 2006, to take effect Jan. 1, 2007;
amended June 14, 2013, to take effect Jan. 1, 2014.)
COMMENTARY: Confirmed in Writing. If it is not feasible
to obtain or transmit a written confirmation at the time the
client gives informed consent, then the lawyer must obtain or
transmit it within a reasonable time thereafter. If a lawyer has
obtained a client’s informed consent, the lawyer may act in
reliance on that consent so long as it is confirmed in writing
within a reasonable time thereafter.
Firm. Whether two or more lawyers constitute a firm within
subsection (d) can depend on the specific facts. For example,
two practitioners who share office space and occasionally
consult or assist each other ordinarily would not be regarded
as constituting a firm. However, if they present themselves to
the public in a way that suggests that they are a firm or conduct
themselves as a firm, they should be regarded as a firm for
purposes of the Rules. The terms of any formal agreement
between associated lawyers are relevant in determining
whether they are a firm, as is the fact that they have mutual
access to information concerning the clients they serve. Fur-
thermore, it is relevant in doubtful cases to consider the under-
lying purpose of the Rule that is involved. A group of lawyers
could be regarded as a firm for purposes of the Rule that the
same lawyer should not represent opposing parties in litigation,
while it might not be so regarded for purposes of the Rule that
information acquired by one lawyer is attributed to another.
With respect to the law department of an organization,
including the government, there is ordinarily no question that
the members of the department constitute a firm within the
meaning of the Rules of Professional Conduct. There can
be uncertainty, however, as to the identity of the client. For
example, it may not be clear whether the law department of
a corporation represents a subsidiary or an affiliated corpora-
tion, as well as the corporation by which the members of the
department are directly employed. A similar question can arise
concerning an unincorporated association and its local
affiliates.
Similar questions can also arise with respect to lawyers in
legal aid and legal services organizations. Depending upon
the structure of the organization, the entire organization or
different components of it may constitute a firm or firms for
purposes of these Rules.
Fraud. When used in these Rules, the terms ‘‘fraud’’ or
‘‘fraudulent’’ refer to conduct that is characterized as such
under the substantive or procedural law of the applicable juris-
diction and has a purpose to deceive. This does not include
merely negligent misrepresentation or negligent failure to
RULES OF PROFESSIONAL CONDUCTRule 1.0
apprise another of relevant information. For purposes of these
Rules, it is not necessary that anyone has suffered damages
or relied on the misrepresentation or failure to inform.
Informed Consent. Many of the Rules of Professional Con-
duct require the lawyer to obtain the informed consent of a
client or other person (e.g., a former client or, under certain
circumstances, a prospective client) before accepting or con-
tinuing representation or pursuing a course of conduct. See,
e.g., Rules 1.2 (c), 1.6 (a) and 1.7 (b). The communication
necessary to obtain such consent will vary according to the
Rule involved and the circumstances giving rise to the need
to obtain informed consent. The lawyer must make reasonable
efforts to ensure that the client or other person possesses
information reasonably adequate to make an informed deci-
sion. Ordinarily, this will require communication that includes
a disclosure of the facts and circumstances giving rise to the
situation, any explanation reasonably necessary to inform the
client or other person of the material advantages and disadvan-
tages of the proposed course of conduct and a discussion of
the client’s or other person’s options and alternatives. In some
circumstances it may be appropriate for a lawyer to advise a
client or other person to seek the advice of other counsel. A
lawyer need not inform a client or other person of facts or
implications already known to the client or other person; never-
theless, a lawyer who does not personally inform the client or
other person assumes the risk that the client or other person
is inadequately informed and the consent is invalid. In
determining whether the information and explanation provided
are reasonably adequate, relevant factors include whether the
client or other person is experienced in legal matters generally
and in making decisions of the type involved, and whether the
client or other person is independently represented by other
counsel in giving the consent. Normally, such persons need
less information and explanation than others, and generally
a client or other person who is independently represented by
other counsel in giving the consent should be assumed to
have given informed consent.
Obtaining informed consent will usually require an affirma-
tive response by the client or other person. In general, a lawyer
may not assume consent from a client’s or other person’s
silence. Consent may be inferred, however, from the conduct
of a client or other person who has reasonably adequate infor-
mation about the matter. A number of Rules require that a
person’s consent be confirmed in writing. See Rules 1.7 (b)
and 1.9 (a). For a definition of ‘‘writing’’ and ‘‘confirmed in
writing,’’ see subsections (o) and (c). Other Rules require that
a client’s consent be obtained in a writing signed by the client.
See, e.g., Rules 1.8 (a) and (g). For a definition of ‘‘signed,’’
see subsection (o).
Screened. The definition of ‘‘screened’’ applies to situations
where screening of a personally disqualified lawyer is permit-
ted to remove imputation of a conflict of interest under Rules
1.10, 1.11, 1.12 or 1.18.
The purpose of screening is to assure the affected parties
that confidential information known by the personally disquali-
fied lawyer remains protected. The personally disqualified law-
yer shall acknowledge in writing to the client the obligation
not to communicate with any of the other lawyers in the firm
with respect to the matter. Similarly, other lawyers in the firm
who are working on the matter should be informed that the
screening is in place and that they may not communicate with
the personally disqualified lawyer with respect to the matter.
Additional screening measures that are appropriate for the
particular matter will depend on the circumstances. To imple-
ment, reinforce and remind all affected lawyers of the presence
of the screening, it may be appropriate for the firm to undertake
such procedures as a written undertaking by the screened
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lawyer to avoid any communication with other firm personnel
and any contact with any firm files or other information, includ-
ing information in electronic form, relating to the matter, written
notice and instructions to all other firm personnel forbidding
any communication with the screened lawyer relating to the
matter, denial of access by the screened lawyer to firm files
or other information, including information in electronic form,
relating to the matter and periodic reminders of the screen to
the screened lawyer and all other firm personnel.
In order to be effective, screening measures must be imple-
mented as soon as practical after a lawyer or law firm knows
or reasonably should know that there is a need for screening.
CLIENT-LAWYER RELATIONSHIPS
Rule 1.1. Competence
A lawyer shall provide competent representa-
tion to a client. Competent representation requires
the legal knowledge, skill, thoroughness and prep-
aration reasonably necessary for the represen-
tation.
(P.B. 1978-1997, Rule 1.1.)
COMMENTARY: Legal Knowledge and Skill. In determin-
ing whether a lawyer employs the requisite knowledge and
skill in a particular matter, relevant factors include the relative
complexity and specialized nature of the matter, the lawyer’s
general experience, the lawyer’s training and experience in
the field in question, the preparation and study the lawyer is
able to give the matter and whether it is feasible to refer the
matter to, or associate or consult with, a lawyer of established
competence in the field in question. In many instances, the
required proficiency is that of a general practitioner. Expertise
in a particular field of law may be required in some circum-
stances.
A lawyer need not necessarily have special training or prior
experience to handle legal problems of a type with which
the lawyer is unfamiliar. A newly admitted lawyer can be as
competent as a practitioner with long experience. Some
important legal skills, such as the analysis of precedent, the
evaluation of evidence and legal drafting, are required in all
legal problems. Perhaps the most fundamental legal skill con-
sists of determining what kind of legal problems a situation
may involve, a skill that necessarily transcends any particular
specialized knowledge. A lawyer can provide adequate repre-
sentation in a wholly novel field through necessary study.
Competent representation can also be provided through the
association of a lawyer of established competence in the field
in question.
In an emergency, a lawyer may give advice or assistance
in a matter in which the lawyer does not have the skill ordinarily
required where referral to or consultation or association with
another lawyer would be impractical. Even in an emergency,
however, assistance should be limited to that reasonably nec-
essary in the circumstances, for ill-considered action under
emergency conditions can jeopardize the client’s interest. A
lawyer may accept representation where the requisite level of
competence can be achieved by reasonable preparation. This
applies as well to a lawyer who is appointed as counsel for
an unrepresented person. See also Rule 6.2.
Thoroughness and Preparation. Competent handling of
a particular matter includes inquiry into and analysis of the
factual and legal elements of the problem, and use of methods
and procedures meeting the standards of competent prac-
titioners. It also includes adequate preparation. The required
attention and preparation are determined in part by what is
at stake; major litigation and complex transactions ordinarily
RULES OF PROFESSIONAL CONDUCT Rule 1.2
require more extensive treatment than matters of lesser com-
plexity and consequence. An agreement between the lawyer
and the client regarding the scope of the representation may
limit the matters for which the lawyer is responsible. See Rule
1.2 (c).
Retaining or Contracting with Other Lawyers. Before
a lawyer retains or contracts with other lawyers outside the
lawyer’s own firm to provide or assist in the provision of legal
services to a client, the lawyer should ordinarily obtain
informed consent from the client and must reasonably believe
that the other lawyers’ services will contribute to the competent
and ethical representation of the client. See also Rules 1.2
(allocation of authority), 1.4 (communication with client), 1.5
(b) (scope of representation, basis or rate of fee and
expenses), 1.5 (e) (fee sharing), 1.6 (confidentiality), and 5.5
(a) (unauthorized practice of law). Client consent may not be
necessary when a nonfirm lawyer is hired to perform a discrete
and limited task and the task does not require the disclosure
of information protected by Rule 1.6. The reasonableness of
the decision to retain or contract with other lawyers outside
the lawyer’s own firm will depend upon the circumstances,
including the education, experience and reputation of the non-
firm lawyers; the nature of the services assigned to the nonfirm
lawyers; and the legal protections, professional conduct rules,
and ethical environments of the jurisdictions in which the ser-
vices will be performed, particularly relating to confidential
information.
When lawyers from more than one law firm are providing
legal services to the client on a particular matter, the lawyers
should consult with each other and the client about the scope
of their respective representations and the allocation of
responsibility among them. See Rule 1.2. When making alloca-
tions of responsibility in a matter pending before a tribunal,
lawyers and parties may have additional obligations that are
a matter of law beyond the scope of these Rules.
Maintaining Competence. To maintain the requisite
knowledge and skill, a lawyer should keep abreast of changes
in the law and its practice, including the benefits and risks
associated with relevant technology, engage in continuing
study and education and comply with all continuing legal edu-
cation requirements to which the lawyer is subject.
Rule 1.2. Scope of Representation and Allo-
cation of Authority between Client and
Lawyer
(Amended June 26, 2006, to take effect Jan. 1, 2007.)
(a) Subject to subsections (c) and (d), a lawyer
shall abide by a client’s decisions concerning the
objectives of representation and, as required by
Rule 1.4, shall consult with the client as to the
means by which they are to be pursued. A lawyer
may take such action on behalf of the client as is
impliedly authorized to carry out the representa-
tion. A lawyer shall abide by a client’s decision
whether to settle a matter. In a criminal case, the
lawyer shall abide by the client’s decision, after
consultation with the lawyer, as to a plea to be
entered, whether to waive jury trial and whether
the client will testify. Subject to revocation by the
client and to the terms of the contract, a client’s
decision to settle a matter shall be implied where
the lawyer is retained to represent the client by a
third party obligated under the terms of a contract
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to provide the client with a defense and indemnity
for the loss, and the third party elects to settle a
matter without contribution by the client.
(b) A lawyer’s representation of a client, includ-
ing representation by appointment, does not con-
stitute an endorsement of the client’s political,
economic, social or moral views or activities.
(c) A lawyer may limit the scope of the represen-
tation if the limitation is reasonable under the cir-
cumstances and the client gives informed
consent. Such informed consent shall not be
required when a client cannot be located despite
reasonable efforts where the lawyer is retained
to represent a client by a third party that is obli-
gated by contract to provide the client with a
defense.
(d) A lawyer shall not counsel a client to engage,
or assist a client, in conduct that the lawyer knows
is criminal or fraudulent, but a lawyer may (1)
discuss the legal consequences of any proposed
course of conduct with a client; (2) counsel or
assist a client to make a good faith effort to deter-
mine the validity, scope, meaning or application of
the law; or (3) counsel or assist a client regarding
conduct expressly permitted by Connecticut law,
provided that the lawyer counsels the client about
the legal consequences, under other applicable
law, of the client’s proposed course of conduct.
(P.B. 1978-1997, Rule 1.2.) (Amended June 26, 2006, to
take effect Jan. 1, 2007; amended June 29, 2007, to take
effect Jan. 1, 2008; amended June 13, 2014, to take effect
Jan. 1, 2015.)
COMMENTARY: Allocation of Authority between Client
and Lawyer. Subsection (a) confers upon the client the ulti-
mate authority to determine the purposes to be served by
legal representation, within the limits imposed by law and the
lawyer’s professional obligations. The decisions specified in
subsection (a), such as whether to settle a civil matter, must
also be made by the client. See Rule 1.4 (a) (1) for the lawyer’s
duty to communicate with the client about such decisions. With
respect to the means by which the client’s objectives are to
be pursued, the lawyer shall consult with the client as required
by Rule 1.4 (a) (2) and may take such action as is impliedly
authorized to carry out the representation.
On occasion, however, a lawyer and a client may disagree
about the means to be used to accomplish the client’s objec-
tives. Clients normally defer to the special knowledge and
skill of their lawyer with respect to the means to be used to
accomplish their objectives, particularly with respect to techni-
cal, legal and tactical matters. Conversely, lawyers usually
defer to the client regarding such questions as the expense
to be incurred and concern for third persons who might be
adversely affected. Because of the varied nature of the matters
about which a lawyer and client might disagree and because
the actions in question may implicate the interests of a tribunal
or other persons, this Rule does not prescribe how such dis-
agreements are to be resolved. Other law, however, may be
applicable and should be consulted by the lawyer. The lawyer
should also consult with the client and seek a mutually accept-
able resolution of the disagreement. If such efforts are unavail-
ing and the lawyer has a fundamental disagreement with the
client, the lawyer may withdraw from the representation. See
RULES OF PROFESSIONAL CONDUCTRule 1.2
Rule 1.16 (b) (4). Conversely, the client may resolve the dis-
agreement by discharging the lawyer. See Rule 1.16 (a) (3).
At the outset of a representation, the client may authorize
the lawyer to take specific action on the client’s behalf without
further consultation. Absent a material change in circum-
stances and subject to Rule 1.4, a lawyer may rely on such
an advance authorization. The client may, however, revoke
such authority at any time.
In a case in which the client appears to be suffering dimin-
ished capacity, the lawyer’s duty to abide by the client’s deci-
sions is to be guided by reference to Rule 1.14.
Independence from Client’s Views or Activities. Legal
representation should not be denied to people who are unable
to afford legal services or whose cause is controversial or the
subject of popular disapproval. By the same token, represent-
ing a client does not constitute approval of the client’s views
or activities.
Agreements Limiting Scope of Representation. The
scope of services to be provided by a lawyer may be limited
by agreement with the client or by the terms under which the
lawyer’s services are made available to the client. For exam-
ple, when a lawyer has been retained by an insurer to represent
an insured, the representation may be limited to matters
related to the insurance coverage. A limited representation
may be appropriate because the client has limited objectives
for the representation. In addition, the terms upon which repre-
sentation is undertaken may exclude specific means that might
otherwise be used to accomplish the client’s objectives. Such
limitations may exclude actions that the client thinks are too
costly or that the lawyer regards as repugnant or imprudent.
Nothing in Rule 1.2 shall be construed to authorize limited
appearances before any tribunal unless otherwise authorized
by law or rule.
Although this Rule affords the lawyer and client substantial
latitude to limit the scope of representation, the limitation must
be reasonable under the circumstances. If, for example, a
client’s objective is limited to securing general information
about the law the client needs in order to handle a common
and typically uncomplicated legal problem, the lawyer and
client may agree that the lawyer’s services will be limited to
a brief telephone consultation. Such a limitation, however,
would not be reasonable if the time allotted was not sufficient
to yield advice upon which the client could rely. Although an
agreement for a limited representation does not exempt a
lawyer from the duty to provide competent representation, the
limitation is a factor to be considered when determining the
legal knowledge, skill, thoroughness and preparation reason-
ably necessary for the representation. See Rule 1.1.
All agreements concerning a lawyer’s representation of a
client must accord with the Rules of Professional Conduct and
other law. See, e.g., Rules 1.1, 1.8 and 5.6.
Criminal, Fraudulent and Prohibited Transactions. Sub-
section (d) prohibits a lawyer from knowingly counseling or
assisting a client to commit a crime or fraud. This prohibition,
however, does not preclude the lawyer from giving an honest
opinion about the actual consequences that appear likely to
result from a client’s conduct. Nor does the fact that a client
uses advice in a course of action that is criminal or fraudulent
of itself make a lawyer a party to the course of action. There
is a critical distinction between presenting an analysis of legal
aspects of questionable conduct and recommending the
means by which a crime or fraud might be committed.
When the client’s course of action has already begun and
is continuing, the lawyer’s responsibility is especially delicate.
The lawyer is required to avoid assisting the client, for example,
by drafting or delivering documents that the lawyer knows are
fraudulent or by suggesting how the wrongdoing might be
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concealed. A lawyer may not continue assisting a client in
conduct that the lawyer originally believed legally proper but
then discovers is criminal or fraudulent. The lawyer must,
therefore, withdraw from the representation of the client in the
matter. See Rule 1.16 (a). In some cases, withdrawal alone
might be insufficient. It may be necessary for the lawyer to give
notice of the fact of withdrawal and to disaffirm any opinion,
document, affirmation or the like. See Rule 4.1.
Where the client is a fiduciary, the lawyer may be charged
with special obligations in dealings with a beneficiary.
Subsection (d) applies whether or not the defrauded party
is a party to the transaction. Hence, a lawyer must not partici-
pate in a transaction to effectuate criminal or fraudulent avoid-
ance of tax liability. Subsection (d) does not preclude
undertaking a criminal defense incident to a general retainer
for legal services to a lawful enterprise. Subsection (d) (2)
recognizes that determining the validity or interpretation of a
statute or regulation may require a course of action involving
disobedience of the statute or regulation or of the interpretation
placed upon it by governmental authorities. Subsection (d) (3)
is intended to permit counsel to provide legal services to clients
without being subject to discipline under these Rules notwith-
standing that the services concern conduct prohibited under
federal or other law but expressly permitted under Connecticut
law, e.g., conduct under An Act Concerning the Palliative Use
of Marijuana, Public Act 12-55, effective Oct. 1, 2012. Subsec-
tion (d) (3) shall not provide a defense to a presentment filed
pursuant to Practice Book Section 2-41 against an attorney
found guilty of a serious crime in another jurisdiction.
If a lawyer comes to know or reasonably should know that
a client expects assistance not permitted by the Rules of Pro-
fessional Conduct or other law or if the lawyer intends to act
contrary to the client’s instructions, the lawyer must consult
with the client regarding the limitations on thelawyer’s conduct.
See Rule 1.4 (a) (5).
Rule 1.3. Diligence
A lawyer shall act with reasonable diligence and
promptness in representing a client.
(P.B. 1978-1997, Rule 1.3.)
COMMENTARY: A lawyer must pursue a matter on behalf
of a client despite opposition, obstruction or personal inconve-
nience to the lawyer, and take whatever lawful and ethical
measures are required to vindicate a client’s cause or
endeavor. A lawyer must also act with commitment and dedica-
tion to the interests of the client and with zeal in advocacy
upon the client’s behalf. A lawyer is not bound, however, to
press for every advantage that might be realized for a client.
For example, a lawyer may have authority to exercise profes-
sional discretion in determining the means by which a matter
should be pursued. See Rule 1.2. The lawyer’s duty to act
with reasonable diligence does not require the use of offensive
tactics or preclude the treating of all persons involved in the
legal process with courtesy and respect.
A lawyer’s work load must be controlled so that each matter
can be handled competently.
Perhaps no professional shortcoming is more widely
resented than procrastination. A client’s interests often can
be adversely affected by the passage of time or the change of
conditions; in extreme instances, as when a lawyer overlooks
a statute of limitations, the client’s legal position may be
destroyed. Even when the client’s interests are not affected
in substance, however, unreasonable delay can cause a client
needless anxiety and undermine confidence in the lawyer’s
trustworthiness. A lawyer’s duty to act with reasonable prompt-
ness, however, does not preclude the lawyer from agreeing
RULES OF PROFESSIONAL CONDUCT Rule 1.4
to a reasonable request for a postponement that will not preju-
dice the lawyer’s client.
Unless the relationship is terminated as provided in Rule
1.16, a lawyer should carry through to conclusion all matters
undertaken for a client. If a lawyer’s employment is limited to
a specific matter, the relationship terminates when the matter
has been resolved. If a lawyer has served a client over a
substantial period in a variety of matters, the client sometimes
may assume that the lawyer will continue to serve on a continu-
ing basis unless the lawyer gives notice of withdrawal. Doubt
about whether a client-lawyer relationship still exists should
be clarified by the lawyer, preferably in writing, so that the
client will not mistakenly suppose the lawyer is looking after
the client’s affairs when the lawyer has ceased to do so. For
example, if a lawyer has handled a judicial or administrative
proceeding that produced a result adverse to the client and
the lawyer and the client have not agreed that the lawyer will
handle the matter on appeal, the lawyer must consult with
the client about the possibility of appeal before relinquishing
responsibility for the matter. See Rule 1.4 (a) (2). Whether
the lawyer is obligated to prosecute the appeal for the client
depends on the scope of the representation the lawyer has
agreed to provide to the client. See Rule 1.2.
To prevent neglect of client matters in the event of a sole
practitioner’s death or disability, the duty of diligence may
require that each sole practitioner prepare a plan, in conformity
with applicable rules, that designates another competent law-
yer to review client files, notify each client of the lawyer’s
death or disability, and determine whether there is a need for
immediate protective action. Cf. Rule 28 of the American Bar
Association Model Rules for Lawyer Disciplinary Enforcement
(providing for court appointment of a lawyer to inventory files
and take other protective action in absence of a plan providing
for another lawyer to protect the interests of the clients of a
deceased or disabled lawyer).
Rule 1.4. Communication
(a) A lawyer shall:
(1) promptly inform the client of any decision or
circumstance with respect to which the client’s
informed consent, as defined in Rule 1.0 (f), is
required by these Rules;
(2) reasonably consult with the client about the
means by which the client’s objectives are to be
accomplished;
(3) keep the client reasonably informed about
the status of the matter;
(4) promptly comply with reasonable requests
for information; and
(5) consult with the client about any relevant
limitation on the lawyer’s conduct when the lawyer
knows that the client expects assistance not per-
mitted by the Rules of Professional Conduct or
other law.
(b) A lawyer shall explain a matter to the extent
reasonably necessary to permit the client to make
informed decisions regarding the representation.
(P.B. 1978-1997, Rule 1.4.) (Amended June 26, 2006, to
take effect Jan. 1, 2007.)
COMMENTARY: Reasonable communication between the
lawyer and the client is necessary for the client effectively to
participate in the representation.
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Communicating with Client. If these Rules or other law
require that a particular decision about the representation be
made by the client, subsection (a) (1) requires that the lawyer
promptly consult with and secure the client’s consent prior to
taking action. See Rule 1.2 (a).
Subsection (a) (2) requires the lawyer to reasonably consult
with the client about the means to be used to accomplish the
client’s objectives. In some situations—depending on both the
importance of the action under consideration and the feasibility
of consulting with the client—this duty will require consultation
prior to taking action. In other circumstances, such as during
a trial when an immediate decision must be made, the exigency
of the situation may require the lawyer to act without prior
consultation. In such cases the lawyer must nonetheless act
reasonably to inform the client of actions the lawyer has taken
on the client’s behalf. Additionally, subsection (a) (3) requires
that the lawyer keep the client reasonably informed about the
status of the matter, such as significant developments affecting
the timing or the substance of the representation.
A lawyer’s regular communication with clients will minimize
the occasions on which a client will need to request information
concerning the representation. When a client makes a reason-
able request for information, however, subsection (a) (4)
requires prompt compliance with the request, or if a prompt
response is not feasible, that the lawyer, or a member of the
lawyer’s staff, acknowledge receipt of the request and advise
the client when a response may be expected. A lawyer should
promptly respond to or acknowledge client communications.
Explaining Matters. The client should have sufficient infor-
mation to participate intelligently in decisions concerning the
objectives of the representation and the means by which they
are to be pursued, to the extent the client is willing and able
to do so. Adequacy of communication depends in part on the
kind of advice or assistance that is involved. For example,
when there is time to explain a proposal made in a negotiation,
the lawyer should review all important provisions with the client
before proceeding to an agreement. In litigation, a lawyer
should explain the general strategy and prospects of success
and ordinarily should consult the client on tactics that are likely
to result in significant expense or to injure or coerce others.
On the other hand, a lawyer ordinarily will not be expected to
describe trial or negotiation strategy in detail. The guiding
principle is that the lawyer should fulfill reasonable client
expectations for information consistent with the duty to act in
the client’s best interests, and the client’s overall requirements
as to the character of representation. In certain circumstances,
such as when a lawyer asks a client to consent to a representa-
tion affected by a conflict of interest, the client must give
informed consent, as defined in Rule 1.0 (f).
Ordinarily, the information to be provided is that appropriate
for a client who is a comprehending and responsible adult.
However, fully informing the client according to this standard
may be impracticable, for example, when the client is a child
or suffers from diminished capacity. See Rule 1.14. When the
client is an organization or group, it is often impossible or
inappropriate to inform every one of its members about its
legal affairs; ordinarily, the lawyer should address communica-
tions to the appropriate officials of the organization. See Rule
1.13. Where many routine matters are involved, a system of
limited or occasional reporting may be arranged with the client.
Withholding Information. In some circumstances, a law-
yer may be justified in delaying transmission of information
when the client would be likely to react imprudently to an
immediate communication. Thus, a lawyer might withhold a
psychiatric diagnosis of a client when the examining psychia-
trist indicates that disclosure would harm the client. A lawyer
may not withhold information to serve the lawyer’s own interest
RULES OF PROFESSIONAL CONDUCTRule 1.4
or convenience or the interests or convenience of another
person. Rules or court orders governing litigation may provide
that information supplied to a lawyer may not be disclosed to
the client. Rule 3.4 (3) directs compliance with such rules
or orders.
Rule 1.5. Fees
(a) A lawyer shall not make an agreement for,
charge, or collect an unreasonable fee or an
unreasonable amount for expenses. The factors
to be considered in determining the reasonable-
ness of a fee include the following:
(1) The time and labor required, the novelty and
difficulty of the questions involved, and the skill
requisite to perform the legal service properly;
(2) The likelihood, if made known to the client,
that the acceptance of the particular employment
will preclude other employment by the lawyer;
(3) The fee customarily charged in the locality
for similar legal services;
(4) The amount involved and the results ob-
tained;
(5) The time limitations imposed by the client
or by the circumstances;
(6) The nature and length of the professional
relationship with the client;
(7) The experience, reputation, and ability of
the lawyer or lawyers performing the services; and
(8) Whether the fee is fixed or contingent.
(b) The scope of the representation, the basis
or rate of the fee and expenses for which the client
will be responsible, shall be communicated to the
client, in writing, before or within a reasonable
time after commencing the representation, except
when the lawyer will charge a regularly repre-
sented client on the same basis or rate. Any
changes in the basis or rate of the fee or expenses
shall also be communicated to the client in writing
before the fees or expenses to be billed at higher
rates are actually incurred. In any representation
in which the lawyer and the client agree that the
lawyer will file a limited appearance, the limited
appearance engagement agreement shall also
include the following: identification of the proceed-
ing in which the lawyer will file the limited appear-
ance; identification of the court events for which
the lawyer will appear on behalf of the client; and
notification to the client that after the limited
appearance services have been completed, the
lawyer will file a certificate of completion of limited
appearance with the court, which will serve to
terminate the lawyer’s obligation to the client in
the matter, and as to which the client will have no
right to object. Any change in the scope of the
representation requires the client’s informed con-
sent, shall be confirmed to the client in writing,
and shall require the lawyer to file a new limited
appearance with the court reflecting the change(s)
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in the scope of representation. This subsection
shall not apply to public defenders or in situations
where the lawyer will be paid by the court or a
state agency.
(c) A fee may be contingent on the outcome of
the matter for which the service is rendered,
except in a matter in which a contingent fee is
prohibited by subsection (d) or other law. A contin-
gent fee agreement shall be in a writing signed
by the client and shall state the method by which
the fee is to be determined, including the percent-
age or percentages of the recovery that shall
accrue to the lawyer as a fee in the event of settle-
ment, trial or appeal, whether and to what extent
the client will be responsible for any court costs
and expenses of litigation, and whether such
expenses are to be deducted before or after the
contingent fee is calculated. The agreement must
clearly notify the client of any expenses for which
the client will be liable whether or not the client
is the prevailing party. Upon conclusion of a con-
tingent fee matter, the lawyer shall provide the
client with a written statement stating the outcome
of the matter and, if there is a recovery, showing
the remittance to the client and the method of
its determination.
(d) A lawyer shall not enter into an arrangement
for, charge, or collect:
(1) Any fee in a domestic relations matter, the
payment or amount of which is contingent upon
the securing of a dissolution of marriage or civil
union or upon the amount of alimony or support,
or property settlement in lieu thereof; or
(2) A contingent fee for representing a defend-
ant in a criminal case.
(e) A division of fee between lawyers who are
not in the same firm may be made only if:
(1) The client is advised in writing of the com-
pensation sharing agreement and of the participa-
tion of all the lawyers involved, and does not
object; and
(2) The total fee is reasonable.
(P.B. 1978-1997. Rule 1.5.) (Amended June 26, 2006, to
take effect Jan. 1, 2007; amended June 14, 2013, to take
effect Oct. 1, 2013.)
COMMENTARY: Basis or Rate of Fee. Subsection (a)
requires that lawyers charge fees that are reasonable under
the circumstances. The factors specified in (1) through (8) are
not exclusive. Nor will each factor be relevant in each instance.
Subsection (a) also requires that expenses for which the client
will be charged must be reasonable. A lawyer may seek reim-
bursement for the cost of services performed in-house, such
as copying, or for other expenses incurred in-house, such as
telephone charges, either by charging a reasonable amount
to which the client has agreed in advance or by charging an
amount that reasonably reflects the cost incurred by the
lawyer.
When the lawyer has regularly represented a client, the
lawyer and the client ordinarily will have evolved an under-
standing concerning the basis or rate of the fee and the
RULES OF PROFESSIONAL CONDUCT Rule 1.6
expenses for which the client will be responsible. In a new
client-lawyer relationship, however, an understanding as to
fees and expenses must be promptly established. Generally,
it is desirable to furnish the client with at least a simple memo-
randum or copy of the lawyer’s customary fee arrangements
that states the general nature of the legal services to be pro-
vided, the basis, rate or total amount of the fee and whether
and to what extent the client will be responsible for any costs,
expenses or disbursements in the course of the representa-
tion. A written statement concerning the terms of the engage-
ment reduces the possibility of misunderstanding. Absent
extraordinary circumstances, the lawyer should send the writ-
ten fee statement to the client before any substantial services
are rendered, but in any event, not later than ten days after
commencing the representation.
Contingent fees, like any other fees, are subject to the
reasonableness standard of subsection (a) of this Rule. In
determining whether a particular contingent fee is reasonable,
or whether it is reasonable to charge any form of contingent
fee, a lawyer must consider the factors that are relevant under
the circumstances. Applicable law may impose limitations on
contingent fees, such as a ceiling on the percentage allowable,
or may require a lawyer to offer clients an alternative basis
for the fee. Applicable law also may apply to situations other
than a contingent fee, for example, government regulations
regarding fees in certain tax matters. Inmatters where a contin-
gent fee agreement has been signed by the client and is
in accordance with General Statutes § 52-251c, the fee is
presumed to be reasonable.
Terms of Payment. A lawyer may require advance pay-
ment of a fee, but is obliged to return any unearned portion.
See Rule 1.16 (d). A lawyer may accept property in payment
for services, such as an ownership interest in an enterprise,
providing this does not involve acquisition of a proprietary
interest in the cause of action or subject matter of the litigation
contrary to Rule 1.8 (i). However, a fee paid in property instead
of money may be subject to the requirements of Rule 1.8 (a)
because such fees often have the essential qualities of a
business transaction with the client.
An agreement may not be made whose terms might induce
the lawyer improperly to curtail services for the client or perform
them in a way contrary to the client’s interest. For example,
a lawyer should not enter into an agreement whereby services
are to be provided only up to a stated amount when it is
foreseeable that more extensive services probably will be
required, unless the situation is adequately explained to the
client. Otherwise, the client might have to bargain for further
assistance in the midst of a proceeding or transaction. How-
ever, it is proper to define the extent of services in light of
the client’s ability to pay. A lawyer should not exploit a fee
arrangement based primarily on hourly charges by using
wasteful procedures.
Prohibited Contingent Fees. Subsection (d) prohibits a
lawyer from charging a contingent fee in a domestic relations
matter when payment is contingent upon the securing of a
divorce or upon the amount of alimony or support or property
settlement to be obtained. This provision does not preclude
a contract for a contingent fee for legal representation in con-
nection with the recovery of postjudgment balances due under
support, alimony or other financial orders because such con-
tracts do not implicate the same policy concerns.
Division of Fee. A division of fee is a single billing to a
client covering the fee of two or more lawyers who are not in
the same firm. A division of fee facilitates association of more
than one lawyer in a matter in which neither alone could serve
the client as well and most often is used when the fee is
contingent and the division is between a referring lawyer and
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a trial specialist. Contingent fee agreements must be in writing
signed by the client and must otherwise comply with subsec-
tion (c) of this Rule. A lawyer should only refer a matter to
a lawyer whom the referring lawyer reasonably believes is
competent to handle the matter. See Rule 1.1.
Subsection (e) does not prohibit or regulate divisions of
fees to be received in the future for work done when lawyers
were previously associated in a law firm.
Disputes over Fees. If an arbitration or mediation proce-
dure such as that in Practice Book Section 2-32 (a) (3) has
been established for resolution of fee disputes, the lawyer
must comply with the procedure when it is mandatory, and,
even when it is voluntary, the lawyer should conscientiously
consider submitting to it. Law may prescribe a procedure for
determining a lawyer’s fee, for example, in representation of
an executor or administrator, a class or a person entitled to
a reasonable fee as part of the measure of damages. The
lawyer entitled to such a fee and a lawyer representing another
party concerned with the fee should comply with the pre-
scribed procedure.
Rule 1.6. Confidentiality of Information
(a) A lawyer shall not reveal information relating
to representation of a client unless the client gives
informed consent, the disclosure is impliedly
authorized in order to carry out the representation,
or the disclosure is permitted by subsection (b),
(c), or (d).
(b) A lawyer shall reveal such information to the
extent the lawyer reasonably believes necessary
to prevent the client from committing a criminal
or fraudulent act that the lawyer believes is likely
to result in death or substantial bodily harm.
(c) A lawyer may reveal such information to the
extent the lawyer reasonably believes neces-
sary to:
(1) Prevent the client from committing a criminal
or fraudulent act that the lawyer believes is likely
to result in substantial injury to the financial inter-
est or property of another;
(2) Prevent, mitigate or rectify the consequence
of a client’s criminal or fraudulent act in the com-
mission of which the lawyer’s services had
been used;
(3) Secure legal advice about the lawyer’s com-
pliance with these Rules;
(4) Comply with other law or a court order.
(5) Detect and resolve conflicts of interest aris-
ing from the lawyer’s change of employment or
from changes in the composition or ownership of
a firm, but only if the revealed information would
not compromise the attorney-client privilege or
otherwise prejudice the client.
(d) A lawyer may reveal such information to
establish a claim or defense on behalf of the law-
yer in a controversy between the lawyer and the
client, to establish a defense to a criminal charge
or civil claim against the lawyer based upon con-
duct in which the client was involved, or to respond
RULES OF PROFESSIONAL CONDUCTRule 1.6
to allegations in any proceeding concerning the
lawyer’s representation of the client.
(e) A lawyer shall make reasonable efforts to
prevent the inadvertent or unauthorized disclo-
sure of, or unauthorized access to, information
relating to the representation of a client.
(P.B. 1978-1997, Rule 1.6.) (Amended June 26, 2006, to
take effect Jan. 1, 2007; amended June 14, 2013, to take
effect Jan. 1, 2014.)
COMMENTARY: This Rule governs the disclosure by a
lawyer of information relating to the representation of a client
during the lawyer’s representation of the client. See Rule 1.18
for the lawyer’s duties with respect to information provided to
the lawyer by a prospective client, Rule 1.9 (c) (2) for the
lawyer’s duty not to reveal information relating to the lawyer’s
prior representation of a former client and Rules 1.8 (b) and
1.9 (c) (1) for the lawyer’s duties with respect to the use of such
information to the disadvantage of clients and former clients.
A fundamental principle in the client-lawyer relationship is
that, in the absence of the client’s informed consent, the lawyer
must not reveal information relating to the representation. See
Rule 1.0 (f) for the definition of informed consent. This contri-
butes to the trust that is the hallmark of the client-lawyer rela-
tionship. The client is thereby encouraged to seek legal
assistance and to communicate fully and frankly with the law-
yer even as to embarrassing or legally damaging subject mat-
ter. The lawyer needs this information to represent the client
effectively and, if necessary, to advise the client to refrain from
wrongful conduct. Almost without exception, clients come to
lawyers in order to determine their rights and what is, in the
complex of laws and regulations, deemed to be legal and
correct. Based upon experience, lawyers know that almost all
clients follow the advice given, and the law is upheld.
The principle of client-lawyer confidentiality is given effect
by related bodies of law, the attorney-client privilege, the work
product doctrine and the Rule of confidentiality established
in professional ethics. The attorney-client privilege and work
product doctrine apply in judicial and other proceedings in
which a lawyer may be called as a witness or otherwise
required to produce evidence concerning a client. The Rule
of client-lawyer confidentiality applies in situations other than
those where evidence is sought from the lawyer through com-
pulsion of law. The confidentiality Rule, for example, applies
not only to matters communicated in confidence by the client
but also to all information relating to the representation, what-
ever its source. A lawyer may not disclose such information
except as authorized or required by the Rules of Professional
Conduct or other law. See also Scope.
Subsection (a) prohibits a lawyer from revealing information
relating to the representation of a client. This prohibition also
applies to disclosures by a lawyer that do not in themselves
reveal protected information but could reasonably lead to the
discovery of such information by a third person. A lawyer’s
use of a hypothetical to discuss issues relating to the represen-
tation is permissible so long as there is no reasonable likeli-
hood that the listener will be able to ascertain the identity of
the client or the situation involved.
Authorized Disclosure. Except to the extent that the cli-
ent’s instructions or special circumstances limit that authority,
a lawyer is impliedly authorized to make disclosures about a
client when appropriate in carrying out the representation.
In some situations, for example, a lawyer may be impliedly
authorized to admit a fact that cannot properly be disputed to
make a disclosure that facilitates a satisfactory conclusion to
a matter. Lawyers in a firm may, in the course of the firm’s
practice, disclose to each other information relating to a client
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of the firm, unless the client has instructed that particular
information be confined to specific lawyers.
Disclosure Adverse to Client. Although the public interest
is usually best served by a strict rule requiring lawyers to
preserve the confidentiality of information relating to the repre-
sentation of their clients, the confidentiality Rule is subject to
limited exceptions. Subsection (b) recognizes the overriding
value of life and physical integrity and requires disclosure in
certain circumstances.
Subsection (c) (1) is a limited exception to the Rule of
confidentiality that permits the lawyer to reveal information to
the extent necessary to enable affected persons or appropriate
authorities to prevent the client from committing a crime or
fraud, as defined in Rule 1.0 (e), that is likely to result in
substantial injury to the financial or property interests of
another. Such a serious abuse of the client-lawyer relationship
by the client forfeits the protection of this Rule. The client
can, of course, prevent such disclosure by refraining from the
wrongful conduct. Although subsection (c) (1) does not require
the lawyer to reveal the client’s misconduct, the lawyer may
not counsel or assist the client in conduct the lawyer knows
is criminal or fraudulent. See Rule 1.2 (d). See also Rule 1.16
with respect to the lawyer’s obligation or right to withdraw from
the representation of the client in such circumstances, and
Rule 1.13 (c), which permits the lawyer, where the client is
an organization, to reveal information relating to the represen-
tation in limited circumstances.
Subsection (c) (2) addresses the situation in which the
lawyer does not learn of the client’s crime or fraud until after
it has been consummated. Although the client no longer has
the option of preventing disclosure by refraining from the
wrongful conduct, there will be situations in which the loss
suffered by the affected person can be prevented, rectified or
mitigated. In such situations, the lawyer may disclose informa-
tion relating to the representation to the extent necessary to
enable the affected persons to prevent or mitigate reasonably
certain losses or to attempt to recoup their losses. Subsection
(c) (2) does not apply when a person who has committed a
crime or fraud thereafter employs a lawyer for representation
concerning that offense.
A lawyer’s confidentiality obligations do not preclude a law-
yer from securing confidential legal advice about the lawyer’s
personal responsibility to comply with these Rules. In most
situations, disclosing information to secure such advice will
be impliedly authorized for the lawyer to carry out the represen-
tation. Even when the disclosure is not impliedly authorized,
subsection (c) (3) permits such disclosure because of the
importance of a lawyer’s compliance with the Rules of Profes-
sional Conduct. The lawyer’s right to disclose such information
to a second lawyer pursuant to subsection (c) (3) does not
give the second lawyer the duty or right to disclose such
information under subsections (b), (c) and (d). The first law-
yer’s client does not become the client of the second lawyer
just because the first lawyer seeks the second lawyer’s advice
under (c) (3).
Subsection (c) (5) recognizes that lawyers in different firms
may need to disclose limited information to each other to detect
and resolve conflicts of interest, such as when a lawyer is
considering an association with another firm, two or more
firms are considering a merger, or a lawyer is considering the
purchase of a law practice. See Rule 1.17, commentary. Under
these circumstances, lawyers and law firms are permitted to
disclose limited information, but only once substantive discus-
sions regarding the new relationship have occurred. Any such
disclosure should ordinarily include no more than the identity
of the persons and entities involved in a matter, a brief sum-
mary of the general issues involved, and information about
RULES OF PROFESSIONAL CONDUCT Rule 1.6
whether the matter has terminated. Even this limited informa-
tion, however, should be disclosed only to the extent reason-
ably necessary to detect and resolve conflicts of interest that
might arise from the possible new relationship. Moreover, the
disclosure of any information is prohibited if it would compro-
mise the attorney-client privilege or otherwise prejudice the
client (e.g., the fact that a corporate client is seeking advice
on a corporate takeover that has not been publicly announced,
that a person consulted a lawyer aboutthe possibility of divorce
before the person’s intentions are known to the person’s
spouse, or that a person has consulted a lawyer about a
criminal investigation that has not led to a public charge).
Under those circumstances, subsection (a) prohibits disclo-
sure unless the client or former client gives informed consent.
A lawyer’s fiduciary duty to the lawyer’s firm may also govern
a lawyer’s conduct when exploring an association with another
firm and is beyond the scope of these Rules. Any information
disclosed pursuant to subsection (c) (5) may be used or further
disclosed only to the extent necessary to detect and resolve
conflicts of interest. Subsection (c) (5) does not restrict the
use of information acquired by means independent of any
disclosure pursuant to subsection (c) (5). Subsection (c) (5)
also does not affect the disclosure of information within a law
firm when the disclosure is otherwise authorized, suchas when
a lawyer in a firm discloses information to another lawyer in
the same firm to detect and resolve conflicts of interest that
could arise in connection with undertaking a new represen-
tation.
Where a legal claim or disciplinary charge alleges complicity
of the lawyer in a client’s conduct or other misconduct of the
lawyer involving representation of the client, the lawyer may
respond to the extent the lawyer reasonably believes neces-
sary to establish a defense. The same is true with respect to
a claim involving the conduct or representation of a former
client. Such a charge can arise in a civil, criminal, disciplinary
or other proceeding and can be based on a wrong allegedly
committed by the lawyer against the client or on a wrong
alleged by a third person, for example, a person claiming to
have been defrauded by the lawyer and client acting together.
The lawyer’s right to respond arises when an assertion of such
complicity has been made. Subsection (d) does not require
the lawyer to await the commencement of an action or pro-
ceeding that charges such complicity, so that the defense may
be established by responding directly to a third party who has
made such an assertion. The right to defend also applies, of
course, where a proceeding has been commenced.
A lawyer entitled to a fee is permitted by subsection (d) to
prove the services rendered in an action to collect it. This
aspect of the rule expresses the principle that the beneficiary
of a fiduciary relationship may not exploit it to the detriment
of the fiduciary.
Other law may require that a lawyer disclose information
about a client. Whether such a law supersedes Rule 1.6 is
a question of law beyond the scope of these Rules. When
disclosure of information relating to the representation appears
to be required by other law, the lawyer must discuss the matter
with the client to the extent required by Rule 1.4. If, however,
the other law supersedes this Rule and requires disclosure,
subsection (c) (4) permits the lawyer to make such disclosures
as are necessary to comply with the law.
A lawyer may be ordered to reveal information relating to
the representation of a client by a court or by another tribunal
or governmental entity claiming authority pursuant to other
law to compel the disclosure. Absent informed consent of the
client to do otherwise, the lawyer should assert on behalf of
the client all nonfrivolous claims that the order is not authorized
by other law or that the information sought is protected against
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disclosure by the attorney-client privilege or other applicable
law. In the event of an adverse ruling, the lawyer must consult
with the client about the possibility of appeal to the extent
required by Rule 1.4. Unless review is sought, however, sub-
section (c) (4) permits the lawyer to comply with the court’s
order.
Subsection (b) requires and subsection (c) permits disclo-
sure only to the extent the lawyer reasonably believes the
disclosure is necessary to accomplish one of the purposes
specified. Where practicable, the lawyer should first seek to
persuade the client to take suitable action to obviate the need
for disclosure. In any case, a disclosure adverse to the client’s
interest should be no greater than the lawyer reasonably
believes necessary to accomplish the purpose. If the disclo-
sure will be made in connection with a judicial proceeding,
the disclosure should be made in a manner that limits access
to the information to the tribunal or other persons having a
need to know it and appropriate protective orders or other
arrangements should be sought by the lawyer to the fullest
extent practicable.
Subsection (c) permits but does not require the disclosure
of information relating to a client’s representation to accom-
plish the purposes specified in subsections (c) (1) through (c)
(4). In exercising the discretion conferred by this Rule, the
lawyer may consider such factors as the nature of the lawyer’s
relationship with the client and with those who might be injured
by the client, the lawyer’s own involvement in the transaction
and factors that may extenuate the conduct in question. A
lawyer’s decision not to disclose as permitted by subsection
(c) does not violate this Rule. Disclosure may be required,
however, by other Rules. Some Rules require disclosure only
if such disclosure would be permitted by subsection (b). See
Rules 1.2 (d), 4.1 (b), 8.1 and 8.3. Rule 3.3, on the other
hand, requires disclosure in some circumstances regardless
of whether such disclosure is permitted by this Rule. See Rule
3.3 (c).
Acting Competently to Preserve Confidentiality. Sub-
section (e) requires a lawyer to act competently to safeguard
information relating to the representation of a client against
inadvertent or unauthorized disclosure by the lawyer or other
persons who are participating in the representation of the client
or who are subject to the lawyer’s supervision. See Rules 1.1,
5.1 and 5.3. The unauthorized access to, or the inadvertent
or unauthorized disclosure of, information relating to the repre-
sentation of a client does not constitute a violation of subsec-
tion (e) if the lawyer has made reasonable efforts to prevent
the access or disclosure. Factors to be considered in determin-
ing the reasonableness of the lawyer’s efforts include, but are
not limited to, the sensitivity of the information, the likelihood
of disclosure if additional safeguards are not employed, the
cost of employing additional safeguards, the difficulty of imple-
menting the safeguards, and the extent to which the safe-
guards adversely affect the lawyer’s ability to represent clients
(e.g., by making a device or important piece of software exces-
sively difficult to use). A client may require the lawyer to imple-
ment special security measures not required by this Rule or
may give informed consent to forgo security measures that
would otherwise be required by this Rule. Whether a lawyer
may be required to take additional steps to safeguard a client’s
information in order to comply with other law, such as state and
federal laws that govern data privacy or thatimpose notification
requirements upon the loss of, or unauthorized access to,
electronic information, is beyond the scope of these Rules. For
a lawyer’s duties when sharing information with nonlawyers
outside the lawyer’s own firm, see Rule 5.3, commentary.
When transmitting a communication that includes informa-
tion relating to the representation of a client, the lawyer must
RULES OF PROFESSIONAL CONDUCTRule 1.6
take reasonable precautions to prevent the information from
coming into the hands of unintended recipients. This duty,
however, does not require that the lawyer use special security
measures if the method of communication affords a reason-
able expectation of privacy. Special circumstances, however,
may warrant special precautions. Factors to be considered in
determining the reasonableness of the lawyer’s expectation
of confidentiality include the sensitivity of the information and
the extent to which the privacy of the communication is pro-
tected by law or by a confidentiality agreement. A client may
require the lawyer to implement special security measures not
required by this Rule or may give informed consent to the
use of a means of communication that would otherwise be
prohibited by this Rule. Whether a lawyer may be required to
take additional steps in order to comply with other law, such
as state and federal laws that govern data privacy, is beyond
the scope of these Rules.
Former Client. The duty of confidentiality continues after
the client-lawyer relationship has terminated. See Rule 1.9 (c)
(2). See Rule 1.9 (c) (1) for the prohibition against using such
information to the disadvantage of the former client.
Rule 1.7. Conflict of Interest: Current Clients
(Amended June 26, 2006, to take effect Jan. 1, 2007.)
(a) Except as provided in subsection (b), a law-
yer shall not represent a client if the representation
involves a concurrent conflict of interest. A concur-
rent conflict of interest exists if:
(1) the representation of one client will be
directly adverse to another client; or
(2) there is a significant risk that the representa-
tion of one or more clients will be materially limited
by the lawyer’s responsibilities to another client,
a former client or a third person or by a personal
interest of the lawyer.
(b) Notwithstanding the existence of a concur-
rent conflict of interest under subsection (a), a
lawyer may represent a client if:
(1) the lawyer reasonably believes that the law-
yer will be able to provide competent and diligent
representation to each affected client;
(2) the representation is not prohibited by law;
(3) the representation does not involve the
assertion of a claim by one client against another
client represented by the lawyer in the same litiga-
tion or the same proceeding before any tribu-
nal; and
(4) each affected client gives informed consent,
confirmed in writing.
(P.B. 1978-1997, Rule 1.7.) (Amended June 26, 2006, to
take effect Jan. 1, 2007.)
COMMENTARY: General Principles. Loyalty and inde-
pendent judgment are essential elements in the lawyer’s rela-
tionship to a client. Concurrent conflicts of interest can arise
from the lawyer’s responsibilities to another client, a former
client or a third person or from the lawyer’s own interests. For
specific Rules regarding certain concurrent conflicts of interest,
see Rule 1.8. For former client conflicts of interest, see Rule
1.9. For conflicts of interest involving prospective clients, see
Rule 1.18. For definitions of ‘‘informed consent’’ and ‘‘con-
firmed in writing,’’ see Rule 1.0 (f) and (c).
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Resolution of a conflict of interest problem under this Rule
requires the lawyer to: 1) clearly identify the client or clients;
2) determine whether a conflict of interest exists; 3) decide
whether the representation may be undertaken despite the
existence of a conflict, i.e., whether the conflict is consentable;
and 4) if so, consult with the clients affected under subsection
(a) and obtain their informed consent, confirmed in writing.
The clients affected under subsection (a) include both of the
clients referred to in subsection (a) (1) and the one or more
clients whose representation might be materially limited under
subsection (a) (2).
A conflict of interest may exist before representation is
undertaken, in which event the representation must be
declined, unless the lawyer obtains the informed consent of
each client under the conditions of subsection (b). To deter-
mine whether a conflict of interest exists, a lawyer should
adopt reasonable procedures, appropriate for the size and
type of firm and practice, to determine in both litigation and
nonlitigation matters the persons and issues involved. See
also Commentary to Rule 5.1. Ignorance caused by a failure
to institute such procedures will not excuse a lawyer’s violation
of this Rule. As to whether a client-lawyer relationship exists
or, having once been established, is continuing, see Commen-
tary to Rule 1.3 and Scope.
If a conflict arises after representation has been undertaken,
the lawyer ordinarily must withdraw from the representation,
unless the lawyer has obtained the informed consent of the
client under the conditions of subsection (b). See Rule 1.16.
Where more than one client is involved, whether the lawyer
may continue to represent any of the clients is determined
both by the lawyer’s ability to comply with duties owed to the
former client and by the lawyer’s ability torepresent adequately
the remaining client or clients, given the lawyer’s duties to the
former client. See Rule 1.9; see also the next paragraph in
this Commentary and the first paragraph under the ‘‘Special
Considerations in Common Representation’’ heading, below.
Unforeseeable developments, such as changes in corpo-
rate and other organizational affiliations or the addition or
realignment of parties in litigation, might create conflicts in the
midst of a representation, as when a company sued by the
lawyer on behalf of one client is bought by another client
represented by the lawyer in an unrelated matter. Depending
on the circumstances, the lawyer may have the option to with-
draw from one of the representations in order to avoid the
conflict. The lawyer must seek court approval where necessary
and take steps to minimize harm to the clients. See Rule 1.16.
The lawyer must continue to protect the confidences of the
client from whose representation the lawyer has withdrawn.
See Rule 1.9 (c).
Identifying Conflicts of Interest: Directly Adverse. Loy-
alty to a current client prohibits undertaking representation
directly adverse to that client without that client’s informed
consent. Thus, absent consent, a lawyer may not act as advo-
cate in one matter against a person the lawyer represents in
some other matter, even when the matters are wholly unre-
lated. The client as to whom the representation is directly
adverse is likely to feel betrayed, and the resulting damage
to the client-lawyer relationship is likely to impair the lawyer’s
ability to represent the client effectively. In addition, the client
on whose behalf the adverse representation is undertaken
reasonably may fear that the lawyer will pursue that client’s
case less effectively out of deference to the other client, i.e.,
that the representation may be materially limited by the law-
yer’s interest in retaining the current client. Similarly, a directly
adverse conflict may arise when a lawyer is required to cross-
examine a client who appears as a witness in a lawsuit involv-
ing another client, as when the testimony will be damaging to
RULES OF PROFESSIONAL CONDUCT Rule 1.7
the client who is represented in the lawsuit. On the other hand,
simultaneous representation in unrelated matters of clients
whose interests are only economically adverse, such as repre-
sentation of competing economic enterprises in unrelated liti-
gation, does not ordinarily constitute a conflict of interest and
thus may not require consent of the respective clients.
Directly adverse conflicts can also arise in transactional
matters. For example, if a lawyer is asked to represent the
seller of a business in negotiations with a buyer represented
by the lawyer, not in the same transaction but in another,
unrelated matter, the lawyer could not undertake the represen-
tation without the informed consent of each client.
Identifying Conflicts of Interest: Material Limitation.
Even where there is no direct adverseness,a conflict of interest
exists if there is a significant risk that a lawyer’s ability to
consider, recommend or carry out an appropriate course of
action for the client will be materially limited as a result of the
lawyer’s other responsibilities or interests. For example, a
lawyer asked to represent several individuals seeking to form
a joint venture is likely to be materially limited in the lawyer’s
ability to recommend or advocate all possible positions that
each might take because of the lawyer’s duty of loyalty to the
others. The conflict in effect forecloses alternatives that would
otherwise be available to the client. The mere possibility of
subsequent harm does not itself require disclosure and con-
sent. The critical questions are the likelihood that a difference
in interests will eventuate and, if it does, whether it will materi-
ally interfere with the lawyer’s independent professional judg-
ment in considering alternatives or foreclose courses of action
that reasonably should be pursued on behalf of the client.
Lawyer’s Responsibilities to Former Clients and Other
Third Persons. In addition to conflicts with other current cli-
ents, a lawyer’s duties of loyalty and independence may be
materially limited by responsibilities to former clients under
Rule 1.9 or by the lawyer’s responsibilities to other persons,
such as fiduciary duties arising from a lawyer’s service as a
trustee, executor or corporate director.
Personal Interest Conflicts. The lawyer’s own interests
must not be permitted to have an adverse effect on representa-
tion of a client. For example, if the probity of a lawyer’s own
conduct in a transaction is in seriousquestion, it may be difficult
or impossible for the lawyer to give a client detached advice.
Similarly, when a lawyer has discussions concerning possible
employment with an opponent of the lawyer’s client, or with
a law firm representing the opponent, such discussions could
materially limit the lawyer’s representation of the client. In
addition, a lawyer may not allow related business interests to
affect representation, for example, by referring clients to an
enterprise in which the lawyer has an undisclosed financial
interest. See Rule 1.8 for specific Rules pertaining to a number
of personal interest conflicts, including business transactions
with clients; see also Rule 1.10 (personal interest conflicts
under Rule 1.7 ordinarily are not imputed to other lawyers in
a law firm).
When lawyers representing different clients in the same
matter or in substantially related matters are closely related
by blood or marriage, there may be a significant risk that
client confidences will be revealed and that the lawyer’s family
relationship will interfere with both loyalty and independent
professional judgment. As a result, each client is entitled to
know of the existence and implications of the relationship
between the lawyers before the lawyer agrees to undertake
the representation. Thus, a lawyer related to another lawyer,
e.g., as parent, child, sibling or spouse, ordinarily may not
represent a client in a matter where that lawyer is representing
another party, unless each client gives informed consent. The
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disqualification arising from a close family relationship is per-
sonal and ordinarily is not imputed to members of firms with
whom the lawyers are associated. See Rule 1.10.
A lawyer is prohibited from engaging in a sexual relationship
with a client unless the sexual relationship predates the forma-
tion of the client-lawyer relationship. See Rule 1.8 (j).
Interest of Person Paying for a Lawyer’s Service. A
lawyer may be paid from a source other than the client, includ-
ing a co-client, if the client is informed of that fact and consents
and the arrangement does not compromise the lawyer’s duty
of loyalty or independent judgment to the client. See Rule
1.8 (f). If acceptance of the payment from any other source
presents a significant risk that the lawyer’s representation of
the client will be materially limited by the lawyer’s own interest
in accommodating the person paying the lawyer’s fee or by
the lawyer’s responsibilities to a payer who is also a co-client,
then the lawyer must comply with the requirements of subsec-
tion (b) before accepting the representation, including
determining whether the conflict is consentable and, if so, that
the client has adequate information about the material risks
of the representation.
Prohibited Representations. Ordinarily, clients may con-
sent to representation notwithstanding a conflict. However, as
indicated in subsection (b), some conflicts are noncon-
sentable, meaning that the lawyer involved cannot properly
ask for such agreement or provide representation on the basis
of the client’s consent. When the lawyer is representing more
than one client, the question of consentability must be resolved
as to each client.
Consentability is typically determined by considering
whether the interests of the clients will be adequately protected
if the clients are permitted to give their informed consent to
representation burdened by a conflict of interest. Thus, under
subsection (b) (1), representation is prohibited if in the circum-
stances the lawyer cannot reasonably conclude that the lawyer
will be able to provide competent and diligent representation.
See Rule 1.1 (competence) and Rule 1.3 (diligence).
Subsection (b) (2) describes conflicts that are noncon-
sentable because the representation is prohibited by applica-
ble law.
Subsection (b) (3) describes conflicts that are noncon-
sentable because of the institutional interest in vigorous devel-
opment of each client’s position when the clients are aligned
directly against each other in the same litigation or the same
proceeding before any tribunal. Whether clients are aligned
directly against each other within the meaning of this para-
graph requires examination of the context of the proceeding.
Although this paragraph does not preclude a lawyer’s multiple
representation of adverse parties to a mediation (because
mediation is not a proceeding before a ‘‘tribunal’’ under Rule
1.0 [n]), such representation may be precluded by subsection
(b) (1).
Informed Consent. Informed consent requires that each
affected client be aware of the relevant circumstances and of
the material and reasonably foreseeable ways that the conflict
could have adverse effects on the interests of that client. See
Rule 1.0 (f) (informed consent). The information required
depends on the nature of the conflict and the nature of the
risks involved. When representation of multiple clients in a
single matter is undertaken, the information must include the
implications of the common representation, including possible
effects on loyalty,confidentiality and the attorney-client privi-
lege and the advantages and risks involved. See second and
third paragraphs under the ‘‘Special Considerations in Com-
mon Representation’’ heading in this Commentary, below
(effect of common representation on confidentiality).
RULES OF PROFESSIONAL CONDUCTRule 1.7
Under some circumstances it may be impossible to make
the disclosure necessary to obtain consent. For example,
when the lawyer represents different clients in related matters
and one of the clients refuses to consent to the disclosure
necessary to permit the other client to make an informed deci-
sion, the lawyer cannot properly ask the latter to consent. In
some cases the alternative to common representation can be
that each party may have to obtain separate representation
with the possibility of incurring additional costs. These costs,
along with the benefits of securing separate representation,
are factors that may be considered by the affected client in
determining whether common representation is in the cli-
ent’s interests.
Consent Confirmed in Writing. Subsection (b) requires
the lawyer to obtain the informed consent of the client, con-
firmed in writing. Such a writing may consist of a document
executed by the client or one that the lawyer promptly records
and transmits to the client following an oral consent. See
Rule 1.0 (c); see also Rule 1.0 (o) (writing includes electronic
transmission). If it is not feasible to obtain or transmit the
writing at the time the client gives informed consent, then the
lawyer must obtain or transmit it within a reasonable time
thereafter. See Rule 1.0 (c). The requirement of a writing does
not supplant the need in most cases for the lawyer to talk
with the client, to explain the risks and advantages, if any, of
representation burdened with a conflict of interest, as well as
reasonably available alternatives, and to afford the client a
reasonable opportunity to consider the risks and alternatives
and to raise questions and concerns. Rather, the writing is
required in order to impress upon clients the seriousness of
the decision the client is being asked to make and to avoid
disputes or ambiguities that might later occur in the absence
of a writing.
Revoking Consent. A client who has given consent to a
conflict may revoke the consent and, like any other client, may
terminate the lawyer’s representation at any time. Whether
revoking consent to the client’s own representation precludes
the lawyer from continuing to represent other clients depends
on the circumstances, including the nature of the conflict,
whether the client revoked consent because of a material
change in circumstances, the reasonable expectations of the
other clients and whether material detriment to the other clients
or the lawyer would result.
Consent to Future Conflict. Whether a lawyer may prop-
erly request a client to waive conflicts that might arise in the
future is subject to the test of subsection (b). The effectiveness
of such waivers is generally determined by the extent to which
the client reasonably understands the material risks that the
waiver entails. The more comprehensive the explanation of
the types of future conflicts that might arise and the actual
and reasonably foreseeable adverse consequences of those
conflicts, the greater the likelihood that the client will have the
requisite understanding. Thus, if the client agrees to consent
to a particular type of conflict with which the client is already
familiar, then the consent ordinarily will be effective with regard
to that type of conflict. If the consent is general and open-
ended, then the consent ordinarily will be ineffective, because
it is not reasonably likely that the client will have understood
the material risks involved. On the other hand, if the client is
an experienced user of the legal services involved and is
reasonably informed regarding the risk that a conflict may
arise, such consent is more likely to be effective, particularly
if, e.g., the client is independently represented by other counsel
in giving consent and the consent is limited to future conflicts
unrelated to the subject of the representation. In any case,
advance consent cannot be effective if the circumstances that
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materialize in the future are such as would make the conflict
nonconsentable under subsection (b).
Conflicts in Litigation. Subsection (b) (3) prohibits repre-
sentation of opposing parties in the same litigation, regardless
of the clients’ consent. On the other hand, simultaneous repre-
sentation of parties whose interests in litigation may conflict,
such as coplaintiffs or codefendants, is governed by subsec-
tion (a) (2). A conflict may exist by reason of substantial dis-
crepancy in the parties’ testimony, incompatibility in positions
in relation to an opposing party or the fact that there are
substantially different possibilities of settlement of the claims
or liabilities in question. Such conflicts can arise in criminal
cases as well as civil. The potential for conflict of interest in
representing multiple defendants in a criminal case is so grave
that ordinarily a lawyer should decline to represent more than
one codefendant. On the other hand, common representation
of persons having similar interests in civil litigation is proper
if the requirements of subsection (b) are met.
Ordinarily, a lawyer may take inconsistent legal positions
in different tribunals at different times on behalf of different
clients. The mere fact that advocating a legal position on behalf
of one client might create precedent adverse to the interests
of a client represented by the lawyer in an unrelated matter
does not create a conflict of interest. A conflict of interest
exists, however, if there is a significant risk that a lawyer’s
action on behalf of one client will materially limit the lawyer’s
effectiveness in representing another client in a different case;
for example, when a decision favoring one client will create
a precedent likely to seriously weaken the position taken on
behalf of the other client. Factors relevant in determining
whether the clients need to be advised of the risk include:
where the cases are pending, whether the issue is substantive
or procedural, the temporal relationship between the matters,
the significance of the issue to the immediate and long-term
interests of the clients involved and the clients’ reasonable
expectations in retaining the lawyer. If there is significant risk
of material limitation, then absent informed consent of the
affected clients, the lawyer must refuse one of the representa-
tions or withdraw from one or both matters.
When a lawyer represents or seeks to represent a class of
plaintiffs or defendants in a class action lawsuit, unnamed
members of the class are ordinarily not considered to be clients
of the lawyer for purposes of applying subsection (a) (1) of
this Rule. Thus, the lawyer does not typically need to get the
consent of such a person before representing a client suing
the person in an unrelated matter. Similarly, a lawyer seeking
to represent an opponent in a class action does not typically
need the consent of an unnamed member of the class whom
the lawyer represents in an unrelated matter.
Nonlitigation Conflicts. Conflicts of interest under subsec-
tions (a) (1) and (a) (2) arise in contexts other than litigation.
For a discussion of directly adverse conflicts in transactional
matters, see second paragraph under ‘‘Identifying Conflicts of
Interest: Directly Adverse’’ heading in this Commentary,
above. Relevant factors in determining whether there is signifi-
cant risk of material limitation include the duration and intimacy
of the lawyer’s relationship with the client or clients involved,
the functions being performed by the lawyer, the likelihood
that disagreements will arise and the likely prejudice to the
client from the conflict. The question is often one of proximity
and degree. See first paragraph under ‘‘Identifying Conflicts
of Interest: Material Limitation’’ heading in this Commentary,
above.
For example, conflict questions may also arise in estate
planning and estate administration. A lawyer may be called
upon to prepare wills for several family members, such as
husband and wife, and, depending upon the circumstances,
RULES OF PROFESSIONAL CONDUCT Rule 1.7
a conflict of interest may be present. In estate administration,
the identity of the client may be unclear under the law of a
particular jurisdiction. Under one view, the client is the fidu-
ciary; under another view the client is the estate or trust,
including its beneficiaries. In order to comply with conflict of
interest rules, the lawyer should make clear the lawyer’s rela-
tionship to the parties involved.
Whether a conflict is consentable depends on the circum-
stances. For example, a lawyer may not represent multiple
parties to a negotiation whose interests are fundamentally
antagonistic to each other, but common representation is per-
missible where the clients are generally aligned in interest
even though there is some difference in interest among them.
Thus, a lawyer may seek to establish or adjust a relationship
between clients on an amicable and mutually advantageous
basis; for example, in helping to organize a business in which
two or more clients are entrepreneurs, working out the financial
reorganization of an enterprise in which two or more clients
have an interest or arranging a property distribution in settle-
ment of an estate. The lawyer seeks to resolve potentially
adverse interests by developing the parties’ mutual interests.
Otherwise, each party might have to obtain separate represen-
tation, with the possibility of incurring additional cost, complica-
tion or even litigation. Given these and other relevant factors,
the clients may prefer that the lawyer act for all of them.
Special Considerations in Common Representation. In
considering whether to represent multiple clients in the same
matter, a lawyer should be mindful that if the common repre-
sentation fails because the potentially adverse interests cannot
be reconciled, the result can be additional cost, embar-
rassment and recrimination. Ordinarily, the lawyer will be
forced to withdraw from representing all of the clients if the
common representation fails. In some situations, the risk of
failure is so great that multiple representation is plainly impos-
sible. For example, a lawyer cannot undertake common repre-
sentation of clients where contentious litigation or negotiations
between them are imminent or contemplated. Moreover,
because the lawyer is required to be impartial between com-
monly represented clients, representation of multiple clients is
improper when it is unlikely that impartiality can be maintained.
Generally, if the relationship between the parties has already
assumed antagonism, the possibility that the clients’ interests
can be adequately served by common representation is not
very good. Other relevant factors are whether the lawyer sub-
sequently will represent both parties on a continuing basis
and whether the situation involves creating or terminating a
relationship between the parties.
A particularly important factor in determining the appropri-
ateness of common representation is the effect on client-law-
yer confidentiality and the attorney-client privilege.
As to the duty of confidentiality, continued common repre-
sentation will almost certainly be inappropriate if one client
asks the lawyer not to disclose to the other client information
relevant to the common representation. This is so because
the lawyer has an equal duty of loyalty to each client, and the
lawyer should inform each client that each client has the right
to be informed of anything bearing on the representation that
might affect that client’s interests and the right to expect that
the lawyer will use that information to that client’s benefit. See
Rule 1.4. To that end, the lawyer must, at the outset of the
common representation and as part of the process of obtaining
each client’s informed consent, advise each clientthat informa-
tion will be shared and that the lawyer will have to withdraw
if one client decides prior to disclosure that some matter mate-
rial to the representation should be disclosed to the lawyer
but be kept from the other. In limited circumstances, it may
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be appropriate for the lawyer to proceed with the representa-
tion when the clients have agreed, after being properly
informed, that the lawyer will keep certain information confi-
dential. For example, the lawyer may reasonably conclude
that failure to disclose one client’s trade secrets to another
client will not adversely affect representation involving a joint
venture between the clients and agree to keep that information
confidential with the informed consent of both clients.
When seeking to establish or adjust a relationship between
clients, the lawyer should make clear that the lawyer’s role is
not that of partisanship normally expected in other circum-
stances and, thus, that the clients may be required to assume
greater responsibility for decisions than when each client is
separately represented. Any limitations on the scope of the
representation made necessary as a result of the common
representation should be fully explained to the clients at the
outset of the representation. See Rule 1.2 (c).
Subject to the above limitations, each client in the common
representation has the right to loyal and diligent representation
and the protection of Rule 1.9 concerning the obligations to
a former client. The client also has the right to discharge the
lawyer as stated in Rule 1.16.
Organizational Clients. A lawyer who represents a corpo-
ration or other organization does not, by virtue of that represen-
tation, necessarily represent any constituent or affiliated
organization, such as a parent or subsidiary. See Rule 1.13
(a). Thus, the lawyer for an organization is not barred from
accepting representation adverse to an affiliate in an unrelated
matter, unless the circumstances are such that the affiliate
should also be considered a client of the lawyer, there is
an understanding between the lawyer and the organizational
client that the lawyer will avoid representation adverse to the
client’s affiliates, or the lawyer’s obligations to either the organi-
zational client or the new client are likely to limit materially the
lawyer’s representation of the other client.
A lawyer for a corporation or other organization who is also
a member of its board of directors should determine whether
the responsibilities of the two roles may conflict. The lawyer
may be called on to advise the corporation in matters involving
actions of the directors. Consideration should be given to the
frequency with which such situations may arise, the potential
intensity of the conflict, the effect of the lawyer’s resignation
from the board and the possibility of the corporation’s obtaining
legal advice from another lawyer in such situations. If there
is material risk that the dual role will compromise the lawyer’s
independence of professional judgment, the lawyer should not
serve as a director or should cease to act as the corporation’s
lawyer when conflicts of interest arise. The lawyer should
advise the other members of the board that in some circum-
stances matters discussed at board meetings while the lawyer
is present in the capacity of director might not be protected
by the attorney-client privilege and that conflict of interest
considerations might require the lawyer’s recusal as a director
or might require the lawyer and the lawyer’s firm to decline
representation of the corporation in a matter.
Conflict Charged by an Opposing Party. Resolving ques-
tions of conflict of interest is primarily the responsibility of the
lawyer undertaking the representation. In litigation, a court
may raise the question when there is reason to infer that the
lawyer has neglected the responsibility. In a criminal case,
inquiry by the court is generally required when a lawyer repre-
sents multiple defendants. Where the conflict is such as clearly
to call in question the fair or efficient administration of justice,
opposing counsel may properly raise the question. Such an
objection should be viewed with caution, however, for it can
be misused as a technique of harassment.
RULES OF PROFESSIONAL CONDUCTRule 1.8
Rule 1.8. Conflict of Interest: Prohibited
Transactions
(a) A lawyer shall not enter into a business
transaction, including investment services, with a
client or former client or knowingly acquire an
ownership, possessory, security or other pecuni-
ary interest adverse to a client or former client
unless:
(1) The transaction and terms on which the law-
yer acquires the interest are fair and reasonable
to the client or former client and are fully disclosed
and transmitted in writing to the client or former
client in a manner that can be reasonably under-
stood by the client or former client;
(2) The client or former client is advised in writ-
ing that the client or former client should consider
the desirability of seeking and is given a reason-
able opportunity to seek the advice of independent
legal counsel in the transaction;
(3) The client or former client gives informed
consent in writing signed by the client or former
client, to the essential terms of the transaction
and the lawyer’s role in the transaction, including
whether the lawyer is representing the client in
the transaction;
(4) With regard to a business transaction, the
lawyer advises the client or former client in writing
either (A) that the lawyer will provide legal services
to the client or former client concerning the trans-
action, or (B) that the lawyer will not provide legal
services to the client or former client and that the
lawyer is involved as a business person only and
not as a lawyer representing the client or former
client and that the lawyer is not one to whom the
client or former client can turn for legal advice
concerning the transaction; and
(5) With regard to the providing of investment
services, the lawyer advises the client or former
client in writing (A) whether such services are
covered by legal liability insurance or other insur-
ance, and either (B) that the lawyer will provide
legal services to the client or former client con-
cerning the transaction, or (C) that the lawyer will
not provide legal services to the client or former
client and that the lawyer is involved as a business
person only and not as a lawyer representing the
client or former client and that the lawyer is not
one to whom the client or former client can turn
to for legal services concerning the transaction.
Investment services shall only apply where the
lawyer has either a direct or indirect control over
the invested funds and a direct or indirect interest
in the underlying investment.
For purposes of subsection (a) (1) through (a)
(5), the phrase ‘‘former client’’ shall mean a client
for whom the two-year period starting from the
conclusion of representation has not expired.
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(b) A lawyer shall not use information relating
to representation of a client to the disadvantage of
the client unless the client gives informed consent,
except as permitted or required by these Rules.
(c) A lawyer shall not solicit any substantial gift
from a client, including a testamentary gift, or pre-
pare on behalf of a client an instrument giving
the lawyer or a person related to the lawyer any
substantial gift, unless the lawyer or other recipi-
ent of the gift is related to the client. For purposes
of this paragraph, related persons include a
spouse, child, grandchild, parent, grandparent or
other relative or individual with whom the lawyer or
the client maintains a close, familial relationship.
(d) Prior to the conclusion of representation of
a client, a lawyer shall not make or negotiate an
agreement giving the lawyer literary or media
rights to a portrayal or account based in substan-
tial part on information relating to the represen-
tation.
(e) A lawyer shall not provide financial assis-
tance to a client in connection with pending or
contemplated litigation, except that:
(1) A lawyer may pay court costs and expenses
of litigation on behalf of a client, the repayment
of which may be contingent on the outcome of
the matter;
(2) A lawyer representing an indigent client may
pay court costs and expenses of litigation on
behalf of the client.
(f) A lawyer shall not accept compensation for
representing a client from one other than the cli-
ent unless:
(1) The client gives informed consent; subject
to revocation by the client, such informed consent
shall be implied where the lawyer is retained to
represent a client by a third party obligated under
the terms of a contract to provide the client with
a defense;
(2) There is no interference with the lawyer’s
independence of professional judgment or with
the client-lawyer relationship; and
(3) Information relating to representation of a
client is protected as required by Rule 1.6.
(g) A lawyer who represents two or more clients
shall not participate in making an aggregate settle-
ment of the claims of or against the clients, or in
a criminal case an aggregated agreement as to
guilty or nolo contendere pleas, unless each client
gives informed consent, in a writing signed by the
client. The lawyer’s disclosure shall include the
existence and nature of all the claims or pleas
involved and of the participation of each person
in the settlement. Subject to revocation by the
client and to the terms of the contract, such
informed consent shall be implied and need not
RULES OF PROFESSIONAL CONDUCT Rule 1.8
be in writing where the lawyer is retained to repre-
sent a client by a third party obligated under the
terms of a contract to provide the client with a
defense and indemnity for the loss and the third
party elects to settle a matter without contribution
by the client.
(h) A lawyer shall not:
(1) Make an agreement prospectively limiting
the lawyer’s liability to a client for malpractice
unless the client is independently represented in
making the agreement; or
(2) Settle a claim or potential claim for such
liability with an unrepresented client or former cli-
ent unless that person is advised in writing of the
desirability of seeking and is given a reasonable
opportunity to seek the advice of independent
legal counsel in connection therewith.
(i) A lawyer shall not acquire a proprietary inter-
est in the cause of action or subject matter of
litigation the lawyer is conducting for a client,
except that the lawyer may:
(1) Acquire a lien granted by law to secure the
lawyer’s fee or expenses; and
(2) Contract with a client for a reasonable con-
tingent fee in a civil case.
(j) A lawyer shall not have sexual relations with
a client unless a consensual sexual relationship
existed between them when the client-lawyer rela-
tionship commenced.
(k) While lawyers are associated in a firm, a
prohibition in the foregoing subsection (a) through
(i) that applies to any one of them shall apply to
all of them.
(P.B. 1978-1997, Rule 1.8.) (Amended June 26, 2006, to
take effect Jan. 1, 2007; amended June 29, 2007, to take
effect Jan. 1, 2008.)
COMMENTARY: Business Transactions between Client
and Lawyer. Subsection (a) expressly applies to former clients
as well as existing clients. A lawyer’s legal skill and training,
together with the relationship of trust and confidence between
lawyer and client, create the possibility of overreaching when
the lawyer participates in a business, property or financial
transaction with a client, for example, a loan or sales transac-
tion or a lawyer investment on behalf of a client. The require-
ments of subsection (a) must be met even when the transaction
is not closely related to the subject matter of the representation,
as when a lawyer drafting a will for a client learns that the
client needs money for unrelated expenses and offers to make
a loan to the client. It also applies to lawyers purchasing prop-
erty from estates they represent. It does not apply to ordinary
fee arrangements between client and lawyer, which are gov-
erned by Rule 1.5, although its requirements must be met
when the lawyer accepts 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 apply to standard commer-
cial transactions between the lawyer and the client for products
or services that the client generally markets to others, for
example, banking or brokerage services, products manufac-
tured or distributed by the client, and utilities’ services. In such
transactions, the lawyer has no advantage in dealing with the
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client, and the restrictions in subsection (a) are unnecessary
and impracticable.
Subsection (a) (1) requires that the transaction itself be fair
to the client and that its essential terms be communicated
to the client, in writing, in a manner that can be reasonably
understood. Subsection (a) (2) requires that the client also be
advised, in writing, of the desirability of seeking the advice of
independent legal counsel. It also requires that the client be
given a reasonable opportunity to obtain such advice. Subsec-
tion (a) (3) requires that the lawyer obtain the client’s informed
consent, in a writing signed by the client, both to the essential
terms of the transaction and to the lawyer’s role. When neces-
sary, the lawyer should discuss both the material risks of
the proposed transaction, including any risk presented by the
lawyer’s involvement, and the existence of reasonably avail-
able alternatives and should explain why the advice of inde-
pendent legal counsel is desirable. See Rule 1.0 (f) (definition
of informed consent).
The risk to a client is greatest when the client expects the
lawyer to represent the client in the transaction itself or when
the lawyer’s financial interest otherwise poses a significant risk
that the lawyer’s representation of the client will be materially
limited by the lawyer’s financial interest in the transaction.
Here, the lawyer’s role requires that the lawyer must comply,
not only with the requirements of subsection (a), but also with
the requirements of Rule 1.7. Under that Rule, the lawyer must
disclose the risks associated with the lawyer’s dual role as
both legal adviser and participant in the transaction, such as
the risk that the lawyer will structure the transaction or give
legal advice in a way that favors the lawyer’s interests at the
expense of the client. Moreover, the lawyer must obtain the
client’s informed 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 to the transaction.
If the client is independently represented in the transaction,
subsection (a) (2) of this Rule is inapplicable, and the subsec-
tion (a) (1) requirement for full disclosure is satisfied either by
a written disclosure by the lawyer involved in the transaction
or by the client’s independent counsel. The fact that the client
was independently represented in the transaction is relevant
in determining whether the agreement was fair and reasonable
to the client as subsection (a) (1) further requires.
Use of Information Related to Representation. Use of
information relating to the representation to the disadvantage
of the client violates the lawyer’s duty of loyalty. Subsection
(b) applies when the information is used to benefit either the
lawyer or a third person, such as another client or business
associate of the lawyer. For example, if a lawyer learns that
a client intends to purchase and develop several parcels of
land, the lawyer may not use that information to purchase one
of the parcels in competition with the client or to recommend
that another client make such a purchase. The Rule does not
prohibit uses that do not disadvantage the client. For example,
a lawyer who learns a government agency’s interpretation of
trade legislation during the representation of one client may
properly use that information to benefit other clients. Subsec-
tion (b) prohibits disadvantageous use of client information
unless the client gives informed consent, except as permitted
or required by these Rules. See Rules 1.2 (d), 1.6, 1.9 (c),
3.3, 4.1 (b), 8.1 and 8.3.
Gifts to Lawyers. A lawyer may accept a gift from a client,
if the transaction meets general standards of fairness. For
example, a simple gift such as a present given at a holiday
or as a token of appreciation is permitted. If a client offers the
lawyer a more substantial gift, subsection (c) does not prohibit
the lawyer from accepting it, although such a gift may be
voidable by the client under the doctrine of undue influence,
RULES OF PROFESSIONAL CONDUCTRule 1.8
which treats client gifts as presumptively fraudulent. In any
event, due to concerns about overreaching and imposition on
clients, a lawyer may not suggest that a substantial gift be
made to the lawyer or for the lawyer’s benefit, except where
the lawyer is related to the client as set forth in paragraph (c).
If effectuation of a substantial gift requires preparing a legal
instrument such as a will or conveyance, the client should
have the detached advice that another lawyer can provide.
The sole exception to this Rule is where the client is a relative
of the donee.
This Rule does not prohibit a lawyer from seeking to have
the lawyer or a partner or associate of the lawyer named as
executor of the client’s estate or to another potentially lucrative
fiduciary position. Nevertheless, such appointments will be
subject to the general conflict of interest provision in Rule 1.7
when there is a significant risk that the lawyer’s interest in
obtaining the appointment will materially limit the lawyer’s inde-
pendent professional judgment in advising the client concern-
ing the choice of an executor or other fiduciary. In obtaining
the client’s informed consent to the conflict, the lawyer should
advise the client concerning the nature and extent of the law-
yer’s financial interest in the appointment, as well as the avail-
ability of alternative candidates for the position.
Literary Rights. An agreement by which a lawyer acquires
literary or media rights concerning the conduct of the represen-
tation creates a conflict between the interests of the client and
the personal interests of the lawyer. Measures suitable in the
representation of the client may detract from the publication
value of an account of the representation. Subsection (d) does
not prohibit a lawyer representing a client in a transaction
concerning literary property from agreeing that the lawyer’s
fee shall consist of a share in ownership in the property, if the
arrangement conforms to Rule 1.5 and subsections (a) and (i).
Financial Assistance. Lawyers may not subsidize lawsuits
or administrative proceedings brought on behalf of their clients,
including making or guaranteeing loans to their clients for living
expenses, because to do so would encourage clients to pursue
lawsuits that might not otherwise be brought and because
such assistance gives lawyers too great a financial stake in
the litigation. These dangers do not warrant a prohibition on
a lawyer lending a client court costs and litigation expenses,
including the expenses of medical examination and the costs
of obtaining and presenting evidence, because these
advances are virtually indistinguishable from contingent fees
and help ensure access to the courts. Similarly, an exception
allowing lawyers representing indigent clients to pay court
costs and litigation expenses regardless of whether these
funds will be repaid is warranted.
Person Paying for a Lawyer’s Services. Subsection (f)
requires disclosure of the fact that the lawyer’s services are
being paid for by a third party. Such an arrangement must
also conform to the requirements of Rule 1.6 concerning confi-
dentiality and Rule 1.7 concerning conflict of interest. Where
the client is a class, consent may be obtained on behalf of
the class by court-supervised procedure.
Lawyers are frequently asked to represent a client under
circumstances in which a third person will compensate the
lawyer, in whole or in part. The third person might be a relative
or friend, an indemnitor (such as a liability insurance company)
or a co-client (such as a corporation sued along with one or
more of its employees). Because third-party payers frequently
have interests that differ from those of the client, including
interests in minimizing the amount spent on the representation
and in learning how the representation is progressing, lawyers
are prohibited from accepting or continuing such representa-
tions unless the lawyer determines that there will be no interfer-
ence with the lawyer’s independent professional judgment and
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there is informed consent from the client. See also Rule 5.4
(c) (prohibiting interference with a lawyer’s professional judg-
ment by one who recommends, employs or pays the lawyer
to render legal services for another).
Sometimes, it will be sufficient for the lawyer to obtain the
client’s informed consent regarding the fact of the payment
and the identity of the third-party payer. If, however, the fee
arrangement creates a conflict of interest for the lawyer, then
the lawyer must comply with Rule 1.7. The lawyer must also
conform to the requirements of Rule 1.6 concerning confidenti-
ality. Under Rule 1.7 (a), a conflict of interest exists if there
is significant risk that the lawyer’s representation of the client
will be materially limited by the lawyer’s own interest in the
fee arrangement or by the lawyer’s responsibilities to the third-
party payer (for example, when the third-party payer is a co-
client). Under Rule 1.7 (b), the lawyer may accept or continue
the representation with the informed consent of each affected
client, unless the conflict is nonconsentable under that subsec-
tion. Under Rule 1.7 (b), the informed consent must be con-
firmed in writing.
Aggregate Settlements. Differences in willingness to
make or accept an offer of settlement are among the risks of
common representation of multiple clients by a single lawyer.
Under Rule 1.7, this is one of the risks that should be discussed
before undertaking the representation, as part of the process
of obtaining the clients’ informed consent. In addition, Rule
1.2 (a) protects each client’s right to have the final say in
deciding whether to accept or reject an offer of settlement and
in deciding whether to enter a guilty or nolo contendere plea
in a criminal case. The rule stated in this paragraph is a corol-
lary of both these Rules and provides that, before any settle-
ment offer or plea bargain is made or accepted on behalf of
multiple clients, the lawyer must inform each of them about
all the material terms of the settlement, including what the
other clients will receive or pay if the settlement or plea offer is
accepted. See also Rule 1.0 (f) (definition of informed consent).
Lawyers representing a class of plaintiffs or defendants, or
those proceeding derivatively, may not have a full client-lawyer
relationship with each member of the class; nevertheless, such
lawyers must comply with applicable rules regulating notifica-
tion of class members and other procedural requirements
designed to ensure adequate protection of the entire class.
Limiting Liability and Settling Malpractice Claims.
Agreements prospectively limiting a lawyer’s liability for mal-
practice are prohibited unless the client is independently repre-
sented in making the agreement because they are likely to
undermine competent and diligent representation. Also, many
clients are unable to evaluate the desirability of making such
an agreement before a dispute has arisen, particularly if they
are then represented by the lawyer seeking the agreement.
This subsection does not, however, prohibit a lawyer from
entering into an agreement with the client to arbitrate legal
malpractice claims, provided such agreements are enforce-
able and the client is fully informed of the scope and effect of
the agreement. Nor does this subsection limit the ability of
lawyers to practice in the form of a limited-liability entity, where
permitted by law, provided that each lawyer remains personally
liable to the client for his or her own conduct and the firm
complies with any conditions required by law, such as provi-
sions requiring client notification or maintenance of adequate
liability insurance. Nor does it prohibit an agreement in accord-
ance with Rule 1.2 that defines the scope of the representation,
although a definition of scope that makes the obligations of
representation illusory will amount to an attempt to limit liability.
Agreements settling a claim or a potential claim for malprac-
tice are not prohibited by this Rule. Nevertheless, in view of
the danger that a lawyer will take unfair advantage of an
RULES OF PROFESSIONAL CONDUCT Rule 1.9
unrepresented client or former client, the lawyer must first
advise such a person in writing of the appropriateness of
independent representation in connection with such a settle-
ment. In addition, the lawyer must give the client or former
client a reasonable opportunity to find and consult indepen-
dent counsel.
Acquiring Proprietary Interest in Litigation. Subsection
(i) states the traditional general rule that lawyers are prohibited
from acquiring a proprietary interest in litigation. Like subsec-
tion (e), the general rule, which has its basis in common-law
champerty and maintenance, is designed to avoid giving the
lawyer too great an interest in the representation. In addition,
when the lawyer acquires an ownership interest in the subject
of the representation, it will be more difficult for a client to
discharge the lawyer if the client so desires. The Rule is subject
to specific exceptions developed in decisional law and contin-
ued in these Rules. The exception for certain advances of the
costs of litigation is set forth in subsection (e). In addition,
subsection (i) sets forth exceptions for liens authorized by law
to secure the lawyer’s fees or expenses and contracts for
reasonable contingent fees. The law of each jurisdiction deter-
mines which liens are authorized by law. These may include
liens granted by statute, liens originating in common law and
liens acquired by contract with the client. When a lawyer
acquires by contract a security interest in property other than
that recovered through the lawyer’s efforts in the litigation,
such an acquisition is a business or financial transaction with
a client and is governed by the requirements of subsection
(a). Contracts for contingent fees in civil cases are governed
by Rule 1.5.
Client-Lawyer Sexual Relationships. The relationship
between lawyer and client is a fiduciary one in which the lawyer
occupies the highest position of trust and confidence. The
relationship is almost always unequal; thus, a sexual relation-
ship between lawyer and client can involve unfair exploitation
of the lawyer’s fiduciary role, in violation of the lawyer’s basic
ethical obligation not to use the trust of the client to the client’s
disadvantage. In addition, such a relationship presents a signif-
icant danger that, because of the lawyer’s emotional involve-
ment, the lawyer will be unable to represent the client without
impairment of the exercise of independent professional judg-
ment. Moreover, a blurred line between the professional and
personal relationships may make it difficult to predict to what
extent client confidences will be protected by the attorney-
client evidentiary privilege, since client confidences are pro-
tected by privilege only when they are imparted in the context
of the client-lawyer relationship. Because of the significant
danger of harm to client interest and because the client’s own
emotional involvement renders it unlikely that the client could
give adequate informed consent, this Rule prohibits the lawyer
from having sexual relations with a client regardless of whether
the relationship is consensual and regardless of the absence
of prejudice to the client.
Sexual relationships that predate the client-lawyer relation-
ship are not prohibited. Issues relating to the exploitation of
the fiduciary relationship and client dependency are dimin-
ished when the sexual relationship existed prior to the com-
mencement of the client-lawyer relationship. However, before
proceeding with the representation in these circumstances,
the lawyer should consider whether the lawyer’s ability to rep-
resent the client will be materially limited by the relationship.
See Rule 1.7 (a) (2).
Imputation of Prohibitions. Under subsection (k), a prohi-
bition on conduct by an individual lawyer in subsections (a)
through (i) also applies to all lawyers associated in a firm with
the personally prohibited lawyer. The prohibition set forth in
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subsection (j) is personal and is not applied to associated
lawyers.
Rule 1.9. Duties to Former Clients
(Amended June 26, 2006, to take effect Jan. 1, 2007.)
(a) A lawyer who has formerly represented a
client in a matter shall not thereafter represent
another person in the same or a substantially
related matter in which that person’s interests are
materially adverse to the interests of the former
client unless the former client gives informed con-
sent, confirmed in writing.
(b) A lawyer shall not knowingly represent a
person in the same or a substantially related mat-
ter in which a firm with which the lawyer formerly
was associated had previously represented a
client
(1) whose interests are materially adverse to
that person; and
(2) about whom the lawyer had acquired infor-
mation protected by Rules 1.6 and 1.9 (c) that is
material to the matter; unless the former client
gives informed consent, confirmed in writing.
(c) A lawyer who has formerly represented a
client in a matter or whose present or former firm
has formerly represented a client in a matter shall
not thereafter:
(1) use information relating to the representa-
tion to the disadvantage of the former client except
as these Rules would permit or require with
respect to a client, or when the information has
become generally known; or
(2) reveal information relating to the representa-
tion except as these Rules would permit or require
with respect to a client.
(P.B. 1978-1997, Rule 1.9.) (Amended June 26, 2006, to
take effect Jan. 1, 2007.)
COMMENTARY: After termination of a client-lawyer rela-
tionship, a lawyer has certain continuing duties with respect
to confidentiality and conflicts of interest and thus may not
represent another client except in conformity with this Rule.
Under this Rule, for example, a lawyer could not properly seek
to rescind on behalf of a new client a contract drafted on behalf
of the former client. So also a lawyer who has prosecuted an
accused person could not properly represent the accused in
a subsequent civil action against the government concerning
the same transaction. Nor could a lawyer who has represented
multiple clients in a matter represent one of the clients against
the interest of the others in the same or a substantially related
matter after a dispute arose among the clients in that matter,
unless all affected clients give informed consent. See last
paragraph of this Commentary, below. Current and former
government lawyers must comply with this Rule to the extent
required by Rule 1.11.
The scope of a ‘‘matter’’ for purposes of this Rule depends
on the facts of a particular situation or transaction. The lawyer’s
involvement in a matter can also be a question of degree.
When a lawyer has been directly involved in a specific transac-
tion, subsequent representation of other clients with materially
adverse interests in that transaction clearly is prohibited. On
the other hand, a lawyer who recurrently handled a type of
RULES OF PROFESSIONAL CONDUCTRule 1.9
problem for a former client is not precluded from later repre-
senting another client in a factually distinct problem of that
type even though the subsequent representation involves a
position adverse to the prior client. Similar considerations can
apply to the reassignment of military lawyers between defense
and prosecution functions within the same military jurisdic-
tions. The underlying question is whether the lawyer was so
involved in the matter that the subsequent representation can
be justly regarded as a changing of sides in the matter in
question.
Matters are ‘‘substantially related’’ for purposes of this Rule
if they involve the same transaction or legal dispute or if there
otherwise is a substantial risk that confidential factual informa-
tion as would normally have been obtained in the prior repre-
sentation would materially advance the client’s position in the
subsequent matter. For example, a lawyer who has repre-
sented a businessperson and learned extensive private finan-
cial information about that person may not then represent that
person’s spouse in seeking a divorce. Similarly, a lawyer who
has previously represented a client in securing environmental
permits to build a shopping center would be precluded from
representing neighbors seeking to oppose rezoning of the
property on the basis of environmental considerations; how-
ever, the lawyer would not be precluded, on the grounds of
substantial relationship, from defending a tenant of the com-
pleted shopping center in resisting eviction for nonpayment
of rent. Information that has been disclosed to the public or
to other parties adverse to the former client ordinarily will not
be disqualifying. Information acquired in a prior representation
may have been rendered obsolete by the passage of time, a
circumstance that may be relevant in determining whether two
representations are substantially related. In the case of an
organizational client, general knowledge of the client’s policies
and practices ordinarily will not preclude a subsequent repre-
sentation; on the other hand, knowledge of specific facts
gained in a prior representation that are relevant to the matter
in question ordinarily will preclude such a representation. A
former client is not required to reveal the confidential informa-
tion learned by the lawyer in order to establish a substantial
risk that the lawyer has confidential information to use in the
subsequent matter. A conclusion about the possession of such
information may be based on the nature of the services the
lawyer provided the former client and information that would
in ordinary practice be learned by a lawyer providing such
services.
Lawyers Moving between Firms. When lawyers have
been associated within a firm but then end their association,
the question of whether a lawyer should undertake representa-
tion is more complicated. There are several competing consid-
erations. First, the client previously represented by the former
firm must be reasonably assured that the principle of loyalty
to the client is not compromised. Second, the rule should not
be so broadly cast as to preclude other persons from having
reasonable choice of legal counsel. Third, the rule should not
unreasonably hamper lawyers from forming new associations
and taking on new clients after having left a previous associa-
tion. In this connection, it should be recognized that today
many lawyers practice in firms, that many lawyers to some
degree limit their practice to one field or another, and that
many move from one association to another several times in
their careers. If the concept of imputation were applied with
unqualified rigor, the result would be radical curtailment of the
opportunity of lawyers to move from one practice setting to
another and of the opportunity of clients to change counsel.
Subsection (b) operates to disqualify the lawyer only when
the lawyer involved has actual knowledge of information pro-
tected by Rules 1.6 and 1.9 (c). Thus, if a lawyer, while with
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one firm acquired no knowledge or information relating to a
particular client of the firm, and that lawyer later joined another
firm, neither the lawyer individually nor the second firm is
disqualified from representing another client in the same or a
related matter even though the interests of the two clients
conflict. See Rule 1.10 (b) for the restrictions on a firm once
a lawyer has terminated association with the firm.
Application of subsection (b) depends on a situation’s par-
ticular facts, aided by inferences, deductions or working pre-
sumptions that reasonably may be made about the way in
which lawyers work together. A lawyer may have general
access to files of all clients of a law firm and may regularly
participate in discussions of their affairs; it should be inferred
that such a lawyer in fact is privy to all information about all
the firm’s clients. In contrast, another lawyer may have access
to the files of only a limited number of clients and participate
in discussions of the affairs of no other clients; in the absence
of information to the contrary, it should be inferred that such
a lawyer in fact is privy to information about the clients actually
served but not those of other clients. In such an inquiry, the
burden of proof rests upon the firm whose disqualification
is sought.
Independent of the question of disqualification of a firm, a
lawyer changing professional association has a continuing
duty to preserve confidentiality of information about a client
formerly represented. See Rules 1.6 and 1.9 (c).
Subsection (c) provides that information acquired by the
lawyer in the course of representing a client may not subse-
quently be used or revealed by the lawyer to the disadvantage
of the client. However, the fact that a lawyer has once served
a client does not preclude the lawyer from using generally
known information about that client when later representing
another client.
The provisions of this Rule are for the protection of former
clients and can be waived if the client gives informed consent,
which consent must be confirmed in writing under subsections
(a) and (b). See Rule 1.0 (f). With regard to the effectiveness
of an advance waiver, see Commentary to Rule 1.7. With
regard to disqualification of a firm with which a lawyer is or
was formerly associated, see Rule 1.10.
Rule 1.10. Imputation of Conflicts of Inter-
est: General Rule
(Amended June 26, 2006, to take effect Jan. 1, 2007.)
(a) While lawyers are associated in a firm, none
of them shall knowingly represent a client when
any one of them practicing alone would be prohib-
ited from doing so by Rules 1.7 or 1.9, unless:
(1) the prohibition is based on a personal inter-
est of the disqualified lawyer and does not present
a significant risk of materially limiting the repre-
sentation of the client by the remaining lawyers
in the firm; or
(2) the prohibition is based upon Rule 1.9 (a)
or 1.9 (b) and arises out of the disqualified lawyer’s
association with a prior firm, and
(A) the disqualified lawyer is timely screened
from any participation in the matter and is appor-
tioned no part of the fee therefrom;
(B) written notice is promptly given to any
affected former client to enable the former client
to ascertain compliance with the provisions of this
Rule, which shall include a description of the
RULES OF PROFESSIONAL CONDUCT Rule 1.10
screening procedures employed; a statement of
the firm’s and of the screened lawyer’s compli-
ance with these Rules; a statement that review
may be available before a tribunal; and an
agreement by the firm to respond promptly to any
written inquiries or objections by the former client
about the screening procedures; and
(C) certifications of compliance with these
Rules and with the screening procedures are pro-
vided to the former client by the screened lawyer
and by a partner of the firm, at reasonable inter-
vals upon the former client’s written request and
upon termination of the screening procedures.
(b) When a lawyer has terminated an associa-
tion with a firm, the firm is not prohibited from
thereafter representing a person with interests
materially adverse to those of a client represented
by the formerly associated lawyer and not cur-
rently represented by the firm, unless:
(1) The matter is the same or substantially
related to that in which the formerly associated
lawyer represented the client; and
(2) Any lawyer remaining in the firm has infor-
mation protected by Rules 1.6 and 1.9 (c) that is
material to the matter.
(c) A disqualification prescribed by this Rule
may be waived by the affected client under the
conditions stated in Rule 1.7.
(d) The disqualification of lawyers associated
in a firm with former or current government law-
yers is governed by Rule 1.11.
(P.B. 1978-1997, Rule 1.10.) (Amended June 26, 2006, to
take effect Jan. 1, 2007; amended June 15, 2012, to take
effect Jan. 1, 2013.)
COMMENTARY: Definition of ‘‘Firm.’’ For purposes of
the Rules of Professional Conduct, the term ‘‘firm’’ denotes
lawyers in a law partnership, professional corporation, sole
proprietorship or other association authorized to practice law;
or lawyers employed in a legal services organization or the
legal department of a corporation or other organization. See
Rule 1.0 (d). Whether two or more lawyers constitute a firm
within this definition can depend on the specific facts. See
Rule 1.0 and its Commentary.
Principles of Imputed Disqualification. The rule of
imputed disqualification stated in subsection (a) gives effect
to the principle of loyalty to the client as it applies to lawyers
who practice in a law firm. Such situations can be considered
from the premise that a firm of lawyers is essentially one lawyer
for purposes of the rules governing loyalty to the client, or
from the premise that each lawyer is vicariously bound by the
obligation of loyalty owed by each lawyer with whom the lawyer
is associated. Subsection (a) operates only among the lawyers
currently associated in a firm. When a lawyer moves from one
firm to another, the situation is governed by Rules 1.9 (b) and
1.10 (b).
The Rule in subsection (a) does not prohibit representation
where neither questions of client loyalty nor protection of confi-
dential information are presented. Where one lawyer in a firm
could not effectively represent a given client because of strong
political beliefs, for example, but that lawyer will do no work
on the case and the personal beliefs of the lawyer will not
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materially limit the representation by others in the firm, the
firm should not be disqualified. On the other hand, if an oppos-
ing party in a case were owned by a lawyer in the law firm,
and others in the firm would be materially limited in pursuing
the matter because of loyalty to that lawyer, the personal
disqualification of the lawyer would be imputed to all others
in the firm.
The Rule in subsection (a) also does not prohibit represen-
tation by others in the law firm where the person prohibited from
involvement in a matter is a nonlawyer, such as a paralegal
or legal secretary. Nor does subsection (a) prohibit representa-
tion if the lawyer is prohibited from acting because of events
before the person became a lawyer, for example, work that
the person did while a law student. Such persons, however,
must be screened from any personal participation in the matter
to avoid communication to others in the firm of confidential
information that both the nonlawyers and the firm have a legal
duty to protect. See Rules 1.0 (k) and 5.3.
Rule 1.10 (b) operates to permit a law firm, under certain
circumstances, to represent a person with interests directly
adverse to those of a client represented by a lawyer who
formerly was associated with the firm. The Rule applies regard-
less of when the formerly associated lawyer represented the
client. However, the law firm may not represent a person with
interests adverse to those of a present client of the firm, which
would violate Rule 1.7. Moreover, the firm may not represent
the person where the matter is the same or substantially
related to that in which the formerly associated lawyer repre-
sented the client and any other lawyer currently in the firm
has material information protected by Rules 1.6 and 1.9 (c).
Rule 1.10 (c) removes imputation with the informed consent
of the affected client or former client under the conditions
stated in Rule 1.7. The conditions stated in Rule 1.7 require
the lawyer to determine that the representation is not prohibited
by Rule 1.7 (b) and that each affected client or former client
has given informed consent to the representation, confirmed
in writing. In some cases, the risk may be so severe that the
conflict may not be cured by client consent. For a discussion
of the effectiveness of client waivers of conflicts that might
arise in the future, see Rule 1.7 and its commentary. For a
definition of informed consent, see Rule 1.0 (f).
Rule 1.10 (a) (2) similarly removes the imputation otherwise
required by Rule 1.10 (a), but unlike subsection (c), it does
so without requiring that there be informed consent by the
former client. Instead, it requires that the procedures laid out
in subparagraphs (A) through (C) of subsection (a) (2) be
followed. A description of effective screening mechanisms
appears in Rule 1.0 (l) and commentary thereto. Lawyers
should be aware, however, that, even where screening mecha-
nisms have been adopted, tribunals may consider additional
factors in ruling upon motions to disqualify a lawyer from pend-
ing litigation.
Subparagraph (A) of subsection (a) (2) does not prohibit
the screened lawyer from receiving a salary or partnership
share established by prior independent agreement, but that
lawyer may not receive compensation directly related to the
matter in which the lawyer is disqualified.
The notice required by subparagraph (B) of subsection (a)
(2) generally should include a description of the screened
lawyer’s prior representation and be given as soon as practica-
ble after the need for screening becomes apparent. It also
should include a statement by the screened lawyer and the
firm that the client’s material confidential information has not
been disclosed or used in violation of the Rules. The notice
is intended to enable the former client to evaluate and com-
ment upon the effectiveness of the screening procedures.
RULES OF PROFESSIONAL CONDUCTRule 1.10
The certifications required by subparagraph (C) of subsec-
tion (a) (2) give the former client assurance that the client’s
material confidential information has not been disclosed or
used inappropriately, either prior to timely implementation of
a screen or thereafter. If compliance cannot be certified, the
certificate must describe the failure to comply.
Where a lawyer has joined a private firm after having repre-
sented the government, imputation is governed by Rule 1.11
(b) and (c), not this Rule. Under Rule 1.11 (d), where a lawyer
represents the government after having served clients in pri-
vate practice, nongovernmental employment or in another gov-
ernment agency, former-client conflicts are not imputed to
government lawyers associated with the individually disquali-
fied lawyer.
Where a lawyer is prohibited from engaging in certain trans-
actions under Rule 1.8, subsection (k) of that Rule, and not
this Rule, determines whether that prohibition also applies to
other lawyers associated in a firm with the personally prohib-
ited lawyer.
Rule 1.11. Special Conflicts of Interest for
Former and Current Government Officers
and Employees
(Amended June 26, 2006, to take effect Jan. 1, 2007.)
(a) Except as law may otherwise expressly per-
mit, a lawyer who has formerly served as a public
officer or employee of the government:
(1) is subject to Rule 1.9 (c); and
(2) shall not otherwise represent a client in con-
nection with a matter in which the lawyer partici-
pated personally and substantially as a public
officer or employee, unless the appropriate gov-
ernment agency gives its informed consent, con-
firmed in writing, to the representation.
(b) When a lawyer is disqualified from represen-
tation under subsection (a), no lawyer in a firm
with which that lawyer is associated may know-
ingly undertake or continue representation in such
a matter unless:
(1) The disqualified lawyer is timely screened
from any participation in the matter and is appor-
tioned no part of the fee therefrom; and
(2) Written notice is promptly given to the appro-
priate government agency to enable it to ascertain
compliance with the provisions of this Rule.
(c) Except as law may otherwise expressly per-
mit, a lawyer having information that the lawyer
knows is confidential government information
about a person acquired when the lawyer was a
public officer or employee, may not represent a
private client whose interests are adverse to that
person in a matter in which the information could
be used to the material disadvantage of that per-
son. As used in this Rule, the term ‘‘confidential
government information’’ means information that
has been obtained under governmental authority
and which, at the time this Rule is applied, the
government is prohibited by law from disclosing
to the public or has a legal privilege not to disclose
and which is not otherwise available to the public.
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A firm with which that lawyer is associated may
undertake or continue representation in the matter
only if the disqualified lawyer is timely screened
from any participation in the matter and is appor-
tioned no part of the fee therefrom.
(d) Except as law may otherwise expressly per-
mit, a lawyer currently serving as a public officer
or employee:
(1) Is subject to Rules 1.7 and 1.9; and
(2) Shall not:
(i) Participate in a matter in which the lawyer
participated personally and substantially while in
private practice or nongovernmental employment,
unless the appropriate government agency gives
its informed consent, confirmed in writing; or
(ii) Negotiate for private employment with any
person who is involved as a party or as lawyer
for a party in a matter in which the lawyer is partici-
pating personally and substantially; except that a
lawyer serving as a law clerk to a judge, other
adjudicative officer or arbitrator may negotiate for
private employment as permitted by Rule 1.12
(b) and subject to the conditions stated in Rule
1.12 (b).
(e) As used in this Rule, the term ‘‘matter’’
includes:
(1) Any judicial or other proceeding, application,
request for a ruling or other determination, con-
tract, claim, controversy, investigation, charge,
accusation, arrest or other particular matter
involving a specific party or parties, and
(2) Any other matter covered by the conflict of
interest rules of the appropriate government
agency.
(P.B. 1978-1997, Rule 1.11.) (Amended June 26, 2006, to
take effect Jan. 1, 2007.)
COMMENTARY: A lawyer who has served or is currently
serving as a public officer or employee is personally subject
to the Rules of Professional Conduct, including the prohibition
against concurrent conflicts of interest stated in Rule 1.7. In
addition, such a lawyer may be subject to statutes and govern-
ment regulations regarding conflict of interest. Such statutes
and regulations may circumscribe the extent to which the gov-
ernment agency may give consent under this Rule. See Rule
1.0 (f) for the definition of informed consent.
Subsections (a) (1), (a) (2) and (d) (1) restate the obligations
of an individual lawyer who has served or is currently serving
as an officer or employee of the government toward a former
government or private client. Rule 1.10 is not applicable to
the conflicts of interest addressed by this Rule. Rather, subsec-
tion (b) sets forth a special imputation rule for former govern-
ment lawyers that provides for screening and notice. Because
of the special problems raised by imputation within a govern-
ment agency, subsection (d) does not impute the conflicts of
a lawyer currently serving as an officer or employee of the
government to other associated government officers or
employees, although ordinarily it will be prudent to screen
such lawyers.
Subsections (a) (2) and (d) (2) apply regardless of whether
a lawyer is adverse to a former client and are thus designed
not only to protect the former client, but also to prevent a lawyer
RULES OF PROFESSIONAL CONDUCT Rule 1.12
from exploiting public office for the advantage of another client.
For example, a lawyer who has pursued a claim on behalf of
the government may not pursue the same claim on behalf of a
later private client after the lawyer has left government service,
except when authorized to do so by the government agency
under subsection (a). Similarly, a lawyer who has pursued a
claim on behalf of a private client may not pursue the claim
on behalf of the government, except when authorized to do
so by subsection (d). As with subsections (a) (1) and (d) (1),
Rule 1.10 is not applicable to the conflicts of interest addressed
by these subsections.
This Rule represents a balancing of interests. On the one
hand, where the successive clients are a government agency
and another client, public or private, the risk exists that power
or discretion vested in that agency might be used for the
special benefit of the other client. A lawyer should not be
in a position where benefit to the other client might affect
performance of the lawyer’s professional functions on behalf
of the government. Also, unfair advantage could accrue to the
other client by reason of access to confidential government
information about the client’s adversary, obtainable only
through the lawyer’s government service. On the other hand,
the rules governing lawyers presently or formerly employed
by a government agency should not be so restrictive as to
inhibit transfer of employment to and from the government.
The government has a legitimate need to attract qualified
lawyers as well as to maintain high ethical standards. Thus,
a former government lawyer is disqualified only from particular
matters in which the lawyer participated personally and sub-
stantially. The provisions for screening and waiver in subsec-
tion (b) are necessary to prevent the disqualification rule from
imposing too severe a deterrent against entering public ser-
vice. The limitation of disqualification in subsections (a) (2)
and (d) (2) to matters involving a specific party or parties,
rather than extending disqualification to all substantive issues
on which the lawyer worked, serves a similar function.
When a lawyer has been employed by one government
agency and then moves to a second government agency, it
may be appropriate to treat that second agency as another
client for purposes of this Rule, as when a lawyer is employed
by a city and subsequently is employed by a federal agency.
However, because the conflict of interest is governed by sub-
section (d), the latter agency is not required to screen the
lawyer as subsection (b) requires a law firm to do. The question
of whether two government agencies should be regarded as
the same or different clients for conflict of interest purposes
is beyond the scope of these Rules. See Commentary to
Rule 1.13.
Subsections (b) and (c) contemplate a screening arrange-
ment. See Rule 1.0 (l) (requirements for screening proce-
dures). These subsections do not prohibit a lawyer from
receiving a salary or partnership share established by prior
independent agreement, but that lawyer may not receive com-
pensation directly relating the lawyer’s compensation to the
fee in the matter in which the lawyer is disqualified.
Notice, including a description of the screened lawyer’s prior
representation and of the screening procedures employed,
generally should be given as soon as practicable after the
need for screening becomes apparent.
Subsection (c) operates only when the lawyer in question
has knowledge of the information, which means actual knowl-
edge; it does not operate with respect to information that
merely could be imputed to the lawyer.
Subsections (a) and (d) do not prohibit a lawyer from jointly
representing a private party and a government agency when
doing so is permitted by Rule 1.7 and is not otherwise prohib-
ited by law.
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For purposes of subsection (e) of this Rule, a ‘‘matter’’ may
continue in another form. In determining whether two particular
matters are the same, the lawyer should consider the extent
to which the matters involve the same basic facts, the same
or related parties, and the time elapsed.
Rule 1.12. Former Judge, Arbitrator, Media-
tor or Other Third-Party Neutral
(Amended June 26, 2006, to take effect Jan. 1, 2007.)
(a) Except as stated in subsection (d), a lawyer
shall not represent anyone in connection with a
matter in which the lawyer participated personally
and substantially as a judge or other adjudicative
officer or law clerk to such a person or as an
arbitrator, mediator or other third-party neutral,
unless all parties to the proceeding give informed
consent, confirmed in writing.
(b) A lawyer shall not negotiate for employment
with any person who is involved as a party or as
lawyer for a party in a matter in which the lawyer
is participating personally as a judge or other adju-
dicative officer, or as an arbitrator, mediator or
other third-party neutral. A lawyer serving as a
law clerk to a judge or other adjudicative officer
may negotiate for employment with a party or law-
yer involved in a matter in which the clerk is partici-
pating personally, but only after the lawyer has
notified the judge or other adjudicative officer.
(c) If a lawyer is disqualified by subsection (a),
no lawyer in a firm with which that lawyer is associ-
ated may knowingly undertake or continue repre-
sentation in the matter unless:
(1) The disqualified lawyer is timely screened
from any participation in the matter and is appor-
tioned no part of the fee therefrom; and
(2) Written notice is promptly given to the parties
and any appropriate tribunal to enable them to
ascertain compliance with the provisions of this
Rule.
(d) An arbitrator selected as a partisan of a
party in a multi-member arbitration panel is not
prohibited from subsequently representing that
party.
(P.B. 1978-1997, Rule 1.12.) (Amended June 26, 2006, to
take effect Jan. 1, 2007; amended June 13, 2014, to take
effect Jan. 1, 2015.)
COMMENTARY: This Rule generally parallels Rule 1.11.
The term ‘‘personally and substantially’’ signifies that a judge
who was a member of a multi-member court, and thereafter
left judicial office to practice law, is not prohibited from repre-
senting a client in a matter pending in the court, but in which
the former judge did not participate. So also the fact that a
former judge exercised administrative responsibility in a court
does not prevent the former judge from acting as a lawyer in
a matter where the judge had previously exercised remote or
incidental administrative responsibility that did not affect the
merits. Compare the Commentary to Rule 1.11. Participation
on the merits or in settlement discussions is considered per-
sonal and substantial. Nominal or ministerial responsibility is
not considered personal and substantial.
RULES OF PROFESSIONAL CONDUCTRule 1.12
Like former judges, lawyers who have served as arbitrators,
mediators or other third-party neutrals may be asked to repre-
sent a client in a matter inwhich the lawyer participated person-
ally. This Rule forbids such representation unless all of the
parties to the proceedings give their informed consent, con-
firmed in writing. See Rule 1.0 (c) and (f). Other law or codes
of ethics governing third-party neutrals may impose more strin-
gent standards of personal or imputed disqualification. See
Rule 2.4.
Although lawyers who serve as third-party neutrals do not
have information concerning the parties that is protected under
Rule 1.6, they typically owe the parties an obligation of confi-
dentiality under law or codes of ethics governing third-party
neutrals. Thus, subsection (c) provides that conflicts of the
personally disqualified lawyer will be imputed to other lawyers
in a law firm unless the conditions of this subsection are met.
Requirements for screening procedures are stated in Rule
1.0 (l). Subsection (c) (1) does not prohibit the screened lawyer
from receiving a salary or partnership share established by
prior independent agreement, but that lawyer may not receive
compensation directly related to the matter in which the lawyer
is disqualified.
Notice, including a description of the screened lawyer’s prior
representation and of the screening procedures employed,
generally should be given as soon as practicable after the
need for screening becomes apparent.
Rule 1.13. Organization as Client
(a) A lawyer employed or retained by an organi-
zation represents the organization acting through
its duly authorized constituents.
(b) If a lawyer for an organization knows that
an officer, employee or other person associated
with the organization is engaged in action, intends
to act or refuses to act in a matter related to the
representation that is a violation of a legal obliga-
tion to the organization, or a violation of law that
reasonably might be imputed to the organization,
and that is likely to result in substantial injury to
the organization, then the lawyer shall proceed
as is reasonably necessary in the best interest of
the organization.
Unless the lawyer reasonably believes that it is
not in the best interest of the organization to do
so, the lawyer shall refer the matter to higher
authority in the organization, including, if war-
ranted by the circumstances, to the highest
authority that can act in behalf of the organization
as determined by applicable law.
(c) Except as provided in subsection (d), if
(1) Despite the lawyer’s efforts in accordance
with subsection (b), the highest authority that can
act on behalf of the organization insists upon or
fails to address in a timely and appropriate manner
an action, or a refusal to act, that is clearly a
violation of law and
(2) The lawyer reasonably believes that the vio-
lation is reasonably certain to result in substantial
injury to the organization, then the lawyer may
reveal information relating to the representation
whether or not Rule 1.6 permits such disclosure,
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but only if and to the extent the lawyer reasonably
believes necessary to prevent substantial injury
to the organization.
(d) Subsection (c) shall not apply with respect
to information relating to a lawyer’s representation
of an organization to investigate an alleged viola-
tion of law, or to defend the organization or an
officer, employee or other constituent associated
with the organization against a claim arising out
of an alleged violation of law.
(e) A lawyer who reasonably believes that he or
she has been discharged because of the lawyer’s
actions taken pursuant to subsections (b) or (c),
or who withdraws under circumstances that
require or permit the lawyer to take action under
either of those subsections, shall proceed as the
lawyer reasonably believes necessary to assure
that the organization’s highest authority is
informed of the lawyer’s discharge or withdrawal.
(f) In dealing with an organization’s directors,
officers, employees, members, shareholders or
other constituents, a lawyer shall explain the iden-
tity of the client when the lawyer knows or reason-
ably should know that the organization’s interests
are adverse to those of the constituents with
whom the lawyer is dealing.
(g) A lawyer representing an organization may
also represent any of its directors, officers,
employees, members, shareholders or other con-
stituents, subject to the provisions of Rule 1.7. If
the organization’s consent to the dual representa-
tion is required by Rule 1.7, the consent shall be
given by an appropriate official of the organization
other than the individual who is to be represented,
or by the shareholders.
(P.B. 1978-1997, Rule 1.13.) (Amended June 26, 2006, to
take effect Jan. 1, 2007.)
COMMENTARY: The Entity as the Client. An organiza-
tional client is a legal entity, but it cannot act except through
its officers, directors, employees, shareholders and other con-
stituents. Officers, directors, employees and shareholders are
the constituents of the corporate organizational client. The
duties defined in this Commentary apply equally to unincorpo-
rated associations. ‘‘Other constituents’’ as used in this Com-
mentary means the positions equivalent to officers, directors,
employees and shareholders held by persons acting for orga-
nizational clients that are not corporations.
When one of the constituents of an organizational client
communicates with the organization’s lawyer in that person’s
organizational capacity, the communication is protected by
Rule 1.6. Thus, by way of example, if an organizational client
requests its lawyer to investigate allegations of wrongdoing,
interviews made in the course of that investigation between
the lawyer and the client’s employees or other constituents
are covered by Rule 1.6. This does not mean, however, that
constituents of an organizational client are the clients of the
lawyer. The lawyer may not disclose to such constituents infor-
mation relating to the representation except for disclosures
explicitly or impliedly authorized by the organizational client
in order to carry out the representation or as otherwise permit-
ted by Rule 1.6.
RULES OF PROFESSIONAL CONDUCT Rule 1.13
When constituents of the organization make decisions for
it, the decisions ordinarily must be accepted by the lawyer
even if their utility or prudence is doubtful. Decisions concern-
ing policy and operations, including ones entailing serious risk,
are not as such in the lawyer’s province. Subsection (b) makes
clear, however, that when the lawyer knows that the organiza-
tion is likely to be substantially injured by action of an officer
or other constituent that violates a legal obligation to the organi-
zation or is in violation of law that might be imputed to the
organization, the lawyer must proceed as is reasonably neces-
sary in the best interest of the organization. As defined in Rule
1.0 (g), knowledge can be inferred from circumstances, and
a lawyer cannot ignore the obvious.
In determining how to proceed under subsection (b), the
lawyer should give due consideration to the seriousness of
the violation and its consequences, the responsibility in the
organization and the apparent motivation of the persons
involved, the policies of the organization concerning such mat-
ters, and any other relevant considerations. Ordinarily, referral
to a higher authority would be necessary. In some circum-
stances, however, it may be appropriate for the lawyer to ask
the constituent to reconsider the matter; for example, if the
circumstances involve a constituent’s innocent misunder-
standing of law and subsequent acceptance of the lawyer’s
advice, the lawyer may reasonably believe conclude that the
best interest of the organization does not require that the
matter be referred to higher authority. If a constituent persists
in conduct contrary to the lawyer’s advice, it will be necessary
for the lawyer to take steps to have the matter reviewed by a
higher authority in the organization. If the matter is of sufficient
seriousness and importance or urgency to the organization,
referral to higher authority in the organization may be neces-
sary even if the lawyer has not communicated with the constit-
uent. Any measures taken should, to the extent practicable,
minimize the risk of revealing information relating to the repre-
sentation to persons outside the organization. Even in circum-
stances where a lawyer is not obligated by Rule 1.13 to
proceed, a lawyer may bring to the attention of an organiza-
tional client, including its highest authority, matters that the
lawyer reasonably believes to be of sufficient importance to
warrant doing so in the best interest of the organization.
Subsection (b) also makes clear that when it is reasonably
necessary to enable the organization to address the matter
in a timely and appropriate manner, the lawyer must refer
the matter to higher authority, including, if warranted by the
circumstances, the highest authority that can act on behalf
of the organization under applicable law. The organization’s
highest authority to whom a matter may be referred ordinarily
will be the board of directors or similar governing body. How-
ever, applicable law may prescribe that under certain condi-
tions the highest authority reposes elsewhere; for example,
in the independent directors of a corporation.
Relation to Other Rules. The authority and responsibility
provided in this Rule are concurrent with the authority and
responsibility provided in other Rules. In particular, this Rule
does not limit or expand the lawyer’s responsibility under Rules
1.8, 1.16, 3.3 and 4.1. Subsection (c) of this Rule supplements
Rule 1.6 (b) by providing an additional basis upon which the
lawyer may reveal information relating to the representation,
but does not modify, restrict, or limit the provisions of Rule
1.6 (b) (1) through (6). Under subsection (c) the lawyer may
reveal such information only when the organization’s highest
authority insists upon or fails to address threatened or ongoing
action that is clearly a violation of law, and then only to the
extent the lawyer reasonably believes necessary to prevent
reasonably certain substantial injury to the organization. It is
not necessary that the lawyer’s services be used in furtherance
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of the violation, but it is required that the matter be related to
the lawyer’s representation of the organization. If the lawyer’s
services are being used by an organization to further a crime
or fraud by the organization, Rules 1.6 (b) (2) and 1.6 (b) (3)
may permit the lawyer to disclose confidential information. In
such circumstances, Rule 1.2 (d) may also be applicable, in
which event, withdrawal from the representation under Rule
1.6 (a) (1) may be required.
Subsection (d) makes clear that the authority of a lawyer
to disclose information relating to a representation in circum-
stances described in subsection (c) does not apply with respect
to information relating to a lawyer’s engagement by an organi-
zation to investigate an alleged violation of law or to defend
the organization or an officer, employee or other person asso-
ciated with the organization against a claim arising out of an
alleged violation of law. This is necessary in order to enable
organizational clients to enjoy the full benefits of legal counsel
in conducting an investigation or defending against a claim.
A lawyer who reasonably believes that he or she has been
discharged because of the lawyer’s actions taken pursuant to
subsection (b) or (c), or who withdraws in circumstances that
require or permit the lawyer to take action under either of these
subsections, must proceed as the lawyer reasonably believes
necessary to assure that the organization’s highest authority
is informed of the lawyer’s discharge or withdrawal.
Government Agency. The duty defined in this Rule applies
to governmental organizations. Defining precisely the identity
of the client and prescribing the resulting obligations of such
lawyers may be more difficult in the government context and
is a matter beyond the scope of these Rules. See Scope.
Although in some circumstances the client may be a specific
agency, it may also be a branch of government, such as the
executive branch, or the government as a whole. For example,
if the action or failure to act involves the head of a bureau,
either the department of which the bureau is a part or the
relevant branch of government may be the client for purposes
of this Rule. Moreover, in a matter involving the conduct of
government officials, a government lawyer may have authority
under applicable law to question such conduct more exten-
sively than that of a lawyer for a private organization in similar
circumstances. Thus, when the client is a governmental orga-
nization, a different balance may be appropriate between
maintaining confidentiality and assuring that the wrongful act
is prevented or rectified, for public business is involved. In
addition, duties of lawyers employed by the government or
lawyers in military service may be defined by statutes and
regulations. This Rule does not limit that authority. See Scope.
Clarifying the Lawyer’s Role. There are times when the
organization’s interest may be or become adverse to those of
one or more of its constituents. In such circumstances the
lawyer should advise any constituent, whose interest the law-
yer finds adverse to that of the organization of the conflict or
potential conflict of interest, that the lawyer cannot represent
such constituent, and that such person may wish to obtain
independent representation. Care must be taken to assure that
the individual understands that, when there is such adversity
of interest, the lawyer for the organization cannot provide legal
representation for that constituent individual, and that discus-
sions between the lawyer for the organization and the individ-
ual may not be privileged.
Whether such a warning should be given by the lawyer for
the organization to any constituent individual may turn on the
facts of each case.
Dual Representation. Subsection (e) recognizes that a
lawyer for an organization may also represent a principal offi-
cer or major shareholder.
RULES OF PROFESSIONAL CONDUCTRule 1.13
Derivative Actions. Under generally prevailing law, the
shareholders or members of a corporation may bring suit to
compel the directors to perform their legal obligations in the
supervision of the organization. Members of unincorporated
associations have essentially the same right. Such an action
may be brought nominally by the organization, but usually is, in
fact, a legal controversy over management of the organization.
The question can arise whether counsel for the organization
may defend such an action. The proposition that the organiza-
tion is the lawyer’s client does not alone resolve the issue. Most
derivative actions are a normal incident of an organization’s
affairs, to be defended by the organization’s lawyer like any
other suit. However, if the claim involves serious charges of
wrongdoing by those in control of the organization, a conflict
may arise between the lawyer’s duty to the organization and
the lawyer’s relationship with the board. In those circum-
stances, Rule 1.7 governs who should represent the directors
and the organization.
Rule 1.14. Client with Impaired Capacity
(Amended June 26, 2006, to take effect Jan. 1, 2007;
amended June 30, 2008, to take effect Jan. 1, 2009.)
(a) When a client’s capacity to make or commu-
nicate adequately considered decisions in con-
nection with a representation is impaired, whether
because of minority, mental impairment or for
some other reason, the lawyer shall, as far as
reasonably possible, maintain a normal client-law-
yer relationship with the client.
(b) When the lawyer reasonably believes that
the client is unable to make or communicate ade-
quately considered decisions, is likely to suffer
substantial physical, financial or other harm
unless action is taken and cannot adequately act
in the client’s own interest, the lawyer may take
reasonably necessary protective action, including
consulting with individuals or entities that have
the ability to take action to protect the client and,
in appropriate cases, seeking the appointment of
a legal representative.
(c) Information relating to the representation of
a client with impaired capacity is protected by Rule
1.6. When taking protective action pursuant to
subsection (b), the lawyer is impliedly authorized
under Rule 1.6 (a) to reveal information about the
client, but only to the extent reasonably necessary
to protect the client’s interests.
(P.B. 1978-1997, Rule 1.14.) (Amended June 26, 2006, to
take effect Jan. 1, 2007; amended June 30, 2008, to take
effect Jan. 1, 2009.)
COMMENTARY: The normal client-lawyer relationship is
based on the assumption that the client, whenproperly advised
and assisted, is capable of making decisions about important
matters. When the client is a minor or is unable to make
or communicate adequately considered decisions, however,
maintaining the ordinary client-lawyer relationship may not be
possible in all respects. In particular, a severely incapacitated
person may have no power to make legally binding decisions.
Nevertheless, a client with impaired capacity often has the
ability to understand, deliberate upon, and reach conclusions
about matters affecting the client’s own well-being. For exam-
ple, children as young as five or six years of age, and certainly
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those of ten or twelve, are regarded as having opinions that
are entitled to weight in legal proceedings concerning their
custody. So also, it is recognized that some persons of
advanced age can be quite capable of handling routine finan-
cial matters while needing special legal protection concerning
major transactions.
The fact that a client suffers a disability does not diminish
the lawyer’s obligation under these rules. Even if the person
has a legal representative, the lawyer should as far as possible
accord the represented person the status of client, particularly
in maintaining communication.
The client may wish to have family members or other per-
sons participate in discussions with the lawyer. When neces-
sary to assist in the representation, the presence of such
persons generally does not constitute a waiver of the attorney-
client evidentiary privilege. Nevertheless, the lawyer must
keep the client’s interests foremost and, except for protective
action authorized under subsection (b), must look to the client,
and not family members, to make decisions on the client’s
behalf.
If a legal representative has already been appointed for the
client, the lawyer should look to the representative for deci-
sions on behalf of the client only when such decisions are
within the scope of the authority of the legal representative.
In matters involving a minor, whether the lawyer should look
to the parents as natural guardians may depend on the type
of proceeding or matter in which the lawyer is representing
the minor. If the lawyer represents the guardian as distinct from
the ward, and is aware that the guardian is acting adversely
to the ward’s interest, the lawyer may have an obligation to
prevent or rectify the guardian’s misconduct. See Rule 1.2 (d).
Taking Protective Action. If a lawyer reasonably believes
that a client is likely to suffer substantial physical, financial or
other harm unless action is taken, and that a normal client-
lawyer relationship cannot be maintained as provided in sub-
section (a) because the client lacks sufficient capacity to com-
municate or to make adequately considered decisions in
connection with the representation, then subsection (b) per-
mits the lawyer to take protective measures deemed neces-
sary. Such measures could include: consulting with family
members, using a reconsideration period to permit clarification
or improvement of circumstances, using voluntary surrogate
decision-making tools such as durable powers of attorney or
consulting with support groups, professional services, adult-
protective agencies or other individuals or entities that have
the ability to protect the client. In taking any protective action,
the lawyer should be guided by such factors as the wishes
and values of the client to the extent known, the client’s best
interests and the goals of intruding into the client’s decision-
making autonomy to the least extent feasible, maximizing cli-
ent capacities and respecting the client’s family and social con-
nections.
In determining the extent of the client’s impaired capacity,
the lawyer should consider and balance such factors as: the
client’s ability to articulate reasoning leading to a decision,
variability of state of mind and ability to appreciate conse-
quences of a decision; the substantive fairness of a decision;
and the consistency of a decision with the known long-term
commitments and values of the client. In appropriate circum-
stances, the lawyer may seek guidance from an appropriate
diagnostician.
If a legal representative has not been appointed, the lawyer
should consider whether appointment of a legal representative
is necessary to protect the client’s interests. In addition, rules
of procedure in litigation sometimes provide that minors or
persons with impaired capacity must be represented by a
guardian or next friend if they do not have a general guardian.
RULES OF PROFESSIONAL CONDUCT Rule 1.15
In many circumstances, however, appointment of a legal repre-
sentative may be more expensive or traumatic for the client
than circumstances in fact require. Evaluation of such circum-
stances is a matter entrusted to the professional judgment of
the lawyer. In considering alternatives, however, the lawyer
should be aware of any law that requires the lawyer to advocate
the least restrictive action on behalf of the client.
Disclosure of the Client’s Condition. Disclosure of the
client’s impaired capacity could adversely affect the client’s
interests. For example, raising the question of impaired capac-
ity could, in some circumstances, lead to proceedings for invol-
untary conservatorship and/or commitment. Information
relating to the representation is protected by Rule 1.6. There-
fore, unless authorized to do so by these rules or other law,
the lawyer may not disclose such information. When taking
protective action pursuant to subsection (b), the lawyer is
impliedly authorized to make the necessary disclosures, even
when the client directs the lawyer to the contrary. Neverthe-
less, given the risks of disclosure, subsection (c) limits what
the lawyer may disclose in consulting with other individuals
or entities or seeking the appointment of a legal representative.
At the very least, the lawyer should determine whether it is
likely that the person or entity consulted with will act adversely
to the client’s interests before discussing matters related to the
client. The lawyer’s position in such cases is an unavoidably
difficult one.
Emergency Legal Assistance. In an emergency where the
health, safety or a financial interest of a person with impaired
capacity is threatened with imminent and irreparable harm, a
lawyer may take legal action on behalf of such a person even
though the person is unable to establish a client-lawyer rela-
tionship or to make or express considered judgments about
the matter, when the person or another acting in good faith
on that person’s behalf has consulted with the lawyer. Even
in such an emergency, however, the lawyer should not act
unless the lawyer reasonably believes that the person has
no other lawyer, agent or other representative available. The
lawyer should take legal action on behalf of the person only
to the extent reasonably necessary to maintain the status quo
or otherwise avoid imminent and irreparable harm. A lawyer
who undertakes to represent a person in such an exigent
situation has the same duties under these Rules as the lawyer
would with respect to a client.
A lawyer who acts on behalf of a person with impaired
capacity in an emergency should keep the confidences of the
person as if dealing with a client, disclosing them only to the
extent necessary to accomplish the intended protective action.
The lawyer should disclose to any tribunal involved and to
any other counsel involved the nature of his or her relationship
with the person. The lawyer should take steps to regularize
the relationship or implement other protective solutions as
soon as possible. Normally, a lawyer would not seek compen-
sation for such emergency actions taken.
Rule 1.15. Safekeeping Property
(a) As used in this Rule, the terms below shall
have the following meanings:
(1) ‘‘Allowable reasonable fees’’ for IOLTA
accounts are per check charges, per deposit
charges, a fee in lieu of a minimum balance, fed-
eral deposit insurance fees, sweep fees, and a
reasonable IOLTA account administrative or
maintenance fee.
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(2) An ‘‘eligible institution’’ means (i) a bank or
savings and loan association authorized by fed-
eral or state law to do business in Connecticut,
the deposits of which are insured by an agency
of the United States government, or (ii) an open-
end investment company registered with the
United States Securities and Exchange Commis-
sion and authorized by federal or state law to do
business in Connecticut. In addition, an eligible
institution shall meet the requirements set forth
in subsection (i) (3) below. The determination of
whether or not an institution is an eligible institu-
tion shall be made by the organization designated
by the judges of the superior court to administer
the program pursuant to subsection (i) (4) below,
subject to the dispute resolution process provided
in subsection (i) (4) (E) below.
(3) ‘‘Federal Funds Target Rate’’ means the
target level for the federal funds rate set by the
Federal Open Market Committee of the Board of
Governors of the Federal Reserve System from
time to time or, if such rate is no longer available,
any comparable successor rate. If such rate or
successor rate is set as a range, the term ‘‘Federal
Funds Target Rate’’ means the upper limit of
such range.
(4) ‘‘Interest- or dividend-bearing account’’
means (i) an interest-bearing checking account,
or (ii) an investment product which is a daily (over-
night) financial institution repurchase agreement
or an open-end money market fund. A daily finan-
cial institution repurchase agreement must be fully
collateralized by U.S. Government Securities and
may be established only with an eligible institution
that is ‘‘well-capitalized’’ or ‘‘adequately capital-
ized’’ as those terms are defined by applicable
federal statutes and regulations. An open-end
money market fund must be invested solely in
U.S. Government Securities or repurchase
agreements fully collateralized by U.S. Govern-
ment Securities, must hold itself out as a ‘‘money
market fund’’ as that term is defined by federal
statutes and regulations under the Investment
Company Act of 1940 and, at the time of the
investment, must have total assets of at least
$250,000,000.
(5) ‘‘IOLTA account’’ means an interest- or divi-
dend-bearing account established by a lawyer or
law firm for clients’ funds at an eligible institution
from which funds may be withdrawn upon request
by the depositor without delay. An IOLTA account
shall include only client or third person funds,
except as permitted by subsection (i) (6) below.
The determination of whether or not an interest- or
dividend-bearing account meets the requirements
of an IOLTA account shall be made by the organi-
zation designated by the judges of the superior
RULES OF PROFESSIONAL CONDUCTRule 1.15
court to administer the program pursuant to sub-
section (i) (4) below.
(6) ‘‘Non-IOLTA account’’ means an interest-
or dividend-bearing account, other than an IOLTA
account, from which funds may be withdrawn
upon request by the depositor without delay.
(7) ‘‘U.S. Government Securities’’ means direct
obligations of the United States government, or
obligations issued or guaranteed as to principal
and interest by the United States or any agency
or instrumentality thereof, including United States
government-sponsored enterprises, as such term
is defined by applicable federal statutes and regu-
lations.
(b) A lawyer shall hold property of clients or
third persons that is in a lawyer’s possession in
connection with a representation separate from
the lawyer’s own property. Funds shall be kept in
a separate account maintained in the state where
the lawyer’s office is situated or elsewhere with
the consent of the client or third person. Other
property shall be identified as such and appropri-
ately safeguarded. Complete records of such
account funds and other property shall be kept
by the lawyer and shall be preserved for a period
of seven years after termination of the represen-
tation.
(c) A lawyer may deposit the lawyer’s own funds
in a client trust account for the sole purposes of
paying bank service charges on that account or
obtaining a waiver of fees and service charges
on the account, but only in an amount necessary
for those purposes.
(d) Absent a written agreement with the client
otherwise, a lawyer shall deposit into a client trust
account legal fees and expenses that have been
paid in advance, to be withdrawn by the lawyer
only as fees are earned or expenses incurred.
(e) Upon receiving funds or other property in
which a client or third person has an interest,
a lawyer shall promptly notify the client or third
person. Except as stated in this Rule or otherwise
permitted by law or by agreement with the client
or third person, a lawyer shall promptly deliver to
the client or third person any funds or other prop-
erty that the client or third person is entitled to
receive and, upon request by the client or third
person, shall promptly render a full accounting
regarding such property.
(f) When in the course of representation a law-
yer is in possession of property in which two or
more persons (one of whom may be the lawyer)
have interests, the property shall be kept separate
by the lawyer until any competing interests are
resolved. The lawyer shall promptly distribute all
portions of the property as to which the lawyer is
able to identify the parties that have interests and
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as to which there are no competing interests.
Where there are competing interests in the prop-
erty or a portion of the property, the lawyer shall
segregate and safeguard the property subject to
the competing interests.
(g) The word ‘‘interest(s)’’ as used in this sub-
section and subsections (e) and (f) means more
than the mere assertion of a claim by a third party.
In the event a lawyer is notified by a third party
or a third party’s agent of a claim to funds held
by the lawyer on behalf of a client, but it is unclear
to the lawyer whether the third party has a valid
interest within the meaning of this Rule, the lawyer
may make a written request that the third party
or third party’s agent provide the lawyer such rea-
sonable information and/or documentation as
needed to assist the lawyer in determining
whether substantial grounds exist for the third par-
ty’s claim to the funds. If the third party or third
party’s agent fails to comply with such a request
within sixty days, the lawyer may distribute the
funds in question to the client.
(h) Notwithstanding subsections (b), (c), (d), (e)
and (f), lawyers and law firms shall participate in
the statutory program for the use of interest
earned on lawyers’ clients’ funds accounts to pro-
vide funding for the delivery of legal services to
the poor by nonprofit corporations whose principal
purpose is providing legal services to the poor
and for law school scholarships based on financial
need. Lawyers and law firms shall place a client’s
or third person’s funds in an IOLTA account if the
lawyer or law firm determines, in good faith, that
the funds cannot earn income for the client in
excess of the costs incurred to secure such
income. For the purpose of making this good faith
determination of whether a client’s funds cannot
earn income for the client in excess of the costs
incurred to secure such income, the lawyer or law
firm shall consider the following factors: (1) The
amount of the funds to be deposited; (2) the
expected duration of the deposit, including the
likelihood of delay in resolving the relevant trans-
action, proceeding or matter for which the funds
are held; (3) the rates of interest, dividends or
yield at eligible institutions where the funds are
to be deposited; (4) the costs associated with
establishing and administering interest-bearing
accounts or other appropriate investments for the
benefit of the client, including service charges,
minimum balance requirements or fees imposed
by the eligible institutions; (5) the costs of the
services of the lawyer or law firm in connection
with establishing and maintaining the account or
other appropriate investments; (6) the costs of
preparing any tax reports required for income
RULES OF PROFESSIONAL CONDUCT Rule 1.15
earned on the funds in the account or other appro-
priate investments; and (7) any other circum-
stances that affect the capability of the funds to
earn income for the client in excess of the costs
incurred to secure such income. No lawyer shall
be subject to discipline for determining in good
faith to deposit funds in the interest earned on
lawyers’ clients’ funds account in accordance with
this subsection.
(i) An IOLTA account may only be established
at an eligible institution that meets the following
requirements:
(1) No earnings from the IOLTA account shall
be made available to a lawyer or law firm.
(2) Lawyers or law firms depositing a client’s or
third person’s funds in an IOLTA account shall
direct the depository institution:
(A) To remit interest or dividends, net of allow-
able reasonable fees, if any, on the average
monthly balance in the account, or as otherwise
computed in accordance with the institution’s
standard accounting practices, at least quarterly,
to the organization designated by the judges of
the superior court to administer this statutory
program;
(B) To transmit to the organization administer-
ing the program with each remittance a report that
identifies the name of the lawyer or law firm for
whom the remittance is sent, the amount of remit-
tance attributable to each IOLTA account, the rate
and type of interest or dividends applied, the
amount of interest or dividends earned, the
amount and type of fees and service charges
deducted, if any, and the average account bal-
ance for the period for which the report is made
and such other information as is reasonably
required by such organization; and
(C) To transmit to the depositing lawyer or law
firm at the same time a report in accordance with
the institution’s normal procedures for reporting
to its depositors.
(3) Participation by banks, savings and loan
associations, and investment companies in the
IOLTA program is voluntary. An eligible institution
that elects to offer and maintain IOLTA accounts
shall meet the following requirements:
(A) The eligible institution shall pay no less on
its IOLTA accounts than the highest interest rate
or dividend generally available from the institution
to its non-IOLTA customers when the IOLTA
account meets or exceeds the same minimum
balance or other eligibility qualifications on its non-
IOLTA accounts, if any. In determining the highest
interest rate or dividend generally available from
the institution to its non-IOLTA customers, an eli-
gible institution may consider, in addition to the
balance in the IOLTA account, factors customarily
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considered by the institution when setting interest
rates or dividends for its non-IOLTA customers,
provided that such factors do not discriminate
between IOLTA accounts and non-IOLTA
accounts and that these factors do not includethe
fact that the account is an IOLTA account. In lieu
of the rate set forth in the first sentence of this
subparagraph, an eligible institution may pay a
rate equal to the higher of either (i) one percent
per annum, or (ii) sixty percent of the Federal
Funds Target Rate. Such alternate rate shall be
determined for each calendar quarter as of the
first business day of such quarter and shall be
deemed net of allowable reasonable fees and ser-
vice charges. The eligible institution may offer,
and the lawyer or law firm may request, a sweep
account that provides a mechanism for the over-
night investment of balances in the IOLTA account
in an interest- or dividend-bearing account that is
a daily financial institution repurchase agreement
or a money market fund. Nothing in this Rule shall
preclude an eligible institution from paying a
higher interest rate or dividend than described
above or electing to waive any fees and service
charges on an IOLTA account. An eligible institu-
tion may choose to pay the higher interest or divi-
dend rate on an IOLTA account in lieu of
establishing it as a higher rate product.
(B) Interest and dividends shall be calculated in
accordance with the eligible institution’s standard
practices for non-IOLTA customers.
(C) Allowable reasonable fees are the only fees
and service charges that may be deducted by
an eligible institution from interest earned on an
IOLTA account. Allowable reasonable fees may
be deducted from interest or dividends on an
IOLTA account only at the rates and in accord-
ance with the customary practices of the eligible
institution for non-IOLTA customers. No fees or
service charges other than allowable reasonable
fees may be assessed against the accrued inter-
est or dividends on an IOLTA account. Any fees
and service charges other than allowable reason-
able fees shall be the sole responsibility of, and
may only be charged to, the lawyer or law firm
maintaining the IOLTA account. Fees and service
charges in excess of the interest or dividends
earned on one IOLTA account for any period shall
not be taken from interest or dividends earned on
any other IOLTA account or accounts or from the
principal of any IOLTA account.
(4) The judges of the superior court, upon rec-
ommendation of the chief court administrator,
shall designate an organization qualified under
Sec. 501 (c) (3) of the Internal Revenue Code, or
any subsequent corresponding Internal Revenue
Code of the United States, as from time to time
RULES OF PROFESSIONAL CONDUCTRule 1.15
amended, to administer the program. The chief
court administrator shall cause to be printed in
the Connecticut Law Journal an appropriate
announcement identifying the designated organi-
zation. The organization administering the pro-
gram shall comply with the following:
(A) Each June mail to each judge of the superior
court and to each lawyer or law firm participating
in the program a detailed annual report of all funds
disbursed under the program including the
amount disbursed to each recipient of funds;
(B) Each June submit the following in detail
to the chief court administrator for approval and
comment by the Executive Committee of the
superior court: (i) its proposed goals and objec-
tives for the program; (ii) the procedures it has
established to avoid discrimination in the award-
ing of grants; (iii) information regarding the insur-
ance and fidelity bond it has procured; (iv) a
description of the recommendations and advice
it has received from the Advisory Panel estab-
lished by General Statutes § 51-81c and the
action it has taken to implement such recommen-
dations and advice; (v) the method it utilizes to
allocate between the two uses of funds provided
for in § 51-81c and the frequency with which it
disburses funds for such purposes; (vi) the proce-
dures it has established to monitor grantees to
ensure that any limitations or restrictions on the
use of the granted funds have been observed
by the grantees, such procedures to include the
receipt of annual audits of each grantee showing
compliance with grant awards and setting forth
quantifiable levels of services that each grantee
has provided with grant funds; (vii) the procedures
it has established to ensure that no funds that
have been awarded to grantees are used for lob-
bying purposes; and (viii) the procedures it has
established to segregate funds to be disbursed
under the program from other funds of the organi-
zation;
(C) Allow the judicial branch access to its books
and records upon reasonable notice;
(D) Submit to audits by the judicial branch; and
(E) Provide for a dispute resolution process for
resolving disputes as to whether a bank, savings
and loan association, or open-end investment
company is an eligible institution within the mean-
ing of this Rule.
(5) Before an organization may be designated
to administer this program, it shall file with the
chief court administrator, and the judges of the
superior court shall have approved, a resolution
of the board of directors of such an organization
which includes provisions:
(A) Establishing that all funds the organization
might receive pursuant to subsection (i) (2) (A)
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above will be exclusively devoted to providing
funding for the delivery of legal services to the
poor by nonprofit corporations whose principal
purpose is providing legal services to the poor
and for law school scholarships based on financial
need and to the collection, management and dis-
tribution of such funds;
(B) Establishing that all interest and dividends
earned on such funds, less allowable reasonable
fees, if any, shall be used exclusively for such
purposes;
(C) Establishing and describing the methods
the organization will utilize to implement and
administer the program and to allocate funds to
be disbursed under the program, the frequency
with which the funds will be disbursed by the orga-
nization for such purposes, and the segregation
of such funds from other funds of the organization;
(D) Establishing that the organization shall con-
sult with and receive recommendations from the
Advisory Panel established by General Statutes
§ 51-81c regarding the implementation and
administration of the program, including the
method of allocation and the allocation of funds
to be disbursed under such program;
(E) Establishing that the organization shall com-
ply with the requirements of this Rule; and
(F) Establishing that said resolution will not be
amended, and the facts and undertakings set forth
in it will not be altered, until the same shall have
been approved by the judges of the superior court
and ninety days have elapsed after publication by
the chief court administrator of the notice of such
approval in the Connecticut Law Journal.
(6) Nothing in this subsection (i) shall prevent
a lawyer or law firm from depositing a client’s or
third person’s funds, regardless of the amount of
such funds or the period for which such funds are
expected to be held, in a separate non-IOLTA
account established on behalf of and for the bene-
fit of the client or third person. Such an account
shall be established as:
(A) A separate clients’ funds account for the
particular client or third person on which the inter-
est or dividends will be paid to the client or third
person; or
(B) A pooled clients’ funds account with subac-
counting by the bank, savings and loan associa-
tion or investment company or by the lawyer or
law firm, which provides for the computation of
interest or dividends earned by each client’s or
third person’s funds and the payment thereof to
the client or third person.
(j) A lawyer who practices in this jurisdiction
shall maintain current financial records as pro-
vided in this Rule and shall retain the following
RULES OF PROFESSIONAL CONDUCT Rule 1.15
records for a period of seven years after termina-
tion of the representation:
(1) receipt and disbursement journals con-
taining a record of deposits to and withdrawals
from client trust accounts, specifically identifying
the date, source, and description of each item
deposited, as well as the date, payee and purpose
of each disbursement;
(2) ledger records for all client trust accounts
showing, for each separate trust client or benefi-
ciary, the source of all funds deposited, the names
of all persons for whom the funds are or were
held, the amount of such funds, the descriptions
and amounts of charges or withdrawals, and the
names of all persons or entities to whom such
funds were disbursed;
(3) copies of retainer and compensation
agreements with clients as required by Rule 1.5
of the Rules of Professional Conduct;
(4) copies of accountings to clients or third per-
sons showing the disbursement of funds to them
or on their behalf;
(5) copies of bills for legal fees and expenses
rendered to clients;
(6) copies of records showing disbursements
on behalf of clients;
(7) the physical or electronic equivalents of all
checkbook registers, bank statements, records of
deposit, prenumbered canceled checks, and sub-
stitute checks provided by a financial institution;
(8) records of all electronic transfers from client
trust accounts, including the name of the person
authorizing transfer, the date of transfer, the name
of the recipient and confirmation from the financial
institution of the trust account number from which
money was withdrawn and the date and the time
the transfer was completed;
(9) copies of monthly trial balances and at least
quarterly reconciliations of the client trust
accounts maintained by the lawyer; and
(10) copies of those portions of client files that
are reasonably related to client trust account
transactions.
(k) With respect to client trust accounts required
by this Rule:
(1) only a lawyer admitted to practice law in this
jurisdiction or a person under the direct supervi-
sion of the lawyer shall be an authorized signatory
or authorize transfers from a client trust account;
(2) receipts shall be deposited intact and
records of deposit should be sufficiently detailed
to identify each item; and
(3) withdrawals shall be made only by check
payable to a named payee or by authorized elec-
tronic transfer and not to cash.
(l) The records required by this Rule may be
maintained by electronic, photographic, or other
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media provided that they otherwise comply with
these Rules and that printed copies can be pro-
duced. These records shall be readily accessible
to the lawyer.
(m) Upon dissolution of a law firm or of any
legal professional corporation, the partners shall
make reasonable arrangements for the mainte-
nance of client trust account records specified in
this Rule.
(n) Upon the sale of a law practice, the seller
shall make reasonable arrangements for the
maintenance of records specified in this Rule.
(P.B. 1978-1997, Rule 1.15.) (Amended June 26, 2006, to
take effect Sept. 1, 2006; amended June 29, 2007, to take
effect Sept. 1, 2007; amended June 30, 2008, to take effect
Aug. 1, 2008; amended June 21, 2010, to take effect Aug. 1,
2010; amended June 20, 2011, to take effect Jan. 1, 2012;
amended June 12, 2015, to take effect Jan. 1, 2016.)
COMMENTARY: A lawyer should hold property of others
with the care required of a professional fiduciary. Securities
should be kept in a safe deposit box, except when some other
form of safekeeping is warranted by special circumstances.
All property that is the property of clients or third persons,
including prospective clients, must be kept separate from the
lawyer’s business and personal property and, if moneys, in
one or more trust accounts. Separate trust accounts may be
warranted when administering estate moneys or acting in simi-
lar fiduciary capacities. A lawyer should maintain on a current
basis books and records in accordance with generally
accepted accounting practices.
While normally it is impermissible to commingle the lawyer’s
own funds with client funds, subsection (c) provides that it is
permissible when necessary to pay bank service charges on
that account. Accurate records must be kept regarding which
part of the funds is the lawyer’s.
Lawyers often receive funds from which the lawyer’s fee
will be paid. The lawyer is not required to remit to the clients’
funds account funds that the lawyer reasonably believes repre-
sent fees owed. However, a lawyer may not hold funds to
coerce a client into accepting the lawyer’s contention. The
disputed portion of the funds must be kept in a trust account
and the lawyer should suggest means for prompt resolution
of the dispute, such as arbitration. The undisputed portion of
the funds shall be promptly distributed.
Subsection (f) also recognizes that third parties, such as a
client’s creditor who has a lien onfunds recovered in a personal
injury action, may have lawful interests in specific funds or
other property in a lawyer’s custody. A lawyer may have a
duty under applicable law to protect such third-party interests
against wrongful interference by the client. In such cases the
lawyer must refuse to surrender the property to the client until
the competing interests are resolved. A lawyer should not
unilaterally assume to arbitrate a dispute between the client
and the third party, but, when there are substantial grounds
for dispute as to the person entitled to the funds, the lawyer
may file an action to have a court resolve the dispute.
The word ‘‘interest(s)’’ as used in subsections (e), (f) and
(g) includes, but is not limited to, the following: a valid judgment
concerning disposition of the property; a valid statutory or
judgment lien, or other lien recognized by law, against the
property; a letter of protection or similar obligation that is both
(a) directly related to the property held by the lawyer, and
(b) an obligation specifically entered into to aid the lawyer in
obtaining the property; or a written assignment, signed by the
RULES OF PROFESSIONAL CONDUCTRule 1.15
client, conveying an interest in the funds or other property to
another person or entity.
The obligations of a lawyer under this Rule are independent
of those arising from activity other than rendering legal ser-
vices. For example, a lawyer who serves only as an escrow
agent is governed by the applicable law relating to fiduciaries
even though the lawyer does not render legal services in the
transaction and is not governed by this Rule. A ‘‘lawyers’ fund’’
for client protection provides a means through the collective
efforts of the bar to reimburse persons who have lost money
or property as a result of dishonest conduct of a lawyer. Where
such a fund has been established, a lawyer must participate
where it is mandatory, and, even when it is voluntary, the
lawyer should participate.
Subsection (i) requires lawyers and law firms to participate
in the statutory IOLTA program. The lawyer or law firm should
review its IOLTA account at reasonable intervals to determine
whether changed circumstances require further action with
respect to the funds of any client or third person.
Subsection (j) lists the basic financial records that a lawyer
must maintain with regard to all trust accounts of a law firm.
These include the standard books of account, and the support-
ing records that are necessary to safeguard and account for
the receipt and disbursement of client or third person funds
as required by Rule 1.15 of the Rules of Professional Conduct.
Subsection (j) requires that lawyers maintain client trust
account records, including the physical or electronic equiva-
lents of all checkbook registers, bank statements, records of
deposit, prenumbered canceled checks, and substitute checks
for a period of at least seven years after termination of each
particular legal engagement or representation. The ‘‘Check
Clearing for the 21st Century Act’’ or ‘‘Check 21 Act,’’ codified
at 12 U.S.C. § 5001 et seq., recognizes ‘‘substitute checks’’
as the legal equivalent of an original check. A ‘‘substitute
check’’ is defined at 12 U.S.C. § 5002 (16) as paper reproduc-
tion of the original check that contains an image of the front
and back of the original check; bears a magnetic ink character
recognition (‘‘MICR’’) line containing all the information
appearing on the MICR line of the original check; conforms
with generally applicable industry standards for substitute
checks; and is suitable for automated processing in the same
manner as the original check. Banks, as defined in 12 U.S.C.
§ 5002 (2), are not required to return to customers the original
canceled checks. Most banks now provide electronic images
of checks to customers who have access to their accounts on
internet based websites. It is the lawyer’s responsibility to
download electronic images. Electronic images shall be main-
tained for the requisite number of years and shall be readily
available for printing upon request or shall be printed and
maintained for the requisite number years.
The ACH (Automated Clearing House) Network is an elec-
tronic funds transfer or payment system that primarily provides
for the interbank clearing of electronic paymentsbetween origi-
nating and receiving participating financial institutions. ACH
transactions are payment instructions to either debit or credit
a deposit account. ACH payments are used in a variety of
payment environments including bill payments, business-to-
business payments, and government payments (e.g. tax
refunds). In addition to the primary use of ACH transactions,
retailers and third parties use the ACH system for other types
of transactions including electronic check conversion (ECC).
ECC is the process of transmitting MICR information from
the bottom of a check, converting check payments to ACH
transactions depending upon the authorization given by the
account holder at the point-of-purchase. In this type of transac-
tion, the lawyer should be careful to comply with the require-
ments of subsection (j) (8).
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There are five types of check conversions where a lawyer
should be careful to comply with the requirements of subsec-
tion (j) (8). First, in a ‘‘point-of-purchase conversion,’’ a paper
check is converted into a debit at the point of purchase, and
the paper check is returned to the issuer. Second, in a ‘‘back-
office conversion,’’ a paper check is presented at the point-
of-purchase and is later converted into a debit, and the paper
check is destroyed. Third, in a ‘‘account-receivable conver-
sion,’’ a paper check is converted into a debit, and the paper
check is destroyed. Fourth, in a ‘‘telephone-initiated debit’’
or ‘‘check-by-phone’’ conversion, bank account information is
provided via the telephone, and the information is converted
to a debit. Fifth, in a ‘‘web-initiated debit,’’ an electronic pay-
ment is initiated through a secure web environment. Subsec-
tion (j) (8) applies to each of the types of electronic funds
transfers described. All electronic funds transfers shall be
recorded, and a lawyer should not reusea check number which
has been previously used in an electronic transfer transaction.
The potential of these records to serve as safeguards is
realized only if the procedures set forth in subsection (j) (9) are
regularly performed. The trial balance is the sum of balances
of each client’s ledger card (or the electronic equivalent). Its
value lies in comparing it on a monthly basis to a control
balance. The control balance starts with the previous month’s
balance, then adds receipts from the Trust Receipts Journal
and subtracts disbursements from the Trust Disbursements
Journal. Once the total matches the trial balance, the reconcili-
ation readily follows by adding amounts of any outstanding
checks and subtracting any deposits not credited by the bank
at month’s end. This balance should agree with the bank
statement. Quarterly reconciliation is recommended only as
a minimum requirement; monthly reconciliation is the preferred
practice given the difficulty of identifying an error (whether by
the lawyer or the bank) among three months’ transactions.
In some situations, documentation in addition to that listed
in subdivisions (1) through (9) of subsection (i) is necessary
for a complete understanding of a trust account transaction.
The type of document that a lawyer must retain under subdivi-
sion (10) of subsection (i) because it is ‘‘reasonably related’’
to a client trust transaction will vary depending on the nature
of the transaction and the significance of the document in
shedding light on the transaction. Examples of documents
that typically must be retained under this subdivision include
correspondence between the client and lawyer relating to a
disagreement over fees or costs or the distributionof proceeds,
settlement agreements contemplating payment of funds, set-
tlement statements issued to the client, documentation relating
to sharing litigation costs and attorney fees for subrogated
claims, agreements for division of fees between lawyers, guar-
antees of payment to third parties out of proceeds recovered
on behalf of a client, and copies of bills, receipts or correspon-
dence related to any payments to third parties on behalf of a
client (whether made from the client’s funds or from the law-
yer’s funds advanced for the benefit of the client).
Subsection (k) lists minimal accounting controls for client
trust accounts. It also enunciates the requirement that only a
lawyer admitted to the practice of law in this jurisdiction or a
person who is under the direct supervision of the lawyer shall
be the authorized signatory or authorized to make electronic
transfers from a client trust account. While it is permissible to
grant limited nonlawyer access to a client trust account, such
access should be limited and closely monitored by the lawyer.
The lawyer has a nondelegable duty to protect and preserve
the funds in a client trust account and can be disciplined for
failure to supervise subordinates who misappropriate client
funds. See Rules 5.1 and 5.3 of the Rules of Professional
Conduct.
RULES OF PROFESSIONAL CONDUCT Rule 1.16
Authorized electronic transfers shall be limited to (1) money
required for payment to a client or third person on behalf of
a client; (2) expenses properly incurred on behalf of a client,
such as filing fees or payment to third persons for services
rendered in connection with the representation; or (3) money
transferred to the lawyer for fees that are earned in connection
with the representation and are not in dispute; or (4) money
transferred from one client trust account to another client
trust account.
The requirements in subdivision (2) of subsection (k) that
receipts shall be deposited intact mean that a lawyer cannot
deposit one check or negotiable instrument into two or more
accounts at the same time, a practice commonly known as a
split deposit.
Subsection (l) allows the use of alternative media for the
maintenance of client trust account records if printed copies
of necessary reports can be produced. If trust records are
computerized, a system of regular and frequent (preferably
daily) backup procedures is essential. If a lawyer uses third-
party electronic or internet based file storage, the lawyer must
make reasonable efforts to ensure that the company has in
place, or will establish reasonable procedures to protect the
confidentiality of client information. See ABA Formal Ethics
Opinion 398 (1995). Records required by subsection (j) shall
be readily accessible and shall be readily available to be pro-
duced upon request by the client or third person who has an
interest as provided in Rule 1.15 of the Rules of Professional
Conduct, or by the official request of a disciplinary authority,
including but not limited to, a subpoena duces tecum. Personal
identifying information in records produced upon request by
the client or third person or by disciplinary authority shall
remain confidential and shall be disclosed only in a manner
to ensure client confidentiality as otherwise required by law
or court rule.
Subsections (m) and (n) provide for the preservation of a
lawyer’s client trust account records in the event of dissolution
or sale of a law practice. Regardless of the arrangements the
partners or shareholders make among themselves for mainte-
nance of the client trust records, each partner may be held
responsible for ensuring the availability of these records. For
the purposes of these Rules, the terms ‘‘law firm,’’ ‘‘partner,’’
and ‘‘reasonable’’ are defined in accordance with Rules 1.0
(d), (h), and (i) of the Rules of Professional Conduct.
Rule 1.16. Declining or Terminating Repre-
sentation
(a) Except as stated in subsection (c), a lawyer
shall not represent a client or, where representa-
tion has commenced, shall withdraw from the rep-
resentation of a client if:
(1) The representation will result in violation of
the Rules of Professional Conduct or other law;
(2) The lawyer’s physical or mental condition
materially impairs the lawyer’s ability to represent
the client; or
(3) The lawyer is discharged.
(b) Except as stated in subsection (c), a lawyer
may withdraw from representing a client if:
(1) withdrawal can be accomplished without
material adverse effect on the interests of the
client;
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(2) the client persists in a course of action
involving the lawyer’s services that the lawyer rea-
sonably believes is criminal or fraudulent;
(3) the client has used the lawyer’s services to
perpetrate a crime or fraud;
(4) the client insists upon taking action that the
lawyer considers repugnant or with which the law-
yer has a fundamental disagreement;
(5) the client fails substantially to fulfill an obliga-
tion to the lawyer regarding the lawyer’s services
and has been given reasonable warning that the
lawyer will withdraw unless the obligation is ful-
filled;
(6) the representation will result in an unreason-
able financial burden on the lawyer or has been
rendered unreasonably difficult by the client; or
(7) other good cause for withdrawal exists.
(c) A lawyer must comply with applicable law
requiring notice to or permission of a tribunal when
terminating a representation. When ordered to do
so by a tribunal, a lawyer shall continue represen-
tation notwithstanding good cause for terminating
the representation.
(d) Upon termination of representation, a lawyer
shall take steps to the extent reasonably practica-
ble to protect a client’s interests, such as giving
reasonable notice to the client, allowing time for
employment of other counsel, surrendering
papers and property to which the client is entitled
and refunding any advance payment of the fee
that has not been earned. The lawyer may retain
papers relating to the client to the extent permitted
by other law. If the representation of the client is
terminated either by the lawyer withdrawing from
representation or by the client discharging the law-
yer, the lawyer shall confirm the termination in
writing to the client before or within a reasonable
time after the termination of the representation.
(P.B. 1978-1997, Rule 1.16.) (Amended June 25, 2001, to
take effect Jan. 1, 2002; amended June 26, 2006, to take
effect Jan. 1, 2007.)
COMMENTARY: A lawyer should not accept representation
in a matter unless it can be performed competently, promptly,
without improper conflict of interest and to completion. Ordi-
narily, a representation in a matter is completed when the
agreed upon assistance has been concluded. See Rules 1.2
(c) and 6.5; see also Rule 1.3, Commentary.
Mandatory Withdrawal. A lawyer ordinarily must decline
or withdraw from representation if the client demands that the
lawyer engage in conduct that is illegal or violates the Rules
of Professional Conduct or other law. The lawyer is not obliged
to decline or withdraw simply because the client suggests such
a course of conduct; a client may make such a suggestion in
the hope that a lawyer will not be constrained by a profes-
sional obligation.
When a lawyer has been appointed to represent a client,
withdrawal ordinarily requires approval of the appointing
authority. See also Rule 6.2. Similarly, court approval or notice
to the court is often required by applicable law before a lawyer
RULES OF PROFESSIONAL CONDUCTRule 1.16
withdraws from pending litigation. Difficulty may be encoun-
tered if withdrawal is based on the client’s demand that the
lawyer engage in unprofessional conduct. The court may
request an explanation for the withdrawal, while the lawyer
may be bound to keep confidential the facts that would consti-
tute such an explanation. Lawyers should be mindful of their
obligations to both clients and the court under Rules 1.6
and 3.3.
Withdrawal of Limited Appearance. When the lawyer has
filed a limited appearance under Practice Book Section 3-8
(b) and the lawyer has completed the representation described
in the limited appearance, the lawyer is not required to obtain
permission of the tribunal to terminate the representation
before filing the certificate of completion.
Discharge. A client has a right to discharge a lawyer at
any time, with or without cause, subject to liability for payment
for the lawyer’s services. Where future dispute about the with-
drawal may be anticipated, it may be advisable to prepare a
written statement reciting the circumstances.
Whether a client can discharge appointed counsel may
depend on applicable law. A client seeking to do so should
be given a full explanation of the consequences. These conse-
quences may include a decision by the appointing authority
that appointment of successor counsel is unjustified, thus
requiring the client to represent himself or herself.
If the client has diminished capacity, the client may lack
the legal capacity to discharge the lawyer and, in any event,
the discharge may be seriously adverse to the client’s inter-
ests. The lawyer should make special effort to help the client
consider the consequences and may take reasonably neces-
sary protective action as provided in Rule 1.14.
Assisting the Client upon Withdrawal. Even if the lawyer
has been unfairly discharged by the client, a lawyer must take
all reasonable steps to mitigate the consequences to the client.
The lawyer may retain papers as security for a fee only to the
extent permitted by law. See Rule 1.5.
Confirmation in Writing. A written statement to the client
confirming the termination of the relationship and the basis of
the termination reduces the possibility of misunderstanding
the status of the relationship. The written statement should
be sent to the client before or within a reasonable time after
the termination of the relationship.
Rule 1.17. Sale of Law Practice
A lawyer or a law firm may sell or purchase a
law practice, or an area of practice, including good
will, if the following conditions are satisfied:
(a) The seller ceases to engage in the private
practice of law, or in the area of practice that has
been sold, in Connecticut;
(b) The entire practice, or the entire area of
practice, is sold to one or more lawyers or law
firms;
(c) The seller gives written notice to each of the
seller’s clients regarding:
(1) the proposed sale;
(2) the client’s right to retain other counsel or
to take possession of the file; and
(3) the fact that the client’s consent to the trans-
fer of the client’s files will be presumed if the client
does not take any action or does not otherwise
object within ninety days of receipt of the notice.
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If a client cannot be given notice, the representa-
tion of that client may be transferred to the pur-
chaser only upon entry of an order so authorizing
by a court having jurisdiction. The seller may dis-
close to the court in camera information relating
to the representation only to the extent necessary
to obtain an order authorizing the transfer of a file.
(d) The fees charged clients shall not be
increased by reason of the sale.
(Adopted June 26, 2006, to take effect Jan. 1, 2007.)
COMMENTARY: The practice of law is a profession, not
merely a business. Clients are not commodities that can be
purchased and sold at will. Pursuant to this Rule, when a
lawyer or an entire firm ceases to practice, or ceases to prac-
tice in an area of law, and other lawyers or firms take over
the representation, the selling lawyer or firm may obtain com-
pensation for the reasonable value of the practice as may
withdrawing partners of law firms. See Rules 5.4 and 5.6.
Termination of Practice by the Seller. The requirement
that all of the private practice, or all of an area of practice, be
sold is satisfied if the seller in good faith makes the entire
practice, or the area of practice, available for sale to the pur-
chasers. The fact that a number of the seller’s clients decide
not to be represented by the purchasers but take their matters
elsewhere, therefore, does not result in a violation.
The requirement that the seller cease to engage in the
private practice of law does not prohibit employment as a
lawyer on the staff of a public agency or a legal services entity
that provides legal services to the poor, or as in-house counsel
to a business.
The Rule permits a sale of an entire practice attendant
upon retirement from the private practice of law within the
jurisdiction. Its provisions, therefore, accommodate the lawyer
who sells the practice upon the occasion of moving to another
state. Some states are so large that a move from one locale
therein to another is tantamount to leaving the jurisdiction in
which the lawyer has engaged in the practice of law. To also
accommodate lawyers so situated, states may permit the sale
of the practice when the lawyer leaves the geographic area
rather than the jurisdiction. The alternative desired should be
indicated by selecting one of the two provided for in Rule
1.17 (a).
This Rule also permits a lawyer or law firm to sell an area
of practice. If an area of practice is sold and the lawyer remains
in the active practice of law, the lawyer must cease accepting
any matters in the area of practice that has been sold, either
as counsel or co-counsel or by assuming joint responsibility
for a matter in connection with the division of a fee with another
lawyer as would otherwise be permitted by Rule 1.5 (e). For
example, a lawyer with a substantial number of estate planning
matters and a substantial number of probate administration
cases may sell the estate planning portion of the practice but
remain in the practice of law by concentrating on probate
administration; however, that practitioner may not thereafter
accept any estate planning matters. Although a lawyer who
leaves a jurisdiction or geographical area typically would sell
the entire practice, this Rule permits the lawyer to limit the
sale to one or more areas of the practice, thereby preserving
the lawyer’s right to continue practice in the areas of the prac-
tice that were not sold.
Sale of Entire Practice or Entire Area of Practice. The
Rule requires that the seller’s entire practice, or an entire area
of practice, be sold. The prohibition against sale of less than
an entire practice area protects those clients whose matters
are less lucrative and who might find it difficult to secure other
RULES OF PROFESSIONAL CONDUCT Rule 1.18
counsel if a sale could be limited to substantial fee-generating
matters. The purchasers are required to undertake all client
matters in the practice or practice area, subject to client con-
sent. This requirement is satisfied, however, even if a pur-
chaser is unable to undertake a particular client matter
because of a conflict of interest.
Client Confidences, Consent and Notice. Negotiations
between a seller and a prospective purchaser prior to disclo-
sure of information relating to a specific representation of an
identifiable client no more violate the confidentiality provisions
of Rule 1.6 than do preliminary discussions concerning the
possible association of another lawyer or mergers between
firms, with respect to which client consent is not required. See
Rule 1.6 (c) (5). Providing the purchaser access to detailed
information relating to the representation, such as the client’s
file, however, requires client consent. The Rule provides that
before such information can be disclosed by the seller to the
purchaser the client must be given actual written notice of the
contemplated sale, including the identity of the purchaser,
and must be told that the decision to consent or make other
arrangements must be made within ninety days. If nothing is
heard from the client within that time, consent to the sale
is presumed.
A lawyer or law firm ceasing to practice cannot be required
to remain in practice because some clients cannot be given
actual notice of the proposed purchase. Since these clients
cannot themselves consent to the purchase or direct any other
disposition of their files, the Rule requires an order from a
court having jurisdiction authorizing their transfer or other dis-
position. The court can be expected to determine whether
reasonable efforts to locate the client have been exhausted,
and whether the absent client’s legitimate interests will be
served by authorizing the transfer of the file so that the pur-
chaser may continue the representation. Preservation of client
confidences requires that the petition for a court order be
considered in camera. This procedure is contemplated as an
in camera review of privileged materials.
All the elements of client autonomy, including the client’s
absolute right to discharge a lawyer and transfer the represen-
tation to another, survive the sale of the practice or area of
practice.
Fee Arrangements between Client and Purchaser. The
sale may not be financed by increases in fees charged exclu-
sively to the clients of the purchased practice. Existing
agreements between the seller and the client as to fees and
the scope of the work must be honored by the purchaser.
Other Applicable Ethical Standards. Lawyers participat-
ing in the sale of a law practice or a practice area are subject
to the ethical standards applicable to involving another lawyer
in the representation of a client. These include, for example,
the seller’s obligation to exercise competence in identifying a
purchaser qualified to assume the practice and the purchaser’s
obligation to undertake the representation competently (see
Rule 1.1); the obligation to avoid disqualifying conflicts, and
to secure the client’s informed consent for those conflicts that
can be agreed to (see Rule 1.7 regarding conflicts and Rule
1.0 for the definition of informed consent); and the obligation
to protect information relating to the representation (see Rules
1.6 and 1.9).
If approval of the substitution of the purchasing lawyer for
the selling lawyer is required by the rules of any tribunal in
which a matter is pending, such approval must be obtained
before the matter can be included in the sale (see Rule 1.16).
Applicability of the Rule. This Rule applies to the sale of
a law practice by representatives of a deceased, disabled or
disappeared lawyer. Thus, the seller may be represented by
a nonlawyer representative not subject to these Rules. Since,
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however, no lawyer may participate in a sale of a law practice
which does not conform to the requirements of this Rule, the
representatives of the seller as well as the purchasing lawyer
can be expected to see to it that they are met.
Admission to or retirement from a law partnership or profes-
sional association, retirement plans and similar arrangements,
and a sale of tangible assets of a law practice, do not constitute
a sale or purchase governed by this Rule.
This Rule does not apply to the transfers of legal representa-
tion between lawyers when such transfers are unrelated to
the sale of a practice or an area of practice.
Rule 1.18. Duties to Prospective Client
(a) A person who consults with a lawyer con-
cerning the possibility of forming a client-lawyer
relationship with respect to a matter is a prospec-
tive client.
(b) Even when no client-lawyer relationship
ensues, a lawyer who has learned information
from a prospective client shall not use or reveal
that information, except as Rule 1.9 would permit
with respect to information of a former client.
(c) A lawyer subject to subsection (b) shall not
represent a client with interests materially adverse
to those of a prospective client in the same or a
substantially related matter if the lawyer received
information from the prospective client that could
be significantly harmful to that person in the mat-
ter, except as provided in subsection (d). If a law-
yer is disqualified from representation under this
paragraph, no lawyer in a firm with which that
lawyer is associated may knowingly undertake or
continue representation in such a matter, except
as provided in subsection (d).
(d) When the lawyer has received disqualifying
information as defined in subsection (c), represen-
tation is permissible if:
(1) both the affected client and the prospective
client have given informed consent, confirmed in
writing, or
(2) the lawyer who received the information took
reasonable measures to avoid exposure to more
disqualifying information than was reasonably
necessary to determine whether to represent the
prospective client; and
(i) the disqualified lawyer is timely screened
from any participation in the matter; and
(ii) written notice is promptly given to the pro-
spective client.
(Adopted June 26, 2006, to take effect Jan. 1, 2007;
amended June 13, 2014, to take effect Jan. 1, 2015.)
COMMENTARY: Prospective clients, like clients, may dis-
close information to a lawyer, place documents or other prop-
erty in the lawyer’s custody, or rely on the lawyer’s advice. A
lawyer’s consultations with a prospective client usually are
limited in time and depth and leave both the prospective client
and the lawyer free (and sometimes required) to proceed no
further. Hence, prospective clients should receive some but
not all of the protection afforded clients.
RULES OF PROFESSIONAL CONDUCTRule 1.18
A person becomes a prospective client by consulting with
a lawyer about the possibility of forming a client-lawyer rela-
tionship with respect to a matter. Whether communications,
including written, oral, or electronic communications, consti-
tute a consultation depends on the circumstances. For exam-
ple, a consultation is likely to have occurred if a lawyer, either
in person or through the lawyer’s advertising in any medium,
specifically requests or invites the submission of information
about a potential representation without clear and reasonably
understandable warnings and cautionary statements that limit
the lawyer’s obligations, and a person provides information in
response. In contrast, a consultation does not occur if a person
provides information to a lawyer in response to advertising that
merely describes the lawyer’s education, experience, areas
of practice, and contact information, or provides legal informa-
tion of general interest. Such a person communicates informa-
tion unilaterally to a lawyer, without any reasonable
expectation that the lawyer is willing to discuss the possibility
of forming a client-lawyer relationship, and is thus not a ‘‘pro-
spective client.’’ Moreover, a person who communicates with
a lawyer for the purpose of disqualifying the lawyer is not a
‘‘prospective client.’’
It is often necessary for a prospective client to reveal infor-
mation to the lawyer during an initial consultation prior to the
decision about formation of a client-lawyer relationship. The
lawyer often must learn such information to determine whether
there is a conflict of interest with an existing client and whether
the matter is one that the lawyer is willing to undertake. Subsec-
tion (b) prohibits the lawyer from using or revealing that infor-
mation, except as permitted by Rule 1.9, even if the client or
lawyer decides not to proceed with the representation. The
duty exists regardless of how brief the initial consultation
may be.
In order to avoid acquiring disqualifying information from
a prospective client, a lawyer considering whether or not to
undertake a new matter should limit the initial consultation to
only such information as reasonably appears necessary for
that purpose. Where the information indicates that a conflict
of interest or other reason for nonrepresentation exists, the
lawyer should so inform the prospective client or decline the
representation. If the prospective client wishes to retain the
lawyer, and if consent is possible under Rule 1.7, then consent
from all affected present or former clients must be obtained
before accepting the representation.
A lawyer may condition consultations with a prospective
client on the person’s informed consent that no information
disclosed during the consultation will prohibit the lawyer from
representing a different client in the matter. See Rule 1.0 (f)
for the definition of informed consent. If the agreement
expressly so provides, the prospective client may also consent
to the lawyer’s subsequent use of information received from
the prospective client.
Even in the absence of an agreement, under subsection
(c), the lawyer is not prohibited from representing a client with
interests adverse to those of the prospective client in the same
or a substantially related matter unless the lawyer has received
from the prospective client information that could be signifi-
cantly harmful if used in the matter.
Under subsection (c), the prohibition in this Rule is imputed
to other lawyers as provided in Rule 1.10, but, under subsec-
tion (d) (1), imputation may be avoided if the lawyer obtains
the informed consent, confirmed in writing, of boththe prospec-
tive and affected clients. In the alternative, imputation may be
avoided if the conditions of subsection (d) (2) are met and all
disqualified lawyers are timely screened and written notice
is promptly given to the prospective client. See Rule 1.0 (l)
(requirements for screening procedures).
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Notice, including a general description of the subject matter
about which the lawyer was consulted, and of the screening
procedures employed, generally should be given as soon as
practicable after the need for screening becomes apparent.
For the duty of competence of a lawyer who gives assis-
tance on the merits of a matter to a prospective client, see Rule
1.1. For a lawyer’s duties when a prospective client entrusts
valuables or papers to the lawyer’s care, see Rule 1.15.
COUNSELOR
Rule 2.1. Advisor
In representing a client, a lawyer shall exercise
independent professional judgment and render
candid advice. In rendering advice, a lawyer may
refer not only to law but to other considerations
such as moral, economic, social and political fac-
tors, that may be relevant to the client’s situation.
(P.B. 1978-1997, Rule 2.1.)
COMMENTARY: Scope of Advice. A client is entitled to
straightforward advice expressing the lawyer’s honest assess-
ment. Legal advice often involves unpleasant facts and alter-
natives that a client may be disinclined to confront. In
presenting advice, a lawyer endeavors to sustain the client’s
morale and may put advice in as acceptable a form as honesty
permits. However, a lawyer should not be deterred from giving
candid advice by the prospect that the advice will be unpalat-
able to the client.
Advice couched in narrow legal terms may be of little value
to a client, especially where practical considerations, such
as cost or effects on other people, are predominant. Purely
technical legal advice, therefore, can sometimes be inade-
quate. It is proper for a lawyer to refer to relevant moral and
ethical considerations in giving advice. Although a lawyer is
not a moral advisor as such, moral and ethical considerations
impinge upon most legal questions and may decisively influ-
ence how the law will be applied.
A client may expressly or impliedly ask the lawyer for purely
technical advice. When such a request is made by a client
experienced in legal matters, the lawyer may accept it at face
value. When such a request is made by a client inexperienced
in legal matters, however, the lawyer’s responsibility as advisor
may include indicating that more may be involved than strictly
legal considerations.
Matters that go beyond strictly legal questions may also be
in the domain of another profession. Family matters can
involve problems within the professional competence of psy-
chiatry, clinical psychology or social work; business matters
can involve problems within the competence of the accounting
profession or of financial specialists. Where consultation with
a professional in another field is itself something a competent
lawyer would recommend, the lawyer should make such a
recommendation. At the same time, a lawyer’s advice at its
best often consists of recommending a course of action in the
face of conflicting recommendations of experts.
Offering Advice. In general, a lawyer is not expected to
give advice until asked by the client. However, when a lawyer
knows that a client proposes a course of action that is likely
to result in substantial adverse legal consequences to the
client, the lawyer’s duty to the client under Rule 1.4 may require
that the lawyer offer advice if the client’s course of action is
related to the representation. Similarly, when a matter is likely
to involve litigation, it may be necessary under Rule 1.4 to
inform the client of forms of disputeresolution that might consti-
tute reasonable alternatives to litigation.
RULES OF PROFESSIONAL CONDUCT Rule 2.4
A lawyer ordinarily has no duty to initiate investigation of
a client’s affairs or to give advice that the client has indicated
is unwanted, but a lawyer may initiate advice to a client when
doing so appears to be in the client’s interest.
Rule 2.2. Intermediary
[Repealed as of Jan. 1, 2007.]
Rule 2.3. Evaluation for Use by Third
Persons
(a) A lawyer may provide an evaluation of a
matter affecting a client for the use of someone
other than the client if the lawyer reasonably
believes that making the evaluation is compatible
with other aspects of the lawyer’s relationship with
the client.
(b) When the lawyer knows or reasonably
should know that the evaluation is likely to affect
the client’s interests materially and adversely, the
lawyer shall not provide the evaluation unless the
client gives informed consent.
(c) Except as disclosure is authorized in con-
nection with a report of an evaluation, information
relating to the evaluation is otherwise protected
by Rule 1.6.
(P.B. 1978-1997, Rule 2.3.) (Amended June 26, 2006, to
take effect Jan. 1, 2007.)
COMMENTARY: Definition. An evaluation may be per-
formed at the client’s direction or when impliedly authorized
in order to carry out the representation. See Rule 1.2. Such
an evaluation may be for the primary purpose of establishing
information for the benefit of third parties; for example, an
opinion concerning the title of property rendered at the behest
of a vendor for the information of a prospective purchaser, or
at the behest of a borrower for the information of a prospective
lender. In some situations, the evaluation may be required by
a government agency; for example, an opinion concerning the
legality of the securities registered for sale under the securities
laws. In other instances, the evaluation may be required by
a third person, such as a purchaser of a business.
A legal evaluation should be distinguished from an investi-
gation of a person with whom the lawyer does not have a
client-lawyer relationship. A legal evaluation of a client should
also be distinguished from a report by counsel for an insured
to the insured’s carrier on the status of the matter that is the
subject of representation, provided the report does not contain
matter that is detrimental to the client’s relationship with the
insurance carrier. For example, a lawyer retained by a pur-
chaser to analyze a vendor’s title to property does not have
a client-lawyer relationship with the vendor. So also, an investi-
gation into a person’s affairs by a government lawyer, or by
special counsel employed by the government, is not an evalua-
tion as that term is used in this Rule. The question is whether
the lawyer is retained by the person whose affairs are being
examined. When the lawyer is retained by that person, the
general rules concerning loyalty to client and preservation of
confidences apply, which is not the case if the lawyer is
retained by someone else. For this reason, it is essential to
identify the person by whom the lawyer is retained. This should
be made clear not only to the person under examination, but
also to others to whom the results are to be made available.
Duties Owed to Third Person and Client. When the evalu-
ation is intended for the information or use of a third person,
a legal duty to that person may or may not arise. That legal
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question is beyond the scope of this Rule. However, since
such an evaluation involves a departure from the normal client-
lawyer relationship, careful analysis of the situation is required.
The lawyer must be satisfied as a matter of professional judg-
ment that making the evaluation is compatible with other func-
tions undertaken in behalf of the client. For example, if the
lawyer is acting as advocate in defending the client against
charges of fraud, it would normally be incompatible with that
responsibility for the lawyer to perform an evaluation for others
concerning the same or a related transaction. Assuming no
such impediment is apparent, however, the lawyer should
advise the client of the implications of the evaluation, particu-
larly the lawyer’s responsibilities to third persons and the duty
to disseminate the findings.
Access to and Disclosure of Information. The quality
of an evaluation depends on the freedom and extent of the
investigation upon which it is based. Ordinarily, a lawyer should
have whatever latitude of investigation seems necessary as
a matter of professional judgment. Under some circumstances,
however, the terms of the evaluation may be limited. For exam-
ple, certain issues or sources may be categorically excluded,
or the scope of search may be limited by time constraints or
the noncooperation of persons having relevant information.
Any such limitations that are material to the evaluation should
be described in the report. If after a lawyer has commenced
an evaluation, the client refuses to comply with the terms upon
which it was understood the evaluation was to have been
made, the lawyer’s obligations are determined by law, having
reference to the terms of the client’s agreement and the sur-
rounding circumstances. In no circumstances is the lawyer
permitted to knowingly make a false statement of material fact
or law in providing an evaluation under this Rule. See Rule 4.1.
Obtaining Client’s Informed Consent. Information relat-
ing to an evaluation is protected by Rule 1.6. In many situa-
tions, providing an evaluation to a third party poses no
significant risk to the client; thus, the lawyer may be impliedly
authorized to disclose information to carry out the representa-
tion. See Rule 1.6 (a). Where, however, it is reasonably likely
that providing the evaluation will affect the client’s interests
materially and adversely, the lawyer must first obtain the cli-
ent’s consent after the client has been adequately informed
concerning the important possible effects on the client’s inter-
ests. See Rules 1.6 (a) and 1.0 (f).
Financial Auditors’ Requests for Information. When a
question concerning the legal situation of a client arises at the
instance of the client’s financial auditor and the question is
referred to the lawyer, the lawyer’s response may be made
in accordance with procedures recognized in the legal profes-
sion. Such a procedure is set forth in the American Bar Associ-
ation Statement of Policy Regarding Lawyers’ Responses to
Auditors’ Requests for Information, adopted in 1975.
Rule 2.4. Lawyer Serving as Third-Party
Neutral
(a) A lawyer serves as a third-party neutral
when the lawyer assists two or more persons who
are not clients of the lawyer to reach a resolution of
a dispute or other matter that has arisen between
them. Service as a third-party neutral may include
service as an arbitrator, a mediator or in such
other capacity as will enable the lawyer to assist
the parties to resolve the matter.
(b) A lawyer serving as a third-party neutral
shall inform unrepresented parties that the lawyer
RULES OF PROFESSIONAL CONDUCTRule 2.4
is not representing them. When the lawyer knows
or reasonably should know that a party does not
understand the lawyer’s role in the matter, the
lawyer shall explain the difference between the
lawyer’s role as a third-party neutral and a law-
yer’s role as one who represents a client.
(Adopted June 26, 2006, to take effect Jan. 1, 2007.)
COMMENTARY: Alternative dispute resolution has
become a substantial part of the civil justice system.Aside from
representing clients in dispute-resolution processes, lawyers
often serve as third-party neutrals. A third-party neutral is a
person, such as a mediator, arbitrator, conciliator or evaluator,
who assists the parties, represented or unrepresented, in the
resolution of a dispute or in the arrangement of a transaction.
Whether a third-party neutral serves primarily as a facilitator,
evaluator or decision maker depends on the particular process
that is either selected by the parties or mandated by a court.
The role of a third-party neutral is not unique to lawyers,
although, in some court-connected contexts, only lawyers are
allowed to serve in this role or to handle certain types of cases.
In performing this role, the lawyer may be subject to court rules
or other law that apply either to third-party neutrals generally
or to lawyers serving as third-party neutrals. Lawyer-neutrals
may also be subject to various codes of ethics, such as the
Code of Ethics for Arbitration in Commercial Disputes prepared
by a joint committee of the American Bar Association and the
American Arbitration Association or the Model Standards of
Conduct for Mediators jointly prepared by the American Bar
Association, the American Arbitration Association and the
Society of Professionals in Dispute Resolution.
Unlike nonlawyers who serve as third-party neutrals, law-
yers serving in this role may experience unique problems as
a result of differences between the role of a third-party neutral
and a lawyer’s service as a client representative. The potential
for confusion is significant when the parties are unrepresented
in the process. Thus, subsection (b) requires a lawyer-neutral
to inform unrepresented parties that the lawyer is not repre-
senting them. For some parties, particularly parties who fre-
quently use dispute-resolution processes, this information will
be sufficient. For others, particularly those who are using the
process for the first time, more information will be required.
Where appropriate, the lawyer should inform unrepresented
parties of the important differences between the lawyer’s role
as third-party neutral and a lawyer’s role as a client representa-
tive, including the inapplicability of the attorney-client eviden-
tiary privilege as well as the inapplicability of the duty of
confidentiality. The extent of disclosure required under this
subsection will depend on the particular parties involved and
the subject matter of the proceeding, as well as the particular
features of the dispute-resolution process selected.
A lawyer who serves as a third-party neutral subsequently
may be asked to serve as a lawyer representing a client in
the same matter. The conflicts of interest that arise for both
the individual lawyer and the lawyer’s law firm are addressed
in Rule 1.12.
Lawyers who represent clients in alternative dispute-resolu-
tion processes are governed by the Rules of Professional
Conduct. When the dispute-resolution process takes place
before a tribunal, as in binding arbitration (see Rule 1.0 [n]),
the lawyer’s duty of candor is governed by Rule 3.3. Otherwise,
the lawyer’s duty of candor toward both the third-party neutral
and other parties is governed by Rule 4.1.
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ADVOCATE
Rule 3.1. Meritorious Claims and Con-
tentions
A lawyer shall not bring or defend a proceeding,
or assert or controvert an issue therein, unless
there is a basis in law and fact for doing so that
is not frivolous, which includes a good faith argu-
ment for an extension, modification or reversal of
existing law. A lawyer for the defendant in a crimi-
nal proceeding, or the respondent in a proceeding
that could result in incarceration, may neverthe-
less so defend the proceeding as to require that
every element of the case be established.
(P.B. 1978-1997, Rule 3.1.) (Amended June 26, 2006, to
take effect Jan. 1, 2007.)
COMMENTARY: The advocate has a duty to use legal
procedure for the fullest benefit of the client’s cause, but also
a duty not to abuse legal procedure. The law, both procedural
and substantive, establishes the limits within which an advo-
cate may proceed. However, the law is not always clear and
never is static. Accordingly, in determining the proper scope
of advocacy, account must be taken of the law’s ambiguities
and potential for change.
The filing of an action or defense or similar action taken
for a client is not frivolous merely because the facts have not
first been fully substantiated or because the lawyer expects
to develop vital evidence only by discovery. What is required
of lawyers, however, is that they inform themselves about
the facts of their clients’ cases and the applicable law and
determine that they can make good faith arguments in support
of their clients’ positions. Such action is not frivolous even
though the lawyer believes that the client’s position ultimately
will not prevail. The action is frivolous, however, if the lawyer
is unable either to make a good faith argument on the merits
of the action taken or to support the action taken by a good
faith argument for an extension, modification or reversal of
existing law.
The lawyer’s obligations under this Rule are subordinate
to federal or state constitutional law that entitles a defendant
in a criminal matter to the assistance of counsel in presenting
a claim or contention that otherwise would be prohibited by
this Rule.
Rule 3.2. Expediting Litigation
A lawyer shall make reasonable efforts to expe-
dite litigation consistent with the interests of the
client.
(P.B. 1978-1997, Rule 3.2.)
COMMENTARY: Dilatory practices bring the administration
of justice into disrepute. Although there will be occasions when
a lawyer may properly seek a postponement for personal rea-
sons, it is not proper for a lawyer to routinely fail to expedite
litigation solely for the convenience of the advocates. Nor will
a failure to expedite be reasonable if done for the purpose of
frustrating an opposing party’s attempt to obtain rightful
redress or repose. It is not a justification that similar conduct
is often tolerated by the bench and bar. The question is whether
a competent lawyer acting in good faith would regard the
course of action as having some substantial purpose other
than delay. Realizing financial or other benefit from otherwise
improper delay in litigation is not a legitimate interest of the
client.
RULES OF PROFESSIONAL CONDUCT Rule 3.3
Rule 3.3. Candor toward the Tribunal
(a) A lawyer shall not knowingly:
(1) Make a false statement of fact or law to a
tribunal or fail to correct a false statement of mate-
rial fact or law previously made to the tribunal by
the lawyer;
(2) Fail to disclose to the tribunal legal authority
in the controlling jurisdiction known to the lawyer
to be directly adverse to the position of the client
and not disclosed by opposing counsel; or
(3) Offer evidence that the lawyer knows to be
false. If a lawyer, the lawyer’s client, or a witness
called by the lawyer, has offered material evi-
dence and the lawyer comes to know of its falsity,
the lawyer shall take reasonable remedial mea-
sures, including, if necessary, disclosure to the
tribunal.
(b) A lawyer who represents a client in an adju-
dicative proceeding and who knows that a person
intends to engage, is engaging or has engaged
in criminal or fraudulent conduct related to the
proceeding shall take reasonable remedial mea-
sures, including, if necessary, disclosure to the
tribunal.
(c) The duties stated in subsections (a) and (b)
continue at least to the conclusion of the proceed-
ing, and apply even if compliance requires disclo-
sure of information otherwise protected by Rule
1.6.
(d) In an ex parte proceeding, a lawyer shall
inform the tribunal of all material facts known to
the lawyer that will enable the tribunal to make
an informed decision, whether or not the facts
are adverse.
(e) When, prior to judgment, a lawyer becomes
aware of discussion or conduct by a juror which
violates the trial court’s instructions to the jury,
the lawyer shall promptly report that discussion
or conduct to the trial judge.
(P.B. 1978-1997, Rule 3.3.)
COMMENTARY: This Rule governs the conduct of a lawyer
who is representing a client in the proceedings of a tribunal.
See Rule 1.0 (n) for the definition of ‘‘tribunal.’’ It also applies
when the lawyer is representing a client in an ancillary proceed-
ing conducted pursuant to the tribunal’s adjudicative authority,
such as a deposition. Thus, for example, subsection (a) (3)
requires a lawyer to take reasonable remedial measures if
the lawyer comes to know that a client who is testifying in a
deposition has offered evidence that is false.
This Rule sets forth the special duties of lawyers as officers
of the court to avoid conduct that undermines the integrity of
the adjudicative process. A lawyer acting as an advocate in
an adjudicative proceeding has an obligation to present the
client’s case with persuasive force. Performance of that duty
while maintaining confidences of the client, however, is quali-
fied by the advocate’s duty of candor to the tribunal. Conse-
quently, although a lawyer in an adversary proceeding is not
required to present an impartial exposition of the law or to
vouch for the evidence submitted in a cause, the lawyer must
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not allow the tribunal to be misled by false statements of law
or fact or evidence that the lawyer knows to be false.
Representations by a Lawyer. An advocate is responsible
for pleadings and other documents prepared for litigation, but
is usually not required to have personal knowledge of matters
asserted therein, for litigation documents ordinarily present
assertions by the client, or by someone on the client’s behalf,
and not assertions by the lawyer. Compare Rule 3.1. However,
an assertion purporting to be on the lawyer’s own knowledge,
as in an affidavit by the lawyer or in a statement in open
court, may properly be made only when the lawyer knows the
assertion is true or believes it to be true on the basis of a
reasonably diligent inquiry. There are circumstances where
failure to make a disclosure is the equivalent of an affirmative
misrepresentation. The obligation prescribed in Rule 1.2 (d)
not to counsel a client to commit or assist the client in commit-
ting a fraud applies in litigation. Regarding compliance with
Rule 1.2 (d), see the Commentary to that Rule. See also the
Commentary to Rule 8.4 (2).
Legal Argument. Legal argument based on a knowingly
false representation of law constitutes dishonesty toward the
tribunal. A lawyer is not required to make a disinterested expo-
sition of the law, but must recognize the existence of pertinent
legal authorities. Furthermore, as stated in subsection (a) (2),
an advocate has a duty to disclose directly adverse authority
in the controlling jurisdiction that has not been disclosed by
the opposing party. The underlying concept is that legal argu-
ment is a discussion seeking to determine the legal premises
properly applicable to the case.
Offering Evidence. Subsection (a) (3) requires that the
lawyer refuse to offer evidence that the lawyer knows to be
false, regardless of the client’s wishes. This duty is premised
on the lawyer’s obligation as an officer of the court to prevent
the trier of fact from being misled by false evidence. A lawyer
does not violate this Rule if the lawyer offers the evidence for
the purpose of establishing its falsity.
If a lawyer knows that the client intends to testify falsely or
wants the lawyer to introduce false evidence, thelawyer should
seek to persuade the client that the evidence should not be
offered. If the persuasion is ineffective and the lawyer contin-
ues to represent the client, the lawyer must refuse to offer the
false evidence. If only a portion of a witness’ testimony will
be false, the lawyer may call the witness to testify but may
not elicit or otherwise permit the witness to present the testi-
mony that the lawyer knows is false.
The duties stated in subsections (a) and (b) apply to all
lawyers, including defense counsel in criminal cases. In some
jurisdictions, however, courts have required counsel to present
the accused as a witness or to give a narrative statement if
the accused so desires, even if counsel knows that the testi-
mony or statement will be false. The obligation of the advocate
under the Rules of Professional Conduct is subordinate to
such requirements.
The prohibition against offering false evidence only applies
if the lawyer knows that the evidence is false. A lawyer’s
reasonable belief that evidence is false does not preclude its
presentation to the trier of fact. A lawyer’s knowledge that
evidence is false, however, can be inferred from the circum-
stances. See Rule 1.0 (g). Thus, although a lawyer should
resolve doubts about the veracity of testimony or other evi-
dence in favor of the client, the lawyer cannot ignore an obvi-
ous falsehood.
Because of the special protections historically provided
criminal defendants, however, this Rule does not permit a
lawyer to refuse to offer the testimony of such a client where
the lawyer reasonably believes but does not know that the
testimony will be false. Unless the lawyer knows the testimony
RULES OF PROFESSIONAL CONDUCTRule 3.3
will be false, the lawyer must honor the client’s decision to
testify.
Remedial Measures. Having offered material evidence in
the belief that it was true, a lawyer may subsequently come
to know that the evidence is false. Or, a lawyer may be sur-
prised when the lawyer’s client, or another witness called by
the lawyer, offers testimony the lawyer knows to be false,
either during the lawyer’s direct examination or in response
to cross-examination by the opposing lawyer. In such situa-
tions or if the lawyer knows of the falsity of testimony elicited
from the client during a deposition, the lawyer must take rea-
sonable remedial measures. In such situations, the advocate’s
proper course is to remonstrate with the client confidentially,
advise the client of the lawyer’s duty of candor to the tribunal
and seek the client’s cooperation with respect tothe withdrawal
or correction of the false statements or evidence. If that fails,
the advocate must take further remedial action. If withdrawal
from the representation is not permitted or will not undo the
effect of the false evidence, the advocate must make such
disclosure to the tribunal as is reasonably necessary to remedy
the situation, even if doing so requires the lawyer to reveal
information that otherwise would be protected by Rule 1.6. It
is for the tribunal then to determine what should be done.
The disclosure of a client’s false testimony can result in
grave consequences to the client, including not only a sense
of betrayal but also loss of the case and perhaps a prosecution
for perjury. But the alternative is that the lawyer cooperate
in deceiving the court, thereby subverting the truth-finding
process which the adversary system is designed to implement.
See Rule 1.2 (d). Furthermore, unless it is clearly understood
that the lawyer will act upon the duty to disclose the existence
of false evidence, the client can simply reject the lawyer’s
advice to reveal the false evidence and insist that the lawyer
keep silent. Thus, the client could in effect coerce the lawyer
into being a party to fraud on the court.
Preserving Integrity of Adjudicative Process. Lawyers
have a special obligation to protect a tribunal against criminal
or fraudulent conduct that undermines the integrity of the adju-
dicative process, such as bribing, intimidating or otherwise
unlawfully communicating with a witness, juror, court official
or other participant in the proceeding, unlawfully destroying or
concealing documents or other evidence or failing to disclose
information to the tribunal when required by law to do so.
Thus, subsection (b) requires a lawyer to take reasonable
remedial measures, including disclosure if necessary, when-
ever the lawyer knows that a person, including the lawyer’s
client, intends to engage, is engaging or has engaged in crimi-
nal or fraudulent conduct related to the proceeding. Nothing
in Rule 3.3 (e) is meant to limit a lawyer’s obligation to take
appropriate action after judgment has entered.
Duration of Obligation. A practical time limit on the obliga-
tion to rectify false evidence or false statements of fact has
to be established. The conclusion of the proceeding is a rea-
sonably definite point for the termination of the obligation. In
criminal and juvenile delinquency matters, the duty to correct
a newly discovered and material falsehood continues until
the defendant or delinquent is discharged from custody or
released from judicial supervision, whichever occurs later. The
lawyer shall notify the tribunal that false evidence or false
statements of fact were made.
Ex Parte Proceedings. Ordinarily, an advocate has the
limited responsibility of presenting one side of the matters that
a tribunal should consider in reaching a decision; the conflicting
position is expected to be presented by the opposing party.
However, in any ex parte proceeding, such as an application
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for a temporary restraining order, there is no balance of presen-
tation by opposing advocates. The object of an ex parte pro-
ceeding is nevertheless to yield a substantially just result. The
judge has an affirmative responsibility to accord the absent
party just consideration. The lawyer for the represented party
has the correlative duty to make disclosures of material facts
known to the lawyer and that the lawyer reasonably believes
are necessary to an informed decision.
Withdrawal. Normally, a lawyer’s compliance with the duty
of candor imposed by this Rule does not require that the lawyer
withdraw from the representation of a client whose interests
will be or have been adversely affected by the lawyer’s disclo-
sure. The lawyer may, however, be required by Rule 1.16 (a)
to seek permission of the tribunal to withdraw if the lawyer’s
compliance with this Rule’s duty of candor results in such an
extreme deterioration of the client-lawyer relationship that the
lawyer can no longer competently represent the client. Also
see Rule 1.16 (b) for the circumstances in which a lawyer will
be permitted to seek a tribunal’s permission to withdraw. In
connection with a request for permission to withdraw that is
premised on a client’s misconduct, a lawyer may reveal infor-
mation relating to the representation only to the extent reason-
ably necessary to comply with this Rule or as otherwise
permitted by Rule 1.6.
Rule 3.4. Fairness to Opposing Party and
Counsel
A lawyer shall not:
(1) Unlawfully obstruct another party’s access
to evidence or unlawfully alter, destroy or conceal
a document or other material having potential evi-
dentiary value. A lawyer shall not counsel or assist
another person to do any such act;
(2) Falsify evidence, counsel or assist a witness
to testify falsely, or offer an inducement to a wit-
ness that is prohibited by law;
(3) Knowingly disobey an obligation under the
rules of a tribunal except for an open refusal based
on an assertion that no valid obligation exists;
(4) In pretrial procedure, make a frivolous dis-
covery request or fail to make reasonably diligent
effort to comply with a legally proper discovery
request by an opposing party;
(5) In trial, allude to any matter that the lawyer
does not reasonably believe is relevant or that will
not be supported by admissible evidence, assert
personal knowledge of facts in issue except when
testifying as a witness, or state a personal opinion
as to the justness of a cause, the credibility of a
witness, the culpability of a civil litigant or the guilt
or innocence of an accused; or
(6) Request a person other than a client to
refrain from voluntarily giving relevant information
to another party unless:
(A) The person is a relative or an employee or
other agent of a client; and
(B) The lawyer reasonably believes that the per-
son’s interests will not be adversely affected by
refraining from giving such information.
RULES OF PROFESSIONAL CONDUCT Rule 3.6
(7) Present, participate in presenting, or
threaten to present criminal charges solely to
obtain an advantage in a civil matter.
(P.B. 1978-1997, Rule 3.4.)
COMMENTARY: The procedure of the adversary system
contemplates that the evidence in a case is to be marshaled
competitively by the contending parties. Fair competition in
the adversary system is secured by prohibitions against
destruction or concealment of evidence, improperly influencing
witnesses, obstructive tactics in discovery procedure, and
the like.
Documents and other items of evidence are often essential
to establish a claim or defense. Subject to evidentiary privi-
leges, the right of an opposing party, including the government,
to obtain evidence through discovery or subpoena is an
important procedural right. The exercise of that right can be
frustrated if relevant material is altered, concealed or
destroyed. Applicable law in many jurisdictions makes it an
offense to destroy material for the purpose of impairing its
availability in a pending proceeding or one whose commence-
ment can be foreseen. Falsifying evidence is also generally a
criminal offense. Subdivision (1) applies to evidentiary material
generally, including computerized information. Applicable law
may permit a lawyer to take temporary possession of physical
evidence of client crimes for the purpose of conducting a
limited examination that will not alter or destroy material char-
acteristics of the evidence. In such a case, applicable law may
require the lawyer to turn the evidence over to the police or
other prosecuting authority, depending on the circumstances.
With regard to subdivision (2), it is not improper to pay a
witness’ expenses or to compensate an expert witness on
terms permitted by law. The common law rule in most jurisdic-
tions is that it is improper to pay an occurrence witness any
fee for testifying and that it is improper to pay an expert witness
a contingent fee.
Subdivision (6) permits a lawyer to advise employees of a
client to refrain from giving information to another party, for
the employees may identify their interests with those of the
client. See also Rule 4.2.
Rule 3.5. Impartiality and Decorum
(Amended June 26, 2006, to take effect Jan. 1, 2007.)
A lawyer shall not:
(1) Seek to influence a judge, juror, prospective
juror or other official by means prohibited by law;
(2) Communicate ex parte with such a person
during the proceeding unless authorized to do so
by law or court order;
(3) Communicate with a juror or prospective
juror after discharge of the jury if:
(a) the communication is prohibited by law or
court order;
(b) the juror has made known to the lawyer a
desire not to communicate; or
(c) the communication involves misrepresenta-
tion, coercion, duress or harassment; or
(4) Engage in conduct intended to disrupt a
tribunal or ancillary proceedings such as deposi-
tions and mediations.
(P.B. 1978-1997, Rule 3.5.) (Amended June 26, 2006, to
take effect Jan. 1, 2007; amended June 29, 2007, to take
effect Jan. 1, 2008.)
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COMMENTARY: Many forms of improper influence upon
a tribunal are proscribed by criminal law. Others are specified
in the ABA Model Code of Judicial Conduct, with which an
advocate should be familiar. A lawyer is required to avoid
contributing to a violation of such provisions.
During a proceeding a lawyer may not communicate ex
parte with persons serving in an official capacity in the proceed-
ing, such as judges, masters or jurors, unless authorized to
do so by law or court order.
A lawyer may on occasion want to communicate with a
juror or prospective juror after the jury has been discharged.
The lawyer may do so unless the communication is prohibited
by law or a court order but must respect the desire of the juror
not to talk with the lawyer. The lawyer may not engage in
improper conduct during the communication.
The advocate’s function is to present evidence and argu-
ment so that the cause may be decided according to law.
Refraining from abusive or obstreperous conduct is a corollary
of the advocate’s right to speak on behalf of litigants. A lawyer
may stand firm against abuse by a judge but should avoid
reciprocation; the judge’s default is no justification for similar
dereliction by an advocate. An advocate can present the
cause, protect the record for subsequent review and preserve
professional integrity by patient firmness no less effectively
than by belligerence or theatrics.
Rule 3.6. Trial Publicity
(a) A lawyer who is participating or has partici-
pated in the investigation or litigation of a matter
shall not make an extrajudicial statement that the
lawyer knows or reasonably should know will be
disseminated by means of public communication
and will have a substantial likelihood of materially
prejudicing an adjudicative proceeding in the
matter.
(b) Notwithstanding subsection (a), a lawyer
may make a statement that a reasonable lawyer
would believe is required to protect a client from
the substantial undue prejudicial effect of recent
publicity not initiated by the lawyer or the lawyer’s
client. A statement made pursuant to this subsec-
tion shall be limited to such information as is nec-
essary to mitigate the recent adverse publicity.
(c) No lawyer associated in a firm or govern-
ment agency with a lawyer subject to subsection
(a) shall make a statement prohibited by subsec-
tion (a).
(P.B. 1978-1997, Rule 3.6.) (Amended June 24, 2002, to
take effect Jan. 1, 2003; amended June 26, 2006, to take
effect Jan. 1, 2007.)
COMMENTARY: (1) It is difficult to strike a balance between
protecting the right to a fair trial and safeguarding the right of
free expression. Preserving the right to a fair trial necessarily
entails some curtailment of the information that may be dis-
seminated about a party prior to trial, particularly where trial
by jury is involved. If there were no such limits, the result
would be the practical nullification of the protective effect of
the rules of forensic decorum and the exclusionary rules of
evidence. On the other hand, there are vital social interests
served by the free dissemination of information about events
having legal consequences and about legal proceedings them-
selves. The public has a right to know about threats to its
safety and measures aimed at assuring its security. It also
RULES OF PROFESSIONAL CONDUCTRule 3.6
has a legitimate interest in the conduct of judicial proceedings,
particularly in matters of general public concern. Furthermore,
the subject matter of legal proceedings is often of direct signifi-
cance in debate and deliberations over questions of public
policy.
(2) Special rules of confidentiality may validly govern pro-
ceedings in juvenile, domestic relations and mental disability
proceedings, and perhaps other types of litigation. Rule 3.4
(3) requires compliance with such Rules.
(3) The Rule sets forth a basic general prohibition against
a lawyer making statements that the lawyer knows or should
know will have a substantial likelihood of materially prejudicing
an adjudicative proceeding. Recognizing that the public value
of informed commentary is great and the likelihood of prejudice
to a proceeding by the commentary of a lawyer who is not
involved in the proceeding is small, the Rule applies only to
lawyers who are, or who have been involved in the investiga-
tion or litigation of a case, and their associates.
(4) Certain subjects would not ordinarily be considered to
present a substantial likelihood of material prejudice, such as:
(a) the claim, offense or defense involved and, except when
prohibited by law, the identity of the persons involved;
(b) information contained in a public record;
(c) that an investigation of the matter is in progress;
(d) the scheduling or result of any step in litigation;
(e) a request for assistance in obtaining evidence and infor-
mation necessary thereto;
(f) a warning of danger concerning the behavior of a person
involved, when there is reason to believe that there exists the
likelihood of substantial harm to an individual or to the public
interest; and
(g) in a criminal case: in addition to subparagraphs (a)
through (f):
(i) identity, residence, occupation and family status of the
accused;
(ii) if the accused has not been apprehended, information
necessary to aid in apprehension of that person;
(iii) the fact, time and place of arrest; and
(iv) the identity of investigating and arresting officers or
agencies and the length of the investigation.
(5) There are, on the other hand, certain subjects which
are more likely than not to have a material prejudicial effect
on a proceeding, particularly when they refer to a civil matter
triable to a jury, a criminal matter, or any other proceeding
that could result in incarceration. These subjects relate to:
(a) the character, credibility, reputation or criminal record
of a party, suspect in a criminal investigation or witness, or
the identity of a witness, or the expected testimony of a party
or witness;
(b) in a criminal case or proceeding that could result in
incarceration, the possibility of a plea of guilty to the offense
or the existence or contents of any confession, admission, or
statement given by a defendant or suspect or that person’s
refusal or failure to make a statement;
(c) the performance or results of any examination or test
or the refusal or failure of a person to submit to an examination
or test, or the identity or nature of physical evidence expected
to be presented;
(d) any opinion as to the guilt or innocence of a defendant
or suspect in a criminal case or proceeding that could result
in incarceration;
(e) information that the lawyer knows or reasonably should
know is likely to be inadmissible as evidence in a trial and
that would, if disclosed, create a substantial risk of prejudicing
an impartial trial; or
(f) the fact that a defendant has been charged with a crime,
unless there is included therein a statement explaining that
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the charge is merely an accusation and that the defendant is
presumed innocent until and unless proven guilty.
(6) Another relevant factor in determining prejudice is the
nature of the proceeding involved. Criminal jury trials will be
most sensitive to extrajudicial speech. Civil trials may be less
sensitive. Nonjury hearings and arbitration proceedings may
be even less affected. The Rule will still place limitations on
prejudical comments in these cases, but the likelihood of preju-
dice may be different depending on the type of proceeding.
(7) Finally, extrajudicial statements that might otherwise
raise a question under this Rule may be permissible when
they are made in response to statements made publicly by
another party, another party’s lawyer, or third persons, where
a reasonable lawyer would believe a public response is
required in order to avoid prejudice to the lawyer’s client. When
prejudicial statements have been publicly made by others,
responsive statements may have the salutary effect of less-
ening any resulting adverse impact on the adjudicative pro-
ceeding. Such responsive statements should be limited to
contain only such information as is necessary to mitigate
undue prejudice created by the statements made by others.
(8) See Rule 3.8 (5) for additional duties of prosecutors in
connection with extrajudicial statements about criminal pro-
ceedings.
Rule 3.7. Lawyer as Witness
(a) A lawyer shall not act as advocate at a trial
in which the lawyer is likely to be a necessary
witness unless:
(1) The testimony relates to an uncontested
issue;
(2) The testimony relates to the nature and
value of legal services rendered in the case; or
(3) Disqualification of the lawyer would work
substantial hardship on the client.
(b) A lawyer may act as advocate in a trial in
which another lawyer in the lawyer’s firm is likely
to be called as a witness unless precluded from
doing so by Rule 1.7 or Rule 1.9.
(P.B. 1978-1997, Rule 3.7.) (Amended June 26, 2006, to
take effect Jan. 1, 2007.)
COMMENTARY: Combining the roles of advocate and wit-
ness can prejudice the tribunal and the opposing party and can
also involve a conflict of interest between the lawyer and client.
Advocate-Witness Rule. The tribunal has proper objection
when the trier of fact may be confused or misled by a lawyer
serving as both advocate and witness. The opposing party has
proper objection where the combination of roles may prejudice
that party’s rights in the litigation. A witness is required to
testify on the basis of personal knowledge, while an advocate
is expected to explain and comment on evidence given by
others. It may not be clear whether a statement by an advo-
cate-witness should be taken as proof or as an analysis of
the proof.
To protect the tribunal, subsection (a) prohibits a lawyer
from simultaneously serving as advocate and necessary wit-
ness except in those circumstances specified in subsections
(a) (1) through (a) (3). Subsection (a) (1) recognizes that if
the testimony will be uncontested, the ambiguities in the dual
role are purely theoretical. Subsection (a) (2) recognizes that
where the testimony concerns the extent and value of legal
services rendered in the action in which the testimony is
offered, permitting the lawyers to testify avoids the need for
a second trial with new counsel to resolve thatissue. Moreover,
RULES OF PROFESSIONAL CONDUCT Rule 3.8
in such a situation the judge has firsthand knowledge of the
matter in issue; hence, there is less dependence on the adver-
sary process to test the credibility of the testimony.
Apart from these two exceptions, subsection (a) (3) recog-
nizes that a balancing is required between the interests of the
client and those of the tribunal and the opposing party. Whether
the tribunal is likely to be misled or the opposing party is likely
to suffer prejudice depends on the nature of the case, the
importance and probable tenor of the lawyer’s testimony, and
the probability that the lawyer’s testimony will conflict with that
of other witnesses. Even if there is risk of such prejudice, in
determining whether the lawyer should be disqualified, due
regard must be given to the effect of disqualification on the
lawyer’s client. It is relevant that one or both parties could
reasonably foresee that the lawyer would probably be a wit-
ness. The conflict of interest principles stated in Rules 1.7,
1.9 and 1.10 have no application to this aspect of the problem.
Because the tribunal is not likely to be misled when a lawyer
acts as advocate in a trial in which another lawyer in the
lawyer’s firm will testify as a necessary witness, subsection
(b) permits the lawyer to do so except in situations involving
a conflict of interest.
Conflict of Interest. In determining if it is permissible to
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
give rise to a conflict of interest that will require compliance
with Rules 1.7 or 1.9. For example, if there is likely to be
substantial conflict between the testimony of the client and
that of the lawyer, the representation involves a conflict of
interest that requires compliance with Rule 1.7. This would
be true even though the lawyer might not be prohibited by
subsection (a) from simultaneously serving as advocate and
witness because the lawyer’s disqualification would work a
substantial hardship on the client. Similarly, a lawyer who
might be permitted to simultaneously serve as an advocate
and a witness by subsection (a) (3) might be precluded from
doing so by Rule 1.9. The problem can arise whether the
lawyer is called as a witness on behalf of the client or is called
by the opposing party. Determining whether or not such a
conflict exists is primarily the responsibility of the lawyer
involved. If there is a conflict of interest, the lawyer must secure
the client’s informed consent, confirmed in writing. In some
cases, the lawyer will be precluded from seeking the client’s
consent. See Rule 1.7. See Rule 1.0 (c) for the definition of
‘‘confirmed in writing’’ and Rule 1.0 (f) for the definition of
‘‘informed consent.’’
Subsection (b) provides that a lawyer is not disqualified
from serving as an advocate because a lawyer with whom the
lawyer is associated in a firm is precluded from doing so by
subsection (a). If, however, the testifying lawyer would also
be disqualified by Rule 1.7 or Rule 1.9 from representing the
client in the matter, other lawyers in the firm will be precluded
from representing the client by Rule 1.10 unless the client
gives informed consent under the conditions stated in Rule 1.7.
Rule 3.8. Special Responsibilities of a Pros-
ecutor
The prosecutor in a criminal case shall:
(1) Refrain from prosecuting a charge that the
prosecutor knows is not supported by probable
cause;
(2) Make reasonable efforts to assure that the
accused has been advised of the right to, and the
procedure for obtaining, counsel and has been
given reasonable opportunity to obtain counsel;
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(3) Not seek to obtain from an unrepresented
accused a waiver of important pretrial rights, such
as the right to a preliminary hearing;
(4) Make timely disclosure to the defense of all
evidence or information known to the prosecutor
that tends to negate the guilt of the accused or
mitigates the offense, and, in connection with sen-
tencing, disclose to the defense and to the tribunal
all unprivileged mitigating information known to
the prosecutor, except when the prosecutor is
relieved of this responsibility by a protective order
of the tribunal; and
(5) Exercise reasonable care to prevent investi-
gators, law enforcement personnel, employees
or other persons assisting or associated with the
prosecutor in a criminal case from making an
extrajudicial statement that the prosecutor would
be prohibited from making under Rule 3.6.
(6) When a prosecutor knows of new and credi-
ble evidence creating a reasonable probability
that a convicted defendant did not commit an
offense of which the defendant was convicted, the
prosecutor shall, unless a court authorizes delay:
(A) if the conviction was obtained outside the
prosecutor’s jurisdiction, promptly disclose that
evidence to a court and an appropriate author-
ity, and
(B) if the conviction was obtained in the prose-
cutor’s jurisdiction, promptly disclose that evi-
dence to the defendant, and a court and an
appropriate authority.
(P.B. 1978-1997, Rule 3.8.) (Amended June 13, 2014, to
take effect Jan. 1, 2015.)
COMMENTARY: A prosecutor has the responsibility of a
minister of justice and not simply that of an advocate. This
responsibility carries with it specific obligations to see that
the defendant is accorded procedural justice and that guilt is
decided upon the basis of sufficient evidence. Precisely how
far the prosecutor is required to go in this direction is a matter of
debate and varies in different jurisdictions. Many jurisdictions
have adopted the ABA Standards of Criminal Justice Relating
to the Prosecution Function, which in turn are the product of
prolonged and careful deliberation by lawyers experienced in
both criminal prosecution and defense. See also Rule 3.3
(d), governing ex parte proceedings, among which grand jury
proceedings are included. Applicable law may require other
measures by the prosecutor and knowing disregard of those
obligations or a systematic abuse of prosecutorial discretion
could constitute a violation of Rule 8.4.
Subdivision (3) does not apply to an accused appearing as
a self-represented party with the approval of the tribunal. Nor
does it forbid the lawful questioning of a suspect who has
knowingly waived the rights to counsel and silence.
The exception in subdivision (4) recognizes that a prosecu-
tor may seek an appropriate protective order from the tribunal
if disclosure of information to the defense could result in sub-
stantial harm to an individual or to the public interest.
When a prosecutor knows of new and credible evidence
creating a reasonable probability that a person outside the
prosecutor’s jurisdiction was convicted of a crime that the
RULES OF PROFESSIONAL CONDUCTRule 3.8
person did not commit, subdivision (6) requires prompt disclo-
sure to a court and other appropriate authority, such as the
Office of the Chief Public Defender, the office of the Federal
Defender or the chief prosecutor of the jurisdiction where the
conviction occurred. When disclosure is made to the chief
prosecutor of the jurisdiction, that prosecutor must then inde-
pendently evaluate his or her own ethical obligations under
this Rule with respect to the evidence. If the conviction was
obtained in the prosecutor’s jurisdiction, subdivision (6)
requires the prosecutor to promptly disclose the evidence to
the defendant and a court and other appropriate authority,
such as the Office of the Chief Public Defender or the office
of the Federal Defender. Disclosure to a court shall be by
written notice to the presiding judge of the jurisdiction in which
the conviction was obtained, or, where the conviction was in
federal court, to the chief United States District Court Judge.
Consistent with the objectives of Rules 4.2 and 4.3, disclosure
to a represented defendant must be made through the defend-
ant’s counsel. If a defendant is not represented, or if the prose-
cutor cannot determine if a defendant is represented,
disclosure to the Office of the Chief Public Defender or the
Office of the Federal Defender shall satisfy the requirement
of notice to the defendant. The prosecutor may seek to delay
disclosure by means of a protective order or other appropriate
measure to protect the safety of a witness, to secure the
integrity of an ongoing investigation, or other similar purpose.
Knowledge denotes the actual knowledge of the prosecutor
who is determining the scope of his or her own ethical duty
to act. A ‘‘reasonable probability that the defendant did not
commit an offense of which the defendant was convicted’’ is
‘‘a probability sufficient to undermine confidence in the out-
come,’’ as articulated in Brady v. Maryland, 373 U.S. 83, 87,
83 S. Ct. 1194, 10 L. Ed. 2d 215 (1963), and Strickland v.
Washington, 466 U.S. 668, 694, 105 S. Ct. 2052, 80 L. Ed.
2d 674 (1984). The decision by a prosecutor to disclose infor-
mation to a defendant or an appropriate authority shall not be
deemed a concession that, and shall not ethically foreclose the
prosecutor from contesting before a factfinder or an appellate
tribunal that, the evidence is new or credible or that it creates
a reasonable probability that the defendant did not commit
the offense.
A prosecutor’s independent judgment, made in good faith,
that the new evidence is not of such nature as to trigger the
obligations of subdivision (6), though subsequently determined
to have been erroneous, does not constitute a violation of
this Rule.
Rule 3.9. Advocate in Nonadjudicative Pro-
ceedings
A lawyer representing a client before a legisla-
tive body or administrative agency in a nonadjudi-
cative proceeding shall disclose that the
appearance is in a representative capacity and
shall conform to the provisions of Rules 3.3 (a)
through (c), 3.4 (1) through (3), and 3.5.
(P.B. 1978-1997, Rule 3.9.) (Amended June 26, 2006, to
take effect Jan. 1, 2007.)
COMMENTARY: In representation before bodies such as
legislatures, municipal councils, and executive and administra-
tive agencies acting in a rule-making or policy-making capac-
ity, lawyers present facts, formulate issues and advance
argument in the matters under consideration. The decision-
making body, like a court, should be able to rely on the integrity
of the submissions made to it. A lawyer appearing before
such a body must deal with it honestly and in conformity with
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applicable rules of procedure. See Rules 3.3 (a) through (c),
3.4 (a) through (c) and 3.5.
Lawyers have no exclusive right to appear before nonadju-
dicative bodies, as they do before a court. The requirements
of this Rule therefore may subject lawyers to regulations inap-
plicable to advocates who are not lawyers. However, legisla-
tures and administrative agencies have a right to expect
lawyers to deal with them as they deal with courts.
This Rule only applies when a lawyer represents a client
in connection with an official hearing or meeting of a govern-
mental agency or a legislative body to which the lawyer or the
lawyer’s client is presenting evidence or argument. It does not
apply to representation of a client in a negotiation or other
bilateral transaction with a governmental agency or in connec-
tion with an application for a license or other privilege or the
client’s compliance with generally applicable reporting require-
ments, such as the filing of income tax returns. Nor does it
apply to the representation of a client in connection with an
investigation or examination of the client’s affairs conducted
by government investigators or examiners. Representation in
such matters is governed by Rules 4.1 through 4.4.
TRANSACTIONS WITH PERSONS
OTHER THAN CLIENTS
Rule 4.1. Truthfulness in Statements to
Others
In the course of representing a client a lawyer
shall not knowingly:
(1) Make a false statement of material fact or
law to a third person; or
(2) Fail to disclose a material fact when disclo-
sure is necessary to avoid assisting a criminal or
fraudulent act by a client, unless disclosure is
prohibited by Rule 1.6.
(P.B. 1978-1997, Rule 4.1.) (Amended June 26, 2006, to
take effect Jan. 1, 2007.)
COMMENTARY: Misrepresentation. A lawyer is required
to be truthful when dealing with others on a client’s behalf,
but generally has no affirmative duty to inform an opposing
party of relevant facts. A misrepresentation can occur if the
lawyer incorporates or affirms a statement of another person
that the lawyer knows is false. Misrepresentations can also
occur by partially true but misleading statements or omissions
that are the equivalent of affirmative false statements. For
dishonest conduct that does not amount to a false statement
or for misrepresentations by a lawyer other than in the course
of representing a client, see Rule 8.4.
Statements of Fact. This Rule refers to statements of fact.
Whether a particular statement should be regarded as one
of fact can depend on the circumstances. Under generally
accepted conventions in negotiation, certain types of state-
ments ordinarily are not taken as statements of material fact.
Estimates of price or value placed on the subject of a transac-
tion and a party’s intentions as to an acceptable settlement
of a claim are ordinarily in this category, and so is the existence
of an undisclosed principal except where nondisclosure of the
principal would constitute fraud. Lawyers should be mindful
of their obligations under applicable law to avoid criminal and
tortious misrepresentation.
Crime or Fraud by Client. Under Rule 1.2 (d), a lawyer
is prohibited from counseling or assisting a client in conduct
that the lawyer knows is criminal or fraudulent. Subdivision
(2) states a specific application of the principle set forth in
Rule 1.2 (d) and addresses the situation where a client’s crime
RULES OF PROFESSIONAL CONDUCT Rule 4.4
or fraud takes the form of a lie or misrepresentation. Ordinarily,
a lawyer can avoid assisting a client’s crime or fraud by with-
drawing from the representation. Sometimes it may be neces-
sary for the lawyer to give notice of the fact of withdrawal and
to disaffirm an opinion, document, affirmation or the like. In
extreme cases, substantive law may require a lawyer to dis-
close information relating to the representation to avoid being
deemed to have assisted the client’s crime or fraud. If the
lawyer can avoid assisting a client’s crime or fraud only by
disclosing this information, then under subdivision (2) the law-
yer is required to do so, unless the disclosure is prohibited by
Rule 1.6.
Rule 4.2. Communication with Person Rep-
resented by Counsel
In representing a client, a lawyer shall not com-
municate about the subject of the representation
with a party the lawyer knows to be represented
by another lawyer in the matter, unless the lawyer
has the consent of the other lawyer or is author-
ized by law to do so. An otherwise unrepresented
party for whom a limited appearance has been
filed pursuant to Practice Book Section 3-8 (b) is
considered to be unrepresented for purposes of
this Rule as to anything other than the subject
matter of the limited appearance. When a limited
appearance has been filed for the party, and
served on the other lawyer, or the other lawyer is
otherwise notified that a limited appearance has
been filed or will be filed, that lawyer may directly
communicate with the party only about matters
outside the scope of the limited appearance with-
out consulting with the party’s limited appear-
ance lawyer.
(P.B. 1978-1997, Rule 4.2.) (Amended June 14, 2013, to
take effect Oct. 1, 2013.)
COMMENTARY: This Rule does not prohibit communica-
tion with a party, or anemployee or agent of a party, concerning
matters outside the representation. For example, the existence
of a controversy between a government agency and a private
party, or between two organizations, does not prohibit a lawyer
for either from communicating with nonlawyer representatives
of the other regarding a separate matter. Also, parties to a
matter may communicate directly with each other and a lawyer
having independent justification for communicating with the
other party is permitted to do so. Communications authorized
by law include, for example, the right of a party to a controversy
with a government agency to speak with government officials
about the matter.
In the case of an organization, this Rule prohibits communi-
cations by a lawyer for one party concerning the matter in
representation with persons having a managerial responsibility
on behalf of the organization, and with any other person whose
act or omission in connection with that matter may be imputed
to the organization for purposes of civil or criminal liability or
whose statement may constitute an admission on the part of
the organization. If an agent or employee of the organization
is represented in the matter by his or her own counsel, the
consent by that counsel to a communication will be sufficient
for purposes of this Rule. (Compare Rule 3.4).
This Rule also covers any person, whether or not a party
to a formal proceeding, who is represented by counsel con-
cerning the matter in question.
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Rule 4.3. Dealing with Unrepresented
Person
In dealing on behalf of a client with a person
who is not represented by counsel, in whole or in
part, a lawyer shall not state or imply that the
lawyer is disinterested. When the lawyer knows
or reasonably should know that the unrepresented
person misunderstands the lawyer’s role in the
matter, the lawyer shall make reasonable efforts
to correct the misunderstanding. The lawyer shall
not give legal advice to an unrepresented person,
other than the advice to secure counsel, if the
lawyer knows or reasonably should know that the
interests of such a person are or have a reason-
able possibility of being in conflict with the inter-
ests of the client.
(P.B. 1978-1997, Rule 4.3.) (Amended June 26, 2006, to
take effect Jan. 1, 2007; amended June 14, 2013, to take
effect Oct. 1, 2013.)
COMMENTARY: An unrepresented person, particularly
one not experienced in dealing with legal matters, might
assume that a lawyer is disinterested in loyalties or isa disinter-
ested authority on the law even when the lawyer represents
a client. In order to avoid a misunderstanding, a lawyer will
typically need to identify the lawyer’s client and, where neces-
sary, explain that the client has interests opposed to those of
the unrepresented person. For misunderstandings that some-
times arise when a lawyer for an organization deals with an
unrepresented constituent, see Rule 1.13 (d).
The Rule distinguishes between situations involving unrep-
resented persons whose interests may be adverse to those
of the lawyer’s client and those in which the person’s interests
are not in conflict with the client’s. In the former situation, the
possibility that the lawyer will compromise the unrepresented
person’s interests is so great that the Rule prohibits the giving
of any advice, apart from the advice to obtain counsel. Whether
a lawyer is giving impermissible advice may depend on the
experience and sophistication of the unrepresented person,
as well as the setting in which the behavior and comments
occur. This Rule does not prohibit a lawyer from negotiating
the terms of a transaction or settling a dispute with an unrepre-
sented person. So long as the lawyer has explained that the
lawyer represents an adverse party and is not representing
the person, the lawyer may inform the person of the terms on
which the lawyer’s client will enter into an agreement or settle a
matter, prepare documents that require the person’s signature
and explain the lawyer’s own view of the meaning of the docu-
ment or the lawyer’s view of the underlying legal obligations.
See Rule 3.8 for particular duties of prosecutors in dealing
with unrepresented persons.
Rule 4.4. Respect for Rights of Third
Persons
(a) In representing a client, a lawyer shall not
use means that have no substantial purpose other
than to embarrass, delay, or burden a third per-
son, or use methods of obtaining evidence that
violate the legal rights of such a person.
(b) A lawyer who receives a document or elec-
tronically stored information relating to the repre-
sentation of the lawyer’s client and knows or
reasonably should know that the document or
RULES OF PROFESSIONAL CONDUCTRule 4.4
electronically stored information was inadver-
tently sent shall promptly notify the sender.
(P.B. 1978-1997, Rule 4.4.) (Amended June 26, 2006, to
take effect Jan. 1, 2007; amended June 14, 2013, to take
effect Jan. 1, 2014.)
COMMENTARY: Responsibility to a client requires a lawyer
to subordinate the interests of others to those of the client,
but that responsibility does not imply that a lawyer may disre-
gard the rights of third persons. It is impractical to catalogue
all such rights, but they include legal restrictions on methods
of obtaining evidence from third persons and unwarranted
intrusions into privileged relationships, such as the client-law-
yer relationship.
Subsection (b) recognizes that lawyers sometimes receive
a document or electronically stored information that was mis-
takenly sent or produced by opposing parties or their lawyers.
A document or electronically stored information is inadvertently
sent when it is accidentally transmitted, such as when an
e-mail or letter is misaddressed or a document or electronically
stored information is accidentally included with information that
was intentionally transmitted. If a lawyer knows or reasonably
should know that such a document or electronically stored
information was sent inadvertently, then this Rule requires the
lawyer to promptly notify the sender in order to permit that
person to take protective measures. Whether the lawyer is
required to take additional steps, such as returning the docu-
ment or electronically stored information, is a matter of law
beyond the scope of these Rules, as is the question of whether
the privilege status of a document or electronically stored
information has been waived. Similarly, this Rule does not
address the legal duties of a lawyer who receives a document
or electronically stored information that the lawyer knows or
reasonably should know may have been inappropriately
obtained by the sending person. For purposes of this Rule,
‘‘document or electronically stored information’’ includes, in
addition to paper documents, e-mail and other forms of elec-
tronically stored information, including embedded data (com-
monly referred to as ‘‘metadata’’), that is subject to being read
or put into readable form. Metadata in electronic documents
creates an obligation under this Rule only if the receiving
lawyer knows or reasonably should know that the metadata
was inadvertently sent to the receiving lawyer.
Some lawyers may choose to return a document or delete
electronically stored information unread, for example, when
the lawyer learns before receiving it that it was inadvertently
sent. Where a lawyer is not required by applicable law to do
so, the decision to voluntarily return such a document or delete
electronically stored information is a matter of professional
judgment ordinarily reserved to the lawyer. See Rules 1.2
and 1.4.
LAW FIRMS AND ASSOCIATIONS
Rule 5.1. Responsibilities of Partners, Man-
agers, and Supervisory Lawyers
(Amended June 26, 2006, to take effect Jan. 1, 2007.)
(a) A partner in a law firm, and a lawyer who
individually or together with other lawyers pos-
sesses comparable managerial authority in a law
firm, shall make reasonable efforts to ensure that
the firm has in effect measures giving reasonable
assurance that all lawyers in the firm conform to
the Rules of Professional Conduct.
(b) A lawyer having direct supervisory authority
over another lawyer shall make reasonable efforts
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to ensure that the other lawyer conforms to the
Rules of Professional Conduct.
(c) A lawyer shall be responsible for another
lawyer’s violation of the Rules of Professional
Conduct if:
(1) The lawyer orders or, with knowledge of the
specific conduct, ratifies the conduct involved; or
(2) The lawyer is a partner or has comparable
managerial authority in the law firm in which the
other lawyer practices, or has direct supervisory
authority over the other lawyer, and knows of the
conduct at a time when its consequences can be
avoided or mitigated but fails to take reasonable
remedial action.
(P.B. 1978-1997, Rule 5.1.) (Amended June 26, 2006, to
take effect Jan. 1, 2007.)
COMMENTARY: Subsection (a) applies to lawyers who
have managerial authority over the professional work of a firm.
See Rule 1.0 (d). This includes members of a partnership,
the shareholders in a law firm organized as a professional
corporation, and members of other associations authorized to
practice law; lawyers having comparable managerial authority
in a legal services organization or a law department of an
enterprise or government agency; and lawyers who have inter-
mediate managerial responsibilities in a firm. Subsection (b)
applies to lawyers who have supervisory authority over the
work of other lawyers in a firm.
Subsection (a) requires lawyers with managerial authority
within a firm to make reasonable efforts to establish internal
policies and procedures designed to provide reasonable
assurance that all lawyers in the firm will conform to the Rules
of Professional Conduct. Such policies and procedures include
those designed to detect and resolve conflicts of interest, iden-
tify dates by which actions must be taken in pending matters,
account for client funds and property and ensure that inexperi-
enced lawyers are properly supervised.
Other measures that may be required to fulfill the responsi-
bility prescribed in subsection (a) can depend on the firm’s
structure and the nature of its practice. In a small firm of
experienced lawyers, informal supervision and periodic review
of compliance with the required systems ordinarily will suffice.
In a large firm, or in practice situations in which difficult ethical
problems frequently arise, more elaborate measures may be
necessary. Some firms, for example, have a procedure
whereby junior lawyers can make confidential referral of ethical
problems directly to a designated senior partner or special
committee. See Rule 5.2. Firms, whether large or small, may
also rely on continuing legal education in professional ethics.
In any event, the ethical atmosphere of a firm can influence
the conduct of all its members and the partners may not
assume that all lawyers associated with the firm will inevitably
conform to the Rules.
Subsection (c) expresses a general principle of personal
responsibility for acts of another. See also Rule 8.4 (1).
Subsection (c) (2) defines the duty of a partner or other
lawyer having comparable managerial authority in a law firm,
as well as a lawyer who has direct supervisory authority over
performance of specific legal work by another lawyer. Whether
a lawyer has supervisory authority in particular circumstances
is a question of fact. Partners and lawyers with comparable
authority have at least indirect responsibility for all work being
done by the firm, while a partner or manager in charge of a
particular matter ordinarily also has supervisory responsibility
for the work of other firm lawyers engaged in the matter.
RULES OF PROFESSIONAL CONDUCT Rule 5.3
Appropriate remedial action by a partner or managing lawyer
would depend on the immediacy of that lawyer’s involvement
and the seriousness of the misconduct. A supervisor is
required to intervene to prevent avoidable consequences of
misconduct if the supervisor knows that the misconduct
occurred. Thus, if a supervising lawyer knows that a subordi-
nate misrepresented a matter to an opposing party in negotia-
tion, the supervisor as well as the subordinate has a duty to
correct the resulting misapprehension.
Professional misconduct by a lawyer under supervision
could reveal a violation of subsection (b) on the part of the
supervisory lawyer even though it does not entail a violation
of subsection (c) because there was no direction, ratification
or knowledge of the violation.
Apart from this Rule and Rule 8.4 (1), a lawyer does not
have disciplinary liability for the conduct of a partner, associate
or subordinate. Whether a lawyer may be liable civilly or crimi-
nally for another lawyer’s conduct is a question of law beyond
the scope of these Rules.
The duties imposed by this Rule on managing and supervis-
ing lawyers do not alter the personal duty of each lawyer in
a firm to abide by the Rules of Professional Conduct. See
Rule 5.2 (a).
Rule 5.2. Responsibilities of a Subordinate
Lawyer
A lawyer is bound by the Rules of Professional
Conduct notwithstanding that that lawyer acted at
the direction of another person.
(P.B. 1978-1997, Rule 5.2.) (Amended June 26, 2006, to
take effect Jan. 1, 2007.)
COMMENTARY: Although a lawyer is not relieved of
responsibility for a violation by the fact that the lawyer acted
at the direction of a supervisor, that fact may be relevant in
determining whether a lawyer had the knowledge required to
render conduct a violation of the Rules. For example, if a
subordinate filed a frivolous pleading at the direction of a
supervisor, the subordinate would not be guilty of a profes-
sional violation unless the subordinate knew of the document’s
frivolous character.
When lawyers in a supervisor-subordinate relationship
encounter a matter involving professional judgment as to ethi-
cal duty, the supervisor may assume responsibility for making
the judgment. Otherwise a consistent course of action or posi-
tion could not be taken. If the question can reasonably be
answered only one way, the duty of both lawyers is clear and
they are equally responsible for fulfilling it. However, if the
question is reasonably arguable, someone has to decide upon
the course of action. That authority ordinarily reposes in the
supervisor, and a subordinate may be guided accordingly. For
example, if a question arises whether the interests of two
clients conflict under Rule 1.7, the supervisor’s reasonable
resolution of the question should protect the subordinate pro-
fessionally if the resolution is subsequently challenged.
Rule 5.3. Responsibilities regarding Non-
lawyer Assistance
(Amended June 13, 2014, to take effect Jan. 1, 2015.)
With respect to a nonlawyer employed or
retained by or associated with a lawyer:
(1) A partner, and a lawyer who individually or
together with other lawyers possesses compara-
ble managerial authority in a law firm shall make
reasonable efforts to ensure that the firm has in
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effect measures giving reasonable assurance that
the person’s conduct is compatible with the pro-
fessional obligations of the lawyer;
(2) A lawyer having direct supervisory authority
over the nonlawyer shall make reasonable efforts
to ensure that the person’s conduct is compatible
with the professional obligations of the lawyer; and
(3) A lawyer shall be responsible for conduct
of such a person that would be a violation of the
Rules of Professional Conduct if engaged in by a
lawyer if:
(A) The lawyer orders or, with the knowledge
of the specific conduct, ratifies the conduct
involved; or
(B) The lawyer is a partner or has comparable
managerial authority in the law firm in which the
person is employed, or has direct supervisory
authority over the person, and knows of the con-
duct at a time when its consequences can be
avoided or mitigated but fails to take reasonable
remedial action.
(P.B. 1978-1997, Rule 5.3.) (Amended June 26, 2006, to
take effect Jan. 1, 2007.)
COMMENTARY: Lawyers generally employ assistants in
their practice, including secretaries, investigators, law student
interns, and paraprofessionals. Such assistants, whether
employees or independent contractors, act for the lawyer in
rendition of the lawyer’s professional services. A lawyer must
give such assistants appropriate instruction and supervision
concerning the ethical aspects of their employment, particu-
larly regarding the obligation not to disclose information relat-
ing to representation of the client, and should be responsible
for their work product. The measures employed in supervising
nonlawyers should take account of the fact that they do not
have legal training and are not subject to professional dis-
cipline.
Subdivision (1) requires lawyers with managerial authority
within a law firm to make reasonable efforts to ensure that
the firm has in effect measures giving reasonable assurance
that nonlawyers in the firm and nonlawyers outside the firm
who work on firm matters act in a way compatible with the
professional obligations of the lawyer. See Commentary to
Rule 1.1 and first paragraph of Commentary to Rule5.1. Subdi-
vision (2) applies to lawyers who have supervisory authority
over such nonlawyers within or outside the firm. Subdivision
(3) specifies the circumstances in which a lawyer is responsible
for the conduct of such nonlawyers within or outside the firm
that would be a violation of the Rules of Professional Conduct
if engaged in by a lawyer.
Nonlawyers Outside the Firm. A lawyer may use nonlaw-
yers outside the firm to assist the lawyer in rendering legal
services to the client. Examples include the retention of an
investigative or paraprofessional service, hiring a document
management company to create and maintain a database for
complex litigation, sending client documents to a third party
for printing or scanning, and using an Internet-based service
to store client information. When using such services outside
the firm, a lawyer must make reasonable efforts to ensure that
the services are provided in a manner that is compatible with
the lawyer’s professional obligations. The extent of this obliga-
tion will depend upon the circumstances, including the educa-
tion, experience and reputation of the nonlawyer; the nature
RULES OF PROFESSIONAL CONDUCTRule 5.3
of the services involved; the terms of any arrangements con-
cerning the protection of client information; and the legal and
ethical environments of the jurisdictions in which the services
will be performed, particularly with regard to confidentiality.
See also Rules 1.1 (competence), 1.2 (allocation of authority),
1.4 (communication with client), 1.6 (confidentiality), 5.4 (a)
(professional independence of the lawyer), and 5.5 (a) (unau-
thorized practice of law). When retaining or directing a nonlaw-
yer outside the firm, a lawyer should communicate directions
appropriate under the circumstances to give reasonable assur-
ance that the nonlawyer’s conduct is compatible with the pro-
fessional obligations of the lawyer.
Where the client directs the selection of a particular nonlaw-
yer service provider outside the firm, the lawyer may need
to consult with the client to determine how the outsourcing
arrangement should be structured and who will be responsible
for monitoring the performance of the nonlawyer services.
Unless the client expressly agrees that the client will be respon-
sible for monitoring the nonlawyer’s services, the lawyer will
be responsible for monitoring the nonlawyer’s services.
Rule 5.4. Professional Independence of a
Lawyer
(a) A lawyer or law firm shall not share legal
fees with a nonlawyer, except that:
(1) An agreement by a lawyer with the lawyer’s
firm, partner, or associate may provide for the
payment of money, over a reasonable period of
time after the lawyer’s death, to the lawyer’s estate
or to one or more specified persons;
(2) A lawyer who purchases the practice of a
deceased, disabled or disappeared lawyer may,
pursuant to the provisions of Rule 1.17, pay to
the estate or other representative of that lawyer
the agreed upon purchase price; and
(3) A lawyer or law firm may include nonlawyer
employees in a compensation or retirement plan,
even though the plan is based in whole or in part
on a profit-sharing arrangement.
(b) A lawyer shall not form a partnership with a
nonlawyer if any of the activities of the partnership
consist of the practice of law.
(c) A lawyer shall not permit a person who rec-
ommends, employs, or pays the lawyer to render
legal services for another to direct or regulate the
lawyer’s professional judgment in rendering such
legal services.
(d) A lawyer shall not practice with or in the
form of a professional corporation or association
authorized to practice law for a profit, if:
(1) A nonlawyer owns any interest therein,
except that a fiduciary representative of the estate
of a lawyer may hold the stock or interest of the
lawyer for a reasonable time during adminis-
tration;
(2) A nonlawyer is a corporate director or officer
thereof or occupies the position of similar respon-
sibility in any form of association other than a
corporation; or
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(3) A nonlawyer has the right to direct or control
the professional judgment of a lawyer.
(P.B. 1978-1997, Rule 5.4.) (Amended June 26, 2006, to
take effect Jan. 1, 2007.)
COMMENTARY: The provisions of this Rule express tradi-
tional limitations on sharing fees. These limitations are to pro-
tect the lawyer’s professional independence of judgment.
Where someone other than the client pays the lawyer’s fee
or salary, or recommends employment of the lawyer, that
arrangement does not modify the lawyer’s obligation to the
client. As stated in subsection (c), such arrangements should
not interfere with the lawyer’s professional judgment.
This Rule also expresses traditional limitations on permit-
ting a third party to direct or regulate the lawyer’s professional
judgment in rendering legal services to another. See also Rule
1.8 (f) (lawyer may accept compensation from a third party as
long as there is no interference with the lawyer’s independent
professional judgment and the client gives informed consent).
Rule 5.5. Unauthorized Practice of Law
(a) A lawyer shall not practice law in a jurisdic-
tion in violation of the regulation of the legal pro-
fession in that jurisdiction, or assist another in
doing so. The practice of law in this jurisdiction is
defined in Practice Book Section 2-44A. Conduct
described in subsections (c) and (d) in another
jurisdiction shall not be deemed the unauthorized
practice of law for purposes of this subsection (a).
(b) A lawyer who is not admitted to practice in
this jurisdiction, shall not:
(1) except as authorized by law, establish an
office or other systematic and continuous pres-
ence in this jurisdiction for the practice of law; or
(2) hold out to the public or otherwise represent
that the lawyer is admitted to practice law in
this jurisdiction.
(c) A lawyer admitted in another United States
jurisdiction which accords similar privileges to
Connecticut lawyers in its jurisdiction, and pro-
vided that the lawyer is not disbarred or sus-
pended from practice in any jurisdiction, may
provide legal services on a temporary basis in this
jurisdiction, that:
(1) are undertaken in association with a lawyer
who is admitted to practice in this jurisdiction and
who actively participates in the matter;
(2) are in or reasonably related to a pending or
potential proceeding before a tribunal in this or
another jurisdiction, if the lawyer, or a person the
lawyer is assisting, is authorized by law or order
to appear in such proceeding or reasonably
expects to be so authorized;
(3) are in or reasonably related to a pending or
potential mediation or other alternative dispute
resolution proceeding in this or another jurisdic-
tion, with respect to a matter that is substantially
related to, or arises in, a jurisdiction in which the
lawyer is admitted to practice and are not services
RULES OF PROFESSIONAL CONDUCT Rule 5.5
for which the forum requires pro hac vice admis-
sion; or
(4) are not within subdivisions (c) (2) or (c) (3)
and arise out of or are substantially related to the
legal services provided to an existing client of
the lawyer’s practice in a jurisdiction in which the
lawyer is admitted to practice.
(d) A lawyer admitted to practice in another
jurisdiction, and not disbarred or suspended from
practice in any jurisdiction, may provide legal ser-
vices in this jurisdiction that:
(1) the lawyer is authorized to provide pursuant
to Practice Book Section 2-15A and the lawyer is
an authorized house counsel as provided in that
section; or
(2) the lawyer is authorized by federal or other
law or rule to provide in this jurisdiction.
(e) A lawyer not admitted to practice in this
jurisdiction and authorized by the provisions of
this Rule to engage in providing legal services on
a temporary basis in this jurisdiction is thereby
subject to the disciplinary rules of this jurisdiction
with respect to the activities in this jurisdiction.
(f) A lawyer desirous of obtaining the privileges
set forth in subsections (c) (3) or (4): (1) shall
notify the statewide bar counsel as to each sepa-
rate matter prior to any such representation in
Connecticut, (2) shall notify the statewide bar
counsel upon termination of each such represen-
tation in Connecticut, and (3) shall pay such fees
as may be prescribed by the Judicial Branch.
(P.B. 1978-1997, Rule 5.5.) (Amended June 28, 1999, to
take effect Jan. 1, 2000; amended June 24, 2002, to take
effect Jan. 1, 2003; amended June 29, 2007, to take effect
Jan. 1, 2008; amended June 30, 2008, to take effect Jan. 1,
2009; amended June 15, 2012, to take effect Jan. 1, 2013;
amended June 13, 2014, to take effect Jan. 1, 2015.)
COMMENTARY: A lawyer may practice law only in a juris-
diction in which the lawyer is authorized to practice. A lawyer
may be admitted to practice law in a jurisdiction on a regular
basis or may be authorized by court rule or order or by law
to practice for a limited purpose or on a restricted basis. Sub-
section (a) applies to unauthorized practice of law by a lawyer,
whether through the lawyer’s direct action or by the lawyer’s
assisting another person. For example, a lawyer maynot assist
a person in practicing law in violation of the rules governing
professional conduct in that person’s jurisdiction.
A lawyer may provide professional advice and instruction
to nonlawyers whose employment requires knowledge of the
law; for example, claims adjusters, employees of financial
or commercial institutions, social workers, accountants and
persons employed in government agencies. Lawyers also may
assist independent nonlawyers, such as paraprofessionals,
who are authorized by the law of a jurisdiction to provide
particular law-related services. In addition, a lawyer may coun-
sel nonlawyers who wish to proceed as self-represented
parties.
Other than as authorized by law or this Rule, a lawyer who
is not admitted to practice generally in this jurisdiction violates
subsection (b) (1) if the lawyer establishes an office or other
systematic and continuous presence in this jurisdiction for the
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practice of law. Presence may be systematic and continuous
even if the lawyer is not physically present here. Such a lawyer
must not hold out to the public or otherwise represent that the
lawyer is admitted to practice law in this jurisdiction. See also
Rules 7.1 (a) and 7.5 (b). A lawyer not admitted to practice
in this jurisdiction who engages in repeated and frequent activi-
ties of a similar nature in this jurisdiction such as the prepara-
tion and/or recording of legal documents (loans and
mortgages) involving residents or property in this state may
be considered to have a systematic and continuous presence
in this jurisdiction that would not be authorized by this Rule
and could, thereby, be considered to constitute unauthorized
practice of law.
There are occasions in which a lawyer admitted to practice
in another United States jurisdiction, and not disbarred or
suspended from practice in any jurisdiction, may provide legal
services on a temporary basis in this jurisdiction under circum-
stances that do not create an unreasonable risk to the interests
of their clients, the public or the courts. Subsection (c) identifies
four such circumstances. The fact that conduct is not so identi-
fied does not imply that the conduct is or is not authorized.
With the exception of subdivisions (d) (1) and (d) (2), this Rule
does not authorize a lawyer to establish an office or other
systematic and continuous presence in this jurisdiction without
being admitted to practice generally here. There is no single
test to determine whether a lawyer’s services are provided on
a ‘‘temporary basis’’ in this jurisdiction and may, therefore, be
permissible under subsection (c). Services may be ‘‘tempo-
rary’’ even though the lawyer provides services in this jurisdic-
tion for an extended period of time, as when the lawyer is
representing a client in a single lengthy negotiation or litigation.
Subsection (c) applies to lawyers who are admitted to prac-
tice law in any United States jurisdiction, which includes the
District of Columbia and any state, territory or commonwealth
of the United States. The word ‘‘admitted’’ in subsection (c)
contemplates that the lawyer is authorized to practice in the
jurisdiction in which the lawyer is admitted and excludes a
lawyer who, while technically admitted, is not authorized to
practice, because, for example, the lawyer is in an inactive
status.
Subdivision (c) (1) recognizes that the interests of clients
and the public are protected if a lawyer admitted only in another
jurisdiction associates with a lawyer licensed to practice in
this jurisdiction. For this subdivision to apply, however, the
lawyer admitted to practice in this jurisdiction must actively
participate in and share responsibility for the representation
of the client.
Lawyers not admitted to practice generally in a jurisdiction
may be authorized by law or order of a tribunal or an adminis-
trative agency to appear before the tribunal or agency. This
authority may be granted pursuant to formal rules governing
admission pro hac vice or pursuant to informal practice of the
tribunal or agency. Under subdivision (c) (2), a lawyer does
not violate this Rule when the lawyer appears before a tribunal
or agency pursuant to such authority. To the extent that a
court rule or other law of this jurisdiction requires a lawyer
who is not admitted to practice in this jurisdiction to obtain
admission pro hac vice before appearing before a tribunal or
administrative agency, this Rule requires the lawyer to obtain
that authority.
Subdivision (c) (2) also provides that a lawyer rendering
services in this jurisdiction on a temporary basis does not
violate this Rule when the lawyer engages in conduct in antici-
pation of a proceeding or hearing in a jurisdiction in which the
lawyer is authorized to practice law or in which the lawyer
reasonably expects to be admitted pro hac vice. Examples of
such conduct include meetings with the client, interviews of
RULES OF PROFESSIONAL CONDUCTRule 5.5
potential witnesses, and the review of documents. Similarly,
a lawyer admitted only in another jurisdiction may engage
in conduct temporarily in this jurisdiction in connection with
pending litigation in another jurisdiction in which the lawyer is
or reasonably expects to be authorized to appear, including
taking depositions in this jurisdiction.
When a lawyer has been or reasonably expects to be admit-
ted to appear before a court or administrative agency, subdivi-
sion (c) (2) also permits conduct by lawyers who are associated
with that lawyer in the matter, but who do not expect to appear
before the court or administrative agency. For example, subor-
dinate lawyers may conduct research, review documents, and
attend meetings with witnesses in support of the lawyer
responsible for the litigation.
Subdivision (c) (3) permits a lawyer admitted to practice
law in another jurisdiction to perform services on a temporary
basis in this jurisdiction if those services are in or reasonably
related to a pending or potential mediation or other alternative
dispute resolution proceeding in this or another jurisdiction, if
the services are with respect to a matter that is substantially
related to, or arises out of, a jurisdiction in which the lawyer
is admitted to practice. The lawyer, however, must obtain
admission pro hac vice in the case of a court-annexed arbitra-
tion or mediation or otherwise if court rules or law so require.
Subdivision (c) (4) permits a lawyer admitted in another
jurisdiction to provide certain legal services on a temporary
basis in this jurisdiction if they arise out of or are substantially
related to the lawyer’s practice in a jurisdiction in which the
lawyer is admitted but are not within subdivisions (c) (2) or
(c) (3). These services include both legal services and services
that nonlawyers may perform but that are considered the prac-
tice of law when performed by lawyers.
Subdivision (c) (3) requires that the services be with respect
to a matter that is substantially related to, or arises out of, a
jurisdiction in which the lawyer is admitted. A variety of factors
may evidence such a relationship. However, the matter,
although involving other jurisdictions, must have a significant
connection with the jurisdiction in which the lawyer is admitted
to practice. A significant aspect of the lawyer’s work might be
conducted in that jurisdiction or a significant aspect of the
matter may involve the law of that jurisdiction. The necessary
relationship might arise when the client’s activities and the
resulting legal issues involve multiple jurisdictions. Subdivision
(c) (4) requires that the services provided in this jurisdiction
in which the lawyer is not admitted to practice be for (1) an
existing client, i.e., one with whom the lawyer has a previous
relationship and not arising solely out of a Connecticut based
matter and (2) arise out of or be substantially related to the
legal services provided to that client in a jurisdiction in which
the lawyer is admitted to practice. Without both, the lawyer is
prohibited from practicing law in the jurisdiction in which the
lawyer is not admitted to practice.
Subdivision (d) (2) recognizes that a lawyer may provide
legal services in a jurisdiction in which the lawyer is not
licensed when authorized to do so by federal or other law,
which includes statute, court rule, executive regulation or judi-
cial precedent.
A lawyer who practices law in this jurisdiction pursuant to
subsections (c) or (d) or otherwise is subject to the disciplinary
authority of this jurisdiction. See Rule 8.5 (a).
In some circumstances, a lawyer who practices law in this
jurisdiction pursuant to subsections (c) or (d) may have to
inform the client that the lawyer is not licensed to practice law
in this jurisdiction.
Subsections (c) and (d) do not authorize communications
advertising legal services in this jurisdiction by lawyers who
are admitted to practice in other jurisdictions. Whether and
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how lawyers may communicate the availability of their services
in this jurisdiction is governed by Rules 7.1 to 7.5.
Rule 5.6. Restrictions on Right to Practice
A lawyer shall not participate in offering or
making:
(1) A partnership, shareholders, operating,
employment, or other similar type of agreement
that restricts the right of a lawyer to practice after
termination of the relationship, except an
agreement concerning benefits upon retirement;
or(2) An agreement in which a restriction on the
lawyer’s right to practice is part of the settlement
of a client controversy.
(P.B. 1978-1997, Rule 5.6.) (Amended June 26, 2006, to
take effect Jan. 1, 2007.)
COMMENTARY: An agreement restricting the right of law-
yers to practice after leaving a firm not only limits their profes-
sional autonomy but also limits the freedomof clients to choose
a lawyer. Subdivision (1) prohibits such agreements except
for restrictions incident to provisions concerning retirement
benefits for service with the firm.
Subdivision (2) prohibits a lawyer from agreeing not to rep-
resent other persons in connection with settling a claim on
behalf of a client.
This Rule does not apply to prohibit restrictions that may
be included in the terms of the sale of a law practice pursuant
to Rule 1.17.
PUBLIC SERVICE
Rule 6.1. Pro Bono Publico Service
A lawyer should render public interest legal ser-
vice. A lawyer may discharge this responsibility
by providing professional services at no fee or a
reduced fee to persons of limited means or to
public service or charitable groups or organiza-
tions, by service in activities for improving the law,
the legal system or the legal profession, and by
financial support for organizations that provide
legal services to persons of limited means.
(P.B. 1978-1997, Rule 6.1.)
COMMENTARY: The ABA House of Delegateshas formally
acknowledged ‘‘the basic responsibility of each lawyer
engaged in the practice of law to provide public interest legal
services’’ without fee, or at a substantially reduced fee in one
or more of the following areas: poverty law, civil rights law,
public rights law, charitable organization representation and
the administration of justice. This Rule expresses that policy
but is not intended to be enforced through disciplinary process.
The rights and responsibilities of individuals and organiza-
tions in the United States are increasingly defined in legal
terms. As a consequence, legal assistance in coping with the
web of statutes, rules and regulations is imperative for persons
of modest and limited means, as well as for the relatively well-
to-do.
The basic responsibility for providing legal services for those
unable to pay ultimately rests upon the individual lawyer, and
personal involvement in the problems of the disadvantaged
can be one of the most rewarding experiences in the life of a
lawyer. Every lawyer, regardless of professional prominence
or professional workload, should find time to participate in
RULES OF PROFESSIONAL CONDUCT Rule 6.5
or otherwise support the provision of legal services to the
disadvantaged. The provision of free legal services to those
unable to pay reasonable fees continues to be an obligation
of each lawyer as well as the profession generally, but the
efforts of individual lawyers are often not enough to meet the
need. Thus, it has been necessary for the profession and
government to institute additional programs to provide legal
services. Accordingly, legal aid offices, lawyer referral services
and other related programs have been developed, and others
will be developed by the profession and government. Every
lawyer should support all proper efforts to meet this need for
legal services. Law firms should act reasonably to enable and
encourage all lawyers in the firm to provide the pro bono legal
services recommended by this Rule.
Rule 6.2. Accepting Appointments
A lawyer shall not seek to avoid appointment
by a tribunal to represent a person except for good
cause, such as:
(1) Representing the client is likely to result in
violation of the Rules of Professional Conduct or
other law;
(2) Representing the client is likely to result in an
unreasonable financial burden on the lawyer; or
(3) The client or the cause is so repugnant to
the lawyer as to be likely to impair the client-lawyer
relationship or the lawyer’s ability to represent
the client.
(P.B. 1978-1997, Rule 6.2.)
COMMENTARY: A lawyer ordinarily is not obliged to accept
a client whose character or cause the lawyer regards as repug-
nant. The lawyer’s freedom to select clients is, however, quali-
fied. All lawyers have a responsibility to assist in providing pro
bono publico service. See Rule 6.1. An individual lawyer fulfills
this responsibility by accepting a fair share of unpopular mat-
ters or indigent or unpopular clients. A lawyer may also be
subject to appointment by a court to serve unpopular clients
or persons unable to afford legal services.
Appointed Counsel. For good cause a lawyer may seek
to decline an appointment to represent a person who cannot
afford to retain counsel or whose cause is unpopular. Good
cause exists if the lawyer could not handle the matter compe-
tently, see Rule 1.1, or if undertaking the representation would
result in an improper conflict of interest, for example, when
the client or the cause is so repugnant to the lawyer as to be
likely to impair the client-lawyer relationship or the lawyer’s
ability to represent the client. A lawyer may also seek to decline
an appointment if acceptance would be unreasonably burden-
some, for example, when it would impose a financial sacrifice
so great as to be unjust.
An appointed lawyer has the same obligations to the client
as retained counsel, including the obligations of loyalty and
confidentiality, and is subject to the same limitations on the
client-lawyer relationship, such as the obligation to refrain from
assisting the client in violation of the Rules.
Rule 6.3. Membership in Legal Services
Organization
A lawyer may serve as a director, officer or
member of a legal services organization, apart
from the law firm in which the lawyer practices,
notwithstanding that the organization serves per-
sons having interests adverse to a client of the
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lawyer. The lawyer shall not knowingly participate
in a decision or action of the organization:
(1) If participating in the decision or action would
be incompatible with the lawyer’s obligations to a
client under Rule 1.7; or
(2) Where the decision or action could have a
material adverse effect on the representation of
a client of the organization whose interests are
adverse to a client of the lawyer.
(P.B. 1978-1997, Rule 6.3.)
COMMENTARY: Lawyers should be encouraged to support
and participate in legal services organizations. A lawyer who
is an officer or a member of such an organization does not
thereby have a client-lawyer relationship with persons served
by the organization. However, there is potential conflict
between the interests of such persons and the interests of the
lawyer’s clients. If the possibility of such conflict disqualified
a lawyer from serving on the board of a legal services organiza-
tion, the profession’s involvement in such organizations would
be severely curtailed.
It may be necessary in appropriate cases to reassure a
client of the organization that the representation will not be
affected by conflicting loyalties of a member of the board.
Established, written policies in this respect can enhance the
credibility of such assurances.
Rule 6.4. Law Reform Activities Affecting
Client Interests
A lawyer may serve as a director, officer or
member of an organization involved in reform of
the law or its administration notwithstanding that
the reform may affect the interests of a client of
the lawyer. When the lawyer knows that the inter-
ests of a client may be materially benefitted by a
decision in which the lawyer participates, the law-
yer shall disclose that fact but need not identify
the client.
(P.B. 1978-1997, Rule 6.4.)
COMMENTARY: Lawyers involved in organizations seek-
ing law reform generally do not have a client-lawyer relation-
ship with the organization. Otherwise, it might follow that a
lawyer could not be involved in a bar association law reform
program that might indirectly affect a client. See also Rule 1.2
(b). For example, a lawyer specializing in antitrust litigation
might be regarded as disqualified from participating in drafting
revisions of rules governing that subject. In determining the
nature and scope of participation in such activities, a lawyer
should be mindful of obligations to clients under other Rules,
particularly Rule 1.7. A lawyer is professionally obligated to
protect the integrity of the program by making an appropriate
disclosure within the organization when the lawyer knows a
private client might be materially benefitted.
Rule 6.5. Nonprofit and Court-Annexed Lim-
ited Legal Services Programs
(a) A lawyer who, under the auspices of a pro-
gram sponsored by a nonprofit organization or
court, provides short-term limited legal services
to a client without expectation by either the lawyer
or the client that the lawyer will provide continuing
representation in the matter:
RULES OF PROFESSIONAL CONDUCTRule 6.5
(1) is subject to Rules 1.7 and 1.9 (a) only if
the lawyer knows that the representation of the
client involves a conflict of interest; and
(2) is subject to Rule 1.10 only if the lawyer
knows that another lawyer associated with the
lawyer in a law firm is disqualified by Rule 1.7 or
1.9 (a) with respect to the matter.
(b) A lawyer who provides short-term limited
legal services pursuant to this Rule must secure
the client’s informed consent to the limited scope
of the representation. See Rule 1.2 (c). If a short-
term limited representation would not be reason-
able under the circumstances, the lawyer may
offer advice to the client but must also advise the
client of the need for further assistance of counsel.
Except as provided in this Rule, the Rules of Pro-
fessional Conduct, including Rules 1.6 and 1.9
(c), are applicable to the limited representation.
(c) Except as provided in subsection (a) (2),
Rule 1.10 is inapplicable to a representation gov-
erned by this Rule.
(Adopted June 26, 2006, to take effect Jan. 1, 2007.)
COMMENTARY: Legal services organizations, courts and
various nonprofit organizations have established programs
through which lawyers provide short-term limited legal ser-
vices—such as advice or the completion of legal forms—that
will assist persons to address their legal problems without
further representation by a lawyer. In these programs, such
as legal advice hotlines, advice only clinics or self-represented
party counseling programs, a client-lawyer relationship is
established, but there is no expectation that the lawyer’s
representation of the client will continue beyond the limited
consultation. Such programs are normally operated under cir-
cumstances in which it is not feasible for a lawyer to systemati-
cally screen for conflicts of interest as is generally required
before undertaking a representation. See, e.g., Rules 1.7,
1.9 and 1.10.
Because a lawyer who is representing a client in the circum-
stances addressed by this Rule ordinarily is not able to check
systematically for conflicts of interest, subsection (a) requires
compliance with Rules 1.7 or 1.9 (a) only if the lawyer knows
that the representation presents a conflict of interest for the
lawyer, and with Rule 1.10 only ifthe lawyer knows that another
lawyer in the lawyer’s firm is disqualified by Rules 1.7 or 1.9
(a) in the matter.
Because the limited nature of the services significantly
reduces the risk of conflicts of interest with other matters being
handled by the lawyer’s firm, subsection (b) provides that Rule
1.10 is inapplicable to a representation governed by this Rule
except as provided by subsection (a) (2). Subsection (a) (2)
requires the participating lawyer to comply with Rule1.10 when
the lawyer knows that the lawyer’s firm is disqualified by Rules
1.7 or 1.9 (a). By virtue of subsection (b), however, a lawyer’s
participation in a short-term limited legal services program will
not preclude the lawyer’s firm from undertaking or continuing
the representation of a client with interests adverse to a client
being represented under the program’s auspices. Nor will the
personal disqualification of a lawyer participating in the pro-
gram be imputed to other lawyers participating in the program.
If, after commencing a short-term limited representation in
accordance with this Rule, a lawyer undertakes to represent
the client in the matter on an ongoing basis, Rules 1.7, 1.9
(a) and 1.10 become applicable.
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INFORMATION ABOUT LEGAL SERVICES
Rule 7.1. Communications concerning a
Lawyer’s Services
A lawyer shall not make a false or misleading
communication about the lawyer or the lawyer’s
services. A communication is false or misleading
if it contains a material misrepresentation of fact
or law, or omits a fact necessary to make the
statement considered as a whole not materially
misleading.
(P.B. 1978-1997, Rule 7.1.) (Amended June 26, 2006, to
take effect Jan. 1, 2007.)
COMMENTARY: This Rule governs all communications
about a lawyer’s services, including advertising permitted by
Rule 7.2. Whatever means are used to make known a lawyer’s
services, statements about them must be truthful. Statements,
even if literally true, that are misleading are also prohibited
by this Rule. A truthful statement is misleading if it omits a fact
necessary to make the lawyer’s communication considered
as a whole not materially misleading. A truthful statement is
also misleading if there is a substantial likelihood that it will
lead a reasonable person to formulate a specific conclusion
about the lawyer or the lawyer’s services for which there is
no reasonable factual foundation.
An advertisement that truthfully reports a lawyer’s achieve-
ments on behalf of clients or former clients may be misleading
if presented so as to lead a reasonable person to form an
unjustified expectation that the same results could be obtained
for other clients in similar matters without reference to the
specific factual and legal circumstances of each client’s case.
Similarly, an unsubstantiated comparison of the lawyer’s ser-
vices or fees with the services or fees of other lawyers may
be misleading if presented with such specificity as would lead
a reasonable person to conclude that the comparison can be
substantiated. The inclusion of an appropriate disclaimer or
qualifying language may preclude a finding that a statement
is likely to create unjustified expectations or otherwise mislead
the public.
See also Rule 8.4 (5) for the prohibition against stating or
implying an ability to influence improperly a government
agency or official or to achieve results by means that violate
the Rules of Professional Conduct or other law.
Rule 7.2. Advertising
(a) Subject to the requirements set forth in
Rules 7.1 and 7.3, a lawyer may advertise ser-
vices through written, recorded or electronic com-
munication, including public media.
(b) (1) A copy or recording of an advertisement
or communication shall be kept for three years
after its last dissemination along with a record
of when and where it was used. An electronic
advertisement or communication shall be copied
once every three months on a compact disc or
similar technology and kept for three years after
its last dissemination.
(2) A lawyer shall comply with the mandatory
filing requirement of Practice Book Section 2-28A.
(c) A lawyer shall not give anything of value to
a person for recommending the lawyer’s services,
except that a lawyer may:
RULES OF PROFESSIONAL CONDUCT Rule 7.2
(1) pay the reasonable cost of advertisements
or communications permitted by this Rule;
(2) pay the usual charges of a not-for-profit or
qualified lawyer referral service. A qualified lawyer
referral service is a lawyer referral service that
has been approved by an appropriate regula-
tory authority;
(3) pay for a law practice in accordance with
Rule 1.17.
(d) Any advertisement or communication made
pursuant to this Rule shall include the name of at
least one lawyer admitted in Connecticut respon-
sible for its content. In the case of television adver-
tisements, the name, address and telephone
number of the lawyer admitted in Connecticut
shall be displayed in bold print for fifteen seconds
or the duration of the commercial, whichever is
less, and shall be prominent enough to be
readable.
(e) Advertisements on the electronic media
such as television and radio may contain the same
factual information and illustrations as permitted
in advertisements in the print media.
(f) Every advertisement and written communi-
cation that contains information about the lawyer’s
fee, including those indicating that the charging
of a fee is contingent on outcome, or that no fee
will be charged in the absence of a recovery, or
that the fee will be a percentage of the recovery,
shall disclose whether and to what extent the cli-
ent will be responsible for any court costs and
expenses of litigation. The disclosure concerning
court costs and expenses of litigation shall be in
the same print size and type as the information
regarding the lawyer’s fee and, if broadcast, shall
appear for the same duration as the information
regarding the lawyer’s fee. If the information
regarding the fee is spoken, the disclosure con-
cerning court costs and expenses of litigation shall
also be spoken.
(g) A lawyer who advertises a specific fee or
range of fees for a particular service shall honor
the advertised fee or range of fees for at least
ninety days unless the advertisement specifies a
shorter period; provided that, for advertisements
in the yellow pages of telephone directories or
other media not published more frequently than
annually, the advertised fee or range of fees shall
be honored for no less than one year following
publication.
(h) No lawyers shall directly or indirectly pay all
or part of the cost of an advertisement by a lawyer
not in the same firm unless the advertisement
discloses the name and address of the nonadver-
tising lawyer, and whether the advertising lawyer
may refer any case received through the adver-
tisement to the nonadvertising lawyer.
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(i) The following information in advertisements
and written communications shall be presumed
not to violate the provisions of Rule 7.1:
(1) Subject to the requirements of Rule 7.3, the
name of the lawyer or law firm, a listing of lawyers
associated with the firm, office addresses and
telephone numbers, office and telephone service
hours, fax numbers, website and e-mail
addresses and domain names, and a designation
such as ‘‘attorney’’ or ‘‘law firm.’’
(2) Date of admission to the Connecticut bar
and any other bars and a listing of federal courts
and jurisdictions where the lawyer is licensed to
practice.
(3) Technical and professional licenses granted
by the state or other recognized licensing
authorities.
(4) Foreign language ability.
(5) Fields of law in which the lawyer practices
or is designated, subject to the requirements of
Rule 7.4, or is certified pursuant to Rule 7.4A.
(6) Prepaid or group legal service plans in which
the lawyer participates.
(7) Acceptance of credit cards.
(8) Fee for initial consultation and fee schedule.
(9) A listing of the name and geographic location
of a lawyer or law firm as a sponsor of a public
service announcement or charitable, civic or com-
munity program or event.
(10) Nothing in this Rule prohibits a lawyer or
law firm from permitting the inclusion in the law
directories intended primarily for the use of the
legal profession of such information as has tradi-
tionally been included in these publications.
(j) Notwithstanding the provisions of subsection
(d), a lawyer and service may participate in an
internet based client to lawyer matching service,
provided the service otherwise complies with the
Rules of Professional Conduct. If the service pro-
vides an exclusive referral to a lawyer or law firm
for a particular practice area in a particular geo-
graphical region, then the service must comply
with subsection (d).
(P.B. 1978-1997, Rule 7.2.) (Amended June 26, 2006, to
take effect Jan. 1, 2007; amended June 15, 2012, to take
effect Jan. 1, 2013.)
COMMENTARY: To assist the public in learning about and
obtaining legal services, lawyers should be allowed to make
known their services not only through reputation but also
through organized information campaigns in the form of adver-
tising. Advertising involves an active quest for clients, contrary
to the tradition that a lawyer should not seek clientele. How-
ever, the public’s need to know about legal services can be
fulfilled in part through advertising. This need is particularly
acute in the case of persons of moderate means who have
not made extensive use of legal services. The interest in
expanding public information about legal services ought to
RULES OF PROFESSIONAL CONDUCTRule 7.2
prevail over considerations of tradition. Nevertheless, advertis-
ing by lawyers entails the risk of practices that are misleading
or overreaching.
This Rule permits public dissemination of information con-
cerning a lawyer’s name or firm name, address, e-mail
address, website, and telephone number; the kinds of services
the lawyer will undertake; the basis on which the lawyer’s
fees are determined, including prices for specific services and
payment and credit arrangements; whether and to what extent
the client will be responsible for any court costs and expenses
of litigation; lawyer’s foreign language ability; names of refer-
ences and, with their consent, names of clients regularly repre-
sented; and other information that might invite the attention
of those seeking legal assistance.
Questions of effectiveness and taste in advertising are mat-
ters of speculation and subjective judgment. Some jurisdic-
tions have had extensive prohibitions against television
advertising and other forms of advertising, against advertising
going beyond specified facts about a lawyer, or against ‘‘undig-
nified’’ advertising. Television, the Internet, and other forms
of electronic communication are now among the most powerful
media for getting information to the public, particularly persons
of low and moderate income; prohibiting television, Internet,
and other forms of electronic advertising, therefore, would
impede the flow of information about legal services to many
sectors of the public. Limiting the information that may be
advertised has a similar effect and assumes that the bar can
accurately forecast the kind of information that the public would
regard as relevant.
Neither this Rule nor Rule 7.3 prohibits communications
authorized by law, such as notice to members of a class in
class action litigation.
Record of Advertising. Subsection (b) requires that a
record of the content and use of advertising be kept in order
to facilitate enforcement of this Rule. It does not require that
advertising be subject to review prior to dissemination. Such
a requirement would be burdensome and expensive relative
to its possible benefits, and may be ofdoubtful constitutionality.
Paying Others to Recommend a Lawyer. Except as per-
mitted under subsection (c) (1) through (c) (3), lawyers are
not permitted to pay others for recommending the lawyer’s
services or for channeling professional work in a manner that
violates Rule 7.3. A communication contains a recommenda-
tion if it endorses or vouches for a lawyer’s credentials, abili-
ties, competence, character, or other professional qualities.
Subsection (c) (1), however, allows a lawyer to pay for advertis-
ing and communications permitted by this Rule, including the
costs of print directory listings, on-line directory listings, news-
paper advertisements, television and radio airtime, domain
name registrations, sponsorship fees, advertisements,
Internet-based advertisements, and group advertising. A law-
yer may compensate employees, agents and vendors who are
engaged to provide marketing or client development services,
such as publicists, public relations personnel, business devel-
opment staff and website designers. See also Rule 5.3 (duties
of lawyers and law firms with respect to the conduct of nonlaw-
yers); Rule 8.4 (a) (duty to avoid violating the Rules through
the acts of another).
A lawyer may pay the usual charges of a legal service plan
or a not-for-profit or qualified lawyer referral service. A legal
service plan is a prepaid or group legal service plan or a similar
delivery system that assists people who seek to secure legal
representation. A lawyer referral service, on the other hand,
is any organization that holds itself out to the public as a lawyer
referral service. Such referral services are understood by the
public to be consumer oriented organizations that provide unbi-
ased referrals to lawyers with appropriate experience in the
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subject matter of the representation and afford other client
protections, such as complaint procedures or malpractice
insurance requirements. Consequently, this Rule only permits
a lawyer to pay the usual charges of a not-for-profit or qualified
lawyer referral service. A qualified lawyer referral service is
one that is approved by an appropriate regulatory authority
as affording adequate protections for the public. See, e.g.,
the American Bar Association’s Model Supreme Court Rules
Governing Lawyer Referral Services and Model Lawyer Refer-
ral and Information Service Quality Assurance Act (requiring
that organizations that are identified as lawyer referral ser-
vices: [i] permit the participation of all lawyers who are licensed
and eligible to practice in the jurisdiction and who meet reason-
able objective eligibility requirements as may be established
by the referral service for the protection of the public; [ii] require
each participating lawyer to carry reasonably adequate mal-
practice insurance; [iii] act reasonably to assess client satisfac-
tion and address client complaints; and [iv] do not make
referrals to lawyers who own, operate or are employed by the
referral service).
A lawyer who accepts assignments or referrals from a legal
service plan or referrals from a lawyer referral service must
act reasonably to assure that the activitiesof the plan or service
are compatible with the lawyer’s professional obligations. See
Rule 5.3. Legal service plans and lawyer referral services may
communicate with the public, but such communication must
be in conformity with these Rules. Thus, advertising must not
be false or misleading, as would be the case if the communica-
tions of a group advertising program or a group legal services
plan would mislead the public to think that it was a lawyer
referral service sponsored by a state agency or bar associa-
tion. Nor could the lawyer allow in person, telephonic, or real-
time contacts that would violate Rule 7.3.
Rule 7.3. Solicitation of Clients
(Amended June 13, 2014, to take effect Jan. 1, 2015.)
(a) A lawyer shall not initiate personal, live tele-
phone, or real-time electronic contact, including
telemarketing contact, for the purpose of obtaining
professional employment, except in the follow-
ing circumstances:
(1) If the target of the solicitation is a close
friend, relative, former client or one whom the
lawyer reasonably believes to be a client;
(2) Under the auspices of a public or charitable
legal services organization;
(3) Under the auspices of a bona fide political,
social, civic, fraternal, employee or trade organi-
zation whose purposes include but are not limited
to providing or recommending legal services, if
the legal services are related to the principal pur-
poses of the organization;
(4) If the target of the solicitation is a business
organization, a not-for-profit organization or gov-
ernmental body and the lawyer seeks to provide
services related to the organization.
(b) A lawyer shall not contact or send a written
or electronic communication to any person for the
purpose of obtaining professional employment if:
(1) The lawyer knows or reasonably should
know that the physical, emotional or mental state
of the person makes it unlikely that the person
RULES OF PROFESSIONAL CONDUCT Rule 7.3
would exercise reasonable judgment in employing
a lawyer;
(2) It has been made known to the lawyer that
the person does not want to receive such commu-
nications from the lawyer;
(3) The communication involves coercion,
duress, fraud, overreaching, harassment, intimi-
dation or undue influence;
(4) The written communication concerns a spe-
cific matter and the lawyer knows or reasonably
should know that the person to whom the commu-
nication is directed is represented by a lawyer in
the matter; or
(5) The written or electronic communication
concerns an action for personal injury or wrongful
death or otherwise relates to an accident or disas-
ter involving the person to whom the communica-
tion is addressed or a relative of that person,
unless the accident or disaster occurred more
than forty days prior to the mailing of the communi-
cation.
(c) Every written communication, as well as any
communication by audio or video recording, or
other electronic means, used by a lawyer for the
purpose of obtaining professional employment
from anyone known to be in need of legal services
in a particular matter, must be clearly and promi-
nently labeled ‘‘Advertising Material’’ in red ink on
the first page of any written communication and
the lower left corner of the outside envelope or
container, if any, and at the beginning and ending
of any communication by audio or video recording
or other electronic means. If the written communi-
cation is in the form of a self-mailing brochure or
pamphlet, the label ‘‘Advertising Material’’ in red
ink shall appear on the address panel of the bro-
chure or pamphlet. Brochures solicited by clients
or any other person need not contain such mark.
No reference shall be made in the communication
to the communication having any kind of approval
from the Connecticut bar. Such written communi-
cations shall be sent only by regular United States
mail, not by registered mail or other forms of
restricted delivery.
(d) The first sentence of any written communi-
cation concerning a specific matter shall be: ‘‘If
you have already retained a lawyer for this matter,
please disregard this letter.’’
(e) A written communication seeking employ-
ment in a specific matter shall not reveal on the
envelope, or on the outside of a self-mailing bro-
chure or pamphlet, the nature of the legal matter.
(f) If a contract for representation is mailed with
the communication, the top of each page of the
contract shall be marked ‘‘Sample’’ in bold letters
in red ink in a type size one size larger than the
largest type used in the contract and the words
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‘‘Do Not Sign’’ in bold letters shall appear on the
client signature line.
(g) Written communications shall be on letter-
sized paper rather than legal-sized paper and
shall not be made to resemble legal pleadings or
other legal documents. This provision does not
preclude the mailing of brochures and pamphlets.
(h) If a lawyer other than the lawyer whose
name or signature appears on the communication
will actually handle the case or matter, or if the
case or matter will be referred to another lawyer
or law firm, any written communication concerning
a specific matter shall include a statement so
advising the target of the solicitation.
(i) Notwithstanding the prohibitions in subsec-
tion (a), a lawyer may participate with a prepaid
or group legal service plan operated by an organi-
zation not owned or directed by the lawyer which
uses in-person or telephone contact to solicit
memberships or subscriptions for the plan from
persons who are not known to need legal services
in a particular matter covered by the plan.
(P.B. 1978-1997, Rule 7.3.) (Amended June 26, 2006, to
take effect Jan. 1, 2007; amended June 13, 2014, to take
effect Jan. 1, 2015.)
COMMENTARY: A solicitation is a targeted communication
initiated by the lawyer that is directed to a specific person and
that offers to provide, or can reasonably be understood as
offering to provide, legal services. In contrast, a lawyer’s com-
munication typically does not constitute a solicitation if it is
directed to the general public, such as through a billboard,
an Internet banner advertisement, a website or a television
commercial, or if it is in response to a request for information
or is automatically generated in response to Internet searches.
Unrestricted solicitation involves definite social harms.
Among these are harassment, overreaching, provocation of
nuisance litigation and schemes for systematic fabrication of
claims, all of which were experienced prior to adoption of
restrictions on solicitation. Measures reasonably designed to
suppress these harms are constitutionally legitimate. At the
same time, measures going beyond realization of such objec-
tives would appear to be invalid under relevant decisions of
the United States Supreme Court.
The potential for abuse inherent in direct in-person, live
telephone or real-time electronic solicitation justifies their pro-
hibition, particularly since lawyers have alternative means of
conveying necessary information to those who may be in need
of legal services. In particular, communications can be mailed
or transmitted by e-mail or other electronic means that do
not involve real-time contact and do not violate other laws
governing solicitations. These forms of communications and
solicitations make it possible for the public to be informed
about the need for legal services, and about the qualifications
of available lawyers and law firms, without subjectingthe public
to direct in-person, telephone or real-time electronic persua-
sion that may overwhelm a person’s judgment.
The use of general advertising and written, recorded and
electronic communications to transmit information from lawyer
to the public, rather than direct in-person, live telephone, or
real-time electronic contact, will help to ensure that the infor-
mation flows cleanly as well as freely. The contents of adver-
tisements and communications permitted under Rule 7.2 can
be permanently recorded so that they cannot be disputed and
RULES OF PROFESSIONAL CONDUCTRule 7.3
may be shared with others who know the lawyer. This potential
for informal review is itself likely to help guard against state-
ments and claims that might constitute false and misleading
communications, in violation of Rule 7.1. The contents of direct
in-person, live telephone, or real-time electronic contact can
be disputed and are not subject to a third-party scrutiny. Con-
sequently, they are much more likely to approach (and occa-
sionally cross) the dividing line between accurate
representations and those that are false and misleading.
There is far less likelihood that a lawyer would engage in
abusive practices against a former client, or a person with
whom the lawyer has a close personal or family relationship, or
in situations in which the lawyer is motivated by considerations
other than the lawyer’s pecuniary gain. Nor is there a serious
potential for abuse when the person contacted is a lawyer.
Consequently, the general prohibition in Rule 7.3 (a) and the
requirements of Rule 7.3 (c) are not applicable in those situa-
tions. Also, nothing in this Commentary is intended to prohibit
a lawyer from participating in constitutionally protected activi-
ties of public or charitable legal service organizations or bona
fide political, social, civic, fraternal, employee or trade organi-
zations whose purposes include providing or recommending
legal services to their members or beneficiaries.
In determining whether a contact is permissible under Rule
7.3 (b), it is relevant to consider the time and circumstances
under which the contact is initiated. For example, a person
undergoing active medical treatment for traumatic injury is
unlikely to be in an emotional state in which reasonable judg-
ment about employing a lawyer can be exercised. Moreover,
if after sending a letter or other communication to a member
of the public as permitted by Rule 7.2 the lawyer receives no
response, any further effort to communicate with the person
may violate the provisions of Rule 7.3 (b).
The requirement in Rule 7.3 (c) that certain communications
be marked ‘‘Advertising Material’’ does not apply to communi-
cations sent in response to requests of potential clients or
their spokespersons or sponsors. General announcements by
lawyers, including changes in personnel or office location, do
not constitute communications soliciting professional employ-
ment from any person known to be in need of legal services
within the meaning of this Rule.
This Rule is not intended to prohibit a lawyer from contacting
representatives of organizations or groups that may be inter-
ested in establishing a group or prepaid legal plan for their
members, insureds, beneficiaries or other third parties for the
purpose of informing such entities of the availability of and
details concerning the plan or arrangement which the lawyer
or lawyer’s firm is willing to offer. This form of communication
is not directed to people who are seeking legal services for
themselves. Rather, it is usually addressed to an individual
acting in a fiduciary capacity seeking a supplier of legal ser-
vices for others who may, if they choose, become prospective
clients of the lawyer. Under these circumstances, the activity
which the lawyer undertakes in communicating with such rep-
resentatives and the type of information transmitted to the
individual are functionally similar to and serve the same pur-
pose as advertising permitted under Rule 7.2. Subsection (i)
of this Rule would permit an attorney to participate with an
organization which uses personal contact to solicit members
for its group or prepaid legal service plan, provided that the
personal contact is not undertaken by any lawyer who would
be a provider of legal services through the plan.
Subsection (i) of this Rule permits a lawyer to participate
with an organization that uses personal contact to solicit mem-
bers for its group or prepaid legal service plan, provided that
the personal contact is not undertaken by any lawyer who
would be a provider of legal services through the plan. The
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organization must not be owned by or directed (whether as
manager or otherwise) by any lawyer or law firm that partici-
pates in the plan. For example, subsection (i) would not permit
a lawyer to create an organization controlled directly or indi-
rectly by the lawyer and use the organization for the in-person
or telephone solicitation of legal employment of the lawyer
through memberships in the plan or otherwise. The communi-
cation permitted by these organizations also must not be
directed to a person known to need legal services in a particular
matter, but is to be designed to inform potential plan members
generally of another means of affordable legal services. Law-
yers who participate in a legal service plan must reasonably
ensure that the plan sponsors are in compliance with Rules
7.1, 7.2 and 7.3 (b). See Rule 8.4 (a).
Rule 7.4. Communication of Fields of
Practice
(a) A lawyer may communicate the fact that the
lawyer does or does not practice in particular fields
of law.
(b) A lawyer admitted to engage in patent prac-
tice before the United States Patent and Trade-
mark Office may use the designation ‘‘Patent
Attorney’’ or a substantially similar designation.
(c) A lawyer engaged in admiralty practice may
use the designation ‘‘Admiralty,’’ ‘‘Proctor in Admi-
ralty’’ or a substantially similar designation.
(d) A lawyer shall not state or imply that the
lawyer is a specialist in a particular field of law
except as provided herein and in Rule 7.4A.
(P.B. 1978-1997, Rule 7.4.) (Amended June 30, 2008, to
take effect Jan. 1, 2009.)
COMMENTARY: This Rule permits a lawyer to indicate
fields of practice in communications about the lawyer’s ser-
vices. If a lawyer practices only in certain fields, or will not
accept matters except in such fields, the lawyer is permitted
so to indicate. A lawyer may indicate that the lawyer ‘‘concen-
trates in,’’ ‘‘focuses on,’’ or that the practice is ‘‘limited to’’
particular fields of practice as long as the statements are not
false or misleading in violation of Rule 7.1. However,the lawyer
may not use the terms ‘‘specialist,’’ ‘‘certified,’’ ‘‘board-certi-
fied,’’ ‘‘expert’’ or any similar variation, unless the lawyer has
been certified in accordance with Rule 7.4A.
Recognition of specialization in patent matters is a matter
of long-established policy of the Patent and Trademark Office.
Designation of admiralty practice has a long historical tradition
associated with maritime commerce and the federal courts.
Rule 7.4A. Certification as Specialist
(a) Except as provided in Rule 7.4, a lawyer
shall not state or imply that he or she is a specialist
in a field of law unless the lawyer is currently
certified as a specialist in that field of law by a
board or other entity which is approved by the
Rules Committee of the superior court of this
state. Among the criteria to be considered by the
Rules Committee in determining upon application
whether to approve a board or entity as an agency
which may certify lawyers practicing in this state
as being specialists, shall be the requirement that
the board or entity certify specialists on the basis
of published standards and procedures which (1)
RULES OF PROFESSIONAL CONDUCT Rule 7.4A
do not discriminate against any lawyer properly
qualified for such certification, (2) provide a rea-
sonable basis for the representation that lawyers
so certified possess special competence, and (3)
require redetermination of the special qualifica-
tions of certified specialists after a period of not
more than five years.
(b) Upon certifying a lawyer practicing in this
state as being a specialist, the board or entity
that certified the lawyer shall notify the statewide
grievance committee of the name and juris num-
ber of the lawyer, the specialty field in which the
lawyer was certified, the date of such certification
and the date such certification expires.
(c) A lawyer shall not state that he or she is a
certified specialist if the lawyer’s certification has
terminated, or if the statement is otherwise con-
trary to the terms of such certification.
(d) Certification as a specialist may not be attrib-
uted to a law firm.
(e) Lawyers may be certified as specialists in
the following fields of law:
(1) Administrative law: The practice of law deal-
ing with states, their political subdivisions,
regional and metropolitan authorities and other
public entities including, but not limited to, their
rights and duties, financing, public housing and
urban development, the rights of public employ-
ees, election law, school law, sovereign immunity,
and constitutional law; practice before federal and
state courts and governmental agencies.
(2) Admiralty: The practice of law dealing with
all matters arising under the Carriage of Goods
by Sea Act (COGSA), Harter Act, Jones Act, and
federal and state maritime law including, but not
limited to, the carriage of goods, collision and
other maritime torts, general average, salvage,
limitation of liability, ship financing, ship subsidies,
the rights of injured sailors and longshoremen;
practice before federal and state courts and gov-
ernmental agencies (including the Federal Mari-
time Commission).
(3) Antitrust: The practice of law dealing with
all matters arising under the Sherman Act, Clayton
Act, Federal Trade Commission Act, Hart-Scott-
Rodino Antitrust Improvements Act and state anti-
trust statutes including, but not limited to,
restraints of trade, unfair competition, monopoli-
zation, price discrimination, restrictive practices;
practice before federal and state courts and gov-
ernmental agencies.
(4) Appellate practice: The practice of law deal-
ing with all procedural and substantive aspects of
civil and criminal matters before federal and state
appeals courts including, but not limited to, argu-
ments and the submission of briefs.
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(5) Business Bankruptcy: The practice of law
dealing with all aspects of the United States Bank-
ruptcy Code when the debtor was engaged in
business before the institution of a Chapter 7, 9,
or 11 proceeding. This includes, but is not limited
to, business liquidations, business reorganiza-
tions, and related adversary and contested pro-
ceedings.
(6) Child Welfare Law: The practice of law rep-
resenting children, parents or the government in
all child protection proceedings including emer-
gency, temporary custody, adjudication, disposi-
tion, foster care, permanency planning,
termination, guardianship, and adoption. Child
Welfare Law does not include representation in
private child custody and adoption disputes where
the state is not a party.
(7) Consumer Bankruptcy: The practice of law
dealing with all aspects of the United States Bank-
ruptcy Code when the debtor was not engaged
in business before the institution of a Chapter 7,
12, or 13 proceeding. This includes, but is not
limited to, liquidations, wage earner plans, family
farmers and related adversary and contested pro-
ceedings.
(8) Civil rights and discrimination: The practice
of law dealing with all matters arising under federal
and state law relating to proper treatment in the
areas of, among others, public accommodations,
voting, employment, housing, administration of
welfare and social security benefits; practice
before federal and state courts and governmen-
tal agencies.
(9) Civil trial practice: The practice of law deal-
ing with representation of parties before federal
or state courts in all noncriminal matters.
(10) Commercial transactions: The practice of
law dealing with all aspects of commercial paper,
contracts, sales and financing, including, but not
limited to, secured transactions.
(11) Consumer claims and protection: The prac-
tice of law dealing with all aspects of consumer
transactions including, but not limited to, sales
practices, credit transactions, secured transac-
tions and warranties; all matters arising under the
Equal Credit Opportunity Act, the Fair Credit
Reporting Act, the Magnuson-Moss Act, the Truth
in Lending Act, state statutes such as the ‘‘Little
FTC’’ acts, and other analogous federal and
state statutes.
(12) Corporate and business organizations:
The practice of law dealing with all aspects of the
formation, operation and dissolution of corpora-
tions, partnerships (general and limited), agency
and other forms of business organizations.
(13) Corporate finance and securities: The
practice of law dealing with all matters arising
RULES OF PROFESSIONAL CONDUCTRule 7.4A
under the Securities Act of 1933, Securities
Exchange Act of 1934, Investment Advisors Act
(or the Federal Securities Code, if adopted) and
other federal and state securities statutes; financ-
ing corporate activities; mergers and acquisitions;
practice before the Securities and Exchange
Commission and state securities commissions.
(14) Criminal: The practice of law dealing with
the prosecution or representation of persons
accused of crimes at all stages of criminal pro-
ceedings in federal or state courts including, but
not limited to, the protection of the accused’s con-
stitutional rights.
(15) Elder law: The practice of law involving the
counseling and representation of older persons
and their representatives relative to the legal
aspects of health and long term care planning
and financing; public benefits; alternative living
arrangements and attendant residents’ rights
under state and federal law; special needs coun-
seling; surrogate decision making; decision mak-
ing capacity; conservatorships; conservation,
disposition, and administration of the estates of
older persons and the implementation of deci-
sions of older persons and their representatives
relative to the foregoing with due consideration
to the applicable tax consequences of an action,
involving, when appropriate, consultation and col-
laboration with professionals in related disci-
plines. Lawyers certified in elder law must be
capable of recognizing issues that arise during
counseling and representation of older persons or
their representatives with respect to the following:
Abuse, neglect or exploitation of older persons;
estate, trust, and tax planning; other probate mat-
ters. Elder law specialists must be capable of rec-
ognizing the professional conduct and ethical
issues that arise during representation.
(16) Environmental: The practice of law dealing
with all aspects of the regulation of environmental
quality by both federal and state governments;
control of air pollution, water pollution, noise pollu-
tion, toxic substances, pesticides, and civilian
uses of nuclear energy; solid waste/resource
recovery; all matters arising under the National
Environmental Policy Act, Clean Air Act, Federal
Water Pollution Control Act, Noise Control Act,
Solid Waste Disposal Act, Toxic Substance Con-
trol Act and other federal and state environmental
statutes; practice before federal and state courts
and governmental agencies.
(17) Estate planning and probate: The practice
of law dealing with all aspects of the analysis and
planning for the conservation and disposition of
estates, giving due consideration to the applicable
tax consequences, both federal and state; the
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preparation of legal instruments in order to effec-
tuate estate plans; administering estates, includ-
ing tax related matters, both federal and state.
(18) Family and matrimonial: The practice of
law dealing with all aspects of antenuptial and
domestic relationships, separation and divorce,
alimony and child support, distribution of assets,
child custody matters and adoption, giving due
consideration to the tax consequences, and court
proceedings relating thereto.
(19) Government contracts and claims: The
practice of law dealing with all aspects of the
negotiation and administration of contracts with
federal and state governmental agencies.
(20) Immigration and naturalization: The prac-
tice of law dealing with obtaining and retaining
permission to enter and remain in the United
States including, but not limited to, such matters
as visas, change of status, deportation and natu-
ralization; representation of aliens before courts
and governmental agencies; protection of aliens’
constitutional rights.
(21) International: The practice of law dealing
with all aspects of the relations among states,
international business transactions, international
taxation, customs and trade law and foreign and
comparative law.
(22) Labor: The practice of law dealing with
all aspects of employment relations (public and
private) including, but not limited to, unfair labor
practices, collective bargaining, contract adminis-
tration, the rights of individual employees and
union members, employment discrimination; all
matters arising under the National Labor Rela-
tions Act (Wagner Act), Labor Management Rela-
tions Act (Taft-Hartley Act), Labor Management
Reporting and Disclosure Act (Landrum-Griffin
Act), Fair Labor Standards Act, Title VII of The
Civil Rights Act of 1964, Occupational Safety and
Health Act (OSHA), Employee Retirement Income
Security Act (ERISA), other federal statutes and
analogous state statutes; practice before the
National Labor Relations Board, analogous state
boards, federal and state courts, and arbitrators.
(23) Military: The practice of law dealing with
the presentation of parties before courts-martial
and other military tribunals in disputes arising
under the uniform code of military justice; the rep-
resentation of veterans and their dependents in
seeking government benefits due to them on
account of military service; handling civil law prob-
lems of the military.
(24) Natural Resources: The practice of law
dealing with all aspects of the regulation of natural
resources such as coal, oil, gas, minerals, water
and public lands; the rights and responsibilities
RULES OF PROFESSIONAL CONDUCT Rule 7.4C
relating to the ownership and exploitation of such
natural resources.
(25) Patent, trademark and copyright: The prac-
tice of law dealing with all aspects of the registra-
tion, protection and licensing of patents,
trademarks or copyrights; practice before federal
and state courts in actions for infringement and
other actions; the prosecution of applications
before the United States Patent and Trademark
Office; counseling with regard to the law of unfair
competition as it relates to patents, trademarks
and copyrights.
(26) (A) Residential Real Estate: The practice
of law dealing with all aspects of real property
transactions involving single one-to-four family
residential dwellings when the client uses such
dwelling or expresses in writing the intent to use
such dwelling as the client’s primary or other resi-
dence including, but not limited to, real estate
conveyances, title searches and property trans-
fers, leases, condominiums, cooperatives, and
other common interest communities, planned unit
developments, mortgages, condemnation and
eminent domain, zoning and land use planning,
property taxes, and determination of property
rights.
(B) Commercial Real Estate: The practice of
law dealing with all aspects of real property trans-
actions except for residential real estate as
defined in subparagraph (A) of this subdivision,
including, but not limited to, real estate convey-
ances, title searches and property transfers,
leases, condominiums, cooperatives and other
common interest communities, planned unit
developments, mortgages, condemnation and
eminent domain, zoning and land use planning,
property taxes, real estate development and
financing (with due consideration to tax and secu-
rities consequences) and determination of prop-
erty rights.
(27) Taxation: The practice of law dealing with
all matters arising under the Internal Revenue
Code, Employee Retirement Income Security Act
(ERISA), state and local tax laws and foreign tax
laws, including counseling with respect thereto;
practice before federal and state courts and gov-
ernmental agencies.
(28) Workers’ Compensation: The practice of
law dealing with the representation of parties
before federal and state agencies, boards and
courts in actions to determine eligibility for work-
ers’ compensation, and disability.
(P.B. 1978-1997, Rule 7.4A.) (Amended June 20, 2005, to
take effect Jan. 1, 2006; amended June 29, 2007, to take
effect Jan. 1, 2008; amended June 30, 2008, to take effect,
Jan. 1, 2009; amended June 13, 2014, to take effect Jan.
1, 2015.)
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Rule 7.4B. Legal Specialization Screening
Committee
(a) The chief justice, upon recommendation of
the Rules Committee of the superior court, shall
appoint a committee of five members of the bar
of this state which shall be known as the ‘‘Legal
Specialization Screening Committee.’’ The Rules
Committee of the superior court shall designate
one appointee as chair of the Legal Specialization
Screening Committee and another as vice chair
to act in the absence or disability of the chair.
(b) When the committee is first selected, two
of its members shall be appointed for a term of
one year, two members for a term of two years,
and one member for a term of three years, and
thereafter all regular terms shall be three years.
Terms shall commence on July 1. In the event
that a vacancy arises in this position before the
end of a term, the Chief Justice, upon recommen-
dation of the Rules Committee of the superior
court, shall appoint a member of the bar of this
state to fill the vacancy for the balance of the term.
The Legal Specialization Screening Committee
shall act only with a concurrence of a majority of its
members, provided, however, that three members
shall constitute a quorum.
(c) The Legal Specialization Screening Com-
mittee shall have the power and duty to:
(1) Receive applications from boards or other
entities for authority to certify lawyers practicing
in this state as being specialists in a certain area
or areas of law.
(2) Investigate each applicant to determine
whether it meets the criteria set forth in Rule
7.4A (a).
(3) Submit to the Rules Committee of the supe-
rior court a written recommendation, with reasons
therefor, for approval or disapproval of each appli-
cation, or for the termination of any prior approval
granted by the Rules Committee.
(4) Adopt regulations and develop forms neces-
sary to carry out its duties under this section. The
regulations and forms shall not become effective
until first approved by the Rules Committee of the
superior court.
(5) Consult with such persons deemed by the
committee to be knowledgeable in the fields of
law to assist it in carrying out its duties.
(P.B. 1978-1997, Rule 7.4B.)
Rule 7.4C. Application by Board or Entity to
Certify Lawyers as Specialists
Any board or entity seeking the approval of the
Rules Committee of the superior court for author-
ity to certify lawyers practicing in this state as
being specialists in a certain field or fields of law
as set forth in Rule 7.4A (e), shall file an original
RULES OF PROFESSIONAL CONDUCTRule 7.4C
and six copies of its application with the Legal
Specialization Screening Committee pursuant to
Rule 7.4B on form JD-ES-63. The application
materials shall be filed in a format prescribed by
the Legal Specialization Screening Committee,
which may require them to be filed electronically.
(P.B. 1978-1997, Rule 7.4.) (Amended June 30, 2008, to
take effect Jan. 1, 2009; amended June 12, 2015, to take
effect Jan. 1, 2016.)
Rule 7.5. Firm Names and Letterheads
(a) A lawyer shall not use a firm name, letter-
head or other professional designation that vio-
lates Rule 7.1. A trade name may be used by a
lawyer in private practice if it does not imply a
connection with a government agency or with a
public or charitable legal services organization
and is not otherwise in violation of Rule 7.1.
(b) A law firm with offices in more than one
jurisdiction may use the same name in each juris-
diction, but identification of the lawyers in an office
of the firm shall indicate the jurisdictional limita-
tions on those not licensed to practice in the juris-
diction where the office is located.
(c) The name of a lawyer holding a public office
shall not be used in the name of a law firm, or in
communications on its behalf, during any substan-
tial period in which the lawyer is not actively and
regularly practicing with the firm.
(d) Lawyers may state or imply that they prac-
tice in a partnership or other organization only
when that is the fact.
(P.B. 1978-1997, Rule 7.5.)
COMMENTARY: A firm may be designated by the names
of all or some of its members, by the names of deceased
members where there has been a continuing succession in
the firm’s identity or by a trade name such as the ‘‘ABC Legal
Clinic.’’ Although the United States Supreme Court has held
that legislation may prohibit the use of trade names in profes-
sional practice, use of such names in law practiceis acceptable
so long as it is not misleading. If a private firm uses a trade
name that includes a geographical name such as ‘‘Springfield
Legal Clinic,’’ an express disclaimer that it is a public legal
aid agency may be required to avoid a misleading implication.
It may be observed that any firm name including the name of
a deceased partner is, strictly speaking, a trade name. The
use of such names to designate law firms has proven a useful
means of identification. However, it is misleading to use the
name of a lawyer not associated with the firm or a predecessor
of the firm.
With regard to subsection (d), lawyers sharing office facili-
ties, but who are not in fact partners, may not denominate
themselves as, for example, ‘‘Smith and Jones,’’ for that title
suggests partnership in the practice of law.
MAINTAINING THE INTEGRITY OF
THE PROFESSION
Rule 8.1. Bar Admission and Disciplinary
Matters
An applicant for admission to the bar, or a law-
yer in connection with a bar admission application
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or in connection with a disciplinary matter, shall
not:
(1) Knowingly make a false statement of mate-
rial fact; or
(2) Fail to disclose a fact necessary to correct
a misapprehension known by the person to have
arisen in the matter, or knowingly fail to respond
to a lawful demand for information from an admis-
sions or disciplinary authority, except that this rule
does not require disclosure of information other-
wise protected by Rule 1.6.
(P.B. 1978-1997, Rule 8.1.)
COMMENTARY: The duty imposed by this Rule extends
to persons seeking admission to the bar as well as to lawyers.
Hence, if a person makes a material false statement in connec-
tion with an application for admission, it may be the basis for
subsequent disciplinary action if the person is admitted, and
in any event may be relevant in a subsequent admission appli-
cation. The duty imposed by this Rule applies to a lawyer’s
own admission or discipline as well as that of others. Thus, it
is a separate professional offense for a lawyer to knowingly
make a misrepresentation or omission in connection with a
disciplinary investigation of the lawyer’s own conduct. Subdivi-
sion (2) of this Rule also requires correction of any prior mis-
statement in the matter that the applicant or lawyer may have
made and affirmative clarification of any misunderstanding on
the part of the admissions or disciplinary authority of which
the person involved becomes aware.
This Rule is subject to the provisions of the fifth amendment
to the United States Constitution and corresponding provisions
of state constitutions. A person relying on such a provision in
response to a question, however, should do so openly and
not use the right of nondisclosure as a justification for failure
to comply with this Rule.
A lawyer representing an applicant for admission to the
bar, or representing a lawyer who is the subject of a disciplinary
inquiry or proceeding, is governed by the rules applicable to
the client-lawyer relationship, including Rule 1.6 and, in some
cases, Rule 3.3.
Rule 8.2. Judicial and Legal Officials
(a) A lawyer shall not make a statement that
the lawyer knows to be false or with reckless disre-
gard as to its truth or falsity concerning the qualifi-
cations or integrity of a judge, adjudicatory officer
or public legal officer, or of a candidate for election
or appointment to judicial or legal office.
(b) A lawyer who is a candidate for judicial office
shall comply with the applicable provisions of the
Code of Judicial Conduct.
(P.B. 1978-1997, Rule 8.2.)
COMMENTARY: Assessments by lawyers are relied on in
evaluating the professional or personal fitness of persons
being considered for election or appointment to judicial office
and to public legal offices, such as attorney general, prosecut-
ing attorney and public defender. Expressing honest and can-
did opinions on such matters contributes to improving the
administration of justice. Conversely, false statements by a
lawyer can unfairly undermine public confidence in the admin-
istration of justice.
When a lawyer seeks judicial office, the lawyer should be
bound by applicable limitations on political activity.
RULES OF PROFESSIONAL CONDUCT Rule 8.4
To maintain the fair and independent administration of jus-
tice, lawyers are encouraged to continue traditional efforts to
defend judges and courts unjustly criticized.
Rule 8.3. Reporting Professional Mis-
conduct
(a) A lawyer who knows that another lawyer has
committed a violation of the Rules of Professional
Conduct that raises a substantial question as to
that lawyer’s honesty, trustworthiness or fitness
as a lawyer in other respects, shall inform the
appropriate professional authority. A lawyer may
not condition settlement of a civil dispute involving
allegations of improprieties on the part of a lawyer
on an agreement that the subject misconduct not
be reported to the appropriate disciplinary
authority.
(b) A lawyer who knows that a judge has com-
mitted a violation of applicable rules of judicial
conduct that raises a substantial question as to
the judge’s fitness for office shall inform the appro-
priate authority.
(c) This Rule does not require disclosure of
information otherwise protected by Rule 1.6 or
General Statutes § 51-81d (f) or obtained while
serving as a member of a bar association ethics
committee or the Judicial Branch Committee on
Judicial Ethics.
(P.B. 1978-1997, Rule 8.3.) (Amended June 26, 2006, to
take effect Jan. 1, 2007; amended June 30, 2008, to take
effect Aug. 1, 2008.)
COMMENTARY: Self-regulation of the legal profession
requires that members of the profession initiate a disciplinary
investigation when they know of a violation of the Rules of
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
investigation can uncover. Reporting a violation is especially
important where the victim is unlikely to discover the offense.
A report about misconduct is not required where it would
involve violation of Rule 1.6. However, a lawyer should encour-
age a client to consent to disclosure where prosecution would
not substantially prejudice the client’s interests.
If a lawyer were obliged to report every violation of the
Rules, the failure to report any violation would itself be a
professional offense. Such a requirement existed in many
jurisdictions but proved to be unenforceable. This Rule limits
the reporting obligation to those offenses that a self-regulating
profession must vigorously endeavor to prevent. A measure
of judgment is, therefore, required in complying with the provi-
sions of this Rule. The term ‘‘substantial’’ refers to the seri-
ousness of the possible offense and not the quantum of
evidence of which the lawyer is aware. A report should be
made to the bar disciplinary agency unless someother agency,
such as a peer review agency, is more appropriate in the
circumstances. Similar considerations apply to the reporting
of judicial misconduct.
The duty to report professional misconduct does not apply
to a lawyer retained to represent a lawyer whose professional
conduct is in question. Such a situation is governed by the
Rules applicable to the client-lawyer relationship.
Information about a lawyer’s or judge’s misconduct or fit-
ness may be received by a lawyer in the course of that lawyer’s
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participation in an approved lawyers or judges assistance pro-
gram. In that circumstance, providing for an exception to the
reporting requirements of subsections (a) and (b) of this Rule
encourages lawyers and judges to seek treatment through
such a program. Conversely, without such an exception, law-
yers and judges may hesitate to seek assistance from these
programs, which may then result in additional harm to their
professional careers and additional injury to the welfare of
clients and the public.
Rule 8.4. Misconduct
It is professional misconduct for a lawyer to:
(1) Violate or attempt to violate the Rules of
Professional Conduct, knowingly assist or induce
another to do so, or do so through the acts of
another;
(2) Commit a criminal act that reflects adversely
on the lawyer’s honesty, trustworthiness or fitness
as a lawyer in other respects;
(3) Engage in conduct involving dishonesty,
fraud, deceit or misrepresentation;
(4) Engage in conduct that is prejudicial to the
administration of justice;
(5) State or imply an ability to influence improp-
erly a government agency or official or to achieve
results by means that violate the Rules of Profes-
sional Conduct or other law; or
(6) Knowingly assist a judge or judicial officer
in conduct that is a violation of applicable rules
of judicial conduct or other law.
(P.B. 1978-1997, Rule 8.4.) (Amended June 26, 2006, to
take effect Jan. 1, 2007.)
COMMENTARY: Lawyers are subject to discipline when
they violate or attempt to violate the Rules of Professional
Conduct, knowingly assist or induce another to do so or do
so through the acts of another, as when they request or instruct
an agent to do so on the lawyer’s behalf. Subdivision (1),
however, does not prohibit a lawyer from advising a client
concerning action the client is legally entitled to take.
Many kinds of illegal conduct reflect adversely on fitness
to practice law, such as offenses involving fraud and the
offense of wilful failure to file an income tax return. However,
some kinds of offenses carry no such implication. Traditionally,
the distinction was drawn in terms of offenses involving ‘‘moral
turpitude.’’ That concept can be construed to include offenses
concerning some matters of personal morality, such as adul-
tery and comparable offenses, which have no specific connec-
tion to fitness for the practice of law. Although a lawyer is
personally answerable to the entire criminal law, a lawyer
should be professionally answerable only for offenses that
indicate lack of those characteristics relevant to law practice.
Offenses involving violence, dishonesty, breach of trust, or
serious interference with the administration of justice are in
that category. A pattern of repeated offenses, even ones of
minor significance when considered separately, can indicate
indifference to legal obligation. Counseling or assisting a client
with regard to conduct expressly permitted under Connecticut
law is not conduct that reflects adversely on a lawyer’s fitness
notwithstanding any conflict with federal or other law. Nothing
in this commentary shall be construed to provide a defense
to a presentment filed pursuant to Practice Book Section 2-41.
A lawyer who, in the course of representing a client, know-
ingly manifests by words or conduct, bias or prejudice based
RULES OF PROFESSIONAL CONDUCTRule 8.4
upon race, sex, religion, national origin, disability, age, sexual
orientation or socioeconomic status, violates subdivision (4)
when such actions are prejudicial to the administration of jus-
tice. Legitimate advocacy respecting the foregoing factors
does not violate subdivision (4).
A lawyer may refuse to comply with an obligation imposed
by law upon a good faith belief that no valid obligation exists.
The provisions of Rule 1.2 (d) concerning a good faith chal-
lenge to the validity, scope, meaning or application of the law
apply to challenges of legal regulation of the practice of law.
Lawyers holding public office assume legal responsibilities
going beyond those of other citizens. A lawyer’s abuse of
public office can suggest an inability to fulfill the professional
role of a lawyer. The same is true of abuse of positions of
private trust, such as trustee, executor, administrator, guard-
ian, agent and officer, director or manager of a corporation or
other organization.
Rule 8.5. Disciplinary Authority; Choice of
Law
(Amended June 26, 2006, to take effect Jan. 1, 2007.)
(a) Disciplinary Authority. A lawyer admitted to
practice in this jurisdiction is subject to the disci-
plinary authority of this jurisdiction, regardless of
where the lawyer’s conduct occurs. A lawyer not
admitted in this jurisdiction is also subject to the
disciplinary authority of this jurisdiction if the law-
yer provides or offers to provide any legal services
in this jurisdiction. A lawyer may be subject to the
disciplinary authority of both this jurisdiction and
another jurisdiction for the same conduct.
(b) Choice of Law. In any exercise of the disci-
plinary authority of this jurisdiction, the rules of
professional conduct to be applied shall be as
follows:
(1) For conduct in connection with a matter
pending before a tribunal, the rules of the jurisdic-
tion in which the tribunal sits, unless the rules of
the tribunal provide otherwise; and
(2) For any other conduct, the rules of the juris-
diction in which the lawyer’s conduct occurred, or,
if the predominant effect of the conduct is in a
different jurisdiction, the rules of that jurisdiction
shall be applied to the conduct. A lawyer shall not
be subject to discipline if the lawyer’s conduct
conforms to the rules of a jurisdiction in which
the lawyer reasonably believes the predominant
effect of the lawyer’s conduct will occur.
(P.B. 1978-1997, Rule 8.5.) (Amended June 26, 2006, to
take effect Jan. 1, 2007.)
COMMENTARY: Disciplinary Authority. It is longstanding
law that the conduct of a lawyer admitted to practice in this
jurisdiction is subject to the disciplinary authority ofthis jurisdic-
tion. Extension of the disciplinary authority of this jurisdiction
to other lawyers who provide or offer to provide legal services
in this jurisdiction is for the protection of the citizens of this
jurisdiction. Reciprocal enforcement of a jurisdiction’s disciplin-
ary findings and sanctions will further advance the purposes
of this Rule. See Rules 6 and 22, ABA Model Rules for Lawyer
Disciplinary Enforcement. A lawyer who is admitted pursuant
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to Practice Book Sections 2-16 or 2-17 et seq. is subject to
the disciplinary authority of this jurisdiction under Rule 8.5 (a)
and appoints an official to bedesignated by this court to receive
service of process in this jurisdiction. The fact that the lawyer
is subject to the disciplinary authority of this jurisdiction may
be a factor in determining whether personal jurisdiction may
be asserted over the lawyer for civil matters.
Choice of Law. A lawyer may be potentially subject to
more than one set of rules of professional conduct which
impose different obligations. The lawyer may be licensed to
practice in more than one jurisdiction with differing rules, or
may be admitted to practice before a particular court with rules
that differ from those of the jurisdiction or jurisdictions in which
the lawyer is licensed to practice. Additionally, the lawyer’s
conduct may involve significant contacts with more than
one jurisdiction.
Subsection (b) seeks to resolve such potential conflicts. Its
premise is that minimizing conflicts between rules, as well as
uncertainty about which rules are applicable, is in the best
interest of both clients and the profession (as well as the bodies
having authority to regulate the profession). Accordingly, it
takes the approach of (i) providing that any particular conduct
of a lawyer shall be subject to only one set of rules of profes-
sional conduct, and (ii) making the determination of which set
of rules applies to particular conduct as straightforward as
possible, consistent with recognition of appropriate regulatory
interests of relevant jurisdictions.
Subsection (b) (1) provides that, as to a lawyer’s conduct
relating to a proceeding pending before a tribunal, the lawyer
shall be subject only to the rules of the jurisdiction in which
the tribunal sits unless the rules of the tribunal, including its
choice of law rule, provide otherwise. As to all other conduct,
including conduct in anticipation of a proceeding not yet pend-
ing before a tribunal, subsection (b) (2) provides that a lawyer
shall be subject to the rules of the jurisdiction in which the
lawyer’s conduct occurred, or, if the predominant effect of the
conduct is in another jurisdiction, the rules of that jurisdiction
shall be applied to the conduct. So long as the lawyer’s conduct
conforms to the rules of a jurisdiction in which the lawyer
reasonably believes the predominant effect will occur, the law-
yer shall not be subject to discipline under this Rule.
When a lawyer’s conduct involves significant contacts with
more than one jurisdiction, it may not be clear whether the
predominant effect of the lawyer’s conduct will occur in a
jurisdiction other than the one in which the conduct occurred.
So long as the lawyer’s conduct conforms to the rules of a
jurisdiction in which the lawyer reasonably believes the pre-
dominant effect will occur, the lawyer shall not be subject to
discipline under this Rule. With respect to conflicts of interest,
in determining a lawyer’s reasonable belief under subsection
(b) (2), a written agreement between the lawyer and client
that reasonably specifies a particular jurisdiction as within the
scope of that paragraph may be considered if the agreement
was obtained with the client’s informed consent confirmed in
the agreement.
If two admitting jurisdictions were to proceed against a
lawyer for the same conduct, they should, applying this Rule,
identify the same governing ethics rules. They should take all
appropriate steps to see that they do apply the same rule to
the same conduct, and in all events should avoid proceeding
against a lawyer on the basis of two inconsistent rules.
The choice of law provision applies to lawyers engaged in
transnational practice, unless international law, treaties or
other agreements between competent regulatory authorities
in the affected jurisdictions provide otherwise.
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
to 2011, see editions of the Practice Book prior
to the 2011 edition.
AMENDMENT NOTE: This is a major rewrite of the Code
of Judicial Conduct, adopted by the judges of the superior
court on June 21, 2010, the judges of the appellate court on
July 15, 2010, and the justices of the supreme court on July
1, 2010, to take effect January 1, 2011. It is based on the
Model Code adopted by the ABA in 2007. Our prior Code,
which was adopted with an effective date of October 1, 1974,
was based on the Model Code adopted by the ABA in 1972.
In the early 1990s, the ABA adopted a revised Model Code;
however, the major changes in the Model Code were not
adopted by the judges of Connecticut.
PREAMBLE
(1) An independent, fair and impartial judiciary
is indispensable to our system of justice. The
United States legal system is based on the princi-
ple that an independent, impartial, and competent
judiciary, composed of men and women of integ-
rity, will interpret and apply the law that governs
our society. Thus, the judiciary plays a central role
in preserving the principles of justice and the rule
of law. Inherent in all the Rules contained in this
Code are the precepts that judges, individually
and collectively, must respect and honor the judi-
cial office as a public trust and strive to maintain
and enhance confidence in the legal system.
(2) Judges should maintain the dignity of judicial
office at all times and avoid both impropriety and
the appearance of impropriety in their professional
and personal lives. They should aspire at all times
to conduct that ensures the greatest possible pub-
lic confidence in their independence, impartiality,
integrity, and competence.
(3) The Code of Judicial Conduct establishes
standards for the ethical conduct of judges in mat-
ters affecting the performance of their judicial
duties and the fair and efficient operation of the
courts or other tribunals on which they serve.
Although it is not intended as an exhaustive guide
for the conduct of judges, who must be guided in
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their professional and personal lives by general
ethical standards as well as by the law, which
includes this Code, it is intended to assist judges
in maintaining the highest standards of profes-
sional and personal conduct, as it affects their
judicial work.
SCOPE
(1) The Code of Judicial Conduct consists of
four Canons, numbered Rules
1
under each
Canon, and Comments that generally follow and
explain each Rule. Scope and Terminology sec-
tions provide additional guidance in interpreting
and applying the Code. An Application section
establishes when the various Rules apply to a
judge.
(2) The Canons state overarching principles of
judicial ethics that all judges must observe.
Although a judge may be disciplined hereunder
only for violating a Rule, the Canons provide
important guidance in interpreting the Rules.
Where a Rule contains a permissive term, such
as ‘‘may’’ or ‘‘should,’’ the conduct being
addressed is committed to the sound personal
and professional discretion of the judge in ques-
tion, and no disciplinary action shall be taken for
action or inaction within the bounds of such dis-
cretion.
(3) The Comments that accompany the Rules
serve two functions. First, they provide guidance
regarding the purpose, meaning, and proper
application of the Rules. They contain explanatory
material and, in some instances, provide exam-
ples of permitted or prohibited conduct. Com-
ments neither add to nor subtract from the binding
obligations set forth in the Rules. Therefore, when
a Comment contains the term ‘‘must,’’ it does not
mean that the Comment itself is binding or
enforceable; it signifies that the Rule in question,
1
References herein to numbered Rules are to the Rules of
this Code, unless stated otherwise.
CODE OF JUDICIAL CONDUCT
properly understood, is obligatory as to the con-
duct at issue.
(4) Second, the Comments identify aspirational
goals for judges. To implement fully the principles
of this Code as articulated in the Canons, judges
should strive to exceed the standards of conduct
established by the Rules, holding themselves to
the highest ethical standards and seeking to
achieve those aspirational goals, thereby enhanc-
ing the dignity of the judicial office.
(5) The Rules of the Code of Judicial Conduct
are rules of reason that should be applied consis-
tently with constitutional requirements, statutes,
other court rules, and decisional law, and with due
regard for all relevant circumstances. The Rules
should not be interpreted in such a way as to
impinge on the essential independence of judges
in making judicial decisions.
(6) Although these Rules are binding and
enforceable, it is not contemplated that every
transgression will necessarily result in the imposi-
tion of discipline. Whether discipline should be
imposed should be determined through a reason-
able and reasoned application of the Rules and
should depend on factors such as the seriousness
of the transgression, the facts and circumstances
that existed at the time of the transgression, the
extent of any pattern of improper activity, whether
there have been previous violations, and the effect
of the improper activity on the judicial system or
other persons.
(7) The Code is not designed or intended as
a basis for civil or criminal liability. Neither is it
intended to be the basis for litigants to seek collat-
eral remedies against each other or to obtain tacti-
cal advantages in proceedings before a court.
TERMINOLOGY
As used in this Code, the following definitions
shall apply:
‘‘Appropriate authority’’ means the authority
having responsibility for taking corrective action
in connection with the conduct or violation to be
reported under Rules 2.14 and 2.15.
‘‘Confidential’’ means information that is not
available to the public. Confidential information
may include, but is not limited to, information that
is sealed by statute, rule or court order or lodged
with the court or communicated in camera. See
Rule 3.5.
‘‘Contribution’’ means both financial and in-kind
contributions, such as goods, professional or vol-
unteer services, advertising, and other types of
assistance, which, if obtained by the recipient
otherwise, would require a financial expenditure.
See Rules 2.11, 3.7, and 4.1.
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‘‘De minimis,’’ in the context of interests per-
taining to disqualification of a judge, means an
insignificant interest that could not raise a reason-
able question regarding the judge’s impartiality.
See Rule 2.11.
‘‘Domestic partner’’ means a person with whom
another person maintains a household and an
intimate relationship, other than a spouse. See
Rules 2.11, 2.13, 3.13, and 3.14.
‘‘Economic interest’’ means ownership of more
than a de minimis legal or equitable interest.
Except for situations in which the judge partici-
pates in the management of such a legal or equita-
ble interest, or the interest could be substantially
affected by the outcome of a proceeding before
a judge, it does not include:
(1) an interest in the individual holdings within
a mutual or common investment fund;
(2) an interest in securities held by an educa-
tional, religious, charitable, fraternal, or civic orga-
nization in which the judge or the judge’s spouse,
domestic partner, parent, or child serves as a
director, an officer, an advisor, or other participant;
(3) a deposit in a financial institution or deposits
or proprietary interests the judge may maintain as
a member of a mutual savings association or
credit union, or similar proprietary interests; or
(4) an interest in the issuer of government secu-
rities held by the judge. See Rules 1.3, 2.11,
and 3.2.
‘‘Fiduciary’’ includes relationships such as
executor, administrator, trustee, or guardian. See
Rules 2.11, 3.2, and 3.8.
‘‘Impartial,’’ ‘‘impartiality,’’ and ‘‘impartially’’
mean absence of bias or prejudice in favor of, or
against, particular parties or classes of parties, as
well as maintenance of an open mind in consider-
ing issues that may come before a judge. See
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.
‘‘Impending matter’’ is any matter a judge knows
is imminent or reasonably expects to be com-
menced in the near future. See Rules 2.9, 2.10,
3.13, and 4.1.
‘‘Impropriety’’ includes conduct that violates the
law or provisions of this Code and conduct that
undermines a judge’s independence, integrity, or
impartiality. See Canon 1 and Rule 1.2.
‘‘Independence’’ means a judge’s freedom from
influence or controls other than those established
by law. See Canons 1 and 4, and Rules 1.2, 3.1,
3.12, 3.13, and 4.2.
‘‘Integrity’’ means probity, fairness, honesty,
uprightness, and soundness of character. See
Canons 1 and 4 and Rules 1.2, 3.1, 3.12, 3.13,
and 4.2.
CODE OF JUDICIAL CONDUCT
‘‘Knowingly,’’ ‘‘knowledge,’’ ‘‘known,’’ and
‘‘knows’’ mean actual knowledge of the fact in
question. A person’s knowledge may be inferred
from circumstances. See Rules 2.11, 2.15, 2.16,
3.2, 3.6, and 4.1.
‘‘Law’’ encompasses court rules as well as stat-
utes, constitutional provisions, decisional law, and
this Code. See Rules 1.1, 2.1, 2.2, 2.6, 2.7, 2.9,
3.1, 3.2, 3.4, 3.7, 3.9, 3.12, 3.13, 3.14, 3.15, 4.1,
and 4.3.
‘‘Member of the judge’s family’’ means any rela-
tive of a judge related by consanguinity within the
third degree as determined by the common law,
a spouse or domestic partner or an individual
related to a spouse or domestic partner within
the third degree as so determined, including an
individual in an adoptive relationship within the
third degree. See Rules 3.5, 3.7, 3.8, 3.10, and
3.11.
‘‘Member of a judge’s family residing in the
judge’s household’’ means any member of the
judge’s family or other person treated by a judge
as a member of the judge’s family, who resides in
the judge’s household. See Rules 2.11 and 3.13.
‘‘Pending matter’’ is a matter that has com-
menced. A matter continues to be pending
through any appellate process until final disposi-
tion. See Rules 2.9, 2.10, 3.13, and 4.1.
‘‘Personally solicit’’ means a direct request
made by a judge for financial support or in-kind
services, whether made by letter, telephone, or
any other means of communication. See Rule 4.1.
‘‘Political organization’’ means a political party
or other group sponsored by or affiliated with a
political party or candidate, the principal purpose
of which is to further the election or appointment
of candidates for political office. See Rules 4.1
and 4.2.
‘‘Public election’’ includes primary and general
elections, partisan elections and nonpartisan
elections. See Rule 4.3.
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‘‘Spouse’’ means a person to whom one is
legally married or joined in a civil union. See Rules
2.11, 3.13, and 3.14.
‘‘Third degree of relationship’’ includes the fol-
lowing persons: great-grandparent, grandparent,
parent, uncle, aunt, brother, sister, child, grand-
child, great-grandchild, nephew, and niece. See
Rule 2.11.
APPLICATION
The Application section establishes when and
to whom the various Rules apply.
I. APPLICABILITY OF THIS CODE
(a) Except as provided in subsection (b), the
provisions of the Code apply to all judges of the
superior court, senior judges, judge trial referees,
state referees, family support magistrates
appointed pursuant to General Statutes § 46b-
231 (f), and family support magistrate referees.
(b) State referees and family support magistrate
referees are not required to comply with Rules
3.4 and 3.8.
II. TIME FOR COMPLIANCE
A person to whom this Code becomes applica-
ble shall comply immediately with its provisions,
except that those judges to whom Rules 3.8
(Appointments to Fiduciary Positions) and 3.11
(Financial, Business, or Remunerative Activities)
apply shall comply with those Rules as soon as
reasonably possible, but in no event later than
one year after the Code becomes applicable to
the judge.
COMMENT: If serving as a fiduciary when selected as
judge, a new judge may, notwithstanding the prohibitions in
Rule 3.8, continue to serve as fiduciary, but only for that period
of time necessary to avoid serious adverse consequences to
the beneficiaries of the fiduciary relationship and in no event
longer than one year. Similarly, if engaged at the time of
judicial selection in a business activity, a new judge may,
notwithstanding the prohibitions in Rule 3.11, continue in that
activity for a reasonable period but in no event longer than
one year.
CODE OF JUDICIAL CONDUCTRule 1.1
CODE OF JUDICIAL CONDUCT
Canon Canon
1. A judge shall uphold and promote the independence,
integrity, and impartiality of the judiciary, and shall
avoid impropriety and the appearance of impropriety.
Rule
1.1. Compliance with the Law
1.2. Promoting Confidence in the Judiciary
1.3. Avoiding Abuse of the Prestige of Judicial Office
Canon
2. A judge shall perform the duties of judicial office impar-
tially, competently, and diligently.
Rule
2.1. Giving Precedence to the Duties of Judicial Office
2.2. Impartiality and Fairness
2.3. Bias, Prejudice, and Harassment
2.4. External Influences on Judicial Conduct or Judgment
2.5. Competence, Diligence, and Cooperation
2.6. Ensuring the Right to Be Heard
2.7. Responsibility to Decide
2.8. Decorum, Demeanor, and Communication with Jurors
2.9. Ex Parte Communications
2.10. Judicial Statements on Pending and Impending Cases
2.11. Disqualification
2.12. Supervisory Duties
2.13. Administrative Appointments
2.14. Disability and Impairment
2.15. Responding to Judicial and Lawyer Misconduct
2.16. Cooperation with Disciplinary Authorities
Canon 1. A Judge Shall Uphold and Pro-
mote the Independence, Integrity, and
Impartiality of the Judiciary, and Shall Avoid
Impropriety and the Appearance of Impro-
priety.
Rule 1.1. Compliance with the Law
A judge shall comply with the law.
(Effective Jan. 1, 2011.)
COMMENT: This rule deals with the judge’s personal con-
duct. A judge’s professional conduct in enforcing the law is
covered by Rule 2.2. When applying and interpreting the law,
a judge sometimes may make good faith errors of fact or law.
Errors of this kind do not violate this Rule.
Rule 1.2. Promoting Confidence in the
Judiciary
A judge shall act at all times in a manner that
promotes public confidence in the independence,
integrity, and impartiality of the judiciary and shall
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3. A judge shall conduct the judge’s personal and extrajudi-
cial activities to minimize the risk of conflict with the
obligations of judicial office.
Rule
3.1. Extrajudicial Activities in General
3.2. Appearances before Governmental Bodies and Consul-
tation with Government Officials
3.3. Testifying as a Character Witness
3.4. Appointments to Governmental Positions
3.5. Use of Confidential Information
3.6. Affiliation with Discriminatory Organizations
3.7. Participation in Educational, Religious, Charitable, Fra-
ternal, or Civic Organizations and Activities
3.8. Appointments to Fiduciary Positions
3.9. Service as Arbitrator or Mediator
3.10. Practice of Law
3.11. Financial, Business, or Remunerative Activities
3.12. Compensation for Extrajudicial Activities
3.13. Acceptance and Reporting of Gifts, Loans, Bequests,
Benefits, or Other Things of Value
3.14. Reimbursement of Expenses and Waivers of Fees or
Charges
3.15. Reporting Requirements
Canon
4. A judge shall not engage in political or campaign activity
that is inconsistent with the independence, integrity,
or impartiality of the judiciary.
Rule
4.1. Political Activities of Judges in General
4.2. Activities of Judges as Candidates for Reappointment or
Elevation to Higher Judicial Office
4.3. Activities of Judges Who Become Candidates for Pub-
lic Office
avoid impropriety and the appearance of impropri-
ety. The test for appearance of impropriety is
whether the conduct would create in reasonable
minds a perception that the judge violated this
Code or engaged in other conduct that reflects
adversely on the judge’s honesty, impartiality,
temperament, or fitness to serve as a judge.
(Effective Jan. 1, 2011.)
COMMENT: (1) Public confidence in the judiciary is eroded
by improper conduct and conduct that creates the appearance
of impropriety as defined in this Rule. This principle applies
to both the professional and personal conduct of a judge.
(2) A judge should expect to be the subject of public scrutiny
that might be viewed as burdensome if applied to other citizens
and must accept the restrictions imposed by the Code.
(3) Conduct that compromises the independence, integrity,
and impartiality of a judge undermines public confidence in
the judiciary. Because it is not practicable to list all such con-
duct, the Rule is necessarily cast in general terms.
(4) Judges may initiate or participate in activities that pro-
mote ethical conduct among judges and lawyers, support pro-
fessionalism within the judiciary and the legal profession, and
promote access to justice for all.
CODE OF JUDICIAL CONDUCT Rule 2.3
(5) A judge may initiate or participate in community activities
for the purpose of promoting public understanding of and confi-
dence in the administration of justice. In conductingsuch activi-
ties, the judge must act in a manner consistent with this Code.
Rule 1.3. Avoiding Abuse of the Prestige of
Judicial Office
A judge shall not use or attempt to use the
prestige of judicial office to advance the personal
or economic interests of the judge or others or
allow others to do so.
(Effective Jan. 1, 2011.)
COMMENT: (1) It is improper for a judge to use or attempt
to use his or her position to gain personal advantage or defer-
ential treatment of any kind. For example, it would be improper
for a judge to allude to his or her judicial status to gain favorable
treatment in encounters with traffic officials. Similarly, a judge
must not use judicial letterhead to gain an advantage in con-
ducting his or her personal business.
(2) A judge may provide a reference or recommendation
for an individual based on the judge’s personal knowledge.
The judge may use official letterhead if the judge indicates
that the reference is personal and if the use of the letterhead
would not reasonably be perceived as an attempt to exert
pressure by reason of the judicial office.
(3) Judges may participate in the process of judicial selec-
tion by cooperating with appointing authorities and screening
committees and by responding to inquiries from such entities
concerning the professional qualifications of a person being
considered for judicial office.
(4) Special considerations arise when judges write or con-
tribute to publications of for-profit entities, whether related
or unrelated to the law. A judge should not permit anyone
associated with the publication of such materials to exploit the
judge’s office in a manner that violates this Code or other
applicable law. In contracts for publication of a judge’s writing,
the judge should retain sufficient control over the advertising
to avoid such exploitation.
Canon 2. A Judge Shall Perform the Duties
of Judicial Office Impartially, Competently,
and Diligently.
Rule 2.1. Giving Precedence to the Duties of
Judicial Office
The duties of judicial office, as prescribed by
law, shall take precedence over all of a judge’s
personal and extrajudicial activities.
(Effective Jan. 1, 2011.)
COMMENT: (1) To ensure that judges are available to fulfill
their judicial duties, judges must conduct their personal and
extrajudicial activities in such a way as to minimize the risk of
conflicts that would result in disqualification. A judge’s personal
extrajudicial activities shall not be conducted in such a way
as to interfere unduly with the duties of judicial office. See
Canon 3.
(2) Although it is not a duty of judicial office, judges are
encouraged to initiate or participate in activities that promote
public understanding of and confidence in the justice system.
Rule 2.2. Impartiality and Fairness
A judge shall uphold and apply the law and shall
perform all duties of judicial office fairly and impar-
tially.
(Effective Jan. 1, 2011.)
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COMMENT: (1) To ensure impartiality and fairness to all
parties, a judge must be objective and open-minded.
(2) Although each judge comes to the bench with a unique
background and personal philosophy, a judge must interpret
and apply the law without regard to whether the judge approves
or disapproves of the law in question.
(3) When applying and interpreting the law, a judge some-
times may make good faith errors of fact or law. Errors of this
kind do not violate this Rule.
(4) It is not a violation of this Rule for a judge to make
reasonable accommodations to ensure self-represented liti-
gants the opportunity to have their matters fairly heard.
Rule 2.3. Bias, Prejudice, and Harassment
(a) A judge shall perform the duties of judicial
office, including administrative duties, without bias
or prejudice.
(b) A judge shall not, in the performance of
judicial duties, by words or conduct, manifest bias
or prejudice or engage in harassment including,
but not limited to, bias, prejudice, or harassment
based on race, sex, gender, religion, national ori-
gin, ethnicity, disability, age, sexual orientation,
marital status, socioeconomic status, or political
affiliation and shall not condone such conduct by
court staff, court officials, or others subject to the
judge’s direction and control.
(c) A judge shall require lawyers in proceedings
before the court to refrain from manifesting bias
or prejudice or engaging in harassment, based
on attributes including, but not limited to, race,
sex, gender, religion, national origin, ethnicity, dis-
ability, age, sexual orientation, marital status,
socioeconomic status, or political affiliation
against parties, witnesses, lawyers, or others.
(d) The restrictions of subsections (b) and (c)
do not preclude judges or lawyers from making
legitimate reference to the listed factors or similar
factors when they are relevant to an issue in a pro-
ceeding.
(Effective Jan. 1, 2011.)
COMMENT: (1) A judge who manifests bias or prejudice
in a proceeding impairs the fairness of the proceeding and
brings the judiciary into disrepute.
(2) Examples of manifestations of bias or prejudice include,
but are not limited to, epithets; slurs; demeaning nicknames;
negative stereotyping; attempted humor based on stereo-
types; threatening, intimidating, or hostile acts; suggestions
of connections between race, ethnicity, or nationality and crimi-
nality; and irrelevant references to personal characteristics.
Even facial expressions and body language can convey to
parties and lawyers in the proceeding, jurors, the media, and
others an appearance of bias or prejudice. A judge must avoid
conduct that may reasonably be perceived as prejudiced or
biased.
(3) Harassment, as referred to in subsections (b) and (c),
is verbal or physical conduct that denigrates or shows hostility
or aversion toward a person on bases such as race, sex,
gender, religion, national origin, ethnicity, disability, age, sex-
ual orientation, marital status, socioeconomic status, or politi-
cal affiliation.
CODE OF JUDICIAL CONDUCTRule 2.3
(4) Sexual harassment includes, but is not limited to, sexual
advances, requests for sexual favors, and other verbal or
physical conduct of a sexual nature that is unwelcome.
Rule 2.4. External Influences on Judicial
Conduct or Judgment
(a) A judge shall not be swayed in the perfor-
mance of the judge’s judicial duties by public
clamor or fear of criticism.
(b) A judge shall not permit family, social, politi-
cal, financial, or other interests or relationships to
influence the judge’s judicial conduct or judgment.
(c) A judge shall not convey or permit others to
convey the impression that any person or organi-
zation is in a position to influence the judge’s judi-
cial conduct or judgment.
(Effective Jan. 1, 2011.)
COMMENT: An independent judiciary requires that judges
decide cases according to the law and facts, without regard
to whether particular laws or litigants are popular or unpopular
with the public, the media, government officials, or the judge’s
friends or family. The integrity of judicial decision making is
undermined if it is based in whole or in part on inappropriate
outside influences.
Rule 2.5. Competence, Diligence, and Coop-
eration
(a) A judge shall perform judicial and adminis-
trative duties competently and diligently.
(b) A judge shall cooperate with other judges
and court officials in the administration of court
business.
(Effective Jan. 1, 2011.)
COMMENT: (1) Competence in the performance of judicial
duties requires the legal knowledge, skill, thoroughness, and
preparation reasonably necessary to perform a judge’s
responsibilities of judicial office.
(2) A judge should seek the necessary docket time, court
staff, expertise, and resources to discharge all adjudicative
and administrative responsibilities.
(3) Prompt disposition of the court’s business requires a
judge to devote adequate time to judicial duties, to be punctual
in attending court and expeditious in determining matters
under submission, and to take reasonable measures to ensure
that court officials, litigants, and their lawyers cooperate with
the judge to that end.
(4) In disposing of matters promptly and efficiently, a judge
must demonstrate due regard for the rights of parties to be
heard and to have issues resolved without unnecessary cost
or delay. A judge should monitor and supervise cases in ways
that reduce or eliminate dilatory practices, avoidable delays,
and unnecessary costs.
Rule 2.6. Ensuring the Right to Be Heard
(a) A judge shall accord to every person who
has a legal interest in a proceeding, or that per-
son’s lawyer, the right to be heard according to
law.
(b) A judge may encourage parties to a pro-
ceeding and their lawyers to settle matters in dis-
pute but shall not act in a manner that coerces
any party into settlement.
(Effective Jan. 1, 2011.)
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COMMENT: (1) The right to be heard is an essential compo-
nent of a fair and impartial system of justice. Substantive rights
of litigants can be protected only if procedures protecting the
right to be heard are observed.
(2) The judge plays an important role in overseeing the
settlement of disputes but should be careful that efforts to
further settlements do not undermine any party’s right to be
heard according to law. The judge should keep in mind the
effect that the judge’s participation in settlement discussions
may have, not only on the judge’s own views of the case, but
also on the perceptions of the lawyers and the parties if the
case remains with the judge after settlement efforts are unsuc-
cessful. Among the factors that a judge should consider when
deciding on appropriate settlement practices for a case are: (a)
whether the parties have requested or voluntarily consented
to a certain level of participation by the judge in settlement
discussions, (b) whether the parties and their counsel are
relatively sophisticated in legal matters, (c) whether the case
will be tried by the judge or a jury, (d) whether the parties
participate with their counsel in settlement discussions, (e)
whether any parties are unrepresented by counsel, and (f)
whether the matter is civil or criminal.
(3) Judges must be mindful of the effect settlement discus-
sions can have, not only on their objectivity and impartiality,
but also on the appearance of their objectivity and impartiality.
Despite a judge’s best efforts, there may be instances when
information obtained during settlement discussions could influ-
ence a judge’s decision making during trial, and, in such
instances, the judge should consider whether disqualification
may be appropriate. See Rule 2.11 (a) (1).
Rule 2.7. Responsibility to Decide
A judge shall hear and decide matters assigned
to the judge, except when disqualification is
required by Rule 2.11 or other law.
(Effective Jan. 1, 2011.)
COMMENT: Judges must be available to decide the matters
that come before the court. Although there are times when
disqualification is necessary to protect the rights of litigants
and preserve public confidence in the independence, integrity,
and impartiality of the judiciary, judges must be available to
decide matters that come before the courts. Unwarranted dis-
qualification may bring public disfavor to the court and to the
judge personally. The dignity of the court, the judge’s respect
for fulfillment of judicial duties and a proper concern for the
burdens that may be imposed on the judge’s colleagues
require that a judge not use disqualification to avoid cases
that present difficult, controversial, or unpopular issues.
Rule 2.8. Decorum, Demeanor, and Commu-
nication with Jurors
(a) A judge shall require order and decorum in
proceedings before the court.
(b) A judge shall be patient, dignified, and cour-
teous to litigants, jurors, witnesses, lawyers, court
staff, court officials, and others with whom the
judge deals in an official capacity and shall require
similar conduct of lawyers, court staff, court offi-
cials, and others subject to the judge’s direction
and control.
(c) Although a judge may thank jurors for their
willingness to serve, a judge shall not commend
or criticize jurors with respect to their verdict in a
CODE OF JUDICIAL CONDUCT Rule 2.10
case other than in an instruction, order or opinion
in a proceeding, if appropriate.
(Effective Jan. 1, 2011.)
COMMENT: (1) The duty to hear all proceedings with
patience and courtesy is not inconsistent with theduty imposed
in Rule 2.5 to dispose promptly of the business of the court.
Judges can be efficient and businesslike while being patient
and deliberate.
(2) Commending or criticizing jurors for their verdict may
imply a judicial expectation in future cases and may impair a
juror’s ability to be fair and impartial in a subsequent case.
(3) A judge who is not otherwise prohibited by law from
doing so may meet with jurors who choose to remain after
trial but shall be careful to avoid discussion of the merits of
the case.
(4) This rule does not purport to prevent a judge from
returning a jury for further deliberations if its verdict is insuffi-
cient in amount, inaccurate, inconsistent with the court’s
instructions or otherwise improper in form or substance.
Rule 2.9. Ex Parte Communications
(a) A judge shall not initiate, permit, or consider
ex parte communications or consider other com-
munications made to the judge outside the pres-
ence of the parties or their lawyers, concerning a
pending or impending matter, except as follows:
(1) When circumstances require it, ex parte
communication for scheduling, administrative, or
emergency purposes, which does not address
substantive matters, is permitted, provided:
(A) the judge reasonably believes that no party
will gain a procedural, substantive, or tactical
advantage as a result of the ex parte communica-
tion; and
(B) the judge makes provision promptly to notify
all other parties of the substance of the ex parte
communication and gives the parties an opportu-
nity to respond.
(2) A judge may obtain the written advice of a
disinterested expert on the law applicable to a
proceeding before the judge, if the judge gives
advance notice to the parties of the person to be
consulted and the subject matter of the advice to
be solicited, and affords the parties a reasonable
opportunity to object and to respond to the notice
and to the written advice received.
(3) A judge may consult with court staff and
court officials whose functions are to aid the judge
in carrying out the judge’s adjudicative responsi-
bilities, or with other judges, provided the judge
makes reasonable efforts to avoid receiving fac-
tual information that is not part of the record and
does not abrogate the responsibility personally to
decide the matter.
(4) A judge may, with the consent of the parties,
confer separately with the parties and their law-
yers in an effort to settle matters pending before
the judge.
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(5) A judge may initiate, permit, or consider any
ex parte communication when expressly author-
ized by law to do so.
(b) If a judge inadvertently receives an unautho-
rized ex parte communication bearing on the sub-
stance of a matter, the judge shall make provision
promptly to notify the parties of the substance of
the communication and provide the parties with
an opportunity to respond.
(c) A judge serving as a fact finder shall not
investigate facts in a matter independently and
shall consider only the evidence presented and
any facts that may properly be judicially noticed.
(d) A judge shall make reasonable efforts,
including providing appropriate supervision, to
ensure that this Rule is not violated by court staff,
court officials, and others subject to the judge’s
direction and control.
(Effective Jan. 1, 2011.)
COMMENT: (1) To the extent reasonably possible, all par-
ties or their lawyers shall be included in communications with
a judge.
(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
is unrepresented, the party, who is to be present or to whom
notice is to be given.
(3) The proscription against communications concerning a
proceeding includes communications with lawyers, law teach-
ers, and other persons who are not participants in the proceed-
ing, except to the limited extent permitted by this Rule.
(4) A judge may initiate, permit, or consider ex parte commu-
nications expressly authorized by law.
(5) A judge may consult with other judges on pending mat-
ters but must avoid ex parte discussions of a case with judges
who are disqualified from hearing the matter and with judges
who have appellate jurisdiction over the matter.
(6) The prohibition against a judge investigating the facts
in a matter extends to information available in all mediums,
including electronic. Nothing in this Rule is intended to relieve
a judge of the independent duty to investigate allegations of
juror misconduct. See State v. Santiago, 245 Conn. 301, 715
A.2d 1 (1998).
(7) A judge may consult ethics advisory committees, outside
counsel, or legal experts concerning the judge’s compliance
with this Code. Such consultations are not subject to the
restrictions of subsection (a) (2).
Rule 2.10. Judicial Statements on Pending
and Impending Cases
(a) A judge shall not make any public statement
that might reasonably be expected to affect the
outcome or to impair the fairness of a matter pend-
ing or impending in any court or make any non-
public statement that might substantially interfere
with a fair trial or hearing.
(b) A judge shall not, in connection with cases,
controversies, or issues that are likely to come
before the court, make pledges, promises, or com-
mitments that are inconsistent with the impartial
performance of the adjudicative duties of judi-
cial office.
CODE OF JUDICIAL CONDUCTRule 2.10
(c) A judge may consult with other judges or
court staff, court officials, and others subject to
the judge’s direction and control whose function
is to aid the judge in carrying out the judge’s adju-
dicative responsibilities. However, a judge shall
require court staff, court officials, and others sub-
ject to the judge’s direction and control to refrain
from making statements that the judge would be
prohibited from making by subsections (a) and (b).
(d) Notwithstanding the restrictions in subsec-
tion (a), a judge may make public statements in
the course of official duties, may explain court
procedures, and may comment on any proceed-
ing in which the judge is a litigant in a personal
capacity.
(Effective Jan. 1, 2011.)
COMMENT: (1) This Rule’s restrictions on judicial speech
are essential to the maintenance of the independence, integ-
rity, and impartiality of the judiciary.
(2) This Rule does not prohibit a judge from commenting
on proceedings in which the judge is a litigant in a personal
capacity. In cases in which the judge is a litigant in an official
capacity, such as a writ of mandamus, the judge must not
comment publicly.
Rule 2.11. Disqualification
(a) A judge shall disqualify himself or herself in
any proceeding in which the judge’s impartiality
might reasonably be questioned including, but not
limited to, the following circumstances:
(1) The judge has a personal bias or prejudice
concerning a party or a party’s lawyer, or personal
knowledge of facts that are in dispute in the pro-
ceeding.
(2) The judge knows that the judge, the judge’s
spouse or domestic partner, or a person within
the third degree of relationship to either of them,
or the spouse or domestic partner of such a per-
son is:
(A) a party to the proceeding, or an officer, direc-
tor, general partner, managing member, or trustee
of a party;
(B) acting as a lawyer in the proceeding;
(C) a person who has more than a de minimis
interest that could be substantially affected by the
proceeding; or
(D) likely to be a material witness in the pro-
ceeding.
(3) The judge knows that he or she, individually
or as a fiduciary, or the judge’s spouse, domestic
partner, parent, or child, or any other member of
the judge’s family residing in the judge’s house-
hold, has an economic interest in the subject mat-
ter in controversy or in a party to the proceeding.
(4) The judge has made a public statement,
other than in a court proceeding, judicial decision,
or opinion that commits or appears to commit the
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judge to reach a particular result or rule in a partic-
ular way in the proceeding or controversy.
(5) The judge:
(A) served as a lawyer in the matter in contro-
versy or was associated with a lawyer who partici-
pated substantially as a lawyer in the matter
during such association;
(B) served in governmental employment and in
such capacity participated personally and sub-
stantially as a lawyer or public official concerning
the proceeding or has publicly expressed in such
capacity an opinion concerning the merits of the
particular matter in controversy; or
(C) was a material witness concerning the
matter.
(b) A judge shall keep informed about the
judge’s personal and fiduciary economic interests
and make a reasonable effort to keep informed
about the personal economic interests of the
judge’s spouse or domestic partner and minor
children residing in the judge’s household.
(c) A judge subject to disqualification under this
Rule, other than for bias or prejudice under sub-
section (a) (1), may ask the parties and their law-
yers to consider, outside the presence of the judge
and court personnel, whether to waive disqualifi-
cation, provided that the judge shall disclose on
the record the basis of such disqualification. If,
following the disclosure, the parties and lawyers
agree, either in writing or on the record before
another judge, that the judge should not be dis-
qualified, the judge may participate in the pro-
ceeding.
(d) Notwithstanding the foregoing, a judge may
contribute to a client security fund maintained
under the auspices of the court, and such contri-
bution will not require that the judge disqualify
himself or herself from service on such a client
security fund committee or from participation in a
lawyer disciplinary proceeding or in any matter
concerning restitution or subrogation relating to
such a client security fund.
(e) A judge is not automatically disqualified from
sitting on a proceeding merely because a lawyer
or party to the proceeding has filed a lawsuit
against the judge or filed a complaint against the
judge with the judicial review council. When the
judge becomes aware that such a lawsuit or com-
plaint has been filed against him or her, the judge
shall, on the record, disclose that fact to the law-
yers and parties to the proceeding before such
judge and shall thereafter proceed in accordance
with Practice Book Section 1-22 (b).
(f) The fact that the judge was represented or
defended by the attorney general in a lawsuit that
arises out of the judge’s judicial duties shall not be
CODE OF JUDICIAL CONDUCT Rule 2.14
the sole basis for recusal by the judge in lawsuits
where the attorney general appears.
(Effective Jan. 1, 2011.)
COMMENT: (1) Under this Rule, a judge is disqualified
whenever the judge’s impartiality might reasonably be ques-
tioned, regardless of whether any of the specific provisions of
subsections (a) (1) through (5) apply. In many jurisdictions,
the term ‘‘recusal’’ is used interchangeably with the term ‘‘dis-
qualification.’’
(2) A judge’s obligation not to hear or decide matters in
which disqualification is required applies regardless of whether
a motion to disqualify is filed.
(3) The rule of necessity may override the rule of disqualifi-
cation. For example, a judge might be required to participate
in judicial review of a judicial salary statute. In matters that
require immediate action, the judge must disclose on the
record the basis for possible disqualification and make reason-
able efforts to transfer the matter to another judge as soon
as practicable.
(4) The fact that a lawyer in a proceeding is affiliated with
a law firm with which a relative of the judge is affiliated does not
itself disqualify the judge. If, however, the judge’s impartiality
might reasonably be questioned under subsection (a) or the
relative is known by the judge to have an interest in the law
firm that could be substantially affected by the proceeding
under subsection (a) (2) (C), the judge’s disqualification is
required.
(5) The Rule does not prevent a judge from relying on
personal knowledge of historical or procedural facts acquired
as a result of presiding over the proceeding itself.
(6) Subsection (d) is intended to make clear that the restric-
tions imposed by Dacey v. Connecticut Bar Assn., 184 Conn.
21, 441 A.2d 49 (1981), or any implications therefrom should
not be considered to apply to judges contributing to a client
security fund under the auspices of the court.
AMENDMENT NOTE: Comment (7) to Rule 2.11 was
adopted by the judges of the appellate court on July 15, 2010,
and the justices of the supreme court on July 1, 2010. It was
not, however, adopted by the judges of the superior court.
(7) A justice of the supreme court or a judge of the appellate
court is not disqualified from sitting on a proceeding merely
because he or she previously practiced law with the law firm
or attorney who filed an amicus brief in the matter, or the
justice’s or judge’s spouse, domestic partner, parent, or child,
or any other member of the justice’s or judge’s family residing
in his or her household is practicing or has practiced law with
such law firm or attorney.
Rule 2.12. Supervisory Duties
(a) A judge shall take reasonable measures to
ensure that court staff, court officials, and others
subject to the judge’s direction and control act in
a manner consistent with the judge’s obligations
under this Code.
(b) A judge with supervisory authority for the
performance of other judges shall take reasonable
measures to ensure that those judges properly
discharge their judicial responsibilities, including
the prompt disposition of matters before them.
(Effective Jan. 1, 2011.)
COMMENT: (1) A judge is responsible for his or her own
conduct and for the conduct of others, such as staff, when
those persons are acting at the judge’s direction or control. A
judge may not direct court personnel to engage in conduct on
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the judge’s behalf or as the judge’s representative when such
conduct would violate the Code if undertaken by the judge.
(2) Public confidence in the judicial system depends on
timely justice. To promote the efficient administration of justice,
a judge with supervisory authority must take the steps needed
to ensure that judges under his or her supervision administer
their workloads promptly.
Rule 2.13. Administrative Appointments
(a) In making or facilitating administrative
appointments, a judge:
(1) shall act impartially and on the basis of
merit; and
(2) shall avoid nepotism, favoritism, and unnec-
essary appointments.
(b) A judge shall not approve compensation of
appointees beyond the fair value of services
rendered.
(Effective Jan. 1, 2011.)
COMMENT: (1) Appointees of a judge include, but are
not limited to, assigned counsel, officials such as referees,
commissioners, special masters, receivers, and guardians,
and personnel such as clerks, secretaries, and judicial mar-
shals. Consent by the parties to an appointment or an award
of compensation does not relieve the judge of the obligation
prescribed by subsection (a).
(2) Unless otherwise defined by law, nepotism is the
appointment or hiring of any relative within the third degree
of relationship of either the judge or the judge’s spouse or
domestic partner, or the spouse or domestic partner of
such relative.
Rule 2.14. Disability and Impairment
A judge having a reasonable belief that the per-
formance of a lawyer or another judge is impaired
by drugs or alcohol or by a mental, emotional, or
physical condition, shall take appropriate action,
which may include notifying appropriate judicial
authorities or a confidential referral to a lawyer or
judicial assistance program.
(Effective Jan. 1, 2011.)
COMMENT: (1) ‘‘Appropriate action’’ means action
intended and reasonably likely to help the judge or lawyer in
question address the problem. Depending on the circum-
stances, appropriate action may include, but is not limited to,
speaking directly to the impaired person, notifying an individual
with supervisory responsibility over the impaired person, or
making a referral to an assistance program.
(2) Taking or initiating corrective action by way of notifying
judicial administrators or referral to an assistance program
may satisfy a judge’s responsibility under this Rule. Assistance
programs have many approaches for offering help to impaired
judges and lawyers, such as intervention, counseling, or refer-
ral to appropriate health care professionals. Depending on the
gravity of the conduct that has come to the judge’s attention,
however, the judge may be required to take other action, such
as reporting the impaired judge or lawyer to the appropriate
authority, agency, or body. See Rule 2.15.
(3) A client security fund has been established to promote
public confidence in the judicial system and the integrity of the
legal profession by, among other things, a lawyers assistance
program providing crisis intervention and referral assistance
to attorneys admitted to the practice of law in this state who
suffer from alcohol or other substance abuse problems or
CODE OF JUDICIAL CONDUCTRule 2.14
gambling problems or who have behavioral health problems.
See Practice Book Section 2-68.
Rule 2.15. Responding to Judicial and Law-
yer Misconduct
(a) A judge having knowledge that another
judge has committed a violation of this Code that
raises a substantial question regarding the judge’s
honesty, trustworthiness, or fitness as a judge in
other respects shall take appropriate action
including informing the appropriate authority.
(b) A judge having knowledge that a lawyer has
committed a violation of the Rules of Professional
Conduct that raises a substantial question regard-
ing the lawyer’s honesty, trustworthiness, or fit-
ness as a lawyer in other respects shall take
appropriate action including informing the appro-
priate authority.
(c) A judge who receives information indicating
a substantial likelihood that another judge has
committed a violation of this Code shall take
appropriate action.
(d) A judge who receives information indicating
a substantial likelihood that a lawyer has commit-
ted a violation of the Rules of Professional Con-
duct shall take appropriate action.
(e) A judge is not required to disclose informa-
tion gained by the judge while serving as a mem-
ber of a committee that renders assistance to ill
or impaired judges or lawyers or while serving as
a member of a bar association professional ethics
committee or the Judicial Branch Committee on
Judicial Ethics.
(Effective Jan. 1, 2011.)
COMMENT: (1) Taking appropriate action under the cir-
cumstances to address known misconduct is a judge’s obliga-
tion. Except as otherwise provided in subsection (e),
subsections (a) and (b) impose an obligation on the judge
to report to the appropriate disciplinary authority the known
misconduct of another judge or a lawyer that raises a substan-
tial question regarding the honesty, trustworthiness, or fitness
of that judge or lawyer. Ignoring or denying known misconduct
among one’s judicial colleagues or members of the legal pro-
fession undermines a judge’s responsibility to participate in
efforts to ensure public respect for the justice system. This
Rule limits the reporting obligation to those offenses that an
independent judiciary must vigorously endeavor to prevent.
(2) A judge who does not have actual knowledge that
another judge or a lawyer may have committed misconduct,
but receives information indicating a substantial likelihood of
such misconduct, is required to take appropriate action under
subsections (c) and (d), except as otherwise provided in sub-
section (e). Appropriate action may include, but is not limited
to, communicating directly with the judge who may have vio-
lated this Code, communicating with a supervising judge, or
reporting the suspected violation to the appropriate authority
or other agency or body.
(3) Similarly, actions to be taken in response to information
indicating that a lawyer has committed a violation of the Rules
of Professional Conduct may include, but are not limited to,
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communicating directly with the lawyer who may have commit-
ted the violation or reporting the suspected violation to the
appropriate authority or other agency or body.
Rule 2.16. Cooperation with Disciplinary
Authorities
(a) A judge shall cooperate and be candid and
honest with judicial and lawyer disciplinary
agencies.
(b) A judge shall not retaliate, directly or indi-
rectly, against a person known or suspected to
have assisted or cooperated with an investigation
of a judge or a lawyer.
(Effective Jan. 1, 2011.)
COMMENT: Cooperation with investigations and proceed-
ings of judicial and lawyer discipline agencies, as required in
subsection (a), instills confidence in judges’ commitment to the
integrity of the judicial system and the protection of the public.
Canon 3. A Judge Shall Conduct the
Judge’s Personal and Extrajudicial Activi-
ties to Minimize the Risk of Conflict with the
Obligations of Judicial Office.
Rule 3.1. Extrajudicial Activities in General
A judge may engage in extrajudicial activities,
except as prohibited by law. However, when
engaging in extrajudicial activities, a judge shall
not:
(1) participate in activities that will interfere with
the proper performance of the judge’s judicial
duties;
(2) participate in activities that will lead to fre-
quent disqualification of the judge;
(3) participate in activities that would appear to
a reasonable person to undermine the judge’s
independence, integrity, or impartiality;
(4) engage in conduct that would appear to a
reasonable person to be coercive; or
(5) make use of court premises, staff, statio-
nery, equipment, or other resources, except for
incidental use or for activities that concern the
law, the legal system, or the administration of jus-
tice, or unless such additional use is permitted
by law.
(Effective Jan. 1, 2011.)
COMMENT: (1) To the extent that time permits, and judicial
independence and impartiality are not compromised, judges
are encouraged to engage in appropriate extrajudicial activi-
ties. Judges are uniquely qualified to engage in extrajudicial
activities that concern the law, the legal system, andthe admin-
istration of justice, such as by speaking, writing, teaching, or
participating in scholarly research projects. In addition, judges
are permitted and encouraged to engage in educational, reli-
gious, charitable, fraternal or civic extrajudicial activities not
conducted for profit, even when the activities do not involve
the law. See Rule 3.7.
(2) Participation in both law related and other extrajudicial
activities helps integrate judges into their communities and
furthers public understanding of and respect for courts and
the judicial system.
CODE OF JUDICIAL CONDUCT Rule 3.6
(3) Discriminatory actions and expressions of bias or preju-
dice by a judge, even outside the judge’s official or judicial
actions, are likely to appear to a reasonable person to call
into question the judge’s integrity and impartiality. Examples
include jokes or other remarks that demean individuals based
on their race, sex, gender, religion, national origin, ethnicity,
disability, age, sexual orientation, or socioeconomic status.
For the same reason, a judge’s extrajudicial activities must
not be conducted in connection or affiliation with an organiza-
tion that practices unlawful discrimination. See Rule 3.6.
(4) While engaged in permitted extrajudicial activities,
judges must not coerce others or take action that would rea-
sonably be perceived as coercive. For example, depending
on the circumstances, a judge’s solicitation of contributions or
memberships for an organization, even as permitted by Rule
3.7 (a), might create the risk that the person solicited would
feel obligated to respond favorably or would do so to curry
favor with the judge.
Rule 3.2. Appearances before Governmen-
tal Bodies and Consultation with Govern-
ment Officials
A judge shall not appear voluntarily at a public
hearing before, or otherwise consult with, an exec-
utive or a legislative body or official, except:
(1) in connection with matters concerning the
law, the legal system, or the administration of
justice;
(2) in connection with matters about which the
judge acquired knowledge or expertise in the
course of the judge’s judicial duties; or
(3) when the judge is acting in a matter involving
the judge’s legal or economic interests or when
the judge is acting in a fiduciary capacity.
(Effective Jan. 1, 2011.)
COMMENT: (1) Judges possess special expertise in mat-
ters of law, the legal system, and the administration of justice
and may properly share that expertise with governmental bod-
ies and executive or legislative branch officials.
(2) In appearing before governmental bodies or consulting
with government officials, judges must be mindful that they
remain subject to other provisions of this Code, such as Rule
1.3, prohibiting judges from using the prestige of office to
advance their own or others’ interests; Rule 2.10, governing
public comment on pending and impending matters; and Rule
3.1 (3), prohibiting judges from engaging in extrajudicial activi-
ties that would appear to a reasonable person to undermine
the judge’s independence, integrity, or impartiality.
(3) In general, it would be an unnecessary and unfair burden
to prohibit judges from appearing before governmental bodies
or consulting with government officials on matters that are
likely to affect them as private citizens, such as zoning propos-
als affecting their real property. In engaging in such activities,
however, a judge should state affirmatively that the judge is
not acting in his or her official capacity and must otherwise
exercise caution to avoid using the prestige of judicial office.
Rule 3.3. Testifying as a Character Witness
A judge shall not testify as a character witness
in a judicial, administrative, or other adjudicatory
proceeding or otherwise vouch for the character
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of a person in a legal proceeding, except when
duly summoned.
(Effective Jan. 1, 2011.)
COMMENT: A judge who, without being duly summoned,
testifies as a character witness abuses the prestige of judicial
office to advance the interests of another. See Rule 1.3. Except
in unusual circumstances where the demands of justice
require, a judge should discourage a party from requiring the
judge to testify as a character witness.
Rule 3.4. Appointments to Governmental
Positions
A judge shall not accept appointment to a gov-
ernmental committee, board, commission, or
other governmental position, unless it is one that
concerns the law, the legal system, or the adminis-
tration of justice.
(Effective Jan. 1, 2011.)
COMMENT: (1) Rule 3.4 implicitly acknowledges the value
of judges accepting appointments to entities that concern the
law, the legal system, or the administration of justice. Even
in such instances, however, a judge should assess the appro-
priateness of accepting an appointment, paying particular
attention to the subject matter of the appointment and the
availability and allocation of judicial resources, including the
judge’s time commitments, and giving due regard to the
requirements of the independence and impartiality of the
judiciary.
(2) A judge may represent his or her country, state, or
locality on ceremonial occasions or in connection with histori-
cal, educational, or cultural activities. Such representation
does not constitute acceptance of a government position.
(3) This rule is intended to prohibit a judge from participation
in governmental committees, boards, commissions or other
governmental positions that make or implement public policy
unless they concern the law, the legal system or the adminis-
tration of justice.
Rule 3.5. Use of Confidential Information
A judge shall not intentionally disclose or use
confidential information acquired in a judicial
capacity for any purpose unrelated to the judge’s
judicial duties unless the judge is acting on infor-
mation necessary to protect the health or safety
of the judge, a member of the judge’s family, court
personnel, a judicial officer or any other person if
consistent with other provisions of this Code.
(Effective Jan. 1, 2011.)
COMMENT: In the course of performing judicial duties, a
judge may acquire information of commercial or other value
that is unavailable to the public. The judge must not reveal or
use such information for personal gain or for any purpose
unrelated to his or her judicial duties.
Rule 3.6. Affiliation with Discriminatory
Organizations
(a) A judge shall not hold membership in any
organization that practices unlawful discrimination
on the basis of race, sex, gender, religion, national
origin, ethnicity, physical or mental disability, or
sexual orientation. When a judge learns that an
organization to which the judge belongs engages
CODE OF JUDICIAL CONDUCTRule 3.6
in unlawful discrimination, the judge must resign
immediately from the organization.
(b) A judge shall not use the benefits or facilities
of an organization if the judge knows or should
know that the organization practices unlawful dis-
crimination on one or more of the bases identified
in subsection (a). A judge’s attendance at an event
in a facility of an organization that the judge is not
permitted to join is not a violation of this Rule
when the judge’s attendance is an isolated event
that could not reasonably be perceived as an
endorsement of the organization’s practices.
(Effective Jan. 1, 2011.)
Rule 3.7. Participation in Educational, Reli-
gious, Charitable, Fraternal, or Civic Organi-
zations and Activities
(a) Subject to the requirements of Rule 3.1, a
judge may participate in activities sponsored by
organizations or governmental entities concerned
with the law, the legal system, or the administra-
tion of justice, and those sponsored by or on
behalf of educational, religious, charitable, frater-
nal, or civic organizations not conducted for profit
including, but not limited to, the following activities:
(1) assisting such an organization or entity in
planning related to fund-raising and participating
in the management and investment of the organi-
zation’s or entity’s funds;
(2) soliciting contributions for such an organiza-
tion or entity, but only from members of the judge’s
family, or from judges over whom the judge does
not exercise supervisory or appellate authority;
(3) soliciting membership for such an organiza-
tion or entity, even though the membership dues
or fees generated may be used to support the
objectives of the organization or entity but only if
the organization or entity is concerned with the
law, the legal system, or the administration of
justice;
(4) appearing or speaking at, receiving an
award or other recognition at, being featured on
the program of, and permitting his or her title to
be used in connection with an event of such an
organization or entity, but if the event serves a
fund-raising purpose, the judge may participate
only if the event concerns the law, the legal sys-
tem, or the administration of justice;
(5) making recommendations to such a public
or private fund-granting organization or entity in
connection with its programs and activities but
only if the organization or entity is concerned with
the law, the legal system, or the administration of
justice; and
(6) serving as an officer, director, trustee, or
nonlegal advisor of such an organization or entity,
unless it is likely that the organization or entity:
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(A) will be engaged in proceedings that would
ordinarily come before the judge; or
(B) will frequently be engaged in adversary pro-
ceedings in the court of which the judge is a mem-
ber or in any court subject to the appellate
jurisdiction of the court of which the judge is a
member.
(b) A judge may encourage lawyers to provide
pro bono publico legal services.
(Effective Jan. 1, 2011.)
COMMENT: (1) The activities permitted by subsection (a)
generally include those sponsored by or undertaken on behalf
of public or private not-for-profit educational institutions and
other not-for-profit organizations, including law related, chari-
table, and other organizations.
(2) Even for law related organizations, a judge should con-
sider whether the membership and purposes of the organiza-
tion, or the nature of the judge’s participation in or association
with the organization, would conflict with the judge’s obligation
to refrain from activities that reflect adversely on a judge’s
independence, integrity, and impartiality.
(3) Mere attendance at an event, whether or not the event
serves a fund-raising purpose, does not constitute a violation
of subsection (a) (4). It is also generally permissible for a judge
to serve as an usher or a food server or preparer, or to perform
similar functions, at fund-raising events sponsored by educa-
tional, religious, charitable, fraternal, or civic organizations.
Such activities are not solicitation and do not present an ele-
ment of coercion or abuse the prestige of judicial office.
(4) Identification of a judge’s position in educational, reli-
gious, charitable, fraternal, or civic organizations on letterhead
used for fund-raising or membership solicitation does not vio-
late this Rule. The letterhead may list the judge’s title or judicial
office if comparable designations are used for other persons.
(5) In addition to appointing lawyers to serve as counsel
for indigent parties in individual cases, a judge may promote
broader access to justice by encouraging lawyers to participate
in pro bono publico legal services if, in doing so, the judge
does not employ coercion or abuse the prestige of judicial
office. Such encouragement may take many forms, including
providing lists of available programs, training lawyers to do
pro bono publico legal work, and participating in events recog-
nizing lawyers who have done pro bono publico work.
Rule 3.8. Appointments to Fiduciary Posi-
tions
(a) A judge shall not accept appointment to
serve in a fiduciary position, such as executor,
administrator, trustee, guardian, attorney in fact,
or other personal representative, except for the
estate, trust, or person of a member of the judge’s
family, and then only if such service will not inter-
fere with the proper performance of judicial duties.
(b) A judge shall not serve in a fiduciary position
if the judge as fiduciary will likely be engaged in
proceedings that would ordinarily come before the
judge or if the estate, trust, or ward becomes
involved in adversary proceedings in the court on
which the judge serves or one under its appel-
late jurisdiction.
CODE OF JUDICIAL CONDUCT Rule 3.13
(c) A judge acting in a fiduciary capacity shall
be subject to the same restrictions on engaging in
financial activities that apply to a judge personally.
(d) If a person who is serving in a fiduciary
position becomes a judge, he or she must comply
with this Rule as soon as reasonably practicable
but in no event later than one year after becoming
a judge.
(Effective Jan. 1, 2011.)
COMMENT: A judge should recognize that other restric-
tions imposed by this Code may conflict with a judge’s obliga-
tions as a fiduciary; in such circumstances, a judge should
resign as fiduciary. For example, serving as a fiduciary might
require frequent disqualification of a judge under Rule 2.11
because a judge is deemed to have an economic interest in
shares of stock held by a trust if the amount of stock held is
more than de minimis.
Rule 3.9. Service as Arbitrator or Mediator
A judge shall not act as an arbitrator or a media-
tor or perform other judicial functions apart from
the judge’s official duties unless expressly author-
ized by law.
(Effective Jan. 1, 2011.)
COMMENT: This Rule does not prohibit a judge from partici-
pating in arbitration, mediation, or settlement conferences per-
formed as part of official judicial duties. Rendering dispute
resolution services apart from those duties, whether or not for
economic gain, is prohibited unless it is expressly authorized
by law.
Rule 3.10. Practice of Law
Except as provided herein, a judge shall not
practice law. A judge may act as a self-repre-
sented party and may, without compensation, give
legal advice to and draft or review documents for
a member of the judge’s family but is prohibited
from serving as the family member’s lawyer in
any forum.
(Effective Jan. 1, 2011.)
COMMENT: A judge may act as a self-represented party
in all legal matters, including matters involving litigation and
matters involving appearances before or other dealings with
governmental bodies. A judge must not use the prestige of
office to advance the judge’s personal or family interests. See
Rule 1.3.
Rule 3.11. Financial, Business, or Remuner-
ative Activities
(a) A judge may hold and manage investments
of the judge and members of the judge’s family.
(b) A judge shall not serve as an officer, director,
manager, general partner or advisor of any busi-
ness entity except for:
(1) a business closely held by the judge or mem-
bers of the judge’s family; or
(2) a business entity primarily engaged in
investment of the financial resources of the judge
or members of the judge’s family.
(c) A judge shall not engage in financial activi-
ties permitted under subsections (a) and (b) if
they will:
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(1) interfere with the proper performance of judi-
cial duties;
(2) lead to frequent disqualification of the judge;
(3) involve the judge in frequent transactions or
continuing business relationships with lawyers or
other persons likely to come before the court on
which the judge serves; or
(4) result in violation of other provisions of
this Code.
(Effective Jan. 1, 2011.)
COMMENT: (1) Judges are generally permitted to engage
in financial activities, including managing real estate and other
investments for themselves or for members of their families.
Participation in these activities, like participation in other extra-
judicial activities, is subject to the requirements of this Code.
For example, it would be improper for a judge to spend so
much time on business activities that it interferes with the
performance of judicial duties. See Rule 2.1. Similarly, it would
be improper for a judge to use his or her official title or to
appear in judicial robes in business advertising, or to conduct
his or her business or financial affairs in such a way that
disqualification is frequently required. See Rules 1.3 and 2.11.
(2) As soon as practicable without serious financial detri-
ment, the judge must divest himself or herself of investments
and other financial interests that might require frequent dis-
qualification or otherwise violate this Rule.
Rule 3.12. Compensation for Extrajudicial
Activities
A judge may accept reasonable compensation
for extrajudicial activities permitted by law unless
such acceptance would appear to a reasonable
person to undermine the judge’s independence,
integrity, or impartiality.
(Effective Jan. 1, 2011.)
COMMENT: (1) A judge is permitted to accept honoraria,
stipends, fees, wages, salaries, royalties, or other compensa-
tion for speaking, teaching, writing, and other extrajudicial
activities, provided the compensation is reasonable and com-
mensurate with the task performed. The judge should be mind-
ful, however, that judicial duties must take precedence over
other activities. See Rule 2.1.
(2) Compensation derived from extrajudicial activities may
be subject to public reporting. See Rule 3.15.
Rule 3.13. Acceptance and Reporting of
Gifts, Loans, Bequests, Benefits, or Other
Things of Value
(a) A judge shall not accept any gifts, loans,
bequests, benefits, or other things of value, if
acceptance is prohibited by law or would appear
to a reasonable person to undermine the judge’s
independence, integrity, or impartiality.
(b) Unless otherwise prohibited by law, or by
subsection (a), a judge may accept the following
without publicly reporting such acceptance:
(1) items with little intrinsic value, such as
plaques, certificates, trophies, and greeting cards;
(2) gifts, loans, bequests, benefits, or other
things of value from friends, relatives, or other
persons, including lawyers, whose appearance or
CODE OF JUDICIAL CONDUCTRule 3.13
interest in a proceeding pending or impending
before the judge would in any event require dis-
qualification of the judge under Rule 2.11;
(3) ordinary social hospitality;
(4) commercial or financial opportunities and
benefits, including special pricing and discounts,
and loans from lending institutions in their regular
course of business, if the same opportunities and
benefits or loans are made available on the same
terms to similarly situated persons who are not
judges;
(5) rewards and prizes given to competitors or
participants in random drawings, contests, or
other events that are open to persons who are
not judges;
(6) scholarships, fellowships, and similar bene-
fits or awards, if they are available to similarly
situated persons who are not judges, based on
the same terms and criteria;
(7) books, magazines, journals, audiovisual
materials, and other resource materials supplied
by publishers on a complimentary basis for official
use; or
(8) gifts, awards, or benefits associated with the
business, profession, or other separate activity
of a spouse, a domestic partner, or other family
member of a judge residing in the judge’s house-
hold but that incidentally benefit the judge.
(c) Unless otherwise prohibited by law or by
subsection (a), a judge may accept the following
items and must report such acceptance to the
extent required by Rule 3.15:
(1) gifts incident to a public testimonial;
(2) invitations to the judge and the judge’s
spouse, domestic partner, or guest to attend with-
out charge:
(A) an event associated with a bar related func-
tion or other activity relating to the law, the legal
system, or the administration of justice; or
(B) an event associated with any of the judge’s
educational, religious, charitable, fraternal or civic
activities permitted by this Code, if the same invi-
tation is offered to nonjudges who are engaged
in similar ways in the activity as is the judge.
(Effective Jan. 1, 2011.)
COMMENT: (1) Whenever a judge accepts a gift or other
thing of value without paying fair market value, there is a risk
that the benefit might be viewed as intended to influence the
judge’s decision in a case. Rule 3.13 imposes restrictions on
the acceptance of such benefits, according to the magnitude
of the risk. Subsection (b) identifies circumstances in which
the risk that the acceptance would appear to undermine the
judge’s independence, integrity, or impartiality is low and
explicitly provides that such items need not be publicly
reported. As the value of the benefit or the likelihood that the
source of the benefit will appear before the judge increases,
the judge is either prohibited under subsection (a) from
accepting the gift, or required under subsection (c) to publicly
report it.
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(2) Gift giving between friends and relatives is a common
occurrence and ordinarily does not create an appearance of
impropriety or cause reasonable persons to believe that the
judge’s independence, integrity, or impartiality has been com-
promised. In addition, when the appearance of friends or rela-
tives in a case would require the judge’s disqualification under
Rule 2.11, there would be no opportunity for a gift to influence
the judge’s decision making. Subsection (b) (2) places no
restrictions on the ability of a judge to accept gifts or other
things of value from friends or relatives under these circum-
stances and does not require public reporting.
(3) Businesses and financial institutions frequently make
available special pricing, discounts, and other benefits, either
in connection with a temporary promotion or for preferred
customers, based on longevity of the relationship, volume of
business transacted, and other factors. A judge may freely
accept such benefits if they are available to the general public
or if the judge qualifies for the special price or discount
according to the same criteria as are applied to persons who
are not judges. As an example, loans provided at generally
prevailing interest rates are not gifts, but a judge could not
accept a loan from a financial institution at below-market inter-
est rates unless the same rate was being made available to
the general public for a certain period of time or only to borrow-
ers with specified qualifications that the judge also possesses.
(4) Rule 3.13 applies only to acceptance of gifts or other
things of value by a judge. Nonetheless, if a gift or other benefit
is given to the judge’s spouse, domestic partner, or member
of the judge’s family residing in the judge’s household, it may
be viewed as an attempt to evade Rule 3.13 and influence
the judge indirectly. Where the gift or benefit is being made
primarily to such other persons, and the judge is merely an
incidental beneficiary, this concern is reduced. A judge should,
however, remind family and household members of the restric-
tions imposed on judges and urge them to take these restric-
tions into account when making decisions about accepting
such gifts or benefits.
Rule 3.14. Reimbursement of Expenses and
Waivers of Fees or Charges
(a) Unless otherwise prohibited by Rules 3.1
and 3.13 (a) or other law, a judge may accept
reimbursement of necessary and reasonable
expenses for travel, food, lodging, or other inci-
dental expenses, or a waiver or partial waiver of
fees or charges for registration, tuition, and similar
items, from sources other than the judge’s
employing entity, if the expenses or charges are
associated with the judge’s participation in extra-
judicial activities permitted by this Code.
(b) Reimbursement of expenses for necessary
travel, food, lodging, or other incidental expenses
shall be limited to the actual costs reasonably
incurred by the judge or a reasonable allowance
therefor and, when appropriate to the occasion,
by the judge’s spouse, domestic partner, or guest.
(c) A judge who accepts reimbursement of
expenses or waivers or partial waivers of fees
or charges on behalf of the judge or the judge’s
spouse, domestic partner, or guest shall publicly
report such acceptance as required by Rule 3.15.
(Effective Jan. 1, 2011.)
CODE OF JUDICIAL CONDUCT Rule 4.1
COMMENT: (1) Educational, civic, religious, fraternal, and
charitable organizations often sponsor meetings, seminars,
symposia, dinners, awards ceremonies, and similar events.
Judges are encouraged to attend educational programs, as
both teachers and participants, in law related and academic
disciplines, in furtherance of their duty to remain competent
in the law. Participation in a variety of other extrajudicial activity
is also permitted and encouraged by this Code.
(2) Not infrequently, sponsoring organizations invite certain
judges to attend seminars or other events on a fee-waived or
partial-fee-waived basis and sometimes include reimburse-
ment for necessary travel, food, lodging, or other incidental
expenses. A judge’s decision whether to accept reimburse-
ment of expenses or a waiver or partial waiver of fees or
charges in connection with these or other extrajudicial activities
must be based on an assessment of all the circumstances.
Per diem allowances shall be reasonably related to the actual
costs incurred. The judge must undertake a reasonable inquiry
to obtain the information necessary to make an informed judg-
ment about whether acceptance would be consistent with the
requirements of this Code.
(3) A judge must assure himself or herself that acceptance
of reimbursement or fee waivers would not appear to a reason-
able person to undermine the judge’s independence, integrity,
or impartiality. The factors that a judge should consider when
deciding whether to accept reimbursement or a fee waiver for
attendance at a particular activity include:
(a) whether the sponsor is an accredited educational institu-
tion or bar association rather than a trade association or a
for-profit entity;
(b) whether the funding comes largely from numerous con-
tributors rather than from a single entity and is earmarked for
programs with specific content;
(c) whether the content is related or unrelated to the subject
matter of litigation pending or impending before the judge or
to matters that are likely to come before the judge;
(d) whether the activity is primarily educational rather than
recreational and whether the costs of the event are reasonable
and comparable to those associated with similar events spon-
sored by the judiciary, bar associations, or similar groups;
(e) whether information concerning the activity and its fund-
ing sources is available upon inquiry;
(f) whether the sponsor or source of funding is generally
associated with particular parties or interests currently
appearing or likely to appear in the judge’s court, thus possibly
requiring disqualification of the judge under Rule 2.11;
(g) whether differing viewpoints are presented; and
(h) whether a broad range of judicial and nonjudicial partici-
pants are invited, whether a large number of participants are
invited, and whether the program is designed specifically for
judges.
Rule 3.15. Reporting Requirements
(a) A judge shall publicly report the amount or
value of:
(1) compensation received for extrajudicial
activities as permitted by Rule 3.12;
(2) gifts and other things of value as permitted
by Rule 3.13 (c), unless the value of such items,
alone or in the aggregate with other items received
from the same source in the same calendar year,
does not exceed $250; and
(3) reimbursement of expenses and waiver of
fees or charges permitted by Rule 3.14 (a), unless
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the amount of reimbursement or waiver, alone or
in the aggregate with other reimbursements or
waivers received from the same source in the
same calendar year, does not exceed $250.
(b) When public reporting is required by subsec-
tion (a), a judge shall report the date, place, and
nature of the activity for which the judge received
any compensation; the description of any gift,
loan, bequest, benefit, or other thing of value
accepted; and the source of reimbursement of
expenses or waiver or partial waiver of fees or
charges.
(c) The public report required by subsection (a)
shall be made at least annually, except that for
reimbursement of expenses and waiver or partial
waiver of fees or charges, the report shall be made
within thirty days following the conclusion of the
event or program.
(d) Reports made in compliance with this Rule
shall be filed as public documents in the office of
the chief court administrator or other office desig-
nated by law.
(Effective Jan. 1, 2011.)
Canon 4. A Judge Shall Not Engage in Politi-
cal or Campaign Activity that is Inconsistent
with the Independence, Integrity, or Impar-
tiality of the Judiciary.
Rule 4.1. Political Activities of Judges in
General
(a) Except as permitted by law, or by Rules 4.2
and 4.3, a judge shall not:
(1) act as a leader in, or hold an office in, a
political organization;
(2) make speeches on behalf of a political orga-
nization;
(3) publicly endorse or oppose a candidate for
any public office;
(4) solicit funds for, pay an assessment to, or
make a contribution to a political organization or
a candidate for public office;
(5) attend or purchase tickets for dinners or
other events sponsored by a political organization
or a candidate for public office;
(6) seek, accept, or use endorsements from a
political organization;
(7) knowingly, or with reckless disregard for the
truth, make any false or misleading statement in
connection with the appointment or reap-
pointment process;
(8) make any statement that would reasonably
be expected to affect the outcome or impair the
fairness of a matter pending or impending in any
court; or
(9) in connection with cases, controversies, or
issues that are likely to come before the court,
make pledges, promises, or commitments that are
CODE OF JUDICIAL CONDUCTRule 4.1
inconsistent with the impartial performance of the
adjudicative duties of judicial office.
(b) A judge shall take reasonable measures to
ensure that other persons do not undertake, on
behalf of the judge, any activities prohibited under
subsection (a).
(c) A judge should not engage in any other
political activity except on behalf of measures to
improve the law, the legal system, or the adminis-
tration of justice.
(Effective Jan. 1, 2011.)
COMMENT: General Considerations
(1) Even when subject to reappointment or when seeking
elevation to a higher office, a judge plays a role different from
that of a legislator or executive branch official. Rather than
making decisions based on the expressed views or prefer-
ences of the public, a judge makes decisions based on the
law and the facts of every case. Therefore, in furtherance of
this interest, judges must, to the greatest extent possible, be
free and appear to be free from political influence and political
pressure. This Canon imposes narrowly tailored restrictions
on the political activities of all judges and sitting judges seeking
reappointment or appointment to a higher judicial office.
Participation in Political Activities
(2) Public confidence in the independence and impartiality
of the judiciary is eroded if judges are perceived to be subject
to political influence. Although judges may register to vote as
members of a political party, they are prohibited by subsection
(a) (1) from assuming leadership roles in political organi-
zations.
(3) Subsections (a) (2) and (a) (3) prohibit judges from
making speeches on behalf of political organizations or publicly
endorsing or opposing candidates for public office, respec-
tively, to prevent them from abusing the prestige of judicial
office to advance the interests of others. See Rule 1.3.
(4) Although members of the families of judges are free to
engage in their own political activity, including running for
public office, there is no ‘‘family exception’’ to the prohibition
in subsection (a) (3) against a judge publicly endorsing candi-
dates for public office. A judge must not become involved in,
or publicly associated with, a family member’s political activity
or campaign for public office. To avoid public misunder-
standing, judges should take, and should urge members of
their families to take, reasonable steps to avoid any implication
that they endorse any family member’s candidacy or other
political activity.
(5) Judges retain the right to participate in the political pro-
cess as voters in both primary and general elections.
Statements and Comments Made By a Sitting Judge
When Seeking Reappointment for
Judicial Office or Elevation to a
Higher Judicial Office
(6) Judges must be scrupulously fair and accurate in all
statements made by them. Subsection (a) (7) obligates judges
to refrain from making statements that are false or misleading
or that omit facts necessary to make the communication con-
sidered as a whole not materially misleading.
(7) Judges are sometimes the subject of false, misleading,
or unfair allegations made by third parties or the media. For
example, false or misleading statements might be made
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regarding the identity, present position, experience, qualifica-
tions, or judicial rulings of a judge. In other situations, false
or misleading allegations may be made that bear on a judge’s
integrity or fitness for judicial office. As long as the judge does
not violate subsections (a) (7), (a) (8), or (a) (9), the judge
may make a factually accurate public response. SeeRule 2.10.
(8) Subject to subsection (a) (8), a judge is permitted to
respond directly to false, misleading, or unfair allegations
made against him or her, although it is preferable for someone
else to respond if the allegations relate to a pending case.
(9) Subsection (a) (8) prohibits judges from making com-
ments that might impair the fairness of pending or impending
judicial proceedings. This provision does not restrict rulings,
statements, or instructions by a judge that may appropriately
affect the outcome of a matter.
Pledges, Promises, or Commitments Inconsistent with
Impartial Performance of the Adjudicative
Duties of Judicial Office
(10) The role of a judge is different from that of a legislator
or executive branch official. Sitting judges seeking reap-
pointment or elevation must conduct themselves differently
from persons seeking other offices. Narrowly drafted restric-
tions on the activities of judges provided in Canon 4 allow
judges to provide the appointing authority with sufficient infor-
mation to permit it to make an informed decision.
(11) Subsection (a) (9) makes applicable to judges the
prohibition that applies to judges in Rule 2.10 (b), relating to
pledges, promises, or commitments that are inconsistent with
the impartial performance of the adjudicative duties of judi-
cial office.
(12) The making of a pledge, promise, or commitment is
not dependent on, or limited to, the use of any specific words
or phrases; instead, the totality of the statement must be exam-
ined to determine if a reasonable person would believe that
the judge has specifically undertaken to reach a particular
result. Pledges, promises, or commitments must be contrasted
with statements or announcements of personal views on legal,
political, or other issues, which are not prohibited. When mak-
ing such statements, a judge should acknowledge the over-
arching judicial obligation to apply and uphold the law, without
regard to his or her personal views.
(13) A judge may make promises related to judicial organi-
zation, administration, and court management, such as a
promise to dispose of a backlog of cases, start court sessions
on time, or avoid favoritism in appointments and hiring. A judge
may also pledge to take action outside the courtroom, such
as working toward an improved jury selection system or advo-
cating for more funds to improve the physical plant and ameni-
ties of the courthouse.
(14) Judges may receive questionnaires or requests for
interviews from the media and from issue advocacy or other
community organizations that seek to learn their views on
disputed or controversial legal or political issues. Subsection
(a) (13) does not specifically address judicial responses to
such inquiries. Depending on the wording and format of such
questionnaires, judges’ responses might be viewed as
pledges, promises, or commitments to perform the adjudica-
tive duties of office other than in an impartial way. To avoid
violating subsection (a) (13), therefore, judges who respond
to media and other inquiries should also give assurances that
they will keep an open mind and will carry out their adjudicative
duties faithfully and impartially. Judges who do not respond
may state their reasons for not responding, such as the danger
that answering might be perceived by a reasonable person
CODE OF JUDICIAL CONDUCT Rule 4.3
as undermining a judge’s independence or impartiality or that
it might lead to frequent disqualification. See Rule 2.11.
Rule 4.2. Activities of Judges as Candidates
for Reappointment or Elevation to Higher
Judicial Office
A judge who is a candidate for reappointment
or elevation to higher judicial office may:
(a) communicate with the appointing or confirm-
ing authority, including any selection, screening,
or nominating commission or similar agency; and
(b) seek endorsements for the appointment
from any person or organization other than a parti-
san political organization, provided that such
endorsement or the request therefor would not
appear to a reasonable person to undermine the
judge’s independence, integrity or impartiality.
(Effective Jan. 1, 2011.)
COMMENT: (1) When seeking support or when communi-
cating directly with an appointing or confirming authority, a
judge must not make any pledges, promises, or commitments
that are inconsistent with the impartial performance of the
adjudicative duties of the office. See Rule 4.1 (a) (9).
(2) It is never acceptable to seek an endorsement of an
advocacy group or a group whose interests have or are likely
to come before the judge.
Rule 4.3. Activities of Judges Who Become
Candidates for Public Office
(a) Upon becoming a candidate for an elective
public office either in a party primary or a general
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election, a judge shall resign from judicial office,
unless permitted by law to continue to hold judicial
office. A judge may continue to hold judicial office
while being a candidate for election to or serving
as a delegate in a state constitutional convention.
(b) Upon becoming a candidate for an appoint-
ive public office, a judge is not required to resign
from judicial office, provided that the judge com-
plies with the other provisions of this Code.
(Effective Jan. 1, 2011.)
COMMENT: (1) In campaigns for elective public office, can-
didates may make pledges, promises, or commitments related
to positions they would take and ways they would act if elected
to office. Although appropriate in public campaigns, this man-
ner of campaigning is inconsistent with the role of a judge,
who must remain fair and impartial to all who come before
him or her. The potential for misuse of the judicial office and
the political promises that the judge would be compelled to
make in the course of campaigning for elective public office
together dictate that a judge who wishes to run for such an
office must resign upon becoming a candidate.
(2) The ‘‘resign to run’’ rule set forth in subsection (a)
ensures that a judge cannot use the judicial office to promote
his or her candidacy and prevents postcampaign retaliation
from the judge in the event the judge is defeated in the election.
When a judge is seeking appointive public office, however,
the dangers are not sufficient to warrant imposing the ‘‘resign
to run’’ rule. However, the judge should be careful to avoid
presiding over matters affecting the entity to which the judge
is seeking public office.
CHAPTER AND SECTION HEADINGS OF THE RULES
CHAPTER AND SECTION HEADINGS OF THE RULES
SUPERIOR COURT—GENERAL PROVISIONS
CHAPTER 1
SCOPE OF RULES
Sec.
1-1. Scope of Rules; Definitions
1-2. Assignments to Take Precedence
1-3. Divisions of Superior Court
1-4. Family Division
1-5. Civil Division
1-6. Criminal Division
1-7. Housing Division (Only in Judicial Districts Speci-
fied by Statute)
1-8. Rules to Be Liberally Interpreted
1-9. Publication of Rules; Effective Date
1-9A. —Judiciary Committee; Placement of Rules Infor-
mation on Judicial Branch Website
1-9B. —Emergency Powers of Rules Committee
1-10. Possession of Electronic Devices in Court
Facilities
1-10A. Definition of ‘‘Media’’
1-10B. Media Coverage of Court Proceedings; In General
1-11. Media Coverage of Criminal Proceedings
[Repealed]
1-11A. Media Coverage of Arraignments
1-11B. Media Coverage of Civil Proceedings
1-11C. Media Coverage of Criminal Proceedings
1-11D. Pilot Program to Increase Public Access to Child
Protection Proceedings [Repealed]
1-12. Court Opening
1-13. Recess and Adjournment
1-13A. Contempt
1-14. —Criminal Contempt
1-15. —Who May Be Punished [Repealed]
1-16. —Summary Criminal Contempt
1-17. —Deferral of Proceedings
1-18. —Nonsummary Contempt Proceedings
1-19. —Judicial Authority Disqualification in Nonsum-
mary Contempt Proceedings
1-20. —Where No Right to Jury Trial in Nonsummary
Proceeding
1-21. —Nonsummary Judgment
1-21A. —Civil Contempt
1-22. Disqualification of Judicial Authority
1-23. Motion for Disqualification of Judicial Authority
1-24. Record of Off-Site Judicial Proceedings
1-25. Actions Subject to Sanctions
CHAPTER 2
ATTORNEYS
Sec.
2-1. County Court Designations concerning Bar
Admission Process
2-2. Admission
2-3. Examining Committee
2-4. —Regulations by Examining Committee
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2-4A. —Records of Examining Committee
2-5. —Examination of Candidates for Admission
2-5A. —Good Moral Character and Fitness to Practice
Law
2-6. —Personnel of Examining Committee
2-7. Number of Times an Applicant May Sit for the
Examination
2-8. Qualifications for Admission
2-9. Certification of Applicants Recommended for
Admission; Conditions of Admission
2-10. Admission by Superior Court
2-11. Monitoring Compliance with Conditions of Admis-
sion; Removal or Modification of Conditions
2-11A. Appeal from Decision of Bar Examining Commit-
tee concerning Conditions of Admission
2-12. County Committees on Recommendations for
Admission
2-13. Attorneys of Other Jurisdictions; Qualifications
and Requirements for Admission
2-13A. Military Spouse Temporary Licensing
2-14. —Action by Bar; Temporary License [Repealed]
2-15. —Permanent License [Repealed]
2-15A. —Authorized House Counsel
2-16. —Attorney Appearing Pro Hac Vice
2-17. Foreign Legal Consultants; Licensing Require-
ments
2-18. —Filings to Become Foreign Legal Consultant
2-19. —Scope of Practice of Foreign Legal Consultants
2-20. —Disciplinary Provisions regarding Foreign
Legal Consultants
2-21. —Affiliation of Foreign Legal Consultant with the
Bar of the State of Connecticut
2-22. Disposition of Fees for Admission to the Bar
2-23. Roll of Attorneys
2-24. Notice by Attorney of Admission in Other Juris-
dictions
2-25. Notice by Attorney of Disciplinary Action in
Other Jurisdictions
2-26. Notice by Attorney of Change in Address
2-27. Clients’ Funds; Lawyer Registration
2-27A. Minimum Continuing Legal Education
2-28. Overdraft Notification
2-28A. Attorney Advertising; Mandatory Filing
2-28B. —Advisory Opinions
2-29. Grievance Panels
2-30. Grievance Counsel for Panels and Investigators
2-31. Powers and Duties of Grievance Counsel
2-32. Filing Complaints against Attorneys; Action;
Time Limitation
2-33. Statewide Grievance Committee
2-34. Statewide Bar Counsel
2-34A. Disciplinary Counsel
2-35. Action by Statewide Grievance Committee or
Reviewing Committee
2-36. Action by Statewide Grievance Committee on
Request for Review
CHAPTER AND SECTION HEADINGS OF THE RULES
2-37. Sanctions and Conditions Which May Be Imposed
by Committees
2-38. Appeal from Decision of Statewide Grievance
Committee or Reviewing Committee Imposing
Sanctions or Conditions
2-39. Reciprocal Discipline
2-40. Discipline of Attorneys Found Guilty of Serious
Crimes in Connecticut
2-41. Discipline of Attorneys Found Guilty of Serious
Crimes in Another Jurisdiction
2-42. Conduct Constituting Threat of Harm to Clients
2-43. Notice by Attorney of Alleged Misuse of Clients’
Funds and Garnishments of Lawyers’ Trust
Accounts
2-44. Power of Superior Court to Discipline Attorneys
and to Restrain Unauthorized Practice
2-44A. Definition of the Practice of Law
2-45. —Cause Occurring in Presence of Court
2-46. Suspension of Attorneys Who Violate Support
Orders
2-47. Presentments and Unauthorized Practice of
Law Petitions
2-47A. Disbarment of Attorney for Misappropriation of
Funds
2-47B. Restrictions on the Activities of Deactivated
Attorneys
2-48. Designee to Prosecute Presentments
2-49. Restitution
2-50. Records of Statewide Grievance Committee,
Reviewing Committee and Grievance Panel
2-51. Costs and Expenses
2-52. Resignation and Waiver of Attorney Facing Disci-
plinary Investigation
2-53. Reinstatement after Suspension, Disbarment or
Resignation
2-54. Publication of Notice of Reprimand, Suspension,
Disbarment, Resignation, Placement on Inac-
tive Status or Reinstatement
2-55. Retirement of Attorney—Right of Revocation
2-55A. Retirement of Attorney—Permanent
2-56. Inactive Status of Attorney
2-57. —Prior Judicial Determination of Incompetency or
Involuntary Commitment
2-58. —No Prior Determination of Incompetency or
Involuntary Commitment
2-59. —Disability Claimed during Course of Disciplin-
ary Proceeding
2-60. —Reinstatement upon Termination of Disability
2-61. —Burden of Proof in Inactive Status Proceedings
2-62. —Waiver of Doctor-Patient Privilege upon Appli-
cation for Reinstatement
2-63. Definition of Respondent
2-64. Appointment of Attorney to Protect Clients’ and
Attorney’s Interests
2-65. Good Standing of Attorney
2-66. Practice by Court Officials
2-67. Payment of Attorneys by Bank and Trust Com-
panies
2-68. Client Security Fund Established
2-68A. —Crisis Intervention and Referral Assistance
2-69. —Definition of Dishonest Conduct
2-70. —Client Security Fund Fee
2-71. —Eligible Claims
2-72. —Client Security Fund Committee
2-73. —Powers and Duties of Client Security Fund Com-
mittee
2-74. —Regulations of Client Security Fund Committee
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2-75. —Processing Claims
2-76. —Confidentiality
2-77. —Review of Status of Fund
2-78. —Attorney’s Fee for Prosecuting Claim
2-79. —Enforcement of Payment of Fee
2-80. —Restitution by Attorney
2-81. —Restitution and Subrogation
2-82. Admission of Misconduct; Discipline by Consent
2-83. Effective Dates
CHAPTER 3
APPEARANCES
Sec.
3-1. Appearance for Plaintiff on Writ or Complaint in
Civil and Family Cases
3-2. Time to File Appearance
3-3. Form and Signing of Appearance
3-4. Filing Appearance
3-5. Service of Appearances on Other Parties
3-6. Appearances for Bail or Detention Hearing Only
3-7. Consequence of Filing Appearance
3-8. Appearance for Represented Party
3-9. Withdrawal of Appearance; Duration of
Appearance
3-10. Motion to Withdraw Appearance
3-11. Appearance for Several Parties
3-12. Change in Name, Composition or Membership of
a Firm or Professional Corporation
3-13. When Creditor May Appear and Defend
3-14. Legal Interns
3-15. —Supervision of Legal Interns
3-16. —Requirements and Limitations
3-17. —Activities of Legal Intern
3-18. —Certification of Intern
3-19. —Legal Internship Committee
3-20. —Unauthorized Practice
3-21. —Out-of-State Interns
CHAPTER 4
PLEADINGS
Sec.
4-1. Form of Pleading
4-2. Signing of Pleading
4-3. Filing and Endorsing Pleadings
4-4. Electronic Filing
4-5. Notice Required for Ex Parte Temporary
Injunctions
4-6. Page Limitations for Briefs, Memoranda of Law
and Reply Memoranda
4-7. Personal Identifying Information to Be Omitted or
Redacted from Court Records in Civil and Fam-
ily Matters
CHAPTER 5
TRIALS
Sec.
5-1. Trial Briefs
5-2. Raising Questions of Law Which May Be the Sub-
ject of an Appeal
5-3. Administering Oath
5-4. Examination of Witnesses
CHAPTER AND SECTION HEADINGS OF THE RULES
5-5. Objections to Evidence; Interlocutory Questions;
Exceptions Not Required
5-6. Reception of Evidence Objected to
5-7. Marking Exhibits
5-8. Interlocutory Matters
5-9. Citation of Opinion Not Officially Published
[Repealed]
5-10. Sanctions for Counsel’s Failure to Appear
5-11. Testimony of Party or Child in Family Relations
Matter When Protective Order, Restraining
Order, Standing Criminal Protective Order or
Standing Criminal Restraining Order Issued on
Behalf of Party or Child
CHAPTER 6
JUDGMENTS
Sec.
6-1. Statement of Decision; When Required
6-2. Judgment Files; Captions and Contents
6-3. —Preparation; When; By Whom; Filing
6-4. —Signing of Judgment File
6-5. —Notation of Satisfaction
CHAPTER 7
CLERKS; FILES AND RECORDS
Sec.
7-1. Dockets; Clerk’s Records
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS
CHAPTER 8
COMMENCEMENT OF ACTION
Sec.
8-1. Process
8-2. Waiver of Court Fees and Costs
8-3. Bond for Prosecution [Repealed]
8-3A. Bond for Prosecution or Recognizance
8-4. Certification of Financial Responsibility
[Repealed]
8-5. Remedy for Failure to Give Bond [Repealed]
8-6. Bond Ordered by Judicial Authority [Repealed]
8-7. Request to Furnish Bond [Repealed]
8-8. Member of Community Defending to Give Bond
[Repealed]
8-9. Bond by Nonresident in Realty Action [Repealed]
8-10. Surety Company Bond Acceptable
8-11. Action on Probate Bond; Endorsement of Writ
[Repealed]
8-12. Renewal of Bond
CHAPTER 9
PARTIES
Sec.
9-1. Continuance for Absent or Nonresident Defendant
9-2. Defense by Garnishee; Continuance
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7-2. General Duties of Clerk
7-3. Financial Accounts
7-4. Daybook
7-4A. Identification of Cases
7-4B. Motion to File Record under Seal
7-4C. Lodging a Record
7-5. Notice to Attorneys and Self-Represented Parties
7-6. Filing of Papers
7-7. Custody of Files
7-8. Lost File or Pleading
7-9. Completing Records
7-10. Retention and Destruction of Files and Records;
Withdrawals, Dismissals, Satisfactions of
Judgment
7-11. —Judgments on the Merits—Stripping and
Retention
7-12. —Actions Affecting the Title to Land
7-13. —Criminal/Motor Vehicle Files and Records
7-14. —Reports from Adult Probation and Family
Division
7-15. —Retention Ordered by Chief Court Administra-
tor; Transfer to State Library
7-16. —Motion to Prevent Destruction of File
7-17. Clerks’ Offices
7-18. Hospital, Psychiatric and Medical Records
7-19. Issuing Subpoenas for Witnesses on Behalf of
Self-Represented Litigants
7-20. Records of Short Calendar Matters
7-21. Removing Exhibits and Other Papers
9-3. Joinder of Parties and Actions; Interested Persons
as Plaintiffs
9-4. —Joinder of Plaintiffs in One Action
9-5. —Consolidation of Actions
9-6. —Interested Persons as Defendants
9-7. Class Actions; Prerequisites to Class Actions
9-8. —Class Actions Maintainable
9-9. —Procedure for Class Certification and Manage-
ment of Class
9-10. —Orders to Ensure Adequate Representation
9-11. Executor, Administrator or Trustee of Express
Trust
9-12. Personal Representatives of Cocontractor
9-13. Persons Liable on Same Instrument
9-14. Defendants Alternately Liable
9-15. Assignee of Part Interest
9-16. Assignment Pending Suit
9-17. Unsatisfied Judgment against One Defendant
9-18. Addition or Substitution of Parties; Additional Par-
ties Summoned in by Court
9-19. —Nonjoinder and Misjoinder of Parties
9-20. —Substituted Plaintiff
9-21. —Counterclaim; Third Parties
9-22. —Motion to Cite in New Parties
9-23. Suit by Real Party in Interest
9-24. Change of Name by Minor Child
9-25. Action on Bond to Municipal Officer
CHAPTER AND SECTION HEADINGS OF THE RULES
CHAPTER 10
PLEADINGS
Sec.
10-1. Fact Pleading
10-2. Pleading Legal Effect
10-3. Allegations Based on Statutory Grounds; For-
eign Law
10-4. Implied Duty
10-5. Untrue Allegations or Denials
10-6. Pleadings Allowed and Their Order
10-7. Waiving Right to Plead
10-8. Time to Plead
10-9. Common Counts
10-10. Supplemental Pleadings; Counterclaims
10-11. Impleading of Third Party by Defendant in Civil
Action
10-12. Service of the Pleading and Other Papers;
Responsibility of Counsel or Self-Represented
Party: Documents and Persons to Be Served
10-13. —Method of Service
10-14. —Proof of Service
10-15. —Numerous Defendants
10-16. —Several Parties Represented by One Attorney
10-17. —Service by Indifferent Person
10-18. Penalty for Failing to Plead
10-19. Implied Admissions
10-20. Contents of Complaint
10-21. Joinder of Causes of Action
10-22. —Transactions Connected with Same Subject
10-23. —Joinder of Torts
10-24. —Legal and Equitable Relief
10-25. Alternative Relief
10-26. Separate Counts
10-27. Claim for Equitable Relief
10-28. Interest and Costs Need Not Be Claimed
10-29. Exhibits as Part of Pleading
10-30. Motion to Dismiss; Grounds
10-31. —Opposition; Date for Hearing Motion to Dismiss
10-32. —Waiver Based on Certain Grounds
10-33. —Waiver and Subject Matter Jurisdiction
10-34. —Further Pleading by Defendant
10-35. Request to Revise
10-36. —Reasons in Request to Revise
10-37. —Granting of and Objection to Request to Revise
10-38. —Waiver of Pleading Revisions
10-39. Motion to Strike; Grounds
10-40. —Opposition; Date for Hearing Motion to Strike
10-41. —Reasons in Motion to Strike [Repealed]
10-42. —Memorandum of Law—Motion and Objection
[Repealed]
10-43. —When Memorandum of Decision Required on
Motion to Strike
10-44. —Substitute Pleading; Judgment
10-45. —Stricken Pleading Part of Another Cause or
Defense
10-46. The Answer; General and Special Denial
10-47. —Evasive Denials
10-48. —Express Admissions and Denials to Be Direct
and Specific
10-49. —Suit by Corporation; Admission by General
Denial
10-50. —Denials; Special Defenses
10-51. —Several Special Defenses
10-52. —Admissions and Denials in Special Defense
10-53. —Pleading Contributory Negligence
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10-54. —Pleading of Counterclaim and Setoff
10-55. —Withdrawal of Action after Counterclaim
10-56. Subsequent Pleadings; Plaintiff’s Response to
Answer
10-57. —Matter in Avoidance of Answer
10-58. —Pleadings Subsequent to Reply
10-59. Amendments; Amendment as of Right by Plaintiff
10-60. —Amendment by Consent, Order of Judicial
Authority, or Failure to Object
10-61. —Pleading after Amendment
10-62. —Variance; Amendment
10-63. —Amendment; Legal or Equitable Relief
10-64. —Amendment Calling for Legal Relief; Jury Trial
10-65. —Amending Contract to Tort and Vice Versa
10-66. —Amendment of Amount in Demand
10-67. —Amendment of Claim against Insolvent Estate
10-68. Pleading Special Matters; Pleading Notice
10-69. —Foreclosure Complaint; Pleading Encum-
brances
10-70. —Foreclosure of Municipal Liens
10-71. —Action on Probate Bond
10-72. —Action by Assignee of Chose in Action
10-73. —Pleading Charters
10-74. —Wrongful Sale; Wrongful Conversion
10-75. —Goods Sold; Variance
10-76. —Probate Appeals; Reasons of Appeal
10-77. —Appeals from Commissioners
10-78. —Pleading Collateral Source Payments
10-79. —Pleading Issues of Policy Limitations
CHAPTER 11
MOTIONS, REQUESTS, ORDERS OF NOTICE,
AND SHORT CALENDAR
Sec.
11-1. Form of Motion and Request
11-2. Definition of ‘‘Motion’’ and ‘‘Request’’
11-3. Motion for Misjoinder of Parties
11-4. Applications for Orders of Notice
11-5. Subsequent Orders of Notice; Continuance
11-6. Notice by Publication
11-7. Attestation; Publication; Proof of Compliance
11-8. Orders of Notice Directed outside of the United
States of America
11-9. Disclosure of Previous Applications
11-10. Requirement That Memorandum of Law Be Filed
with Certain Motions
11-11. Motions Which Delay the Commencement of the
Appeal Period or Cause the Appeal Period to
Start Again
11-12. Motion to Reargue
11-13. Short Calendar; Need for List; Case Assigned for
Trial; Reclaims
11-14. —Short Calendar; Frequency; Time; Lists
11-15. —Short Calendar; Assignments Automatic
11-16. —Continuances when Counsel’s Presence or Oral
Argument Required
11-17. —Transfers on Short Calendar
11-18. —Oral Argument of Motions in Civil Matters
11-19. —Time Limit for Deciding Short Calendar Matters
11-20. Closure of Courtroom in Civil Cases
11-20A. Sealing Files or Limiting Disclosure of Documents
in Civil Cases
11-20B. —Documents Containing Personal Identifying
Information
11-21. Motions for Attorney’s Fees
CHAPTER AND SECTION HEADINGS OF THE RULES
CHAPTER 12
TRANSFER OF ACTIONS
Sec.
12-1. Procedure for Transfer
12-2. Transfer of Action Filed in Wrong Location of Cor-
rect Court
12-3. Transmission of Files and Papers
CHAPTER 13
DISCOVERY AND DEPOSITIONS
Sec.
13-1. Definitions
13-2. Scope of Discovery; In General
13-3. —Materials Prepared in Anticipation of Litigation;
Statements of Parties; Privilege Log
13-4. —Experts
13-5. —Protective Order
13-6. Interrogatories; In General
13-7. —Answers to Interrogatories
13-8. —Objections to Interrogatories
13-9. Requests for Production, Inspection and Examina-
tion; In General
13-10. —Responses to Requests for Production;
Objections
13-11. —Physical or Mental Examination
13-11A. —Motion for Authorization to Obtain Protected
Health Information
13-12. Disclosure of Amount and Provisions of Insurance
Liability Policy
13-13. Disclosure of Assets in Cases in Which Prejudg-
ment Remedy Sought
13-14. Order for Compliance; Failure to Answer or Com-
ply with Order
13-15. Continuing Duty to Disclose
13-16. Orders by Judge
13-17. Disclosure before Court or Committee
13-18. Disclosures in Equity
13-19. Disclosure of Defense
13-20. Discovery Sought by Judgment Creditor
13-21. Discovery Outside the United States of America
13-22. Admission of Facts and Execution of Writings;
Requests for Admission
13-23. —Answers and Objections to Requests for
Admission
13-24. —Effect of Admission
13-25. —Expenses on Failure to Admit
13-26. Depositions; In General
13-27. —Notice of Deposition; General Requirements;
Special Notice; Nonstenographic Recording;
Production of Documents and Things; Deposi-
tion of Organization
13-28. —Persons before Whom Deposition Taken; Sub-
poenas
13-29. —Place of Deposition
13-30. —Deposition Procedure
13-31. —Use of Depositions in Court Proceedings
13-32. Stipulations regarding Discovery and Deposition
Procedure
13-33. Claim of Privilege or Protection after Production
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CHAPTER 14
DOCKETS, TRIAL LISTS, PRETRIALS AND
ASSIGNMENT LISTS
Sec.
14-1. Claim for Statutory Exemption or Stay by Reason
of Bankruptcy
14-2. Claim for Exemption from Docket Management
Program by Reason of Bankruptcy
14-3. Dismissal for Lack of Diligence
14-4. Maintenance of Case Records
14-5. Definition of Administrative Appeals
14-6. Administrative Appeals Are Civil Actions
14-7. Administrative Appeals; Exceptions
14-7A. —Administrative Appeals Brought Pursuant to
General Statutes § 4-183 et seq.; Appearances;
Records, Briefs and Scheduling
14-7B. Administrative Appeals from Municipal Land Use,
Historic and Resource Protection Agencies;
Records, Briefs and Scheduling; Withdrawal
or Settlement
14-8. Certifying That Pleadings Are Closed
14-9. Privileged Cases in Assignment for Trial
14-10. Claims for Jury
14-11. Pretrial; Assignment for Pretrial
14-12. —When Case Not Disposed of at Pretrial
14-13. —Pretrial Procedure
14-14. —Orders at Pretrial
14-15. Assignments for Trial in General
14-16. Methods of Assigning Cases for Trial
14-17. Immediate Trial
14-18. Cases Reached for Trial
14-19. Cases Marked Settled
14-20. Order of Trial
14-21. Clerk to Communicate with Counsel in Cases
Assigned for Week Certain
14-22. Assignment for Trial on Motion of Garnishee
14-23. Motions to Continue or Postpone Case Assigned
for Trial
14-24. Motion to Postpone; Absent Witness; Missing
Evidence
14-25. Availability of Counsel for Trial
CHAPTER 15
TRIALS IN GENERAL; ARGUMENT BY
COUNSEL
Sec.
15-1. Order of Trial
15-2. Separate Trials
15-3. Motion in Limine
15-4. Medical Evidence
15-5. Order of Parties Proceeding at Trial
15-6. Opening Argument
15-7. Time Limit on Argument
15-8. Dismissal in Court Cases for Failure to Make Out
a Prima Facie Case
CHAPTER 16
JURY TRIALS
Sec.
16-1. Deaf or Hearing Impaired Jurors
16-2. Challenge to Array
16-3. Preliminary Proceedings in Jury Selection
16-4. Disqualification of Jurors and Selection of Panel
CHAPTER AND SECTION HEADINGS OF THE RULES
16-5. Peremptory Challenges
16-6. Voir Dire Examination
16-7. Juror Questions and Note Taking
16-8. Oath and Admonitions to Trial Jurors
16-9. Questions of Law and Fact
16-10. Order by Judicial Authority for Jury Trial of Factual
Issues in Equitable Actions
16-11. Cases Presenting Both Legal and Equitable
Issues
16-12. View by Jury of Place or Thing Involved in Case
16-13. Judgment of the Court
16-14. Communications between Parties and Jurors
16-15. Materials to Be Submitted to Jury
16-16. Jury Deliberations
16-17. Jury Returned for Reconsideration
16-18. Interrogatories to the Jury
16-19. Reading of Statement of Amount in Demand or
Statement of Claim; Arguing Amount Recov-
erable
16-20. Requests to Charge and Exceptions; Necessity for
16-21. —Requests to Charge on Specific Claims
16-22. —Filing Requests
16-23. —Form and Contents of Requests to Charge
16-24. —Charge Conference
16-25. Modification of Instructions for Correction or Clari-
fication
16-26. Other Instructions after Additional Instructions
16-27. Jury Request for Review of Testimony
16-28. Jury Request for Additional Instructions
16-29. Deadlocked Jury
16-30. Verdict; Return of Verdict
16-31. —Acceptance of Verdict
16-32. —Poll of Jury after Verdict
16-33. —Discharge of Jury
16-34. —Impeachment of Verdict
16-35. Motions after Verdict: Motions in Arrest of Judg-
ment, to Set Aside Verdict, for Additur or Remitti-
tur, for New Trial, or for Collateral Source
Reduction
16-36. Motions to Reduce Verdict [Repealed] (Trans-
ferred to Section 17-2A.)
16-37. Reservation of Decision on Motion for Directed
Verdict
16-38. Memorandum on Setting Verdict Aside
CHAPTER 17
JUDGMENTS
Sec.
17-1. Judgments in General
17-2. Judgment on Verdict and Otherwise
17-2A. Motions to Reduce Verdict
17-3. Remittitur where Judgment Too Large
17-4. Setting Aside or Opening Judgments
17-4A. Motions for New Trial
17-5. Record of Proceeding; Facts Supporting Judg-
ment to Appear on Record
17-6. Form of Finding
17-7. Special Finding; Request
17-8. —Functions of Special Finding
17-9. —Form and Contents of Special Finding
17-10. Modifying Judgment after Appeal
17-11. Offer of Compromise by Defendant; How Made
17-12. —Acceptance of Defendant’s Offer
17-13. —Defendant’s Offer Not Accepted
17-14. Offer of Compromise by Plaintiff; How Made
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17-14A. —Alleged Negligence of Health Care Provider
17-15. —Acceptance of Plaintiff’s Offer
17-16. —Plaintiff’s Offer Not Accepted
17-17. —Offer of Compromise and Acceptance Included
in Record
17-18. —Judgment where Plaintiff Recovers an Amount
Equal to or Greater than Offer
17-19. Procedure where Party Fails to Comply with Order
of Judicial Authority or to Appear for Trial
17-20. Motion for Default and Nonsuit for Failure to
Appear
17-21. Defaults under Servicemembers Civil Relief Act
17-22. Notice of Judgments of Nonsuit and Default for
Failure to Enter an Appearance
17-23. Contract Actions to Pay a Definite Sum where
There Is a Default for Failure to Appear; Limi-
tations
17-24. —Promise to Pay Liquidated Sum
17-25. —Motion for Default and Judgment; Affidavit of
Debt; Military Affidavit; Bill of Costs; Debt
Instrument
17-26. —Order for Weekly Payments
17-27. —Entry of Judgment
17-28. —Enforcement of Judgment
17-29. —Default Motion Not on Short Calendar
17-30. Summary Process; Default and Judgment for Fail-
ure to Appear or Plead
17-31. Procedure where Party Is in Default
17-32. Where Defendant Is in Default for Failure to Plead
17-33. When Judgment May Be Rendered after a Default
17-33A. Motions for Judgment of Foreclosure
17-34. Hearings in Damages; Notice of Defenses
17-35. —Requirements of Notice; Time
17-36. —Notice by Clerk
17-37. —Notice of Defense to Be Specific
17-38. —Amending Notice of Defense
17-39. —No Reply Allowed
17-40. —Evidence to Reduce Damages
17-41. Relief Permissible on Default
17-42. Opening Defaults where Judgment Has Not
Been Rendered
17-43. Opening Judgment upon Default or Nonsuit
17-44. Summary Judgments; Scope of Remedy
17-45. —Proceedings upon Motion for Summary Judg-
ment; Request for Extension of Time to
Respond
17-46. —Form of Affidavits
17-47. —When Appropriate Documents Are Unavailable
17-48. —Affidavits Made in Bad Faith
17-49. —Judgment
17-50. —Triable Issue as to Damages Only
17-51. —Judgment for Part of Claim
17-52. Executions
17-53. Summary Process Executions
17-54. Declaratory Judgment; Scope
17-55. —Conditions for Declaratory Judgment
17-56. —Procedure for Declaratory Judgment
17-57. —Costs in Declaratory Judgment
17-58. —Declaratory Judgment Appealable
17-59. —Order of Priorities in Declaratory Judgment
CHAPTER 18
FEES AND COSTS
Sec.
18-1. Vouchers for Court Expenses
CHAPTER AND SECTION HEADINGS OF THE RULES
18-2. Costs on Appeal from Commissioners
18-3. Costs on Creditor’s Appeal
18-4. Eminent Domain; Clerk’s Fees
18-5. Taxation of Costs; Appeal
18-6. Costs on Writ of Error
18-7. Costs on Interlocutory Proceedings
18-8. Jury Fee where More than One Trial
18-9. Nonresident Witnesses; Fees
18-10. Witness Fees in Several Suits
18-11. Witness Not Called; Fees
18-12. Costs where Several Issues
18-13. Several Defendants; Costs
18-14. Fees and Costs where Plaintiffs Join or Actions
Are Consolidated
18-15. Costs where Both Legal and Equitable Issues
18-16. Costs on Complaint and Counterclaim
18-17. Costs on Counterclaim
18-18. Costs for Exhibits
18-19. Proceedings before Judge; No Costs
CHAPTER 19
REFERENCES
Sec.
19-1. Application of Chapter
19-2. Reference to Committee
19-2A. Reference to Attorney Trial Referee
19-3. Reference to Judge Trial Referee
19-3A. Reference to Special Assignment Probate Judge
19-4. Attorney Trial Referees and Special Assignment
Probate Judges; Time to File Report
19-5. Appointment of Committee or Referee
19-6. Effect of Reference
19-7. Pleadings
19-8. Report
19-9. Request for Finding
19-10. Alternative Report
19-11. Amending Report
19-12. Motion to Correct [Repealed]
19-13. Exceptions to Report or Finding [Repealed]
19-14. Objections to Acceptance of Report
19-15. Time to File Objections
19-16. Judgment on the Report
19-17. Function of the Court
19-18. Extensions of Time
19-19. Reference to Accountant
CHAPTER 20
HEARINGS IN CHAMBERS
Sec.
20-1. Procedure in Contested Matters
20-2. Certifying Proceedings to Court
20-3. Transfer of Hearings before Judges
20-4. Trial before Judge; Lodging File and Papers
20-5. Lodging Papers in Cause Affecting Land
20-6. Clerk Designated by Judge to Take Papers
CHAPTER 21
RECEIVERS
Sec.
21-1. Appointment of Temporary Receiver in Chambers
21-2. Permanent Receiver
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21-3. Appointments by Court
21-4. Receiver to Give Bond
21-5. Inventory
21-6. Insolvent Estates to Be Liquidated
21-7. Presentation and Allowance of Claims; Presen-
tation
21-8. —Allowance; Hearing
21-9. —Extensions of Time
21-10. —Hearing before Action on Allowance
21-11. Continuance of Business
21-12. Reports where Business Continued
21-13. Semiannual Summary of Orders
21-14. Semiannual Accounts
21-15. Orders in Chambers
21-16. Duty of Clerks
21-17. Removal of Receivers
21-18. Ancillary Receivers
21-19. Receiver of Rents; Applicability of Previous
Sections
21-20. —Appointment
21-21. —Bond
21-22. —Discharge
21-23. —Orders
21-24. —Reports
CHAPTER 22
UNEMPLOYMENT COMPENSATION
Sec.
22-1. Appeal
22-2. Assignment for Hearing
22-3. Finding
22-4. Correction of Finding; Motion to Correct Finding
22-5. —Evidence to Be Filed by Appellee
22-6. —Motion to Correct by Appellee
22-7. —Duty of Board on Motion to Correct
22-8. —Claiming Error on Board’s Decision on Motion
to Correct
22-9. Function of the Court
CHAPTER 23
MISCELLANEOUS REMEDIES AND
PROCEDURES
Sec.
23-1. Arbitration; Confirming, Correcting or Vacating
Award
23-2. Expedited Process Cases [Repealed]
23-3. —Placement on the Expedited Process Track
[Repealed]
23-4. —Pleadings Allowed in Expedited Process Track
Cases [Repealed]
23-5. —Motions Allowed [Repealed]
23-6. —Discovery Allowed [Repealed]
23-7. —Discovery Procedure for Expedited Process
Cases [Repealed]
23-8. —Certification That Pleadings Are Closed
[Repealed]
23-9. —Case Management Conference for Expedited
Process Track Cases [Repealed]
23-10. —Transfer to Regular Docket [Repealed]
23-11. —Offers of Judgment [Repealed]
23-12. —Trial of Cases on Expedited Process Track
[Repealed]
CHAPTER AND SECTION HEADINGS OF THE RULES
23-13. Granting of Complex Litigation Status and
Assignment
23-14. —Powers of Judge Assigned in Complex Litiga-
tion Cases
23-15. —Request for Complex Litigation Status
23-16. Foreclosure of Mortgages
23-17. —Listing of Law Days
23-18. —Proof of Debt in Foreclosures
23-19. —Motion for Deficiency Judgment
23-20. Review of Civil Contempt
23-21. Habeas Corpus
23-22. —The Petition
23-23. —Return of Noncomplying Petition
23-24. —Preliminary Consideration of Judicial Authority
23-25. —Waiver of Filing Fees and Costs of Service
23-26. —Appointment of Counsel
23-27. —Venue for Habeas Corpus
23-28. —Transfer of Habeas Corpus
23-29. —Dismissal
23-30. —The Return
23-31. —Reply to the Return
23-32. —Amendments
23-33. —Request for a More Specific Statement
23-34. —Summary Procedures for Habeas Corpus
Petitions
23-35. —Schedule for Filing Pleadings
23-36. —The Expanded Record
23-37. —Summary Judgment in Habeas Corpus
23-38. —Discovery in Habeas Corpus
23-39. —Depositions in Habeas Corpus
23-40. —Court Appearance in Habeas Corpus
23-41. —Motion for Leave to Withdraw Appearance of
Appointed Counsel
23-42. —Judicial Action on Motion for Permission to With-
draw Appearance
23-43. Interpleader; Pleadings
23-44. —Procedure in Interpleader
23-45. Mandamus; Parties Plaintiff; Complaint
23-46. —Mandamus Complaint [Repealed]
23-47. —Mandamus in a Pending Action
23-48. —Temporary Order of Mandamus
23-49. —Pleadings in Mandamus
23-50. Writs of Error
23-51. Petition to Open Parking or Citation Assessment
23-52. Fact-Finding; Approval of Fact Finders
23-53. —Referral of Cases to Fact Finders
23-54. —Selection of Fact Finders; Disqualification
23-55. —Hearing in Fact-Finding
23-56. —Finding of Facts
23-57. —Objections to Acceptance of Finding of Facts
23-58. —Action by Judicial Authority
23-59. —Failure to Appear at Hearing
23-60. Arbitration; Approval of Arbitrators
SUPERIOR COURT—PROCEDURE IN FAMILY MATTERS
CHAPTER 25
GENERAL PROVISIONS
Sec.
25-1. Definitions Applicable to Proceedings on Family
Matters
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23-61. —Referral of Cases to Arbitrators
23-62. —Selection of Arbitrators; Disqualification
23-63. —Hearing in Arbitration
23-64. —Decision of Arbitrator
23-65. —Failure to Appear at Hearing before Arbitrator
23-66. —Claim for Trial De Novo in Arbitration; Judgment
23-67. Alternative Dispute Resolution
23-68. Where Presence of Person May Be by Means of
an Interactive Audiovisual Device
CHAPTER 24
SMALL CLAIMS
Sec.
24-1. In General
24-2. Allowable Actions
24-3. Institution of Actions; Electronic Filing
24-4. Where Claims Shall Be Filed
24-5. Venue
24-6. Definition of ‘‘Plaintiff’’ and ‘‘Representative’’
24-7. What Constitutes File
24-8. Institution of Small Claims Actions; Beginning of
Action
24-9. —Preparation of Writ
24-10. —Service of Small Claims Writ and Notice of Suit
24-11. —Further Service of Claim [Repealed]
24-12. —Answer Date
24-13. —Alternative Method of Commencing Action
[Repealed]
24-14. —Notice of Time and Place of Hearing
24-15. —Scheduling of Hearings; Continuances
24-16. Answers; Requests for Time to Pay
24-17. —Prohibition of Certain Filings
24-18. —Plaintiff to Inquire as to Answer Filed [Repealed]
24-19. —Claim of Setoff or Counterclaim
24-20. —Amendment of Claim or Answer, Setoff or Coun-
terclaim; Motion to Dismiss
24-20A. —Request for Documents; Depositions
24-21. Transfer to Regular Docket
24-22. Hearings in Small Claims Actions; Subpoenas
24-23. —Procedure
24-24. Judgments in Small Claims; When Presence of
the Plaintiff or Representative Is Not Required
for Entry of Judgment
24-25. —Failure of the Defendant to Answer
24-26. —Failure of a Party to Appear before the Court
when Required
24-27. —Dismissal for Failure to Obtain Judgment
24-28. —Finality of Judgments and Decisions
24-29. —Decision in Small Claims; Time Limit
24-30. —Satisfying Judgment
24-31. —Opening Judgment; Costs
24-32. Execution in Small Claims Actions
24-33. Costs in Small Claims
25-2. Complaints for Dissolution of Marriage or Civil
Union, Legal Separation, or Annulment
25-2A. Premarital and Postnuptial Agreements
25-3. Action for Custody of Minor Child
25-4. Action for Visitation of Minor Child
CHAPTER AND SECTION HEADINGS OF THE RULES
25-5. Automatic Orders upon Service of Complaint or
Application
25-5A. Automatic Orders upon Service of Petition for
Child Support
25-5B. Automatic Orders upon Filing of Joint Petition—
Nonadversarial Divorce
25-6. Parties and Appearances
25-7. Pleadings in General; Amendments to Complaint
or Application
25-8. —Amendment; New Ground for Dissolution of
Marriage or Civil Union
25-9. —Answer, Cross Complaint, Claims for Relief
by Defendant
25-10. —Answer to Cross Complaint
25-11. —Order of Pleadings
25-12. Motion to Dismiss
25-13. —Grounds on Motion to Dismiss
25-14. —Waiver and Subject Matter Jurisdiction
25-15. —Further Pleading by Defendant
25-16. Motion to Strike; In General
25-17. —Date for Hearing
25-18. —Reasons
25-19. —Memorandum of Law
25-20. —When Memorandum of Decision Required
25-21. —Substitute Pleading; Judgment
25-22. —Stricken Pleading Part of Another Cause or
Defense
25-23. Motions, Requests, Orders of Notice, and Short
Calendar
25-24. Motions
25-25. Motion for Exclusive Possession
25-26. Modification of Custody, Alimony or Support
25-27. Motion for Contempt
25-28. Order of Notice
25-29. Notice of Orders for Support or Alimony
25-30. Statements to Be Filed
25-31. Discovery and Depositions
25-32. Mandatory Disclosure and Production
25-32A. Discovery Noncompliance
25-32B. Discovery—Special Master
25-33. Judicial Appointment of Expert Witnesses
25-34. Procedure for Short Calendar
25-35. Disclosure of Conference Recommendation
25-36. Motion for Decree Finally Dissolving Marriage or
Civil Union after Decree of Legal Separation
25-37. —Notice and Hearing
25-38. Judgment Files
SUPERIOR COURT—PROCEDURE IN FAMILY SUPPORT
MAGISTRATE MATTERS
CHAPTER 25a
FAMILY SUPPORT MAGISTRATE MATTERS
Sec.
25a-1. Family Support Magistrate Matters; Procedure
25a-1A. Notice of Title IV-D Child Support Enforcement
Services
25a-2. Prompt Filing of Appearance
25a-3. Withdrawal of Appearance; Duration of
Appearance
25a-4. Telephonic Hearings
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25-39. Miscellaneous Rules
25-40. Habeas Corpus in Family Matters; the Petition
25-41. —Preliminary Consideration
25-42. —Dismissal
25-43. —The Return
25-44. —Reply to the Return
25-45. —Schedule for Filing Pleadings
25-46. —Summary Judgment as to Writ of Habeas
Corpus
25-47. —Discovery
25-48. Dockets, Pretrials and Assignment for Disposition
25-49. Definitions
25-50. Case Management
25-51. When Motion for Default for Failure to Appear
Does Not Apply
25-52. Failure to Appear for Scheduled Disposition
25-53. Reference of Family Matters
25-54. Order of Trial; Argument by Counsel
25-55. Medical Evidence
25-56. Production of Documents at Hearing or Trial
25-57. Affidavit concerning Children
25-58. Reports of Dissolution of Marriage or Civil Union
and Annulment
25-59. Closure of Courtroom in Family Matters
25-59A. Sealing Files or Limiting Disclosure of Documents
in Family Matters
25-59B. —Documents Containing Personal Identifying
Information
25-60. Evaluations, Studies, Family Services Mediation
Reports and Family Services Conflict Resolu-
tion Reports
25-60A. Court-Ordered Private Evaluations
25-61. Family Division
25-61A. Standing Committee on Guardians Ad Litem and
Attorneys for the Minor Child in Family Matters
25-62. Appointment of Guardian Ad Litem
25-62A. Appointment of Attorney for a Minor Child
25-63. Right to Counsel in Family Civil Contempt Pro-
ceedings
25-64. —Waiver
25-65. Family Support Magistrates; Procedure
[Repealed]
25-66. Appeal from Decision of Family Support Magis-
trate [Repealed]
25-67. Support Enforcement Services [Repealed]
25-68. Right to Counsel in State Initiated Paternity
Actions
25-69. Social Services; Additional Duties
25a-5. Signing of Pleading
25a-6. Contents of Petition
25a-7. Automatic Orders upon Service of Petition
25a-8. Order of Notice
25a-9. Motions
25a-10. —Motion to Cite in New Parties
25a-11. Answer to Cross Petition
25a-12. Order of Pleadings
25a-13. Reclaims
25a-14. —Continuances when Counsel’s Presence or Oral
Argument Required
CHAPTER AND SECTION HEADINGS OF THE RULES
25a-15. Statements to Be Filed
25a-16. Opening Argument
25a-17. Motion to Open Judgment of Paternityby Acknowl-
edgment
25a-18. Modification of Alimony or Support
25a-19. Standard Disclosure and Production
25a-20. Medical Evidence
25a-21. Experts
25a-22. Interrogatories; In General
25a-23. Answers to Interrogatories
SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERS
CHAPTER 26
DEFINITIONS
Sec.
26-1. Definitions Applicable to Proceedings on Juve-
nile Matters
26-2. Persons in Attendance at Hearings
26-3. Case Initiation; Electronic Filing
CHAPTER 27
RECEPTION AND PROCESSING OF
DELINQUENCY AND FAMILY WITH SERVICE
NEEDS COMPLAINTS OR PETITIONS
Sec.
27-1. Complaints; In General [Repealed]
27-1A. Referrals for Nonjudicial Handling of Delin-
quency Complaints
27-2. —InsufficientAllegationsinComplaints[Repealed]
27-3. —Sufficient Allegations in Complaints [Repealed]
27-4. Additional Offenses and Misconduct
27-4A. Ineligibility for Nonjudicial Handling of Delin-
quency Complaint
27-5. Initial Interview for Delinquency Nonjudicial Han-
dling Eligibility
27-6. Denial of Responsibility
27-7. —Written Statement of Responsibility
27-8. —Scheduling of Judicial Plea/Dispositional Hear-
ing [Repealed]
27-8A. Nonjudicial Supervision—Delinquency
27-9. Family with Service Needs Referrals
CHAPTER 28
DELINQUENCY AND FAMILY WITH SERVICE
NEEDS NONJUDICIAL SUPERVISION
[Repealed as of Jan. 1, 2003.]
Sec.
28-1. NonjudicialSupervision[Repealed](Transferredto
Section 27-8A.)
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25a-24. Requests for Production, Inspection and Examina-
tion; In General
25a-25. Order for Compliance; Failure to Answer or Com-
ply with Order
25a-26. Continuing Duty to Disclose
25a-27. Depositions; In General
25a-28. —Place of Deposition
25a-29. Appeal from Decision of Family Support Mag-
istrate
25a-30. Support Enforcement Services
CHAPTER 29
RECEPTION AND PROCESSING OF
DELINQUENCY AND CHILD FROM FAMILY
WITH SERVICE NEEDS PETITIONS AND
DELINQUENCY INFORMATIONS
Sec.
29-1. Contents of Delinquency and Family with Service
Needs Petitions or Delinquency Informations
29-1A. Processing of Delinquency Petitions and Infor-
mations
29-1B. Processing of Family with Service Needs Petitions
29-2. Service of Petitions
CHAPTER 30
DETENTION
Sec.
30-1. Notice and Statement by Person Bringing Child to
Detention [Repealed]
30-1A. Admission to Detention
30-2. Release [Repealed]
30-2A. Family with Service Needs and Detention
30-3. Advisement of Rights
30-4. Notice to Parents by Detention Personnel
30-5. Detention Time Limitations
30-6. Basis for Detention
30-7. Place of Detention Hearings
30-8. Initial Order for Detention; Waiver of Hearing
30-9. Information Allowed at Detention Hearing
30-10. Orders of a Judicial Authority after Initial Deten-
tion Hearing
30-11. Detention after Dispositional Hearing
CHAPTER 30a
DELINQUENCY AND FAMILY WITH SERVICE
NEEDS HEARINGS
Sec.
30a-1. Initial Plea Hearing
30a-1A. Family with Service Needs Preadjudication Con-
tinuance
30a-2. Pretrial Conference
30a-3. —Standards of Proof; Burden of Going Forward
30a-4. Plea Canvass
30a-5. Dispositional Hearing
CHAPTER AND SECTION HEADINGS OF THE RULES
30a-6. —Statement on Behalf of Victim
30a-6A. —Persons in Attendance at Hearings [Repealed]
(Transferred to Section 26-2.)
30a-7. Recording of Hearings
30a-8. Records
30a-9. Appeals in Delinquency and Family with Service
Needs Proceedings
CHAPTER 31
DELINQUENCY AND FAMILY WITH SERVICE
NEEDS HEARING
[Repealed as of Jan. 1, 2003.]
Sec.
31-1. Adjudicatory Hearing; Actions by Judicial Author-
ity [Repealed]
31-2. —Continuance for Pretrial Conference [Repealed]
31-3. —Burden of Going Forward [Repealed]
31-4. —Physical Presence of Child [Repealed]
31-5. DispositionalHearing;Factors toBeConsideredby
Judicial Authority [Repealed]
31-6. —When Held; Evidence and Predispositional
Study [Repealed]
31-7. —Availability of Predispositional Study to Counsel
and Parties [Repealed]
31-8. —Dispositional Plan Offered by Child or Parent
[Repealed]
31-9. —Statement on Behalf of Victim [Repealed]
31-10. Modification of Probation and Supervision
[Repealed]
31-11. Take into Custody [Repealed]
31-12. Physical and Mental Examinations [Repealed]
31-13. Mentally Ill Children [Repealed]
CHAPTER 31a
DELINQUENCY AND FAMILY WITH SERVICE
NEEDS MOTIONS AND APPLICATIONS
Sec.
31a-1. Motions and Amendments
31a-1A. Continuances and Advancements
31a-2. Motion for Bill of Particulars
31a-3. Motion to Dismiss
31a-4. Motion to Suppress
31a-5. Motion for Judgment of Acquittal
31a-6. Motion for Transfer of Venue
31a-7. Motion in Limine
31a-8. Motion for Sequestration
31a-9. Severance of Offenses
31a-10. Trial Together on Petitions or Informations
31a-11. Motion for New Trial
31a-12. Motion to Transfer to Adult Criminal Docket
31a-13. Take into Custody Order
31a-13A. Temporary Custody Order—Family with Service
Needs Petition
31a-14. Physical and Mental Examinations
31a-15. Mentally Ill Children
31a-16. Discovery
31a-17. Disclosure of Defenses in Delinquency Pro-
ceedings
31a-18. Modification of Probation and Supervision
31a-19. Motion for Extension of Delinquency Commitment;
Motion for Review of Permanency Plan
31a-19A. Motion for Extension or Revocation of Family with
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Service Needs Commitment; Motion for Review
of Permanency Plan
31a-20. Petition for Violation of Family with Service Needs
Post-Adjudicatory Orders
31a-21. Petition for Child from a Family with Service Needs
at Imminent Risk
CHAPTER 32
NEGLECTED, UNCARED FOR AND
DEPENDENT CHILDREN AND TERMINATION
OF PARENTAL RIGHTS
[Repealed as of Jan. 1, 2003.]
Sec.
32-1. Initiation of Judicial Proceeding; Contents of Peti-
tions and Summary of Facts [Repealed]
32-2. —Summons Accompanying Petitions [Repealed]
32-3. —Venue [Repealed]
32-4. —Identity or Location of Parent Unknown
[Repealed]
32-5. —Address of Person Entitled to Personal Service
Unknown [Repealed]
32-6. Order of Temporary Custody; Application and
Sworn Statement [Repealed]
32-7. —Statement in Temporary Custody Order of
Respondent’s Rights and of Subsequent Hear-
ing [Repealed]
32-8. —Authority of Temporary Custodian [Repealed]
32-9. —Emergency, Life-Threatening Medical Situa-
tions—Procedures [Repealed]
CHAPTER 32a
RIGHTS OF PARTIES
NEGLECTED, ABUSED AND UNCARED FOR
CHILDREN AND TERMINATION OF
PARENTAL RIGHTS
Sec.
32a-1. Right to Counsel and to Remain Silent
32a-2. Hearing Procedure; Subpoenas
32a-3. Standards of Proof
32a-4. Child or Youth Witness
32a-5. Consultation with Child or Youth
32a-6. Interpreter
32a-7. Records
32a-8. Use of Confidential Alcohol or Drug Abuse Treat-
ment Records as Evidence
32a-9. Competency of Parent
CHAPTER 33
HEARINGS CONCERNING NEGLECTED,
UNCARED FOR AND DEPENDENT CHILDREN
AND TERMINATION OF PARENTAL RIGHTS
[Repealed as of Jan. 1, 2003.]
Sec.
33-1. Adjudicatory Hearing; Actions by Judicial Author-
ity [Repealed]
33-2. —Continuance for Case Status Conference
[Repealed]
33-3. —Evidence [Repealed]
CHAPTER AND SECTION HEADINGS OF THE RULES
33-4. —Burden of Proceeding [Repealed]
33-5. Dispositional Hearing; Evidence and Social Study
[Repealed]
33-6. —Availability of Social Study to Counsel and Par-
ties [Repealed]
33-7. —Dispositional Plan Offered by Respondents
[Repealed]
33-8. Protective Supervision—Conditions and Modifica-
tion [Repealed]
33-9. Extension Petitions [Repealed]
33-10. Revocation of Commitments [Repealed]
33-11. Modifications [Repealed]
33-12. Coterminous Petitions [Repealed]
33-13. Transfer from Probate Court of Petitions for
Removal of Parent as Guardian [Repealed]
CHAPTER 33a
PETITIONS FOR NEGLECT, UNCARED FOR,
DEPENDENCY AND TERMINATION OF
PARENTAL RIGHTS: INITIATION OF
PROCEEDINGS, ORDERS OF TEMPORARY
CUSTODY AND PRELIMINARY HEARINGS
Sec.
33a-1. Initiation of Judicial Proceeding; Contents of Peti-
tions and Summary of Facts
33a-2. Service of Summons, Petitions and Ex Parte
Orders
33a-3. Venue
33a-4. Identity or Location of Respondent Unknown
33a-5. Address of Person Entitled to Personal Service
Unknown
33a-6. Order of Temporary Custody; Ex Parte Orders and
Orders to Appear
33a-7. Preliminary Order of Temporary Custody or First
Hearing; Actions by Judicial Authority
33a-8. Emergency, Life-Threatening Medical Situa-
tions—Procedures
CHAPTER 34
RIGHTS OF PARTIES
[Repealed as of Jan. 1, 2003.]
Sec.
34-1. Right to Counsel and to Remain Silent [Repealed]
34-2. Hearing Procedure; Subpoenas [Repealed]
34-3. Standards of Proof [Repealed]
34-4. Child Witness [Repealed]
CHAPTER 34a
PLEADINGS, MOTIONS AND DISCOVERY
NEGLECTED, ABUSED AND UNCARED FOR
CHILDREN AND TERMINATION OF
PARENTAL RIGHTS
Sec.
34a-1. Motions, Requests and Amendments
34a-2. Short Calendar—Frequency
34a-3. Short Calendar—Assignments Automatic
34a-4. Short Calendar—Continuances When Counsel’s
Presence or Oral Argument Required
34a-5. Continuances and Advancements
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34a-6. Pleadings Allowed and Their Order
34a-7. Waiving Right to Plead
34a-8. Time to Plead
34a-9. Motion to Dismiss
34a-10. Grounds of Motion to Dismiss
34a-11. Waiver Based on Certain Grounds
34a-12. Waiver and Subject Matter Jurisdiction
34a-13. Further Pleading by Respondent or Child
34a-14. Response to Summary of Facts
34a-15. Motion to Strike
34a-16. Reasons in Motion to Strike
34a-17. Memorandum of Law—Motion and Objection
34a-18. When Memorandum of Decision Required on
Motion to Strike
34a-19. Substitute Pleading; Judgment
34a-20. Discovery
34a-21. Court-Ordered Evaluations
34a-22. Motion for Contempt
34a-23. Motion for Emergency Relief
CHAPTER 35
GENERAL PROVISIONS
[Repealed as of Jan. 1, 2003.]
Sec.
35-1. Petitions, Motions and Amendments [Repealed]
35-2. Continuances and Advancements [Repealed]
35-3. Discovery [Repealed]
35-4. Appeal [Repealed]
35-5. Recording of Testimony; Records [Repealed]
CHAPTER 35a
HEARINGS CONCERNING NEGLECTED,
ABUSED AND UNCARED FOR CHILDREN AND
TERMINATION OF PARENTAL RIGHTS
Sec.
35a-1. Adjudication upon Acceptance of Admission or
Written Plea of Nolo Contendere
35a-1A. Record of the Case
35a-1B. Exclusion of Unnecessary Persons from
Courtroom
35a-2. Case Status Conference or Judicial Pretrial
35a-3. Coterminous Petitions
35a-4. Motions to Intervene
35a-5. Notice and Right to Be Heard
35a-6. Post-Disposition Role of Former Guardian
35a-6A. Consolidation
35a-7. Evidence
35a-7A. Adverse Inference
35a-8. Burden of Proceeding
35a-9. Dispositional Hearing; Evidence and Social Study
35a-10. Availability of Social Study to Counsel and Parties
35a-11. Dispositional Plan Offered by Respondents
35a-12. Protective Supervision—Conditions and Modifi-
cation
35a-12A. Motions for Transfer of Guardianship
35a-13. Findings as to Continuation in the Home, Efforts to
Prevent Removal
35a-14. Motions for Review of Permanency Plan
35a-14A. Revocation of Commitment
35a-15. Reunification Efforts—Aggravating Factors
35a-16. Modifications
CHAPTER AND SECTION HEADINGS OF THE RULES
35a-17. Motions to Review Plan for Child Whose Parents’
Rights Have Been Terminated [Repealed]
35a-18. Opening Default
35a-19. Transfer from Probate Court of Petitions for
Removal of Parent as Guardian or Termination
of Parental Rights
SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS
CHAPTER 36
CRIMINAL
PROCEDURE PRIOR TO APPEARANCE
Sec.
36-1. Arrest by Warrant; Issuance
36-2. —Affidavit in Support of Application, Filing, Dis-
closure
36-3. —Contents of Warrant
36-4. —Direction by Judicial Authority for Use of
Summons
36-5. —Execution and Return of Warrant
36-6. —Cancellation of Warrant
36-7. Summons; Form of Summons and Complaint
36-8. —Issuance of Summons by Prosecuting Authority
in Lieu of Arrest Warrant
36-9. —Service of Summons
36-10. —Failure to Respond to Summons
36-11. Information and Complaint; Use
36-12. —Issuance of Information
36-13. —Form of Information
36-14. —Former Conviction in Information
36-15. —Filing and Availability of Information
36-16. Amendments; Minor Defects
36-17. —Substantive Amendment before Trial
36-18. —Substantive Amendment after Commencement
of Trial
36-19. —Request by Defendant for Essential Facts
36-20. —Continuance Necessitated by Amendment
36-21. Joinder of Offenses in Information
36-22. Joinder of Defendants
CHAPTER 37
ARRAIGNMENT
Sec.
37-1. Arraignment; Timing
37-2. —Information and Materials to Be Provided to the
Defendant Prior to Arraignment
37-3. —Advisement of Constitutional Rights
37-4. —Collective Statement Advising of Constitutional
Rights
37-5. —Reference to Public Defender; Investigation of
Indigency
37-6. —Appointment of Public Defender
37-7. Pleas; In General
37-8. —Plea of Guilty or Nolo Contendere
37-9. —Plea of Not Guilty
37-10. —Taking of Plea when Information in Two Parts
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35a-20. Motions for Reinstatement of Parent or Former
Legal Guardian as Guardian or Modification of
Guardianship Post-Disposition
35a-21. Appeals in Child Protection Matters
35a-22. Where Presence of Person May Be by Means of an
Interactive Audiovisual Device
35a-23. Child’s Hearsay Statement; Residual Exception
37-11. —Notice to Defendant when Information in Two
Parts
37-12. Defendant in Custody; Determination of Probable
Cause
CHAPTER 38
PRETRIAL RELEASE
Sec.
38-1. Release from Custody; Superior Court Arrest War-
rant where Appearance before Clerk Required
38-2. Release Following Any Other Arrest; Release by
Law Enforcement Officers
38-3. —Release by Bail Commissioner
38-4. —Release by Judicial Authority
38-5. —Release by Correctional Officials
38-6. Appearance after Release
38-7. Cash Bail
38-8. Ten Percent Cash Bail
38-9. Real Estate Bond
38-10. Factors to Be Considered by the Judicial Authority
in Release Decision [Repealed]
38-11. Request for Judicial Determination of Release
38-12. Attorneys Not Allowed to Give Bonds
38-13. Bail Modification; In General
38-14. —Motion of Parties for Bail Modification
38-15. —Application of Bail Commissioner
38-16. —Application of Surety
38-17. —Hearing on Motion or Application for Modification
of Bail
38-18. —Review of Detention Prior to Arraignment, Trial
or Sentencing
38-19. Violation of Conditions of Bail; Order to Appear
38-20. —Sanctions for Violation of Conditions of Release
38-21. —Forfeiture of Bail and Rearrest Warrant
38-22. Rebate of Forfeited Bonds
38-23. Discharge of Surety’s Obligation
CHAPTER 39
DISPOSITION WITHOUT TRIAL
Sec.
39-1. Procedure for Plea Discussions; In General
39-2. —Discussions with Defendant
39-3. —Role of Defense Counsel
39-4. —Subject Matter of Discussion
39-5. Plea Agreements; Upon Plea of Guilty or Nolo Con-
tendere
39-6. —Alternate Agreements
39-7. —Notice of Plea Agreement
39-8. —Sentencing after Acceptance of Plea Agreement
CHAPTER AND SECTION HEADINGS OF THE RULES
39-9. —Continuance for Sentencing
39-10. —Rejection of Plea Agreement
39-11. DispositionConference;Assignment ofJuryCases
39-12. —Effect of Previous Plea Discussions on Disposi-
tion Conference
39-13. —Attendance at Disposition Conference
39-14. —Nature of Disposition Conference; In General
39-15. —Inability to Reach Agreement
39-16. —Notice of Agreement to Judicial Authority
39-17. —Effect of Disposition Conference
39-18. Plea of Guilty or Nolo Contendere; Entering
39-19. —Acceptance of Plea; Advice to Defendant
39-20. —Ensuring That the Plea Is Voluntary
39-21. —Factual Basis for Plea
39-22. Pleading to Other Offenses after Guilty Finding
39-23. Previous Offender; Plea to Second Part
39-24. Record of Proceedings regarding Guilty Pleas
39-25. Inadmissibility of Rejected Guilty Pleas
39-26. Withdrawal of Plea; When Allowed
39-27. —Grounds for Allowing Plea Withdrawal
39-28. —Effect of Plea Withdrawal
39-29. Nolle Prosequi
39-30. —Objection by Defendant to Nolle Prosequi
39-31. —Effect of Nolle Prosequi
39-32. —Dismissal
39-33. Miscellaneous Dispositions
CHAPTER 40
DISCOVERY AND DEPOSITIONS
Sec.
40-1. Discovery in General; Regulating Discovery
40-2. —Good Faith Efforts and Subpoenas
40-3. —Continuing Obligation to Disclose
40-4. —Limitations on Requests or Motions
40-5. —Failure to Comply with Disclosure
40-6. —Discovery Performance
40-7. —Procedures for Disclosure
40-8. —Objection to Disclosure
40-9. —Presence during Tests and Experiments
40-10. —Custody of Materials
40-11. Disclosure by the Prosecuting Authority
40-12. Discretionary Disclosure Directed to Prosecuting
Authority
40-13. Names of Witnesses; Prior Record of Witnesses;
Statements of Witnesses
40-13A. Law Enforcement Reports, Affidavits and
Statements
40-14. Information Not Subject to Disclosure by Prosecut-
ing Authority
40-15. Disclosure of Statements; Definition of Statement
40-16. Request for Recess by Defendant upon Receipt
of Statement
40-17. Defense of Mental Disease or Defect or Extreme
Emotional Disturbance; Notice by Defendant
40-18. —Notice by Defendant of Intention to Use Expert
Testimony regarding Mental State; Filing
Reports of Exam
40-19. —Prosecutorial Motion for Psychiatric Exami-
nation
40-20. —Failure of Expert to Submit Report
40-21. Defense of Alibi; Notice by Defendant
40-22. —Notice by Prosecuting Authority concerning
Alibi Defense
40-23. —Continuing Duty of Parties to Disclose regarding
Alibi Defense
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40-24. —Exceptions
40-25. —Inadmissibility of Withdrawn Alibi
40-26. Disclosure by the Defendant; Information and
Materials Discoverable by the Prosecuting
Authority as of Right
40-27. Discretionary Disclosure Directed to Defendant
40-28. Derivative Evidence
40-29. Protective Orders Requested by Defendant
40-30. Admissibility at Time of Trial
40-31. InformationNotSubjecttoDisclosurebyDefendant
40-32. Obtaining Nontestimonial Evidence from
Defendant
40-33. —Emergency Procedure regarding Nontestimo-
nial Evidence
40-34. —Scope of Order for Nontestimonial Evidence
40-35. —Contents of Order
40-36. —Service of Order
40-37. —Implementation of Order
40-38. —Obtaining Nontestimonial Evidence from
Defendant upon Motion of Defendant
40-39. —Comparing Nontestimonial Evidence
40-40. Protective Orders; Relief
40-41. —Grounds for Protective Order
40-42. —In Camera Proceedings
40-43. —Excision as Protective Order
40-44. Depositions; Grounds
40-45. —Failure to Appear for Deposition
40-46. —Use of Deposition
40-47. —Notice and Person Taking Deposition
40-48. —Protective Order Prior to Deposition
40-49. —Manner of Taking Deposition
40-50. —Scope of Examination at Deposition
40-51. —Objections at Depositions
40-52. —Protective Order during Deposition
40-53. —Return of Deposition
40-54. —Right of Defendant to Be Present and Repre-
sented at Deposition
40-55. —Waiver of Presence and Failure to Appear at
Deposition
40-56. —Definition of Unavailable
40-57. —Taking and Use in Court of Deposition by
Agreement
40-58. —Expenses of Deposition and Copies
CHAPTER 41
PRETRIAL MOTIONS
Sec.
41-1. Pretrial Motion Practice; Exclusive Procedures
41-2. —Matters to Be Raised by Motion
41-3. —Pretrial Motions and Requests
41-4. —Failure to Raise Defense, Objection or Request
41-5. —Time for Making Pretrial Motions or Requests
41-6. —Form and Manner of Making Pretrial Motions
41-7. —Hearing and Ruling on Pretrial Motions
41-8. Motion to Dismiss
41-9. —Restriction on Motion to Dismiss
41-10. —Defects Not Requiring Dismissal
41-11. —Remedies for Minor Defects Not Requiring Dis-
missal
41-12. Motion to Suppress
41-13. —Return and Suppression of Seized Property
41-14. —Suppression of Intercepted Communications
41-15. —Time for Filing Motion to Suppress
41-16. —Effect on Seized Property of Granting Motion
CHAPTER AND SECTION HEADINGS OF THE RULES
41-17. —Particular Judicial Authority May Not Hear
Motion
41-18. Severance of Offenses
41-19. Trial Together of Informations
41-20. Bill of Particulars; Time for Filing
41-21. —Content of Bill
41-22. —Furnishing of Bill
41-23. Transfer of Prosecution; Grounds
41-24. —Time for Motion to Transfer
41-25. —Proceedings on Transfer
CHAPTER 42
TRIAL PROCEDURE
Sec.
42-1. Jury Trials; Right to Jury Trial and Waiver
42-2. —Two Part Information
42-3. —Size of Jury
42-4. —Challenge to Array
42-5. —Disqualification of Jurors and Selection of Panel
42-6. —View by Jury of Place or Thing Involved in Case
42-7. —Communications between Judicial Authority
and Jury
42-8. —Communications between Parties and Jurors
42-9. —Juror Questions and Note Taking
42-10. Selection of Jury; Deaf or Hearing Impaired Jurors
42-11. —Preliminary Proceedings in Jury Selection
42-12. —Voir Dire Examination
42-13. —Peremptory Challenges
42-14. —Oath and Admonitions to Trial Jurors
42-15. Motion in Limine
42-16. Requests to Charge and Exceptions; Necessity for
42-17. —Filing Requests
42-18. —Form and Contents of Requests to Charge
42-19. —Charge Conference
42-20. Submission for Verdict; Role of Judicial Authority
in Trial
42-21. Jury Deliberations
42-22. Sequestration of Jury
42-23. Materials to Be Submitted to Jury
42-24. Modification of Instructions for Correction or Clarifi-
cation
42-25. —Other Instructions after Additional Instructions
42-26. Jury Requests for Review of Testimony
42-27. Jury Requests for Additional Instructions
42-28. Deadlocked Jury
42-29. Verdict; Return of Verdict
42-30. —Acceptance of Verdict
42-31. —Poll of Jury after Verdict
42-32. —Discharge of Jury
42-33. —Impeachment of Verdict
42-34. Trial without Jury
42-35. Order of Parties Proceeding at Trial
42-36. Sequestration of Witnesses
42-37. Time Limits in Argument
42-38. Order of Proceeding of Defendants
42-39. Judicial Appointment of Expert Witnesses
42-40. Motions for Judgment of Acquittal; In General
42-41. —At Close of Prosecution’s Case
42-42. —At Close of Evidence
42-43. Motion for Mistrial; For Prejudice to Defendant
42-44. —For Prejudice to State
42-45. Jury’s Inability to Reach Verdict
42-46. Control of Judicial Proceedings; Restraint of Dis-
ruptive Defendant
42-47. —Removal of Disruptive Defendant
42-48. —Cautioning Parties and Witnesses
42-49. Closure of Courtroom in Criminal Cases
42-49A. Sealing or Limiting Disclosure of Documents in
Criminal Cases
42-50. Motion for Judgment of Acquittal; After Mistrial
42-51. —Upon Verdict of Guilty
42-52. —Time for Filing Motion for Judgment of Acquittal
42-53. Motion for New Trial; In General
42-54. —Time for Filing Motion for New Trial
42-55. —Time for Filing Motion for New Trial Based on
Newly Discovered Evidence
42-56. Motion in Arrest of Judgment
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CHAPTER 43
SENTENCING, JUDGMENT, AND APPEAL
Sec.
43-1. Posttrial Release Following Appeal by Prosecut-
ing Authority
43-2. Posttrial Release Following Conviction
43-3. Presentence Investigation and Report; Waiver;
Alternative Incarceration and Plan
43-4. —Scope of Investigation or Assessment
43-5. —Participationof DefenseCounselin ReportPrep-
aration
43-6. —Period of Continuance to Complete Report
43-7. —Persons Receiving Report
43-8. —Prohibition against Making Copies
43-9. —Use and Disclosure of Reports
43-10. Sentencing Hearing; Procedures to Be Followed
43-11. —Role at Sentencing of Prosecuting Authority
43-12. —Role of Prosecuting Authority at Sentencing
when There Was a Plea Agreement
43-13. —Familiarization with Report by Defense Counsel
43-14. —Correction of Report Indicated by Defense
Counsel
43-15. —Undisclosed Plea Agreement
43-16. —Submission of Supplementary Documents by
Defense Counsel
43-17. Payment of Fines; Inquiry concerning Ability
43-18. —Incarceration for Failure to Pay
43-19. —Payment and Satisfaction
43-20. —Mittimus
43-21. Reduction of Definite Sentence
43-22. Correction of Illegal Sentence
43-23. Sentence Review; Appearance of Counsel
43-24. —Time for Filing Application for Sentence Review
43-25. —Preparation of Documents by Clerk
43-26. —Additional Material for Sentence Review
43-27. —Hearing on Sentence Review Application
43-28. —Scope of Review
43-29. Revocation of Probation
43-29A. Notice of Motions to Modify or Enlarge Conditions
of Probation or Conditional Discharge or Termi-
nate Conditions of Probation or Conditional Dis-
charge
43-30. Notification of Right to Appeal
43-31. Stay of Imprisonment upon Appeal
43-32. Stay of Probation upon Appeal
43-33. Appointment of Initial Counsel for Appeal by Indi-
gent Defendant
43-34. Attorney’sFinding ThatAppeal IsWholly Frivolous;
Request by Initial Counsel to Withdraw
43-35. —Submission of Memorandum of Law
43-36. —Finding That Appeal Is Frivolous
43-37. —Finding That Appeal Is Not Frivolous
43-38. —Disqualification of Presiding Judge
43-39. Speedy Trial; Time Limitations
43-40. —Excluded Time Periods in Determining Speedy
Trial
43-41. —Motion for Speedy Trial; Dismissal
43-42. —Definition of Commencement of Trial
43-43. —Waiver of Speedy Trial Provisions
CHAPTER AND SECTION HEADINGS OF THE RULES
CHAPTER 44
GENERAL PROVISIONS
Sec.
44-1. Right to Counsel; Appointment in Specific
Instances
44-2. —Appointment in Other Instances
44-3. —Waiver of Right to Counsel
44-4. —Standby Counsel for Defendant Self-Repre-
sented
44-5. —Role of Standby Counsel
44-6. —Standby Counsel for Disruptive Defendant
44-7. Presence of Defendant; Attire of Incarcerated
Defendant or Witness
44-8. —When Presence of Defendant Is and Is Not
Required at Trial and Sentencing
44-9. —Obtaining Presence of Unexcused Defendant at
Trial or Sentencing
44-10. —Where Presence of Defendant Not Required
44-10A. —WherePresence of DefendantMay BebyMeans
of an Interactive Audiovisual Device
44-11. Docketing and Scheduling in General of Criminal
Cases
44-12. —Control of Scheduling
44-13. —Scheduling for Proceedings before Trial; Contin-
uances
RULES OF APPELLATE PROCEDURE
CHAPTER 60
GENERAL PROVISIONS RELATING TO
APPELLATE RULES AND
APPELLATE REVIEW
Sec.
60-1. Rules to Be Liberally Interpreted
60-2. Supervision of Procedure
60-3. Suspension of the Rules
60-4. Definitions
60-5. Review by the Court; Plain Error; Preservation of
Claims
60-6. Appellate Jurists Sitting as Superior Court Judges
60-7. Electronic Filing; Payment of Fees
60-8. Exemption from or Inapplicability of Electronic Fil-
ing; Payment of Fees
60-9. Security for Costs
CHAPTER 61
REMEDY BY APPEAL
Sec.
61-1. Right of Appeal
61-2. Appeal of Judgment on Entire Complaint, Counter-
claim or Cross Complaint
61-3. Appealof Judgment onPart ofComplaint,Counter-
claim or Cross Complaint That Disposes of All
Claims in that Pleading Brought by or against
One or More Parties
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44-14. —Assignments for Plea in Judicial District Court
Location
44-15. —Scheduling at Entry of Plea
44-16. —Scheduling from Trial List
44-17. —Motion to Advance
44-18. —Continuances
44-19. Reference to Judge Trial Referee
44-20. Appointment of Guardian Ad Litem
44-21. Infractions and Violations; When Treated as an
Offense
44-22. —Form of Summons and Complaint for Infractions
and Violations
44-23. —When Custody Not Required
44-24. —When Custody Required
44-25. —Pleaof Nolo Contendereto InfractionorViolation
44-26. —Pleas of Not Guilty to Infraction or Violation
44-27. —Hearing of Infractions, Violations to Which Not
Guilty Plea Filed
44-28. —Locationof InfractionsBureauand Roleof Clerks
44-29. —Powers of Centralized Infractions Bureau
44-30. —HearingbyMagistratesofInfractionsandCertain
Motor Vehicle Violations
44-31. Motionto Quash SubpoenaPursuant toInquiry into
Commission of Crime
44-32. Fees and Expenses; Return of Subpoenas
44-33. —Indigent Witnesses
44-34. —Fees for Witnesses
44-35. —Officer’s Fees on Extradition; Habeas Corpus
44-36. —Fee on Motion to Open Certain Judgments
44-37. Definition of Terms
61-4. Appeal of Judgment That Disposes of At Least One
Cause of Action While Not Disposing of Either
(1) An Entire Complaint, Counterclaim or Cross
Complaint, or (2) All the Causes of Action in a
Pleading Brought by or against a Party
61-5. Deferring Appeal until Judgment Rendered That
Disposes of Case for All Purposes and as to All
Parties
61-6. Appeal of Judgment or Ruling in Criminal Case
61-7. Joint and Consolidated Appeals
61-8. Cross Appeals
61-9. Decisions Subsequent to Filing of Appeal;
Amended Appeals
61-10. Responsibility of Appellant to Provide Adequate
Record for Review
61-11. Stay of Execution in Noncriminal Cases
61-12. Discretionary Stays
61-13. Stay of Execution in Criminal Case
61-14. Review of Order concerning Stay; When Stay May
Be Requested from Court Having Appellate
Jurisdiction
61-15. Stay of Execution in Death Penalty Case
61-16. Notice of (1) Bankruptcy Filing, (2) Disposition of
Bankruptcy Case and (3) Order of Bankruptcy
Court Granting Relief from Automatic Stay
CHAPTER 62
CHIEF JUDGE, APPELLATE CLERK AND
DOCKET: GENERAL ADMINISTRATIVE
MATTERS
Sec.
62-1. Chief Judge
CHAPTER AND SECTION HEADINGS OF THE RULES
62-2. Clerk
62-3. Entry of Cases
62-4. Case to Remain on Docket of Trial Court
62-5. Changes in Parties
62-6. Signature on Documents
62-7. Matters of Form; Filings; Delivery and Certification
to Counsel of Record
62-8. Names of Counsel; Appearance
62-8A. Attorneys of Other Jurisdictions Participating Pro
Hac Vice on Appeal
62-9. Withdrawal of Appearance
62-9A. Hybrid Representation; Removal or Substitution of
CounselinCriminalandHabeasCorpusAppeals
62-10. Files to Be Available to Parties
62-11. Files and Records Not to Be Removed
CHAPTER 63
FILING THE APPEAL; WITHDRAWALS
Sec.
63-1. Time to Appeal
63-2. Expiration of Time Limitations; Counting Days;
Hours of Operation
63-3. Filing of Appeal
63-3A. Appeals in E-Filed Cases [Repealed]
63-4. Additional Papers to Be Filed by Appellant and
Appellee when Filing Appeal
63-5. Fees [Repealed]
63-6. Waiver of Fees, Costs and Security—Civil Cases
63-7. Waiver of Fees, Costs and Security—Criminal
Cases
63-8. Ordering and Filing of Paper Transcripts
63-8A. Electronic Copies of Transcripts
63-9. Filing Withdrawals of Appeals or Writs of Error
63-10. Preargument Conferences
CHAPTER 64
PROCEDURE CONCERNING MEMORANDUM
OF DECISION
Sec.
64-1. Statement of Decision by Trial Court; When
Required; How Stated; Contents
64-2. Exceptions to Section 64-1
CHAPTER 65
TRANSFER OF CASES
Sec.
65-1. Transfer of Cases by Supreme Court
65-2. Motion for Transfer from Appellate Court to
Supreme Court
65-3. Transfer of Petitions for Review of Bail Orders from
Appellate Court to Supreme Court
65-4. Transfer of Matters Brought to Wrong Court
CHAPTER 66
MOTIONS AND OTHER PROCEDURES
Sec.
66-1. Extension of Time
66-2. Motions, Petitions and Applications; Supporting
Memoranda
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66-2A. Supreme Court Briefs onCompact Disc; Hyperlink-
ing [Repealed]
66-3. Motion Procedures and Filing
66-4. Hearings on Motions
66-5. Motion for Rectification; Motion for Articulation
66-6. Motion for Review; In General
66-7. Motion for Review of Motion for Rectification of
Appeal or Articulation
66-8. Motion to Dismiss
CHAPTER 67
BRIEFS
Sec.
67-1. Brief and Appendix
67-2. Format of Briefs and Appendices; Copies; Elec-
tronic Briefing Requirement
67-3. Page Limitations; Time for Filing Briefs and
Appendices
67-4. The Appellant’s Brief; Contents and Organization
67-5. The Appellee’s Brief; Contents and Organization
67-6. Statutory (§ 53a-46b) Review of Death Sentences
67-7. The Amicus Curiae Brief
67-8. The Appendix; Contents and Organization
67-8A. The Appendix in Administrative Appeals; Excep-
tions (Transferred from Section 68-10.)
67-9. CitationofUnreported Decisions[Repealedonlyas
to appeals filed on or after July 1, 2013.]
67-10. Citation of Supplemental Authorities after Brief Is
Filed
67-11. Table of Authorities; Citation of Cases
67-12. Stay of Briefing Obligations upon Filing of Certain
Motions after Appeal Is Filed
67-13. Briefs in Family and Juvenile Matters and Other
Matters involving Minor Children
CHAPTER 68
CASE FILE
Sec.
68-1. ResponsibilitiesofClerkoftheTrialCourtregarding
Copying Case File and Additions to Case File
Made after Appeal Is Filed; Exhibits and
Lodged Records
68-2. Record Preparation [Repealed only as to appeals
filed on or after July 1, 2013.]
68-3. RecordContents [Repealedonlyas toappeals filed
on or after July 1, 2013.]
68-4. Record Format [Repealed only as to appeals filed
on or after July 1, 2013.]
68-5. Record where More than One Appeal [Repealed
only as to appeals filed on or after July 1, 2013.]
68-6. Recordwhere SeveralCases PresentSame Ques-
tion [Repealed only as to appeals filed on or after
July 1, 2013.]
68-7. Record Filing [Repealed only as to appeals filed on
or after July 1, 2013.]
68-8. Supplements [Repealed only as to appeals filed on
or after July 1, 2013.]
68-9. Evidence Not to Be Included in Record [Repealed
only as to appeals filed on or after July 1, 2013.]
68-10. Record in Administrative Appeals; Exceptions
[Repealed only as to appeals filed on or after July
1, 2013.] (Transferred as of July 1, 2013, to Sec-
tion 67-8A.)
CHAPTER AND SECTION HEADINGS OF THE RULES
68-11. Decision to Be Part of Record [Repealed only as to
appeals filed on or after July 1, 2013.]
CHAPTER 69
ASSIGNMENT OF CASES FOR ARGUMENT
Sec.
69-1. Docket
69-2. Cases Ready for Assignment
69-3. Time for Assignments; Order of Assignment
CHAPTER 70
ARGUMENTS AND MEDIA COVERAGE OF
COURT PROCEEDINGS
Sec.
70-1. Oral Argument; Videoconferencing of Oral Argu-
ment in Certain Cases
70-2. Submission without Oral Argument on Request of
Parties
70-3. Order of Oral Argument; Nonappearance at Oral
Argument
70-4. Time Allowed for Oral Argument; Who May Argue
70-5. Points to Be Argued
70-6. Reconsideration when Court Evenly Divided
70-7. Appellate Court Consideration En Banc and Rear-
gument En Banc
70-8. Special Sessions
70-9. Coverage of Court Proceedings by Cameras and
Electronic Media
70-10. Cameras and Electronic Media; Coverage of
Supreme and Appellate Court Proceedings by
News Media [Repealed]
CHAPTER 71
APPELLATE JUDGMENTS AND OPINIONS
Sec.
71-1. Appellate Judgment Files
71-2. Costs Included in Judgments
71-3. Motion to Reconsider Costs
71-4. Opinions; Rescripts; Official Release Date
71-5. Motions for Reconsideration; Motions for Recon-
sideration En Banc
71-6. Stay of Proceedings
71-7. Stays of Execution Pending Decision by United
States Supreme Court
CHAPTER 72
WRITS OF ERROR
Sec.
72-1. Writs of Error; In General
72-2. Form
72-3. Applicable Procedure
72-4. Applicability of Rules
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CHAPTER 73
RESERVATIONS
Sec.
73-1. Reservation of Questions from the Superior Court
to the Supreme Court or Appellate Court; Con-
tents of Reservation Request
73-2. Consideration of Reservation Request by Supe-
rior Court
73-3. Procedure upon Acceptance of Reservation
73-4. Briefs, Appendices and Argument
CHAPTER 74
DECISIONS OF JUDICIAL REVIEW COUNCIL
Sec.
74-1. Appeals by Respondent Judge from Decision of
Judicial Review Council
74-2. Papers to Be Filed [Repealed]
74-2A. Referral to Supreme Court by Judicial Review
Council Following Recommendation of Suspen-
sion or Removal (Transferred from Section 74-7)
74-3. Costs and Security Not Required [Repealed]
74-3A. Initiation of Action by Supreme Court (Transferred
from Section 74-8)
74-4. Decision of Council; Remand by Supreme Court
74-5. Parties
74-6. Applicability of Rules
74-7. Action on Recommendation when No Appeal
(Transferred to Section 74-2A)
74-8. Initiation of Action by Supreme Court (Transferred
to Section 74-3A)
CHAPTER 75
APPEALS FROM COUNCIL ON PROBATE
JUDICIAL CONDUCT
Sec.
75-1. Appeals by Respondent Judge from Decision of
Council on Probate Judicial Conduct
75-2. Papers to Be Filed [Repealed]
75-3. Costs and Security Not Required [Repealed]
75-4. Decision of Council; Remand by Supreme Court
75-5. Parties
75-6. Applicability of Rules
CHAPTER 76
APPEALS IN WORKERS’ COMPENSATION
CASES
Sec.
76-1. Applicability of Rules
76-2. Filing Appeal
76-3. Preparation of Case File; Exhibits
76-4. Fees and Costs
76-5. Reservation of Question from Compensation
Review Board
76-5A. Procedure Upon Acceptance of Reservation
76-6. Definitions
CHAPTER AND SECTION HEADINGS OF THE RULES
CHAPTER 77
PROCEDURES CONCERNING COURT
CLOSURE AND SEALING ORDERS OR
ORDERS LIMITING THE DISCLOSURE OF
FILES, AFFIDAVITS, DOCUMENTS OR
OTHER MATERIAL
Sec.
77-1. Expedited Review of an Order concerning Court
Closure, or an Order ThatSeals or Limits the Dis-
closure of Files, Affidavits, Documents or Other
Material
77-2. Sealing Orders; Treatment of Lodged Records
77-3. Sealing Documents or Limiting Disclosure ofDocu-
ments on Appeal
77-4. Motion to Seal; Lodging of Documents with Appel-
late Clerk
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
CHAPTER 78a
REVIEW OF ORDERS CONCERNING
RELEASE ON BAIL
Sec.
78a-1. Petition for Review of Order concerning Release
on Bail
CHAPTER 79
APPEALS IN JUVENILE MATTERS
[Repealed as of Feb. 1, 2012.]
Sec.
79-1. Time to Take; Form; Filing; Costs [Repealed]
79-2. Clerk’s Duties [Repealed]
79-3. Inspection of Records [Repealed]
79-4. Hearings; Confidentiality [Repealed]
79-5. Briefs [Repealed]
CHAPTER 79a
APPEALS IN CHILD PROTECTION MATTERS
Sec.
79a-1. Child Protection Appeals Defined
79a-2. Time to Appeal
79a-3. Filing of the Appeal
79a-4. Waiver of Fees, Costs and Security
79a-5. Ordering Transcripts
79a-6. Format and Time for Filing Briefs and Appendices
79a-7. Motions for Extension of Time
79a-8. Docketing Child Protection Appeals for
Assignment
79a-9. Oral Argument
79a-10. Submission without Oral Argument on Request of
Parties
79a-11. Official Release Date
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79a-12. Inspection of Records
79a-13. Hearings; Confidentiality
79a-14. Motions Filed with the Appellate Clerk
79a-15. Applicability of Rules
CHAPTER 80
APPEALS IN HABEAS CORPUS
PROCEEDINGS FOLLOWING CONVICTION
Sec.
80-1. Certification to Appeal; Procedure on Appeal
CHAPTER 81
APPEALS TO APPELLATE COURT BY
CERTIFICATION FOR REVIEW IN
ACCORDANCE WITH GENERAL STATUTES
CHAPTERS 124 AND 440
Sec.
81-1. Petition; Where to File; Time to File; Service; Fee
81-2. Form of Petition
81-3. Statement in Opposition to Petition
81-4. Proceedings after Certification by Appellate Court
81-5. Extensions of Time
81-6. Filing of Regulations
CHAPTER 82
CERTIFIED QUESTIONS TO OR FROM
COURTS OF OTHER JURISDICTIONS
Sec.
82-1. Certification of Questions from Other Courts
82-2. Method of Initiating [Repealed]
82-3. Contents of Certification Request
82-4. Preparation of Certification Request
82-5. Receipt; Costs of Certification
82-6. Briefs, Appendices, Assignment and Argument
82-7. Opinion
82-8. Certification of Questions to Other Courts
CHAPTER 83
CERTIFICATION PURSUANT TO GENERAL
STATUTES § 52-265a IN CASES OF
SUBSTANTIAL PUBLIC INTEREST
Sec.
83-1. Application; In General
83-2. Application Granted
83-3. Application Denied
83-4. Unavailability of Chief Justice
CHAPTER 84
APPEALS TO SUPREME COURT BY
CERTIFICATION FOR REVIEW
Sec.
84-1. Certification by Supreme Court
84-2. Basis for Certification
84-3. Stay of Execution
84-4. Petition; Time to File; Where to File; Service; Fee
84-5. Form of Petition
CHAPTER AND SECTION HEADINGS OF THE RULES
84-6. Statement in Opposition to Petition
84-7. Extensions of Time
84-8. Grant or Denial of Certification
84-9. Proceedings after Certification
84-10. Record [Repealed only as to appeals filed on or
after July 1, 2013.]
84-11. Papers to Be Filed by Appellant and Appellee
84-12. Application of Rules
CHAPTER 84a
MATTERS WITHIN SUPREME COURT’S
ORIGINAL JURISDICTION IN WHICH FACTS
MAY BE FOUND
Sec.
84a-1. Application of Rules
84a-2. Procedure for Filing Original Jurisdiction Action;
Pleadings and Motions
84a-3. Discovery
84a-4. Reference of Issues of Fact
84a-5. Evidence
84a-6. Other Officers
CHAPTER 85
SANCTIONS
Sec.
85-1. Lack of Diligence in Prosecuting or Defending
Appeal
85-2. Other Actions Subject to Sanctions
85-3. Procedure on Sanctions
CHAPTER 86
RULE CHANGES; EFFECTIVE DATE;
APPLICABILITY
Sec.
86-1. Publication of Rules; Effective Date
86-2. Rule Changes; Applicability to Pending Appeals
APPENDIX OF FORMS
Form
101 Heading of Pleadings, Motions and Requests
201 Plaintiff’s Interrogatories
202 Defendant’s Interrogatories
203 Plaintiff’s Interrogatories—Premises Liability
Cases
204 Plaintiff’s Requests for Production
205 Defendant’s Requests for Production
206 Plaintiff’s Requests for Production—Premises
Liability
207 Interrogatories—Actions to Establish, Enforce or
Modify Child Support Orders
208 Defendant’s Supplemental Interrogatories—
Workers’ Compensation Benefits—No Inter-
vening Plaintiff
209 Defendant’s Supplemental Requests for Pro-
duction—Workers’CompensationBenefits—No
Intervening Plaintiff
210 Defendant’s Interrogatories—Workers’ Compen-
sation Benefits—Intervening Plaintiff
211 Defendant’s Request for Production—Workers’
Compensation—Intervening Plaintiff
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212 Defendant’s Interrogatories—Loss of Consortium
213 Plaintiff’s Interrogatories—Uninsured/
Underinsured Motorist Cases
214 Defendant’s Interrogatories—Uninsured/
Underinsured Motorist Cases
215 Plaintiff’s Requests for Production—Uninsured/
Underinsured Motorist Cases
216 Defendant’s Requests for Production—
Uninsured/Underinsured Motorist Cases
OFFICIAL JUDICIAL BRANCH FORMS
APPENDIX: SUPERIOR COURT STANDING
ORDERS
SUPERIOR COURT—GENERAL PROVISIONS
SUPERIOR COURT—GENERAL PROVISIONS
CHAPTER 1
SCOPE OF RULES
Sec. Sec.
1-1. Scope of Rules; Definitions
1-2. Assignments to Take Precedence
1-3. Divisions of Superior Court
1-4. Family Division
1-5. Civil Division
1-6. Criminal Division
1-7. Housing Division (Only in Judicial Districts Speci-
fied by Statute)
1-8. Rules to Be Liberally Interpreted
1-9. Publication of Rules; Effective Date
1-9A. —Judiciary Committee; Placement of Rules Infor-
mation on Judicial Branch Website
1-9B. —Emergency Powers of Rules Committee
1-10. Possession of Electronic Devices in Court Facilities
1-10A. Definition of ‘‘Media’’
1-10B. Media Coverage of Court Proceedings; In General
1-11. Media Coverage of Criminal Proceedings
[Repealed]
1-11A. Media Coverage of Arraignments
1-11B. Media Coverage of Civil Proceedings
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
(Amended June 20, 2011, to take effect Jan. 1, 2012.)
(a) The rules for the superior court govern the
practice and procedure in the superior court in
all civil and family actions whether cognizable as
cases at law, in equity or otherwise, in all criminal
proceedings and in all proceedings on juvenile
matters. These rules also relate to the admission,
qualifications, practice and removal of attorneys.
(b) Except as otherwise provided, the sections
in chapters 1 through 7 shall apply to civil, family,
criminal and juvenile matters in the superior court.
(c) (1) The term ‘‘judicial authority,’’ as used in
the rules for the superior court, means the superior
court, any judge thereof, each judge trial referee
when the superior court has referred a case to
such trial referee pursuant to General Statutes
§ 52-434, and for purposes of the small claims
rules only, any magistrate appointed by the chief
court administrator pursuant to General Statutes
§ 51-193l.
(2) Except as otherwise provided, the words
‘‘write,’’ ‘‘written’’ and ‘‘writing’’ as used in the rules
for the superior court shall mean typed or printed
either on paper or, when electronically submitted
or issued, in a digital format that complies with
the procedures and technical standards estab-
lished by the office of the chief court administrator
pursuant to Section 4-4.
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1-11C. Media Coverage of Criminal Proceedings
1-11D. Pilot Program to Increase Public Access to Child
Protection Proceedings [Repealed]
1-12. Court Opening
1-13. Recess and Adjournment
1-13A. Contempt
1-14. —Criminal Contempt
1-15. —Who May Be Punished [Repealed]
1-16. —Summary Criminal Contempt
1-17. —Deferral of Proceedings
1-18. —Nonsummary Contempt Proceedings
1-19. —Judicial Authority Disqualification in Nonsum-
mary Contempt Proceedings
1-20. —Where No Right to Jury Trial in Nonsummary
Proceeding
1-21. —Nonsummary Judgment
1-21A. —Civil Contempt
1-22. Disqualification of Judicial Authority
1-23. Motion for Disqualification of Judicial Authority
1-24. Record of Off-Site Judicial Proceedings
1-25. Actions Subject to Sanctions
(3) Except as otherwise provided, the words
‘‘paper’’ and ‘‘document’’ as used in the rules for
the superior court shall include an electronic sub-
mission that complies with the procedures and
technical standards established by the office of
the chief court administrator pursuant to Section
4-4 and a paper or document converted to a digital
format by the judicial branch.
(P.B. 1978-1997, Sec. 1.) (Amended June 26, 2000, to take
effect Jan. 1, 2001; amended June 20, 2011, to take effect
Jan. 1, 2012.)
Sec. 1-2. Assignments to Take Precedence
Assignments for oral argument in the supreme
court and appellate court shall take precedence
over all other judicial branch assignments.
(P.B. 1998.)
Sec. 1-3. Divisions of Superior Court
The superior court shall be divided into four
divisions: family, civil, criminal and housing.
(P.B. 1978-1997, Sec. 2.)
Sec. 1-4. Family Division
The family division of the superior court shall
consist of the following parts:
(1) J—Juvenile matters including neglect,
dependency, delinquency, families with service
needs and termination of parental rights.
(2) S—Support and paternity actions.
SUPERIOR COURT—GENERAL PROVISIONS Sec. 1-9A
(3) D—All other family relations matters, includ-
ing dissolution of marriage or civil union cases.
(P.B. 1978-1997, Sec. 3.) (Amended June 26, 2006, to take
effect Jan. 1, 2007.)
Sec. 1-5. Civil Division
The civil division of the superior court shall con-
sist of the following parts:
(1) H—Summary process cases and all other
landlord and tenant matters returnable to the geo-
graphical areas.
(2) S—Small claims actions.
(3) A—Administrative appeals.
(4) J—Jury matters.
(5) C—Court matters.
(P.B. 1978-1997, Sec. 4.)
Sec. 1-6. Criminal Division
The criminal division of the superior court shall
consist of the following parts:
(1) A—Capital felonies, class A felonies, and
unclassified felonies punishable by sentences of
more than twenty years.
(2) B—Class B felonies and unclassified felon-
ies punishable by sentences of more than ten
years but not more than twenty years.
(3) C—Class C felonies and unclassified felon-
ies punishable by sentences of more than five
years but not more than ten years.
(4) D—Class D felonies and all other crimes,
violations, motor vehicle violations, and
infractions.
(P.B. 1978-1997, Sec. 5.)
Sec. 1-7. Housing Division (Only in Judicial
Districts Specified by Statute)
The housing division of the superior court shall
consist of the following part:
(1) H—Housing matters as defined by General
Statutes § 47a-68.
(P.B. 1978-1997, Sec. 5A.)
Sec. 1-8. Rules to Be Liberally Interpreted
The design of these rules being to facilitate busi-
ness and advance justice, they will be interpreted
liberally in any case where it shall be manifest
that a strict adherence to them will work surprise
or injustice.
(P.B. 1978-1997, Sec. 6.)
Sec. 1-9. Publication of Rules; Effective
Date
(a) Each rule hereinafter adopted shall be prom-
ulgated by being published once in the Connecti-
cut Law Journal. Such rule shall become effective
at such date as the judges of the superior court
shall prescribe, but not less than sixty days after
its promulgation. The judges may waive the sixty
day provision if they deem that circumstances
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require that a rule or a change in an existing rule
be adopted expeditiously.
(b) Prior to such adoption the proposed revi-
sions to the rules or a summary thereof shall be
published in the Connecticut Law Journal with a
notice stating the time when, the place where and
the manner in which interested persons may pre-
sent their views thereon.
(c) Upon recommendation by the Rules Com-
mittee, the judges of the superior court may, by
vote at a meeting or by mail vote as set forth in
subsection (d), waive the provisions of subsection
(b) if they deem that circumstances require that
a rule or a change in an existing rule be adopted
expeditiously, provided that the adoption of any
rules or changes in existing rules in connection
with such waiver shall be on an interim basis until
a public hearing has been held and the judges
have thereafter acted on such revisions and such
action has become effective. With respect to such
rules adopted on an interim basis, the judges shall
prescribe the effective date thereof following pub-
lication in the Connecticut Law Journal.
(d) For a mail vote under subsection (c) to be
effective, a written notice setting forth the pro-
posed rule or change in an existing rule, together
with a statement as to the effective date thereof,
shall be mailed or electronically transmitted to all
the judges of the superior court. In the event that
no objection from any judge is received, by mail
or electronically, by the counsel to the Rules Com-
mittee within the time specified in such notice,
such rule or change shall become effective on the
date specified in the notice until further action is
taken at the next meeting of the judges.
(P.B. 1978-1997, Sec. 7.) (Amended June 14, 2013, to take
effect Jan. 1, 2014.)
Sec. 1-9A. —Judiciary Committee; Place-
ment of Rules Information on Judicial
Branch Website
(a) Each year the Rules Committee shall make
itself available to meet with the members of the
Judiciary Committee of the General Assembly
(the Judiciary Committee) as soon as practicable
after the first Rules Committee meeting in Sep-
tember to advise the Judiciary Committee as to
the Rules Committee’s anticipated agenda for the
upcoming year.
(b) As soon as practicable after the convening
of each regular legislative session, the chair of
the Rules Committee shall invite the Senate and
House chairs and the ranking members of the
Judiciary Committee, and such other members of
that Committee as the chairs may designate, to
attend a meeting with the Rules Committee to
confer and consult with respect to the rules of
SUPERIOR COURT—GENERAL PROVISIONSSec. 1-9A
practice, pleadings, forms and procedure for the
superior court and with respect to legislation
affecting the courts pending before or to be intro-
duced in the General Assembly.
(c) The chair of the Rules Committee shall for-
ward to the Judiciary Committee for review and
comment all proposed revisions to the Practice
Book which the Rules Committee has decided to
submit to public hearing at least thirty-five days
in advance of the public hearing thereon. If the
chair of the Rules Committee shall receive any
comments from the Judiciary Committee with
respect to such proposed revisions, he or she
shall forward such comments to the members of
the Rules Committee for their consideration in
connection with the public hearing.
(d) The agendas and minutes of Rules Commit-
tee meetings, any proposed revisions to the Prac-
tice Book which the Rules Committee has decided
to submit to public hearing, any comments by the
Judiciary Committee with respect to such pro-
posed revisions, and any proposed revisions that
are adopted by the superior court judges shall be
placed on the Judicial Branch website.
(Adopted June 30, 2008, to take effect Jan. 1, 2009;
amended June 12, 2015, to take effect Jan. 1, 2016.)
Sec. 1-9B. —Emergency Powers of Rules
Committee
(a) In the event that the governor declares a
public health emergency pursuant to General
Statutes § 19a-131a or a civil preparedness emer-
gency pursuant to General Statutes § 28-9 or
both, the chief justice, or if the chief justice is
incapacitated or unavailable, the chairperson of
the Rules Committee may call a meeting of the
Superior Court Rules Committee.
(b) No quorum shall be required at this meeting
as long as a good faith effort has been made to
contact all members of the Rules Committee to
advise them of the meeting. The meeting may
be held in person or by electronic means. Public
notice should be given of the Rules Committee
meeting, but failure to give such notice shall not
impair the validity of actions taken at the meeting
as long as a good faith effort has been made to
provide such notice.
(c) At such meeting the Rules Committee shall
have the power to adopt on an interim basis any
new rules and to amend or suspend in whole
or in part on an interim basis any existing rules
concerning practice and procedure in the superior
court that the committee deems necessary in light
of the circumstances of the declared emergency.
Any new rules and any amendments to and sus-
pensions of existing rules adopted pursuant to
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this section should be published in the Connecti-
cut Law Journal and on the Judicial Branch web-
site, but failure to so publish shall not impair the
validity of such rules as long as a good faith effort
has been made to so publish.
(d) Any such new rules and amendments to and
suspensions of existing rules adopted pursuant
to this section shall remain in effect for the duration
of the declared emergency or until such time, as
soon as practicable, as a meeting of the superior
court judges can be convened, in person or elec-
tronically, to consider and vote on the changes.
(Adopted June 21, 2010, to take effect Jan. 1, 2011.)
Sec. 1-10. Possession of Electronic Devices
in Court Facilities
(Amended June 29, 2007, to take effect Jan. 1, 2008.)
(a) Personal computers may be used for note-
taking in a courtroom. If the judicial authority finds
that the use of computers is disruptive of the court
proceeding, it may limit such use. No other elec-
tronic devices shall be used in a courtroom unless
authorized by a judicial authority or permitted by
these rules.
(b) The possession and use of electronic
devices in court facilities are subject to policies
promulgated by the chief court administrator.
(P.B. 1978-1997, Sec. 7B.) (Amended June 20, 2005, to
take effect Oct. 1, 2005; June 26, 2006, subsection (b)
extended for a one year period commencing Oct. 1, 2006;
amended June 29, 2007, to take effect Jan. 1, 2008; June 29,
2007, subsection (b) extended for a one year period commenc-
ing Oct. 1, 2007; amended June 30, 2008, to take effect Aug.
1, 2008.)
Sec. 1-10A. Definition of ‘‘Media’’
For purposes of these rules, ‘‘media’’ means
any person or entity that is regularly engaged in
the gathering and dissemination of news and that
is approved by the office of the chief court adminis-
trator.
(Adopted June 29, 2007, to take effect Jan. 1, 2008.)
Sec. 1-10B. Media Coverage of Court Pro-
ceedings; In General
(a) The broadcasting, televising, recording or
photographing by the media of court proceedings
and trials in the superior court should be allowed
subject to the limitations set out in this section
and in Sections 1-11A through 1-11C, inclusive.
(b) No broadcasting, televising, recording or
photographing of any of the following proceedings
shall be permitted:
(1) Family relations matters as defined in Gen-
eral Statutes § 46b-1;
(2) Juvenile matters as defined in General Stat-
utes § 46b-121;
(3) Proceedings involving sexual assault;
(4) Proceedings involving trade secrets;
SUPERIOR COURT—GENERAL PROVISIONS Sec. 1-11A
(5) In jury trials, all proceedings held in the
absence of the jury unless the trial court deter-
mines that such coverage does not create a risk
to any party’s rights or other fair trial risks under
the circumstances;
(6) Proceedings which must be closed to the
public to comply with the provisions of state law;
(7) Any proceeding that is not held in open court
on the record.
(c) No broadcasting, televising, recording or
photographic equipment permitted under these
rules shall be operated during a recess in the trial.
(d) No broadcasting, televising, recording or
photographing of conferences involving counsel
and the trial judge at the bench or involving coun-
sel and their clients shall be permitted.
(e) There shall be no broadcasting, televising,
recording or photographing of the process of jury
selection nor of any juror.
(Adopted June 29, 2007, to take effect Jan. 1, 2008;
amended June 20, 2011, to take effect Jan. 1, 2012.)
COMMENTARY—2014: The judicial branch may provide,
at its discretion, within a court facility, a contemporaneous
closed-circuit video transmission of any court proceeding for
the benefit of media or other spectators, and such a transmis-
sion shall not be considered broadcasting or televising by the
media under this rule.
Sec. 1-11. Media Coverage of Criminal Pro-
ceedings
[Repealed as of Jan. 1, 2012.]
Sec. 1-11A. Media Coverage of Arraign-
ments
(a) The broadcasting, televising, recording, or
taking photographs by media in the courtroom
during arraignments may be authorized by the
judicial authority presiding over such arraign-
ments in the manner set forth in this section, as
implemented by the judicial authority.
(b) Any media representative desiring to broad-
cast, televise, record or photograph an arraign-
ment shall send an e-mail request for electronic
coverage to a person designated by the chief court
administrator. Said designee shall promptly trans-
mit any such request to the administrative judge,
presiding judge of criminal matters, arraignment
judge, clerk and the supervising marshal. The
administrative judge shall ensure that notice is
provided to the state’s attorney and the attorney
for the defendant or, where the defendant is
unrepresented, to the defendant. Electronic cov-
erage shall not be permitted until the state’s attor-
ney and the attorney for the defendant, or the
defendant if he or she has no attorney, have had
an opportunity to object to the request on the
record and the judicial authority has ruled on the
objection. If a request for coverage is denied or
is granted over the objection of any party, the
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judicial authority shall articulate orally or in writing
the reasons for its decision on the request and
such decision shall be final.
(c) Broadcasting, televising, recording or photo-
graphing of the following are prohibited:
(1) any criminal defendant who has not been
made subject to an order for electronic coverage
and, to the extent practicable, any person other
than court personnel or other participants in the
arraignment for which electronic coverage is per-
mitted;
(2) conferences involving the attorneys and the
judicial authority at the bench or communications
between the defendant and his or her attorney or
other legal representative;
(3) close ups of documents of counsel, the clerk
or the judicial authority;
(4) the defendant while exiting or entering the
lockup;
(5) to the extent practicable, any restraints on
the defendant;
(6) to the extent practicable, any judicial mar-
shals or department of correction employees
escorting the defendant while he or she is in the
courtroom; and
(7) proceedings in cases transferred from juve-
nile court prior to a determination by the adult
court that the matter was properly transferred.
(d) Only one (1) still camera, one (1) television
camera and one (1) audio recording device, which
do not produce a distracting sound or light, shall
be employed to cover the arraignment, unless
otherwise ordered by the judicial authority.
(e) The operator of any camera, television or
audio recording equipment shall not employ any
artificial lighting device to supplement the existing
light in the courtroom.
(f) All personnel and equipment shall be situ-
ated in an unobtrusive manner within the court-
room. The location of any such equipment and
personnel shall be determined by the judicial
authority. The location of the camera, to the extent
possible, shall provide access to optimum cover-
age. Once the judicial authority designates the
position for a camera, the operator of the camera
must remain in that position and not move about
until the arraignment is completed.
(g) Videographers, photographers and equip-
ment operators must conduct themselves in the
courtroom quietly and discreetly, with due regard
for the dignity of the courtroom.
(h) If there are multiple requests to broadcast,
televise, record or photograph the same arraign-
ment, the media representatives making such
requests must make pooling arrangements
among themselves, unless otherwise determined
by the judicial authority.
SUPERIOR COURT—GENERAL PROVISIONSSec. 1-11A
(i) On camera reporting and interviews shall
only be conducted outside of the courthouse.
(Adopted June 29, 2007, to take effect Jan. 1, 2008;
amended June 20, 2011, to take effect Jan. 1, 2012.)
Sec. 1-11B. Media Coverage of Civil Pro-
ceedings
(a) The broadcasting, televising, recording or
photographing of civil proceedings and trials in the
superior court by news media should be allowed,
subject to the limitations set forth herein and in
Section 1-10B.
(b) A judicial authority shall permit broadcast-
ing, televising, recording or photographing of civil
proceedings and trials in courtrooms of the supe-
rior court except as hereinafter precluded or lim-
ited. As used in this rule, the word ‘‘trial’’ in jury
cases shall mean proceedings taking place after
the jury has been sworn and in nonjury proceed-
ings commencing with the swearing in of the
first witness.
(c) Any party, attorney, witness or other inter-
ested person may object in advance of electronic
coverage of a civil proceeding or trial if there exists
a substantial reason to believe that such coverage
will undermine the legal rights of a party or will
significantly compromise the safety of a witness
or other interested person or impact significant
privacy concerns. To the extent practicable, notice
that an objection to the electronic coverage has
been filed, and the date, time and location of the
hearing on such objection shall be posted on the
Judicial Branch website. Any person, including
the media, whose rights are at issue in considering
whether to allow electronic coverage of the pro-
ceeding or trial, may participate in the hearing
to determine whether to limit or preclude such
coverage. When such objection is filed by any
party, attorney, witness or other interested per-
son, the burden of proving that electronic cover-
age of the civil proceeding or trial should be limited
or precluded shall be on the person who filed
the objection.
(d) The judicial authority, in deciding whether
to limit or preclude electronic coverage of a civil
proceeding or trial, shall consider all rights at issue
and shall limit or preclude such coverage only if
there exists a compelling reason to do so, there
are no reasonable alternatives to such limitation
or preclusion, and such limitation or preclusion is
no broader than necessary to protect the compel-
ling interest at issue.
(e) If the judicial authority has a substantial rea-
son to believe that the electronic coverage of a
civil proceeding or trial will undermine the legal
rights of a party or will significantly compromise
the safety or significant privacy concerns of a
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party, witness or other interested person, and no
party, attorney, witness or other interested person
has objected to such coverage, the judicial author-
ity shall schedule a hearing to consider limiting or
precluding such coverage. To the extent practica-
ble, notice that the judicial authority is considering
limiting or precluding electronic coverage of a civil
proceeding or trial, and the date, time and location
of the hearing thereon shall be given to the parties
and others whose interests may be directly
affected by a decision so that they may participate
in the hearing and shall be posted on the Judicial
Branch website.
(f) Objection raised during the course of a civil
proceeding or trial to the photographing, videotap-
ing or audio recording of specific aspects of the
proceeding or trial, or specific individuals or exhib-
its will be heard and decided by the judicial author-
ity, based on the same standards as set out in
subsection (d) of this section used to determine
whether to limit or preclude coverage based on
objections raised before the start of a civil pro-
ceeding or trial.
(g) The trial judge in his or her discretion, upon
the judge’s own motion or at the request of a
participant, may prohibit the broadcasting, televis-
ing, recording or photographing of any participant
at the trial. The judge shall give great weight to
requests where the protection of the identity of a
person is desirable in the interests of justice, such
as for the victims of crime, police informants,
undercover agents, relocated witnesses, juve-
niles and individuals in comparable situations.
‘‘Participant’’ for the purpose of this section shall
mean any party, lawyer or witness.
(h) The judicial authority shall articulate the rea-
sons for its decision on whether or not to limit or
preclude electronic coverage of a civil proceeding
or trial and such decision shall be final.
(i) No broadcasting, televising, recording and
photographic equipment shall be placed in or
removed from the courtroom while the court is in
session. Television film magazines or still camera
film or lenses shall not be changed within the
courtroom except during a recess or other appro-
priate time in the trial.
(j) Only still camera, television and audio equip-
ment which does not produce distracting sound
or light shall be employed to cover the trial. The
operator of such equipment shall not employ any
artificial lighting device to supplement the existing
light in the courtroom without the approval of the
trial judge and other appropriate authority.
(k) Except as provided by these rules, broad-
casting, televising, recording and photographing
in areas immediately adjacent to the courtroom
SUPERIOR COURT—GENERAL PROVISIONS Sec. 1-11C
during sessions of court or recesses between ses-
sions shall be prohibited.
(l) The conduct of all attorneys with respect to
trial publicity shall be governed by Rule 3.6 of the
Rules of Professional Conduct.
(m) The judicial authority in its discretion may
require pooling arrangements by the media. Pool
representatives should ordinarily be used for
video, still cameras and radio, with each pool rep-
resentative to be decided by the relevant media
group. Participating members of the broadcast-
ing, televising, recording and photographic media
shall make their respective pooling arrangements,
including the establishment of necessary proce-
dures and selection of pool representatives, with-
out calling upon the judicial authority to mediate
any dispute as to the appropriate media represen-
tative or equipment for a particular trial. If any
such medium shall not agree on equipment, pro-
cedures and personnel, the judicial authority shall
not permit that medium to have coverage at the
trial.
(n) Unless good cause is shown, any media or
pool representative seeking to broadcast, tele-
vise, record or photograph a civil proceeding or
trial shall, at least three days prior to the com-
mencement of the proceeding or trial, submit a
written notice of media coverage to the adminis-
trative judge of the judicial district where the pro-
ceeding is to be heard or the case is to be tried.
A notice of media coverage submitted on behalf
of a pool shall contain the name of each news
organization seeking to participate in that pool.
The administrative judge shall inform the judicial
authority who will hear the proceeding or who will
preside over the trial of the notice, and the judicial
authority shall allow such coverage except as
otherwise provided in this section. Any news orga-
nization seeking permission to participate in a pool
whose name was not submitted with the original
notice of media coverage may, at any time, submit
a separate written notice to the administrative
judge and shall be allowed to participate in the
pool arrangement.
(o) To evaluate and resolve prospective prob-
lems where broadcasting, televising, recording or
photographing of a civil proceeding or trial will
take place, and to ensure compliance with these
rules during the proceeding or trial, the judicial
authority who will hear the proceeding or preside
over the trial may require the attendance of attor-
neys and media personnel at a pretrial confer-
ence. At such conference, the judicial authority
shall set forth the conditions of coverage in
accordance herewith.
(Adopted June 29, 2007, to take effect Jan. 1, 2008.)
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Sec. 1-11C. Media Coverage of Criminal Pro-
ceedings
(Amended June 20, 2011, to take effect Jan. 1, 2012.)
(a) Except as authorized by Section 1-11A
regarding media coverage of arraignments, the
broadcasting, televising, recording or photo-
graphing by media of criminal proceedings and
trials in the superior court shall be allowed except
as hereinafter precluded or limited and subject to
the limitations set forth in Section 1-10B.
(b) No broadcasting, televising, recording or
photographing of trials or proceedings involving
sexual offense charges shall be permitted.
(c) As used in this rule, the word ‘‘trial’’ in jury
cases shall mean proceedings taking place after
the jury has been sworn and in nonjury proceed-
ings commencing with the swearing in of the first
witness. ‘‘Criminal proceeding’’ shall mean any
hearing or testimony, or any portion thereof, in
open court and on the record except an arraign-
ment subject to Section 1-11A.
(d) Unless good cause is shown, any media or
pool representative seeking to broadcast, tele-
vise, record or photograph a criminal proceeding
or trial shall, at least three days prior to the com-
mencement of the proceeding or trial, submit a
written notice of media coverage to the adminis-
trative judge of the judicial district where the pro-
ceeding is to be heard or the case is to be tried.
A notice of media coverage submitted on behalf
of a pool shall contain the name of each news
organization seeking to participate in that pool.
The administrative judge shall inform the judicial
authority who will hear the proceeding or who will
preside over the trial of the notice, and the judicial
authority shall allow such coverage except as
otherwise provided.
(e) Any party, attorney, witness or other inter-
ested person may object in advance of electronic
coverage of a criminal proceeding or trial if there
exists a substantial reason to believe that such
coverage will undermine the legal rights of a party
or will significantly compromise the safety of a
witness or other person or impact significant pri-
vacy concerns. In the event that the media request
camera coverage and, to the extent practicable,
notice that an objection to the electronic coverage
has been filed, the date, time and location of the
hearing on such objection shall be posted on the
Judicial Branch website. Any person, including
the media, whose rights are at issue in considering
whether to allow electronic coverage of the pro-
ceeding or trial, may participate in the hearing
to determine whether to limit or preclude such
coverage. When such objection is filed by any
SUPERIOR COURT—GENERAL PROVISIONSSec. 1-11C
party, attorney, witness or other interested per-
son, the burden of proving that electronic cover-
age of the criminal proceeding or trial should be
limited or precluded shall be on the person who
filed the objection.
(f) The judicial authority, in deciding whether to
limit or preclude electronic coverage of a criminal
proceeding or trial, shall consider all rights at issue
and shall limit or preclude such coverage only if
there exists a compelling reason to do so, there
are no reasonable alternatives to such limitation
or preclusion, and such limitation or preclusion is
no broader than necessary to protect the compel-
ling interest at issue.
(g) If the judicial authority has a substantial rea-
son to believe that the electronic coverage of a
criminal proceeding or trial will undermine the
legal rights of a party or will significantly compro-
mise the safety or privacy concerns of a party,
witness or other interested person, and no party,
attorney, witness or other interested person has
objected to such coverage, the judicial authority
shall schedule a hearing to consider limiting or
precluding such coverage. To the extent practica-
ble, notice that the judicial authority is considering
limiting or precluding electronic coverage of a
criminal proceeding or trial, and the date, time
and location of the hearing thereon shall be given
to the parties and others whose interests may be
directly affected by a decision so that they may
participate in the hearing and shall be posted on
the Judicial Branch website.
(h) Objection raised during the course of a crimi-
nal proceeding or trial to the photographing, video-
taping or audio recording of specific aspects of
the proceeding or trial, or specific individuals or
exhibits will be heard and decided by the judicial
authority, based on the same standards as set out
in subsection (f) of this section used to determine
whether to limit or preclude coverage based on
objections raised before the start of a criminal
proceeding or trial.
(i) The judge presiding over the proceeding or
trial in his or her discretion, upon the judge’s own
motion or at the request of a participant, may
prohibit the broadcasting, televising, recording or
photographing of any participant at the trial. The
judge shall give great weight to requests where
the protection of the identity of a person is desir-
able in the interests of justice, such as for the
victims of crime, police informants, undercover
agents, relocated witnesses, juveniles and indi-
viduals in comparable situations. ‘‘Participant’’ for
the purpose of this section shall mean any party,
lawyer or witness.
(j) The judicial authority shall articulate the rea-
sons for its decision on whether or not to limit or
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preclude electronic coverage of a criminal pro-
ceeding or trial, and such decision shall be final.
(k) (1) Only one television camera operator,
utilizing one portable mounted television camera,
shall be permitted in the courtroom. The television
camera and operator shall be positioned in such
location in the courtroom as shall be designated
by the trial judge. Microphones, related wiring and
equipment essential for the broadcasting, televis-
ing or recording shall be unobtrusive and shall be
located in places designated in advance by the
trial judge. While the trial is in progress, the televi-
sion camera operator shall operate the television
camera in this designated location only.
(2) Only one still camera photographer shall
be permitted in the courtroom. The still camera
photographer shall be positioned in such location
in the courtroom as shall be designated by the
trial judge. While the trial is in progress, the still
camera photographer shall photograph court pro-
ceedings from this designated location only.
(3) Only one audio recorder shall be permitted
in the courtroom for purposes of recording the
proceeding or trial. Microphones, related wiring
and equipment essential for the recording shall
be unobtrusive and shall be located in places des-
ignated in advance by the trial judge.
(l) Only still camera, television and audio equip-
ment which does not produce distracting sound
or light shall be employed to cover the proceeding
or trial. The operator of such equipment shall not
employ any artificial lighting device to supplement
the existing light in the courtroom without the
approval of the judge presiding over the proceed-
ing or trial and other appropriate authority.
(m) Except as provided by these rules, broad-
casting, televising, recording and photographing
in areas immediately adjacent to the courtroom
during sessions of court or recesses between ses-
sions shall be prohibited.
(n) The conduct of all attorneys with respect to
trial publicity shall be governed by Rule 3.6 of the
Rules of Professional Conduct.
(o) The judicial authority in its discretion may
require pooling arrangements by the media. Pool
representatives should ordinarily be used for
video, still cameras and radio, with each pool rep-
resentative to be decided by the relevant media
group. Participating members of the broadcasting,
televising, recording and photographic media
shall make their respective pooling arrangements,
including the establishment of necessary proce-
dures and selection of pool representatives, with-
out calling upon the judicial authority to mediate
any dispute as to the appropriate media represen-
tative or equipment for a particular trial. If any
SUPERIOR COURT—GENERAL PROVISIONS Sec. 1-19
such medium shall not agree on equipment, pro-
cedures and personnel, the judicial authority shall
not permit that medium to have coverage at the
proceeding or trial.
(p) To evaluate and resolve prospective prob-
lems where broadcasting, televising, recording or
photographing by media of a criminal proceeding
or trial will take place, and to ensure compliance
with these rules during the proceeding or trial, the
judicial authority who will hear the proceeding or
preside over the trial may require the attendance
of attorneys and media personnel at a pretrial con-
ference.
(Adopted June 29, 2007, to take effect Jan. 1, 2008;
amended June 20, 2011, to take effect Jan. 1, 2012.)
Sec. 1-11D. Pilot Program to Increase Public
Access to Child Protection Proceedings
[Repealed as of Jan. 1, 2013.]
Sec. 1-12. Court Opening
The sessions of the superior court will be
opened at 10:00 a.m., unless otherwise ordered.
(P.B. 1978-1997, Sec. 299.)
Sec. 1-13. Recess and Adjournment
The court is ‘‘not in session’’ or ‘‘not actually in
session,’’ as those phrases are used in the stat-
utes and rules, at all times (1) after adjournment
and before opening and (2) during recess. The
court is in recess or in adjournment provided it
has not been adjourned without date. The order
for a recess or an adjournment other than without
date may be revoked and the court reconvened
by direction of the presiding judge at any time.
(P.B. 1978-1997, Sec. 300.)
Sec. 1-13A. Contempt
(a) Any person or court officer misbehaving or
disobeying any order of a judicial authority in the
course of any judicial proceeding may be adjudi-
cated in contempt and appropriately punished.
(b) Contempt may be either criminal or civil.
When criminal, it may be summary or nonsum-
mary criminal contempt.
(Adopted June 28, 1999, to take effect Jan. 1, 2000.)
Sec. 1-14. —Criminal Contempt
Conduct that is directed against the dignity and
authority of the court shall be criminal contempt,
and may be adjudicated summarily or nonsum-
marily. The sanction for a criminal contempt is
punitive to vindicate the authority of the court.
(P.B. 1978-1997, Sec. 985.) (Amended June 28, 1999, to
take effect Jan. 1, 2000.)
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Sec. 1-15. —Who May Be Punished
[Repealed as of Jan. 1, 2000.]
Sec. 1-16. —Summary Criminal Contempt
(Amended June 28, 1999, to take effect Jan. 1, 2000.)
Misbehavior or misconduct in the court’s pres-
ence causing an obstruction to the orderly admin-
istration of justice shall be summary criminal
contempt, and may be summarily adjudicated and
punished by fine or imprisonment, or both. Prior
to any finding of guilt, the judicial authority shall
inform the defendant of the charges against him
or her and inquire as to whether the defendant
has any cause to show why he or she should not
be adjudged guilty of summary criminal contempt
by presenting evidence of acquitting or mitigating
circumstances. Upon an adjudication, the judicial
authority shall immediately impose sentence of
not more than $100, or six months imprisonment,
or both for each contumacious act. Execution of
any sentence during the pendency of a trial or
hearing may be deferred to the close of pro-
ceedings.
(P.B. 1978-1997, Sec. 988.) (Amended June 28, 1999, to
take effect Jan. 1, 2000.)
Sec. 1-17. —Deferral of Proceedings
The judicial authority should defer criminal con-
tempt proceedings when: (1) the misconduct does
not rise to an obstruction to the orderly administra-
tion of justice; (2) the judicial authority has become
personally embroiled; (3) the misconduct did not
occur in the presence of the court; and (4) the
judicial authority does not instantly impose sum-
mary criminal contempt upon the commission of
the contumacious act.
(P.B. 1978-1997, Sec. 989.) (Amended June 28, 1999, to
take effect Jan. 1, 2000.)
Sec. 1-18. —Nonsummary Contempt Pro-
ceedings
A criminal contempt deferred under Section 1-
17 shall be prosecuted by means of an informa-
tion. The judicial authority may, either upon its
own order or upon the request of the prosecuting
authority, issue a summons or an arrest warrant
for the accused. The case shall proceed as any
other criminal prosecution under these rules and
the General Statutes. The sentence shall be pro-
nounced in open court and shall not exceed six
months imprisonment or a fine of $500, or both,
for each contumacious act.
(P.B. 1978-1997, Sec. 991.) (Amended June 28, 1999, to
take effect Jan. 1, 2000.)
Sec. 1-19. —Judicial Authority Disqualifica-
tion in Nonsummary Contempt Proceedings
(Amended June 28, 1999, to take effect Jan. 1, 2000.)
The trial and all related proceedings upon which
nonsummary contempt proceedings are based
SUPERIOR COURT—GENERAL PROVISIONSSec. 1-19
shall be heard by a judicial authority other than
the trial judge or the judicial authority who had
either issued the order which was later disobeyed
or deferred criminal contempt proceedings under
Section 1-17.
(P.B. 1978-1997, Sec. 992.) (Amended June 28, 1999, to
take effect Jan. 1, 2000.)
Sec. 1-20. —Where No Right to Jury Trial in
Nonsummary Proceeding
(Amended June 28, 1999, to take effect Jan. 1, 2000.)
In a nonsummary contempt proceeding, if the
judicial authority declares in advance of trial that
the total effective sentence, if the defendant is
found guilty, shall not exceed thirty days imprison-
ment, or a fine of $99, no right to jury trial shall
affix. If the total effective sentence may exceed
thirty days or a fine in excess of $99, the defendant
shall be accorded the right to a jury trial.
(P.B. 1978-1997, Sec. 993.) (Amended June 28, 1999, to
take effect Jan. 1, 2000.)
Sec. 1-21. —Nonsummary Judgment
(Amended June 28, 1999, to take effect Jan. 1, 2000.)
In a nonsummary contempt proceeding, the
judgment file of contempt shall be prepared within
a reasonable time by the clerk and shall be signed
by the judicial authority and entered on the record.
(P.B. 1978-1997, Sec. 994.) (Amended June 28, 1999, to
take effect Jan. 1, 2000.)
Sec. 1-21A. —Civil Contempt
The violation of any court order qualifies for
criminal contempt sanctions. Where, however, the
dispute is between private litigants and the pur-
pose for judicial intervention is remedial, then the
contempt is civil, and any sanctions imposed by
the judicial authority shall be coercive and nonpu-
nitive, including fines, to ensure compliance and
compensate the complainant for losses. Where
the violation of a court order renders the order
unenforceable, the judicial authority should con-
sider referral for nonsummary criminal contempt
proceedings.
(Adopted June 28, 1999, to take effect Jan. 1, 2000.)
Sec. 1-22. Disqualification of Judicial
Authority
(a) A judicial authority shall, upon motion of
either party or upon its own motion, be disqualified
from acting in a matter if such judicial authority is
disqualified from acting therein pursuant to Rule
2.11 of the Code of Judicial Conduct or because
the judicial authority previously tried the same
matter and a new trial was granted therein or
because the judgment was reversed on appeal.
A judicial authority may not preside at the hearing
of any motion attacking the validity or sufficiency
of any warrant the judicial authority issued nor
may the judicial authority sit in appellate review
of a judgment or order originally rendered by
such authority.
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(b) A judicial authority is not automatically dis-
qualified from sitting on a proceeding merely
because an attorney or party to the proceeding
has filed a lawsuit against the judicial authority or
filed a complaint against the judicial authority with
the judicial review council. When the judicial
authority has been made aware of the filing of
such lawsuit or complaint, he or she shall so
advise the attorneys and parties to the proceeding
and either disqualify himself or herself from sitting
on the proceeding, conduct a hearing on the dis-
qualification issue before deciding whether to dis-
qualify himself or herself or refer the
disqualification issue to another judicial authority
for a hearing and decision.
(P.B. 1978-1997, Sec. 996.) (Amended June 25, 2001, to
take effect Jan. 1, 2002.)
Sec. 1-23. Motion for Disqualification of
Judicial Authority
A motion to disqualify a judicial authority shall
be in writing and shall be accompanied by an
affidavit setting forth the facts relied upon to show
the grounds for disqualification and a certificate
of the counsel of record that the motion is made
in good faith. The motion shall be filed no less
than ten days before the time the case is called
for trial or hearing, unless good cause is shown
for failure to file within such time.
(P.B. 1978-1997, Sec. 997.)
Sec. 1-24. Record of Off-Site Judicial Pro-
ceedings
Absent exceptional circumstances or except as
otherwise provided by court rule, where a tran-
script or recording is made of an off-site judicial
proceeding, such record shall be available to the
public. The judicial authority will also state on the
record in open court, by the next court day, a
summary of what occurred at such proceeding.
(Adopted June 29, 2007, to take effect Jan. 1, 2008.)
Sec. 1-25. Actions Subject to Sanctions
(a) No party or attorney shall bring or defend an
action, or assert or oppose a claim or contention,
unless there is a basis in law and fact for doing
so that is not frivolous. Good faith arguments for
an extension, modification or reversal of existing
law shall not be deemed frivolous.
(b) Except as otherwise provided in these rules,
the judicial authority, solely on its own motion and
after a hearing, may impose sanctions for actions
that include, but are not limited to, the following:
(1) Filing of pleadings, motions, objections,
requests or other documents that violate subsec-
tion (a) above;
SUPERIOR COURT—GENERAL PROVISIONS Sec. 1-25
(2) Wilful or repeated failure to comply with rules
or orders of the court, including Section 4-7 on
personal identifying information;
(3) After prior direction from the court, the filing
of any materials or documents that: (A) are not
relevant and material to the matter before the
court or (B) contain personal, medical or financial
information that is not relevant or material to the
matter before the court.
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(c) The judicial authority may impose sanctions
including, but not limited to, fines pursuant to Gen-
eral Statutes § 51-84; orders requiring the
offending party to pay costs and expenses, includ-
ing attorney’s fees; and orders restricting the filing
of papers with the court.
(d) Offenders subject to such sanctions may
include counsel, self-represented parties, and
parties represented by counsel.
(Adopted June 13, 2014, to take effect Jan. 1, 2015.)
SUPERIOR COURT—GENERAL PROVISIONSSec. 2-1
CHAPTER 2
ATTORNEYS
Sec. Sec.
2-1. County Court Designations concerning Bar Admis-
sion Process
2-2. Admission
2-3. Examining Committee
2-4. —Regulations by Examining Committee
2-4A. —Records of Examining Committee
2-5. —Examination of Candidates for Admission
2-5A. —Good Moral Character and Fitness to Practice
Law
2-6. —Personnel of Examining Committee
2-7. Number of Times an Applicant May Sit for the
Examination
2-8. Qualifications for Admission
2-9. Certification of Applicants Recommended for
Admission; Conditions of Admission
2-10. Admission by Superior Court
2-11. Monitoring Compliance with Conditions of Admis-
sion; Removal or Modification of Conditions
2-11A. Appeal from Decision of Bar Examining Committee
concerning Conditions of Admission
2-12. County Committees on Recommendations for
Admission
2-13. Attorneys of Other Jurisdictions; Qualifications and
Requirements for Admission
2-13A. Military Spouse Temporary Licensing
2-14. —Action by Bar; Temporary License [Repealed]
2-15. —Permanent License [Repealed]
2-15A. —Authorized House Counsel
2-16. —Attorney Appearing Pro Hac Vice
2-17. Foreign Legal Consultants; Licensing
Requirements
2-18. —Filings to Become Foreign Legal Consultant
2-19. —Scope of Practice of Foreign Legal Consultants
2-20. —Disciplinary Provisions regarding Foreign
Legal Consultants
2-21. —Affiliation of Foreign Legal Consultant with the
Bar of the State of Connecticut
2-22. Disposition of Fees for Admission to the Bar
2-23. Roll of Attorneys
2-24. Notice by Attorney of Admission in Other Juris-
dictions
2-25. Notice by Attorney of Disciplinary Action in Other
Jurisdictions
2-26. Notice by Attorney of Change in Address
2-27. Clients’ Funds; Lawyer Registration
2-27A. Minimum Continuing Legal Education
2-28. Overdraft Notification
2-28A. Attorney Advertising; Mandatory Filing
2-28B. —Advisory Opinions
2-29. Grievance Panels
2-30. Grievance Counsel for Panels and Investigators
2-31. Powers and Duties of Grievance Counsel
2-32. Filing Complaints against Attorneys; Action; Time
Limitation
2-33. Statewide Grievance Committee
2-34. Statewide Bar Counsel
2-34A. Disciplinary Counsel
2-35. Action by Statewide Grievance Committee or
Reviewing Committee
2-36. Action by Statewide Grievance Committee on
Request for Review
2-37. Sanctions and Conditions Which May Be Imposed
by Committees
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2-38. Appeal from Decision of Statewide Grievance
Committee or Reviewing Committee Imposing
Sanctions or Conditions
2-39. Reciprocal Discipline
2-40. Discipline of Attorneys Found Guilty of Serious
Crimes in Connecticut
2-41. Discipline of Attorneys Found Guilty of Serious
Crimes in Another Jurisdiction
2-42. Conduct Constituting Threat of Harm to Clients
2-43. Notice by Attorney of Alleged Misuse of Clients’
Funds and Garnishments of Lawyers’ Trust
Accounts
2-44. Power of Superior Court to Discipline Attorneys
and to Restrain Unauthorized Practice
2-44A. Definition of the Practice of Law
2-45. —Cause Occurring in Presence of Court
2-46. Suspension of Attorneys Who Violate Support
Orders
2-47. Presentments and Unauthorized Practice of Law
Petitions
2-47A. Disbarment of Attorney for Misappropriation of
Funds
2-47B. Restrictions on the Activities of Deactivated
Attorneys
2-48. Designee to Prosecute Presentments
2-49. Restitution
2-50. Records of Statewide Grievance Committee,
Reviewing Committee and Grievance Panel
2-51. Costs and Expenses
2-52. Resignation and Waiver of Attorney Facing Disci-
plinary Investigation
2-53. Reinstatement after Suspension, Disbarment or
Resignation
2-54. Publication of Notice of Reprimand, Suspension,
Disbarment, Resignation, Placement on Inactive
Status or Reinstatement
2-55. Retirement of Attorney—Right of Revocation
2-55A. Retirement of Attorney—Permanent
2-56. Inactive Status of Attorney
2-57. —Prior Judicial Determination of Incompetency or
Involuntary Commitment
2-58. —No Prior Determination of Incompetency or Invol-
untary Commitment
2-59. —Disability Claimed during Course of Disciplin-
ary Proceeding
2-60. —Reinstatement upon Termination of Disability
2-61. —Burden of Proof in Inactive Status Proceedings
2-62. —Waiver of Doctor-Patient Privilege upon Applica-
tion for Reinstatement
2-63. Definition of Respondent
2-64. Appointment of Attorney to Protect Clients’ and
Attorney’s Interests
2-65. Good Standing of Attorney
2-66. Practice by Court Officials
2-67. Payment of Attorneys by Bank and Trust Com-
panies
2-68. Client Security Fund Established
2-68A. —Crisis Intervention and Referral Assistance
2-69. —Definition of Dishonest Conduct
2-70. —Client Security Fund Fee
2-71. —Eligible Claims
2-72. —Client Security Fund Committee
SUPERIOR COURT—GENERAL PROVISIONS Sec. 2-4A
2-73. —Powers and Duties of Client Security Fund Com-
mittee
2-74. —Regulations of Client Security Fund Committee
2-75. —Processing Claims
2-76. —Confidentiality
2-77. —Review of Status of Fund
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-
cerning Bar Admission Process
(a) For the purposes of this chapter, each supe-
rior court location designated below shall be the
superior court for the county in which it is situated:
the superior court for the judicial district of Fairfield
at Bridgeport shall be the superior court for Fair-
field county; the superior court for the judicial dis-
trict of New Haven at New Haven shall be the
superior court for New Haven county; the superior
court for the judicial district of Litchfield at Litch-
field shall be the superior court for Litchfield
county; the superior court for the judicial district
of Hartford at Hartford shall be the superior court
for Hartford county; the superior court for the judi-
cial district of Middlesex at Middletown shall be the
superior court for Middlesex county; the superior
court for the judicial district of Tolland at Rockville
shall be the superior court for Tolland county; the
superior court for the judicial district of New Lon-
don at Norwich shall be the superior court for
New London county; and the superior court for
the judicial district of Windham at Putnam shall
be the superior court for Windham county.
(b) The chief clerk for each judicial district court
location mentioned above shall be the clerk for
the corresponding superior court county location.
(P.B. 1978-1997, Sec. 8.) (Amended June 29, 1998, to take
effect Sept. 1, 1998.)
Sec. 2-2. Admission
No person shall be admitted as an attorney
except as herein provided.
(P.B. 1978-1997, Sec. 9.)
Sec. 2-3. Examining Committee
There shall be an examining committee
appointed by the judges of the superior court con-
sisting of twenty-four members, of whom at least
one shall be a judge of said court, and the rest
attorneys residing in this state. The term of office
of each member shall be three years from the first
day of September succeeding appointment, and
the terms shall continue to be arranged so that
those of eight members shall expire annually. The
appointment of any member may be revoked or
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2-78. —Attorney’s Fee for Prosecuting Claim
2-79. —Enforcement of Payment of Fee
2-80. —Restitution by Attorney
2-81. —Restitution and Subrogation
2-82. Admission of Misconduct; Discipline by Consent
2-83. Effective Dates
suspended by the judges or by the executive com-
mittee of the superior court. In connection with
such revocation or suspension, the judges or the
executive committee shall appoint a qualified indi-
vidual to fill the vacancy for the balance of the
term or for any other appropriate period. All other
vacancies shall be filled by the judges for unex-
pired terms only, provided that the chief justice
may fill such vacancies until the next annual meet-
ing of the judges, and in the event of the foreseen
absence or the illness or the disqualification of a
member of the committee the chief justice may
make a pro tempore appointment to the commit-
tee to serve during such absence, illness or dis-
qualification. At any meeting of the committee the
members present shall constitute a quorum.
(P.B. 1978-1997, Sec. 11.)
Sec. 2-4. —Regulations by Examining Com-
mittee
The committee shall have the power and
authority to implement these rules by regulations
relevant thereto and not inconsistent therewith.
Such regulations may be adopted at any regular
meeting of the committee or at any special meet-
ing called for that purpose. They shall be effective
ninety days after publication in one issue of the
Connecticut Law Journal and shall at all times be
subject to amendment or revision by the commit-
tee or by the judges of the superior court. A copy
shall be provided to the chief justice.
(P.B. 1978-1997, Sec. 12.) (Amended June 20, 2011, to
take effect Jan. 1, 2012.)
Sec. 2-4A. —Records of Examining Com-
mittee
The records and transcripts, if any, of hearings
conducted by the state bar examining committee
or the several standing committees on recommen-
dations for admission to the bar shall be available
only to such committee, to a judge of the superior
court, to the statewide grievance committee, to
disciplinary counsel or, with the consent of the
applicant, to any other person, unless otherwise
ordered by the court.
(Adopted June 26, 2006, to take effect Jan. 1, 2007.)
SUPERIOR COURT—GENERAL PROVISIONSSec. 2-5
Sec. 2-5. —Examination of Candidates for
Admission
The committee shall further have the duty,
power and authority to provide for the examination
of candidates for admission to the bar; to deter-
mine whether such candidates are qualified as
to prelaw education, legal education, good moral
character and fitness to practice law; and to rec-
ommend to the court for admission to the bar
qualified candidates.
(P.B. 1978-1997, Sec. 13.) (Amended June 21, 2010, to
take effect Jan. 1, 2011.)
Sec. 2-5A. —Good Moral Character and Fit-
ness to Practice Law
(Amended June 20, 2011, to take effect Sept. 1, 2011.)
(a) Good moral character shall be construed to
include, but not be limited to, the following:
(1) The qualities of honesty, fairness, candor
and trustworthiness;
(2) Observance of fiduciary responsibility;
(3) Respect for and obedience to the law; and
(4) Respect for the legal rights of others and
the judicial process, as evidenced by conduct
other than merely initiating or pursuing litigation.
(b) Fitness to practice law shall be construed
to include the following:
(1) The cognitive capacity to undertake funda-
mental lawyering skills such as problem solving,
legal analysis and reasoning, legal research, fac-
tual investigation, organization and management
of legal work, making appropriate reasoned legal
judgments, and recognizing and solving ethical
dilemmas;
(2) The ability to communicate legal judgments
and legal information to clients, other attorneys,
judicial and regulatory authorities, with or without
the use of aids or devices; and
(3) The capability to perform legal tasks in a
timely manner.
(Adopted June 21, 2010, to take effect Jan. 1, 2011;
amended June 20, 2011, to take effect Sept. 1, 2011.)
Sec. 2-6. —Personnel of Examining Com-
mittee
Such personnel within the legal services divi-
sion of the office of the chief court administrator
as may be assigned from time to time by the chief
court administrator shall assist the examining
committee in carrying out its duties.
(P.B. 1978-1997, Sec. 14.)
Sec. 2-7. Number of Times an Applicant May
Sit for the Examination
There is no restriction on the number of times
an applicant may sit for the examination.
(P.B. 1978-1997, Sec. 15A.)
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Sec. 2-8. Qualifications for Admission
To entitle an applicant to admission to the bar,
except under Sections 2-13 through 2-15 of these
rules, the applicant must satisfy the committee
that:
(1) The applicant is a citizen of the United States
or an alien lawfully residing in the United States.
(2) The applicant is not less than eighteen years
of age.
(3) The applicant is a person of good moral
character, is fit to practice law, and has either
passed an examination in professional responsi-
bility administered under the auspices of the bar
examining committee or has completed a course
in professional responsibility in accordance with
the regulations of the bar examining committee.
Any inquiries or procedures used by the bar exam-
ining committee that relate to physical or mental
disability must be narrowly tailored and necessary
to a determination of the applicant’s current fitness
to practice law, in accordance with the Americans
with Disabilities Act and amendment twenty-one
of the Connecticut constitution, and conducted in
a manner consistent with privacy rights afforded
under the federal and state constitutions or other
applicable law.
(4) The applicant has met the educational
requirements as may be set, from time to time,
by the bar examining committee.
(5) The applicant has filed with the administra-
tive director of the bar examining committee an
application to take the examination and for admis-
sion to the bar, all in accordance with these rules
and the regulations of the committee, and has
paid such application fee as the committee shall
from time to time determine.
(6) The applicant has passed an examination
in law in accordance with the regulations of the
committee.
(7) The applicant has complied with all of the
pertinent rules and regulations of the committee.
(8) As an alternative to satisfying the committee
that the applicant has met the committee’s educa-
tional requirements, the applicant who meets all
the remaining requirements of this section may,
upon payment of such investigation fee as the
committee shall from time to time determine, sub-
stitute proof satisfactory to the committee that: (A)
the applicant has been admitted to practice before
the highest court of original jurisdiction in one or
more states, the District of Columbia or the com-
monwealth of Puerto Rico or in one or more district
courts of the United States for ten or more years
and at the time of filing the application is a member
in good standing of such a bar; (B) the applicant
has actually practiced law in such a jurisdiction
for not less than five years during the seven year
SUPERIOR COURT—GENERAL PROVISIONS Sec. 2-11
period immediately preceding the filing date of the
application; and (C) the applicant intends, upon
a continuing basis, actively to practice law in Con-
necticut and to devote the major portion of the
applicant’s working time to the practice of law
in Connecticut.
(P.B. 1978-1997, Sec. 16.) (Amended June 29, 2007, to
take effect Jan. 1, 2008; amended June 21, 2010, to take
effect Jan. 1, 2011.)
Sec. 2-9. Certification of Applicants Recom-
mended for Admission; Conditions of
Admission
(Amended June 30, 2008, to take effect Jan. 1, 2009.)
(a) The committee shall certify to the clerk of the
superior court for the county in which the applicant
seeks admission and to the clerk of the superior
court in New Haven the name of any such appli-
cant recommended by it for admission to the bar
and shall notify the applicant of its decision.
(b) The committee may, in light of the physical
or mental disability of a candidate that has caused
conduct or behavior that would otherwise have
rendered the candidate currently unfit to practice
law, determine that it will only recommend an
applicant for admission to the bar conditional upon
the applicant’s compliance with conditions pre-
scribed by the committee relevant to the disability
and the fitness of the applicant. Such determina-
tion shall be made after a hearing on the record
is conducted by the committee or a panel thereof
consisting of at least three members appointed
by the chair, unless such hearing is waived by
the applicant. Such conditions shall be tailored to
detect recurrence of the conduct or behavior
which could render an applicant unfit to practice
law or pose a risk to clients or the public and
to encourage continued treatment, abstinence, or
other support. The conditional admission period
shall not exceed five years, unless the condition-
ally admitted attorney fails to comply with the con-
ditions of admission, and the bar examining
committee or the court determines, in accordance
with the procedures set forth in Section 2-11, that
a further period of conditional admission is neces-
sary. The committee shall notify the applicant by
mail of its decision and that the applicant must
sign an agreement with the bar examining com-
mittee under oath affirming acceptance of such
conditions and that the applicant will comply with
them. Upon receipt of this agreement from the
applicant, duly executed, the committee shall rec-
ommend the applicant for admission to the bar as
provided herein. The committee shall forward a
copy of the agreement to the statewide bar coun-
sel, who shall be considered a party for purposes
of defending an appeal under Section 2-11A.
(P.B. 1978-1997, Sec. 17.) (Amended June 30, 2008, to
take effect Jan. 1, 2009; amended June 21, 2010, to take
effect Jan. 1, 2011.)
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Sec. 2-10. Admission by Superior Court
(a) Each applicant who shall be recommended
for admission to the bar shall present himself or
herself to the superior court, or to either the
supreme court or the appellate court sitting as the
superior court, at such place and at such time as
shall be prescribed by the committee, or shall be
prescribed by the supreme court or the appellate
court, and such court may then, upon motion,
admit such person as an attorney. The administra-
tive director shall give notice to each clerk of the
names of the newly admitted attorneys. At the
time such applicant is admitted as an attorney the
applicant shall be sworn as a commissioner of the
superior court.
(b) The administrative judge of said judicial dis-
trict or a designee or the chief justice of the
supreme court or a designee or the chief judge
of the appellate court or a designee may deliver an
address to the applicants so admitted respecting
their duties and responsibilities as attorneys.
(P.B. 1978-1997, Sec. 18.)
Sec. 2-11. Monitoring Compliance with Con-
ditions of Admission; Removal or Modifica-
tion of Conditions
(Amended June 30, 2008, to take effect Jan. 1, 2009.)
(a) If an applicant is admitted to the bar after
signing an agreement with the bar examining
committee under oath affirming acceptance of the
conditions prescribed by the committee pursuant
to Section 2-9 (b) and that he or she will comply
with them, the statewide bar counsel shall monitor
the attorney’s compliance with those conditions
pursuant to regulations adopted by the statewide
grievance committee governing such monitoring.
The attorney so admitted or the statewide bar
counsel may make application to the bar examin-
ing committee to remove or modify the conditions
previously agreed to by such attorney as circum-
stances warrant. The bar examining committee,
or a panel thereof consisting of at least three mem-
bers appointed by its chair, shall conduct a hear-
ing on the application, which shall be on the
record, and shall also receive and consider a
report from the statewide bar counsel on the mat-
ter. Such hearing may be waived by the applicant
and the statewide bar counsel. If, upon such appli-
cation, the bar examining committee modifies
such conditions, the attorney shall sign an
agreement with the bar examining committee
under oath affirming acceptance of the modified
conditions and that he or she will comply with
them, and the statewide bar counsel shall monitor
the attorney’s compliance with them. The state-
wide bar counsel shall be considered a party for
purposes of defending an appeal under Section
SUPERIOR COURT—GENERAL PROVISIONSSec. 2-11
2-11A. All information relating to conditional
admission of an applicant or attorney shall remain
confidential unless otherwise ordered by the
court.
(b) Upon the failure of the attorney to comply
with the conditions of admission or the monitoring
requirements adopted by the statewide grievance
committee, the statewide bar counsel shall apply
to the court in the judicial district of Hartford for
an appropriate order. The court, after hearing
upon such application, may take such action as
it deems appropriate. Thereafter, upon application
of the attorney or of the statewide bar counsel
and upon good cause shown, the court may set
aside or modify the order rendered pursuant
hereto.
(P.B. 1978-1997, Sec. 18A.) (Amended June 29, 1998, to
take effect Sept. 1, 1998; amended June 30, 2008, to take
effect Jan. 1, 2009.)
Sec. 2-11A. Appeal from Decision of Bar
Examining Committee concerning Condi-
tions of Admission
(a) A decision by the bar examining committee
prescribing conditions for admission to the bar
under Section 2-9 (b) or on an application to
remove or modify conditions of admission under
Section 2-11 (a) may be appealed to the superior
court by the bar applicant or attorney who is the
subject of the decision. Within thirty days from
the issuance of the decision of the bar examining
committee, the appellant shall: (1) file the appeal
with the clerk of the superior court for the judicial
district of Hartford and (2) mail a copy of the
appeal by certified mail, return receipt requested
or with electronic delivery confirmation, to the
office of the statewide bar counsel and to the office
of the director of the bar examining committee
as agent for the bar examining committee. The
statewide bar counsel shall be considered a party
for purposes of defending an appeal under this
section.
(b) The filing of an appeal shall not, of itself, stay
enforcement of the bar examining committee’s
decision. An application for a stay may be made
to the bar examining committee, to the court or
to both. Filing of an application with the bar exam-
ining committee shall not preclude action by the
court. A stay, if granted, shall be on appropriate
terms.
(c) Within thirty days after the service of the
appeal, or within such further time as may be
allowed by the court, the director of the bar exam-
ining committee shall transmit to the reviewing
court a certified copy of the entire record of the
proceeding appealed from, which shall include
a transcript of any testimony heard by the bar
examining committee and the decision of the bar
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examining committee. By stipulation of all parties
to such appeal proceedings, the record may be
shortened. The court may require or permit subse-
quent corrections or additions to the record.
(d) The appellant shall file a brief within thirty
days after the filing of the record by the bar exam-
ining committee. The appellee shall file its brief
within thirty days of the filing of the appellant’s
brief. Unless permission is given by the court for
good cause shown, briefs shall not exceed thirty-
five pages.
(e) The appeal shall be conducted by the court
without a jury and shall be confined to the record.
If alleged irregularities in procedure before the bar
examining committee are not shown in the record,
proof limited thereto may be taken in the court.
The court, upon request, shall hear oral argument.
(f) Upon appeal, the court shall not substitute
its judgment for that of the bar examining commit-
tee as to the weight of the evidence on questions
of fact. The court shall affirm the decision of the
committee unless the court finds that substantial
rights of the appellant have been prejudiced
because the committee’s findings, inferences,
conclusions, or decisions are: (1) in violation of
constitutional provisions, rules of practice or statu-
tory provisions; (2) in excess of the authority of the
committee; (3) made upon unlawful procedure;
(4) affected by other error of law; (5) clearly erro-
neous in view of the reliable, probative, and sub-
stantial evidence on the whole record; or (6)
arbitrary or capricious or characterized by abuse
of discretion or clearly unwarranted exercise of
discretion. If the court finds such prejudice, it shall
sustain the appeal and, if appropriate, rescind the
action of the bar examining committee or take
such other action as may be necessary. For pur-
poses of further appeal, the action taken by the
superior court hereunder is a final judgment.
(g) In all appeals taken under this section, costs
may be taxed in favor of the statewide bar counsel
in the same manner, and to the same extent, that
costs are allowed in judgments rendered by the
superior court. No costs shall be taxed against
the bar examining committee, except that the
court may, in its discretion, award to the appellant
reasonable fees and expenses if the court deter-
mines that the action of the bar examining commit-
tee was undertaken without any substantial
justification. ‘‘Reasonable fees and expenses’’
means any expenses not in excess of $7500
which the court finds were reasonably incurred in
opposing the committee’s action, including court
costs, expenses incurred in administrative pro-
ceedings, attorney’s fees, witness fees of all nec-
essary witnesses, and such other expenses as
were reasonably incurred.
SUPERIOR COURT—GENERAL PROVISIONS Sec. 2-13
(h) All information relating to the conditional
admission of an attorney, including information
submitted in connection with the appeal under
this section, shall be confidential unless otherwise
ordered by the court.
(Adopted June 30, 2008, to take effect Jan. 1, 2009;
amended June 14, 2013, to take effect Jan. 1, 2014.)
Sec. 2-12. County Committees on Recom-
mendations for Admission
(a) There shall be in each county a standing
committee on recommendations for admission,
consisting of not less than three nor more than
seven members of the bar of that county, who
shall be appointed by the judges of the superior
court to hold office for three years from the date
of their appointment and until their successors are
appointed. The appointment of any member may
be revoked or suspended by the judges or by
the executive committee of the superior court. In
connection with such revocation or suspension,
the judges or the executive committee shall
appoint a qualified individual to fill the vacancy
for the balance of the term or for any other appro-
priate period. Appointments to fill vacancies which
have arisen by reasons other than revocation or
suspension may be made by the chief justice until
the next annual meeting of the judges of the supe-
rior court, and, in the event of the foreseen
absence or the illness or the disqualification of a
member of the committee, the chief justice may
make a pro tempore appointment to the commit-
tee to serve during such absence, illness or dis-
qualification.
(b) Any application for admission to the bar may
be referred to the committee for the county
through which the applicant seeks admission,
which shall investigate the applicant’s moral char-
acter and fitness to practice law and report to
the bar of the county whether the applicant has
complied with the rules relating to admission to
the bar, is a person of good moral character, is
fit to practice law and should be admitted.
(P.B. 1978-1997, Sec. 19.) (Amended June 26, 2006, to
take effect Jan. 1, 2007; amended June 21, 2010, to take
effect Jan. 1, 2011.)
Sec. 2-13. Attorneys of Other Jurisdictions;
Qualifications and Requirements for
Admission
(a) Any member of the bar of another state
or territory of the United States or the District of
Columbia, who, after satisfying the state bar
examining committee that his or her educational
qualifications are such as would entitle him or her
to take the examination in Connecticut, and that
(i) at least one jurisdiction in which he or she is
a member of the bar is reciprocal to Connecticut
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in that it would admit a member of the bar of
Connecticut to its bar without examination under
provisions similar to those set out in this section
or (ii) he or she is a full-time faculty member or
full-time clinical fellow at an accredited Connecti-
cut law school and admitted in a reciprocal or
nonreciprocal jurisdiction, shall satisfy the state
bar examining committee that he or she (1) is of
good moral character, is fit to practice law, and
has either passed an examination in professional
responsibility administered under the auspices of
the bar examining committee or has completed a
course in professional responsibility in accord-
ance with the regulations of the bar examining
committee; (2) has been duly licensed to practice
law before the highest court of a reciprocal state
or territory of the United States or in the District
of Columbia if reciprocal to Connecticut, or that
he or she is a full-time faculty member or full-time
clinical fellow at an accredited Connecticut law
school and admitted in a reciprocal or nonrecipro-
cal jurisdiction and (A) has lawfully engaged in
the practice of law as the applicant’s principal
means of livelihood for at least five of the ten years
immediately preceding the date of the application
and is in good standing, or (B) if the applicant has
taken the bar examinations of Connecticut and
failed to pass them, the applicant has lawfully
engaged in the practice of law as his or her princi-
pal means of livelihood for at least five of the
ten years immediately preceding the date of the
application and is in good standing, provided that
such five years of practice shall have occurred
subsequent to the applicant’s last failed Connecti-
cut examination; (3) is a citizen of the United
States or an alien lawfully residing in the United
States; (4) intends, upon a continuing basis, to
practice law actively in Connecticut, may be
admitted by the court as an attorney without exam-
ination upon written application and the payment
of such fee as the examining committee shall from
time to time determine, upon compliance with the
following requirements: Such application, duly
verified, shall be filed with the administrative direc-
tor of the bar examining committee and shall set
forth the applicant’s qualifications as hereinbefore
provided. There shall be filed with such application
the following affidavits: Affidavits from two attor-
neys who personally know the applicant certifying
to his or her good moral character and fitness to
practice law and supporting, to the satisfaction
of the state bar examining committee, his or her
practice of law as defined under (2) of this subsec-
tion; affidavits from two members of the bar of
Connecticut of at least five years’ standing, certi-
fying that the applicant is of good moral character
and is fit to practice law; and an affidavit from the
SUPERIOR COURT—GENERAL PROVISIONSSec. 2-13
applicant, certifying whether such applicant has
a grievance pending against him or her, has ever
been reprimanded, suspended, placed on inactive
status, disbarred, or has ever resigned from the
practice of law, and, if so, setting forth the circum-
stances concerning such action. Such an affidavit
is not required if it has been furnished as part of
the application form prescribed by the state bar
examining committee.
(b) For the purpose of this rule, the ‘‘practice
of law’’ shall include the following activities, if per-
formed after the date of the applicant’s admission
to the jurisdiction in which the activities were per-
formed, or if performed in a jurisdiction that per-
mits such activity by a lawyer not admitted to
practice:
(1) representation of one or more clients in the
practice of law;
(2) service as a lawyer with a state, federal, or
territorial agency, including military services;
(3) teaching law at an accredited law school,
including supervision of law students within a clini-
cal program;
(4) service as a judge in a state, federal, or
territorial court of record;
(5) service as a judicial law clerk;
(6) service as authorized house counsel;
(7) service as authorized house counsel in Con-
necticut before July 1, 2008, or while certified pur-
suant to Section 2-15A; or
(8) any combination of the above.
(P.B. 1978-1997, Sec. 21.) (Amended June 28, 1999, to
take effect Jan. 1, 2000; amended June 22, 2009, to take
effect Jan. 1, 2010; amended June 21, 2010, to take effect
Jan. 1, 2011; amended June 20, 2011, to take effect Jan. 1,
2012; amended June 15, 2012, to take effect Sept. 1, 2012;
amended June 13, 2014, to take effect Jan. 1, 2015.)
TECHNICAL CHANGE: In subsection (a), ‘‘the applicant’s’’
replaced ‘‘his or her’’ in the sentence beginning ‘‘Such applica-
tion . . . .’’
Sec. 2-13A. Military Spouse Temporary
Licensing
(a) Qualifications. An applicant who meets all
of the following requirements listed in subdivisions
(1) through (11) of this subsection may be tempo-
rarily licensed and admitted to the practice of law
in Connecticut, upon approval of the bar examin-
ing committee. The applicant:
(1) is the spouse of an active duty service mem-
ber of the United States Army, Navy, Air Force,
Marine Corps or Coast Guard and that service
member is or will be stationed in Connecticut due
to military orders;
(2) is licensed to practice law before the highest
court in at least one state or territory of the United
States or in the District of Columbia;
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(3) is currently an active member in good stand-
ing in every jurisdiction to which the applicant has
been admitted to practice, or has resigned or
become inactive or had a license administratively
suspended or revoked while in good standing from
every jurisdiction without any pending disciplin-
ary actions;
(4) is not currently subject to lawyer discipline
or the subject of a pending disciplinary matter in
any other jurisdiction;
(5) meets the educational qualifications
required to take the examination in Connecticut;
(6) possesses the good moral character and
fitness to practice law required of all applicants
for admission in Connecticut;
(7) has passed an examination in professional
responsibility administered under the auspices of
the bar examining committee or has completed a
course in professional responsibility in accord-
ance with the regulation of the bar examining com-
mittee;
(8) is or will be physically residing in Connecticut
due to the service member’s military orders;
(9) has not failed the Connecticut bar examina-
tion within the past five years;
(10) has not had an application for admission
to the Connecticut bar or the bar of any state,
the District of Columbia or United States territory
denied on character and fitness grounds; and
(11) has not failed to achieve the Connecticut
scaled score on the Uniform Bar Examination
administered within any jurisdiction within the past
five years.
(b) Application Requirements. Any applicant
seeking a temporary license to practice law in
Connecticut under this section shall file a written
application and payment of such fee as the bar
examining committee shall from time to time
determine. Such application, duly verified, shall
be filed with the administrative director of the bar
examining committee and shall set forth the appli-
cant’s qualifications as hereinbefore provided. In
addition, the applicant shall file with the bar exam-
ining committee the following:
(1) a copy of the applicant’s military spouse
dependent identification and documentation evi-
dencing a spousal relationship with the service
member;
(2) a copy of the service member’s military
orders to a military installation in Connecticut or
a letter from the service member’s command veri-
fying that the requirement in subsection (a) (8) of
this section is met;
(3) certificate(s) of good standing from the high-
est court of each state, the District of Columbia
or United States territory to which the applicant
has been admitted, or proof that the applicant has
SUPERIOR COURT—GENERAL PROVISIONS Sec. 2-13A
resigned, or become inactive or had a license
administratively suspended or revoked while in
good standing;
(4) an affidavit from the applicant, certifying
whether such applicant has a grievance pending
against him or her, has ever been reprimanded,
suspended, placed on inactive status, disbarred,
or has ever resigned from the practice of law, and,
if so setting forth the circumstances concerning
such action; and
(5) affidavits from two attorneys who personally
know the applicant certifying to his or her good
moral character and fitness to practice law.
(c) Duration and Renewal.
(1) A temporary license to practice law issued
under this rule will be valid for three years provided
that the temporarily licensed attorney remains a
spouse of the service member and resides in Con-
necticut due to military orders or continues to
reside in Connecticut due to the service member’s
immediately subsequent assignment specifying
that dependents are not authorized to accompany
the service member. The temporary license may
be renewed for one additional two year period.
(2) A renewal application must be submitted
with the appropriate fee as established by the bar
examining committee and all other documentation
required by the bar examining committee, includ-
ing a copy of the service member’s military orders.
Such renewal application shall be filed not less
than thirty days before the expiration of the origi-
nal three year period.
(3) A temporarily licensed attorney who wishes
to become a permanent member of the bar of
Connecticut may apply for admission by examina-
tion or for admission without examination for the
standard application fee minus the application fee
paid to the committee for the application for tem-
porary license, not including any fees for renewal.
(d) Termination.
(1) Termination of Temporary License. A tem-
porary license shall terminate, and a temporarily
licensed attorney shall cease the practice of law
in Connecticut pursuant to that admission, unless
otherwise authorized by these rules, thirty days
after any of the following events:
(A) the service member’s separation or retire-
ment from military service;
(B) the service member’s permanent relocation
to another jurisdiction, unless the service mem-
ber’s immediately subsequent assignment speci-
fies that the dependents are not authorized to
accompany the service member, in which case
the attorney may continue to practice law in Con-
necticut as provided in this rule until the service
member departs Connecticut for a permanent
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change of station where the presence of depen-
dents is authorized;
(C) the attorney’s permanent relocation outside
of the state of Connecticut for reasons other than
the service member’s relocation;
(D) upon the termination of the attorney’s spou-
sal relationship to the service member;
(E) the attorney’s failure to meet the annual
licensing requirements for an active member of
the bar of Connecticut;
(F) the attorney’s request;
(G) the attorney’s admission to practice law in
Connecticut by examination or without exami-
nation;
(H) the attorney’s denial of admission to the
practice of law in Connecticut; or
(I) the death of the service member.
Notice of one of the events set forth in subsec-
tion (d) (1) must be filed with the bar examining
committee by the temporarily licensed attorney
within thirty days of such event. Notice of the event
set forth in subsection (d) (1) (I) must be filed with
the bar examining committee by the temporarily
licensed attorney within thirty days of the event,
and the attorney shall cease the practice of law
within one year of the event. Failure to provide
such notice by the temporarily licensed attorney
shall be a basis for discipline pursuant to the Rules
of Professional Conduct for attorneys.
(2) Notice of Termination of Temporary License.
Upon receipt of the notice required by subsection
(d) (1), the bar examining committee shall forward
a request to the statewide bar counsel that the
license under this chapter be revoked. Notice of
the revocation shall be mailed by thestatewide
bar counsel to the temporarily licensed attorney.
(3) Notices Required. At least sixty days before
termination of the temporary admission, or as
soon as possible under the circumstances, the
attorney shall:
(A) file in each matter pending before any court,
tribunal, agency or commission a notice that the
attorney will no longer be involved in the case; and
(B) provide written notice to all clients receiving
representation from the attorney that the attorney
will no longer represent them.
(e) Responsibilities and Obligations.
An attorney temporarily licensed under this sec-
tion shall be subject to all responsibilities and obli-
gations of active members of the Connecticut bar,
and shall be subject to the jurisdiction of the courts
and agencies of Connecticut, and shall be subject
to the laws and rules of Connecticut governing the
conduct and discipline of attorneys to the same
extent as an active member of the Connecticut
bar. The attorney shall maintain participation in a
SUPERIOR COURT—GENERAL PROVISIONSSec. 2-13A
mentoring program provided by a state or local
bar association in the state of Connecticut.
(Adopted June 23, 2017, to take effect Jan. 1, 2018.)
COMMENTARY—2018: This rule permits an attorney
licensed in another jurisdiction, who is the spouse of an active
military member, to be temporarily licensed and admitted to
practice law in Connecticut.
Sec. 2-14. —Action by Bar; Temporary
License
[Repealed as of Jan. 1, 2012.]
Sec. 2-15. —Permanent License
[Repealed as of Jan. 1, 2012.]
Sec. 2-15A. —Authorized House Counsel
(a) Purpose
The purpose of this section is to clarify the sta-
tus of house counsel as authorized house counsel
as defined herein, and to confirm that such coun-
sel are subject to regulation by the judges of the
superior court. Notwithstanding any other section
of this chapter relating to admission to the bar,
this section shall authorize attorneys licensed to
practice in jurisdictions other than Connecticut to
be permitted to undertake these activities, as
defined herein, in Connecticut without the require-
ment of taking the bar examination so long as
they are exclusively employed by an organization.
(b) Definitions
(1) Authorized House Counsel. An ‘‘author-
ized house counsel’’ is any person who:
(A) is a member in good standing of the entity
governing the practice of law of each state (other
than Connecticut) or territory of the United States,
or the District of Columbia or any foreign jurisdic-
tion in which the member is licensed;
(B) has been certified on recommendation of
the bar examining committee in accordance with
this section;
(C) agrees to abide by the rules regulating
members of the Connecticut bar and submit to the
jurisdiction of the statewide grievance committee
and the superior court; and
(D) is, at the date of application for registration
under this rule, employed in the state of Connecti-
cut by an organization or relocating to the state
of Connecticut in furtherance of such employment
within three months of such application under this
section and receives or shall receive compensa-
tion for activities performed for that business orga-
nization.
(2) Organization. An ‘‘organization’’ for the pur-
pose of this rule is a corporation, partnership,
association, or employer sponsored benefit plan
or other legal entity (taken together with its respec-
tive parents, subsidiaries, and affiliates) that is
not itself engaged in the practice of law or the
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rendering of legal services outside such organiza-
tion, whether for a fee or otherwise, and does not
charge or collect a fee for the representation or
advice other than to entities comprising such orga-
nization for the activities of the authorized
house counsel.
(c) Activities
(1) Authorized Activities. An authorized
house counsel, as an employee of an organiza-
tion, may provide legal services in the state of
Connecticut to the organization for which a regis-
tration pursuant to subsection (d) is effective, pro-
vided, however, that such activities shall be
limited to:
(A) the giving of legal advice to the directors,
officers, employees, trustees, and agents of the
organization with respect to its business and
affairs;
(B) negotiating and documenting all matters for
the organization; and
(C) representation of the organization in its
dealings with any administrative agency, tribunal
or commission having jurisdiction; provided, how-
ever, authorized house counsel shall not be per-
mitted to make appearances as counsel before
any state or municipal administrative tribunal,
agency, or commission, and shall not be permitted
to make appearances in any court of this state,
unless the attorney is specially admitted to appear
in a case before such tribunal, agency, commis-
sion or court.
(2) Disclosure. Authorized house counsel shall
not represent themselves to be members of the
Connecticut bar or commissioners of the superior
court licensed to practice law in this state. Such
counsel may represent themselves as Connecti-
cut authorized house counsel.
(3) Limitation on Representation. In no event
shall the activities permitted hereunder include
the individual or personal representation of any
shareholder, owner, partner, officer, employee,
servant, or agent in any matter or transaction or
the giving of advice therefor unless otherwise per-
mitted or authorized by law, code, or rule or as
may be permitted by subsection (c) (1). Author-
ized house counsel shall not be permitted to pre-
pare legal instruments or documents on behalf of
anyone other than the organization employing the
authorized house counsel.
(4) Limitation on Opinions to Third Parties.
An authorized house counsel shall not express or
render a legal judgment or opinion to be relied
upon by any third person or party other than legal
opinions rendered in connection with commercial,
financial or other business transactions to which
the authorized house counsel’s employer organi-
zation is a party and in which the legal opinions
SUPERIOR COURT—GENERAL PROVISIONS Sec. 2-15A
have been requested from the authorized house
counsel by another party to the transaction. Noth-
ing in this subsection (c) (4) shall permit author-
ized house counsel to render legal opinions or
advice in consumer transactions to customers of
the organization employing the authorized
house counsel.
(5) Pro Bono Legal Services. Notwithstanding
anything to the contrary in this section, an author-
ized house counsel may participate in the provi-
sion of any and all legal services pro bono publico
in Connecticut offered under the supervision of
an organized legal aid society or state/local bar
association project, or of a member of the Con-
necticut bar who is also working on the pro
bono representation.
(d) Registration
(1) Filing with the Bar Examining Committee.
The bar examining committee shall investigate
whether the applicant is at least eighteen years
of age and is of good moral character, consistent
with the requirement of Section 2-8 (3) regarding
applicants for admission to the bar. In addition,
the applicant shall file with the bar examining com-
mittee, and the committee shall consider, the fol-
lowing:
(A) a certificate from each entity governing the
practice of law of a state or territory of the United
States, or the District of Columbia or any foreign
jurisdiction in which the applicant is licensed to
practice law certifying that the applicant is a mem-
ber in good standing;
(B) a sworn statement by the applicant:
(i) that the applicant has read and is familiar with
the Connecticut Rules of Professional Conduct
for attorneys and Chapter 2 (Attorneys) of the
Superior Court Rules, General Provisions, and
will abide by the provisions thereof;
(ii) that the applicant submits to the jurisdiction
of the statewide grievance committee and the
superior court for disciplinary purposes, and
authorizes notification to or from the entity govern-
ing the practice of law of each state or territory of
the United States, or the District of Columbia in
which the applicant is licensed to practice law of
any disciplinary action taken against the applicant;
(iii) listing any jurisdiction in which the applicant
is now or ever has been licensed to practice
law; and
(iv) disclosing any disciplinary sanction or pend-
ing proceeding pertaining or relating to his or her
license to practice law including, but not limited to,
reprimand, censure, suspension or disbarment,
or whether the applicant has been placed on inac-
tive status;
(C) a certificate from an organization certifying
that it is qualified as set forth in subsection (b) (2);
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that it is aware that the applicant is not licensed
to practice law in Connecticut; and that the appli-
cant is employed or about to be employed in Con-
necticut by the organization as set forth in
subsection (b) (1) (D);
(D) an appropriate application pursuant to the
regulations of the bar examining committee;
(E) remittance of a filing fee to the bar examining
committee as prescribed and set by that commit-
tee; and
(F) an affidavit from each of two members of the
Connecticut bar, who have each been licensed to
practice law in Connecticut for at least five years,
certifying that the applicant is of good moral char-
acter and that the applicant is employed or will
be employed by an organization as defined above
in subsection (b) (2).
(2) Certification. Upon recommendation of the
bar examining committee, the court may certify
the applicant as authorized house counsel and
shall cause notice of such certification to be pub-
lished in the Connecticut Law Journal.
(3) Annual Client Security Fund Fee. Individu-
als certified pursuant to this section shall comply
with the requirements of Sections 2-68 and 2-70
of this chapter, including payment of the annual
fee and shall pay any other fees imposed on attor-
neys by court rule.
(4) Annual Registration. Individuals certified
pursuant to this section shall register annually with
the statewide grievance committee in accordance
with Sections 2-26 and 2-27 (d) of this chapter.
(e) Termination or Withdrawal of Regis-
tration
(1) Cessation of Authorization to Perform
Services. Authorization to perform services under
this rule shall cease upon the earliest of the follow-
ing events:
(A) the termination or resignation of employ-
ment with the organization for which registration
has been filed, provided, however, that if the
authorized house counsel shall commence
employment with another organization within
thirty days of the termination or resignation, autho-
rization to perform services under this rule shall
continue upon the filing with the bar examining
committee of a certificate as set forth in subsection
(d) (1) (C);
(B) the withdrawal of registration by the author-
ized house counsel;
(C) the relocation of an authorized house coun-
sel outside of Connecticut for a period greater
than 180 consecutive days; or
(D) the failure of authorized house counsel to
comply with any applicable provision of this rule.
Notice of one of the events set forth in subsec-
tions (e) (1) (A) through (C) or a new certificate
SUPERIOR COURT—GENERAL PROVISIONSSec. 2-15A
as provided in subsection (e) (1) (A) must be filed
with the bar examining committee by the author-
ized house counsel within thirty days after such
action. Failure to provide such notice by the
authorized house counsel shall be a basis for dis-
cipline pursuant to the Rules of Professional Con-
duct for attorneys.
(2) Notice of Withdrawal of Authorization.
Upon receipt of the notice required by subsection
(e) (1), the bar examining committee shall forward
a request to the statewide bar counsel that the
authorization under this chapter be revoked.
Notice of the revocation shall be mailed by the
statewide bar counsel to the authorized house
counsel and the organization employing the
authorized house counsel.
(3) Reapplication. Nothing herein shall prevent
an individual previously authorized as house
counsel to reapply for authorization as set forth
in subsection (d).
(f) Discipline
(1) Termination of Authorization by Court.
In addition to any appropriate proceedings and
discipline that may be imposed by the statewide
grievance committee, the superior court may, at
any time, with cause, terminate an authorized
house counsel’s registration, temporarily or per-
manently.
(2) Notification to Other States. The statewide
bar counsel shall be authorized to notify each
entity governing the practice of law in the state or
territory of the United States, or the District of
Columbia, in which the authorized house counsel
is licensed to practice law, of any disciplinary
action against the authorized house counsel.
(g) Transition
(1) Preapplication Employment in Connecti-
cut. The performance of an applicant’s duties as
an employee of an organization in Connecticut
prior to the effective date of this rule shall not
be grounds for the denial of registration of such
applicant if application for registration is made
within six months of the effective date of this rule.
(2) Immunity from Enforcement Action. An
authorized house counsel who has been duly reg-
istered under this rule shall not be subject to
enforcement action for the unlicensed practice of
law for acting as counsel to an organization prior
to the effective date of this rule.
(Adopted June 29, 2007, to take effect Jan. 1, 2008;
amended June 30, 2008, to take effect Jan. 1, 2009; amended
June 22, 2009, to take effect Jan. 1, 2010; amended June 15,
2012, to take effect Jan. 1, 2013.)
Sec. 2-16. —Attorney Appearing Pro Hac
Vice
An attorney who is in good standing at the bar
of another state, the District of Columbia, or the
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commonwealth of Puerto Rico, may, upon special
and infrequent occasion and for good cause
shown upon written application presented by a
member of the bar of this state, be permitted in
the discretion of the court to participate to such
extent as the court may prescribe in the presenta-
tion of a cause or appeal in any state court or a
proceeding before any municipal or state agency,
commission, board or tribunal (hereinafter
referred to as ‘‘proceeding’’) in this state; pro-
vided, however, that (1) such application shall be
accompanied by the affidavit of the applicant (A)
certifying whether such applicant has a grievance
pending against him or her in any other jurisdic-
tion, has ever been reprimanded, suspended,
placed on inactive status, disbarred, or otherwise
disciplined, or has ever resigned from the practice
of law and, if so, setting forth the circumstances
concerning such action, (B) certifying that the
applicant has paid the client security fund fee due
for the calendar year in which the application has
been made, (C) designating the chief clerk of the
superior court for the judicial district in which the
attorney will be appearing as his or her agent
upon whom process and service of notice may be
served, (D) agreeing to register with the statewide
grievance committee in accordance with the provi-
sions of this chapter while appearing in the matter
in this state and for two years after the completion
of the matter in which the attorney appeared, and
to notify the statewide grievance committee of the
expiration of the two year period, (E) identifying
the number of times the attorney has appeared
pro hac vice in the superior court or in any other
proceedings of this state since the attorney first
appeared pro hac vice in this state, listing each
such case or proceeding by name and docket
number, as applicable, and (F) providing any pre-
viously assigned juris number, and (2) unless
excused by the judicial authority, a member of the
bar of this state must be present at all proceed-
ings, including depositions in a proceeding, and
must sign all pleadings, briefs and other papers
filed with the court, local or state administrative
agency, commission, board or tribunal, and
assume full responsibility for them and for the
conduct of the cause or proceeding and of the
attorney to whom such privilege is accorded. Any
such application shall be made on a form pre-
scribed by the chief court administrator. Where
feasible, the application shall be made to the judge
before whom such case is likely to be tried. If
not feasible, or if no case is pending before the
superior court, the application shall be made to
the administrative judge in the judicial district
where the matter is to be tried or the proceeding
is to be conducted. Good cause for according
SUPERIOR COURT—GENERAL PROVISIONS Sec. 2-19
such privilege shall be limited to facts or circum-
stances affecting the personal or financial welfare
of the client and not the attorney. Such facts may
include a showing that by reason of a longstanding
attorney-client relationship predating the cause of
action or subject matter of the litigation at bar, or
proceeding, the attorney has acquired a special-
ized skill or knowledge with respect to the client’s
affairs important to the trial of the cause or presen-
tation of the proceeding, or that the litigant is
unable to secure the services of Connecticut
counsel. Upon the granting of an application to
appear pro hac vice, the clerk of the court in which
the application is granted shall immediately notify
the statewide grievance committee of such action.
Any person granted permission to appear in a
cause, appeal or proceeding pursuant to this sec-
tion shall comply with the requirements of Sec-
tions 2-68 and 2-70 and shall pay such fee when
due as prescribed by those sections for each year
such person appears in the matter. If the clerk for
the judicial district or appellate court in which the
matter is pending is notified that such person has
failed to pay the fee as required by this section,
the court shall determine after a hearing the
appropriate sanction, which may include termina-
tion of the privilege of appearing in the cause,
appeal or proceeding.
(P.B. 1978-1997, Sec. 24.) (Amended June 24, 2002, to
take effect July 1, 2003; May 14, 2003, effective date changed
to Oct. 1, 2003; Sept. 30, 2003, effective date changed to Jan.
1, 2004; amended June 29, 2007, to take effect Jan. 1, 2008;
amended June 20, 2011, to take effect Jan. 1, 2012; amended
June 24, 2016, to take effect Jan. 1, 2017.)
Sec. 2-17. Foreign Legal Consultants;
Licensing Requirements
Upon recommendation of the bar examining
committee, the court may license to practice as
a foreign legal consultant, without examination,
an applicant who:
(1) has been admitted to practice (or has
obtained the equivalent of admission) in a foreign
country, and has engaged in the practice of law
in that country, and has been in good standing
as an attorney or counselor at law (or the equiva-
lent of either) in that country, for a period of not
less than five of the seven years immediately pre-
ceding the date of application;
(2) possesses the good moral character and
fitness to practice law requisite for a member of
the bar of this court; and
(3) is at least twenty-six years of age.
(P.B. 1978-1997, Sec. 24B.) (Amended June 21, 2010, to
take effect Jan. 1, 2011.)
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Sec. 2-18. —Filings to Become Foreign
Legal Consultant
(a) An applicant for a license to practice as a
foreign legal consultant shall file with the adminis-
trative director of the bar examining committee:
(1) a typewritten application in the form pre-
scribed by the committee;
(2) a certified check, cashier’s check, or money
order in the amount of $500 made payable to the
bar examining committee;
(3) a certificate from the authority in the foreign
country having final jurisdiction over professional
discipline, certifying to the applicant’s admission
to practice (or the equivalent of such admission)
and the date thereof and to the applicant’s good
standing as an attorney or counselor at law (or
the equivalent of either), together with a duly
authenticated English translation of such certifi-
cate if it is not in English; and
(4) two letters of recommendation, one from a
member in good standing of the Connecticut bar
and another from either a member in good stand-
ing of the bar of the country in which the applicant
is licensed as an attorney, or from a judge of one
of the courts of original jurisdiction of said country,
together with a duly authenticated English transla-
tion of each letter if it is not in English.
(b) Upon a showing that strict compliance with
the provisions of Section 2-17 (1) and subdivisions
(3) or (4) of subsection (a) of this section is impos-
sible or very difficult for reasons beyond the con-
trol of the applicant, or upon a showing of
exceptional professional qualifications to practice
as a foreign legal consultant, the court may, in its
discretion, waive or vary the application of such
provisions and permit the applicant to make such
other showing as may be satisfactory to the court.
(c) The committee shall investigate the qualifi-
cations, moral character, and fitness of any appli-
cant for a license to practice as a foreign legal
consultant and may in any case require the appli-
cant to submit any additional proof or information
as the committee may deem appropriate. The
committee may also require the applicant to sub-
mit a report from the National Conference of Bar
Examiners, and to pay the prescribed fee therefor,
with respect to the applicant’s character and
fitness.
(P.B. 1978-1997, Sec. 24C.) (Amended June 21, 2010, to
take effect Jan. 1, 2011.)
Sec. 2-19. —Scope of Practice of Foreign
Legal Consultants
A person licensed to practice as a foreign legal
consultant under these rules is limited to advising
Connecticut clients only on the law of the foreign
SUPERIOR COURT—GENERAL PROVISIONSSec. 2-19
country in which such person is admitted to prac-
tice law. Such person shall not:
(1) in any way hold himself or herself out as a
member of the bar of the state of Connecticut; or
(2) use in this state any title other than ‘‘Foreign
Legal Consultant,’’ but in conjunction therewith
may indicate the foreign country in which he or
she is licensed to practice law.
(P.B. 1978-1997, Sec. 24D.)
Sec. 2-20. —Disciplinary Provisions regard-
ing Foreign Legal Consultants
(a) Every person licensed to practice as a for-
eign legal consultant under these rules:
(1) shall be subject to the Connecticut Rules of
Professional Conduct and to the rules of practice
regulating the conduct of attorneys in this state
to the extent applicable to the legal services
authorized under these rules, and shall be subject
to reprimand, suspension, or revocation of license
to practice as a foreign legal consultant by the
court;
(2) shall execute and file with the clerk, in such
form and manner as the court may prescribe:
(A) a written commitment to observe the Con-
necticut Rules of Professional Conduct and other
rules regulating the conduct of attorneys as
referred to in subsection (a) (1) of this section,
(B) an undertaking or appropriate evidence of
professional liability insurance, in such amount as
the court may prescribe, to assure the foreign
legal consultant’s proper professional conduct
and responsibility,
(C) a duly acknowledged instrument in writing
setting forth the foreign legal consultant’s address
in the state of Connecticut or United States, and
designating the clerk of the superior court for the
judicial district of Hartford as his or her agent upon
whom process may be served. Such service shall
have the same effect as if made personally upon
the foreign legal consultant, in any action or pro-
ceeding thereafter brought against the foreign
legal consultant and arising out of or based upon
any legal services rendered or offered to be ren-
dered by the foreign legal consultant within or to
residents of the state of Connecticut, and
(3) a written commitment to notify the clerk of
the foreign legal consultant’s resignation from
practice in the foreign country of his or her admis-
sion or in any other state or jurisdiction in which
said person has been admitted to practice law, or
of any censure, reprimand, suspension, revoca-
tion or other disciplinary action relating to his or
her right to practice in such country, state or juris-
diction.
(b) Service of process on the clerk pursuant to
the designation filed as aforesaid shall be made
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by personally delivering to and leaving with the
clerk, or with a deputy or assistant authorized by
the clerk to receive service, at the clerk’s office,
duplicate copies of such process together with a
fee of $20. Service of process shall be complete
when the clerk has been so served. The clerk
shall promptly send one of the copies to the for-
eign legal consultant to whom the process is
directed, by certified mail, return receipt requested
or with electronic delivery confirmation,
addressed to the foreign legal consultant at the
address given to the court by the foreign legal
consultant as aforesaid.
(c) In imposing any sanction authorized by sub-
section (a) (1), the court may act sua sponte or on
the recommendation of the statewide grievance
committee. To the extent feasible, the court shall
proceed in a manner consistent with the rules of
practice governing discipline of the bar of the state
of Connecticut.
(P.B. 1978-1997, Sec. 24E.) (Amended June 29, 1998, to
take effect Sept. 1, 1998; amended June 14, 2013, to take
effect Jan. 1, 2014.)
Sec. 2-21. —Affiliation of Foreign Legal
Consultant with the Bar of the State of Con-
necticut
(a) A foreign legal consultant licensed under
these rules shall not be a member of the Con-
necticut bar, provided, however, that a foreign
legal consultant shall be considered an affiliate
of the bar subject to the same conditions and
requirements as are applicable to an active or
inactive member of the bar under the court’s rules
governing the bar of the state of Connecticut, inso-
far as such conditions and requirements may be
consistent with the provisions of these rules.
(b) A foreign legal consultant licensed under
these rules shall, upon being so licensed, take
the following oath before this court, unless granted
permission to take the oath in absentia:
‘‘I, , do solemnly swear (or affirm)
that as a foreign legal consultant with respect to
the laws of , licensed by this court, I
will conduct myself uprightly and according to the
laws of the State of Connecticut and the rules of
the court.’’
(P.B. 1978-1997, Sec. 24F.)
Sec. 2-22. Disposition of Fees for Admis-
sion to the Bar
(a) All fees paid under the preceding sections
of these rules shall be transmitted to the treasurer
of the bar examining committee. Such fees,
together with any interest earned thereon, shall
be applied to the payment of the necessary and
SUPERIOR COURT—GENERAL PROVISIONS Sec. 2-27
reasonable expenses incurred by the bar examin-
ing committee, the standing committees on rec-
ommendations for admission in the several
counties and the staff assigned by the chief court
administrator pursuant to Section 2-6, and to the
salaries and benefits of such staff. Such reason-
able expenses shall not include charges for tele-
phone and office space utilized by such staff in
the performance of their duties. Expenses shall
not be paid except upon authorization of the chair
of the bar examining committee, or the chair’s
designee. The bar examining committee and the
county standing committees shall follow such
established judicial branch guidelines, directives
and policies with regard to fiscal, personnel and
purchasing matters as deemed by the chief court
administrator to be applicable to them. Surplus
moneys may, with the approval of the committee,
be turned over from time to time to the executive
secretary of the judicial branch for deposit as court
revenue in the general fund of the state of Con-
necticut.
(b) The bar examining committee, when neces-
sary, shall contract with individuals to serve as
proctors and with attorneys to serve as bar exami-
nation graders and with law school faculty and
other qualified persons to provide bar examination
essay questions and shall establish an appro-
priate fee schedule for such services.
(P.B. 1978-1997, Sec. 25.)
Sec. 2-23. Roll of Attorneys
(a) The statewide bar counsel shall forward to
the clerk for Hartford county for certification a roll
of the attorneys of the state and the said clerk
shall keep said roll. The clerk for any other county
in which an attorney is admitted shall forthwith
certify such action, with the date and the residence
of the attorney, to the clerk for Hartford county,
the statewide bar counsel and the administrative
director of the bar examining committee.
(b) The clerk for any county in which an attorney
is suspended, disbarred, resigned, placed in an
inactive status, reinstated, or otherwise formally
and publicly disciplined by the court shall forthwith
certify such action with the date, the residence of
the attorney and a certified copy of the court order
to the statewide bar counsel and to the clerk for
Hartford county, and shall notify them of the death
of any attorney in his or her county of which such
clerk knows.
(c) The clerk for Hartford county shall forthwith
notify the clerks of the superior court and the clerk
of the United States district court for the district
of Connecticut, at New Haven, of all suspensions,
disbarments, resignations, placements in inactive
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status, retirements, revocations of retirements,
or reinstatements.
(P.B. 1978-1997, Sec. 26.)
Sec. 2-24. Notice by Attorney of Admission
in Other Jurisdictions
An attorney who is admitted to practice at the
bar of another state, the District of Columbia, or
the commonwealth of Puerto Rico, or of any
United States court, shall send to the Connecticut
statewide bar counsel written notice of all such
jurisdictions in which he or she is admitted to prac-
tice within thirty days of admission to practice in
such jurisdiction.
(P.B. 1978-1997, Sec. 26A.)
Sec. 2-25. Notice by Attorney of Disciplinary
Action in Other Jurisdictions
An attorney shall send to the statewide bar
counsel written notice of all disciplinary actions
imposed by the courts of another state, the District
of Columbia, or the commonwealth of Puerto Rico,
or of any United States court, within thirty days
of the order directing the disciplinary action.
(P.B. 1978-1997, Sec. 26B.)
Sec. 2-26. Notice by Attorney of Change in
Address
An attorney shall send prompt written notice of
a change in mailing and street address to the
statewide grievance committee on a registration
form approved by the statewide bar counsel and
to the clerks of the courts where the attorney has
entered an appearance.
(P.B. 1978-1997, Sec. 27.)
Sec. 2-27. Clients’ Funds; Lawyer Regis-
tration
(Amended June 29, 2007, to take effect Jan.1, 2008.)
(a) Consistent with the requirement of Rule 1.15
of the Rules of Professional Conduct, each lawyer
or law firm shall maintain, separate from the law-
yer’s or the firm’s personal funds, one or more
accounts accurately reflecting the status of funds
handled by the lawyer or firm as fiduciary or attor-
ney, and shall not use such funds for any unautho-
rized purpose.
(b) Each lawyer or law firm maintaining one or
more trust accounts as defined in Rule 1.15 of
the Rules of Professional Conduct and Section 2-
28 (b) shall keep records of the maintenance and
disposition of all funds of clients or of third persons
held by the lawyer or firm in a fiduciary capacity
from the time of receipt to the time of final distribu-
tion. Each lawyer or law firm shall retain the
records required by Rule 1.15 of the Rules of
Professional Conduct for a period of seven years
after termination of the representation.
SUPERIOR COURT—GENERAL PROVISIONSSec. 2-27
(c) Such books of account and statements of
reconciliation, and any other records required to
be maintained pursuant to Rule 1.15 of the Rules
of Professional Conduct, shall be made available
upon request of the statewide grievance commit-
tee or its counsel, or the disciplinary counsel for
review, examination or audit upon receipt of notice
by the statewide grievance committee of an over-
draft notice as provided by Section 2-28 (f). Upon
the filing of a grievance complaint or a finding
of probable cause, such records shall be made
available upon request of the statewide grievance
committee, its counsel or the disciplinary counsel
for review or audit.
(d) Each lawyer shall register with the statewide
grievance committee, on a form devised by the
committee, the address of the lawyer’s office or
offices maintained for the practice of law, the law-
yer’s office e-mail address and business tele-
phone number, the name and address of every
financial institution with which the lawyer main-
tains any account in which the funds of more than
one client are kept and the identification number
of any such account. Such registrations will be
made on an annual basis and at such time as the
lawyer changes his or her address or addresses
or location or identification number of any such
trust account in which the funds of more than
one client are kept. The registration forms filed
pursuant to this subsection and pursuant to Sec-
tion 2-26 shall not be public; however, all informa-
tion obtained by the statewide grievance
committee from these forms shall be public,
except the following: trust account identification
numbers; the lawyer’s home address; the lawyer’s
office e-mail address; and the lawyer’s birth date.
Unless otherwise ordered by the court, all non-
public information obtained from these forms shall
be available only to the statewide grievance com-
mittee and its counsel, the reviewing committees,
the grievance panels and their counsel, the bar
examining committee, the standing committee on
recommendations for admission to the bar, disci-
plinary counsel, the client security fund committee
and its counsel, a judge of the superior court, a
judge of the United States District Court for the
District of Connecticut, any grievance committee
or other disciplinary authority of the United States
District Court for the District of Connecticut or, with
the consent of the lawyer, to any other person.
The registration requirements of this subsection
shall not apply to judges of the supreme, appellate
or superior courts, judge trial referees, family sup-
port magistrates, federal judges, federal magis-
trate judges, federal administrative law judges or
federal bankruptcy judges.
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(e) The statewide grievance committee or its
counsel may conduct random inspections and
audits of accounts maintained pursuant to Rule
1.15 of the Rules of Professional Conduct to
determine whether such accounts are in compli-
ance with the Rule and this section. If any random
inspection or audit performed under this subsec-
tion discloses an apparent violation of this section
or the Rules of Professional Conduct, the matter
may be referred to a grievance panel for further
investigation or to the disciplinary counsel for pre-
sentment to the superior court. Any lawyer whose
accounts are selected for inspection or audit
under this section shall fully cooperate with the
inspection or audit, which cooperation shall not
be construed to be a violation of Rule 1.6 (a) of
the Rules of Professional Conduct. Any records,
documents or information obtained or produced
pursuant to a random inspection or audit shall
remain confidential unless and until a present-
ment is initiated by the disciplinary counsel alleg-
ing a violation of Rule 1.15 of the Rules of
Professional Conduct or of this section, or proba-
ble cause is found by the grievance panel, the
statewide grievance committee or a reviewing
committee. Contemporaneously with the com-
mencement of a presentment or the filing of a
grievance complaint, notice shall be given in writ-
ing by the statewide grievance committee to any
client or third person whose identity may be pub-
licly disclosed through the disclosure of records
obtained or produced in accordance with this sub-
section. Thereafter, public disclosure of such
records shall be subject to the client or third per-
son having thirty days from the issuance of the
notice to seek a court order restricting publication
of any such records disclosing confidential infor-
mation. During the thirty day period, or the pen-
dency of any such motion, any document filed
with the court or as part of a grievance record
shall refer to such clients or third persons by
pseudonyms or with appropriate redactions,
unless otherwise ordered by the court.
(f) Violation of this section shall constitute mis-
conduct.
(P.B. 1978-1997, Sec. 27A.) (Amended June 25, 2001, to
take effect Jan. 1, 2002; amended June 24, 2002, to take
effect July 1, 2003; May 14, 2003, effective date changed to
Oct. 1, 2003; Sept. 30, 2003, effective date changed to Jan.
1, 2004; amended June 26, 2006, to take effect Jan. 1, 2007,
and with respect to subsection (e), July 1, 2007; amended
June 29, 2007, to take effect Jan. 1, 2008; amended June 30,
2008, to take effect Jan. 1, 2009; amended June 20, 2011,
to take effect Jan. 1, 2012.)
Sec. 2-27A. Minimum Continuing Legal Edu-
cation
(a) On an annual basis, each attorney admitted
in Connecticut shall certify, on the registration
SUPERIOR COURT—GENERAL PROVISIONS Sec. 2-27A
form required by Section 2-27 (d), that the attorney
has completed in the last calendar year no less
than twelve credit hours of appropriate continuing
legal education, at least two hours of which shall
be in ethics/professionalism. The ethics and pro-
fessionalism components may be integrated with
other courses. This rule shall apply to all attorneys
except the following:
(1) Judges and senior judges of the supreme,
appellate or superior courts, judge trial referees,
family support magistrates, family support magis-
trate referees, federal judges, federal magistrate
judges, federal administrative law judges or fed-
eral bankruptcy judges;
(2) Attorneys who are disbarred, resigned pur-
suant to Section 2-52, on inactive status pursuant
to Section 2-56 et seq., or retired pursuant to
Sections 2-55 or 2-55A;
(3) Attorneys who are serving on active duty in
the armed forces of the United States for more
than six months in such year;
(4) Attorneys for the calendar year in which they
are admitted;
(5) Attorneys who earn less than $1000 in com-
pensation for the provision of legal services in
such year;
(6) Attorneys who, for good cause shown, have
been granted temporary or permanent exempt
status by the statewide grievance committee.
(b) Attorneys may satisfy the required hours of
continuing legal education:
(1) By attending legal education courses pro-
vided by any local, state or special interest bar
association in this state or regional or national bar
associations recognized in this state or another
state or territory of the United States or the District
of Columbia (hereinafter referred to as ‘‘bar asso-
ciation’’); any private or government legal
employer; any court of this or any other state or
territory of the United States or the District of
Columbia; any organization whose program or
course has been reviewed and approved by any
bar association or organization that has been
established in any state or territory of the United
States or the District of Columbia to certify and
approve continuing legal education courses; and
any other nonprofit or for-profit legal education
providers, including law schools and other appro-
priate continuing legal education providers, and
including courses remotely presented by video
conference, webcasts, webinars, or the like by
said providers.
(2) By self-study of appropriate programs or
courses directly related to substantive or proce-
dural law or related topics, including professional
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responsibility, legal ethics, or law office manage-
ment and prepared by those continuing legal edu-
cation providers in subsection (b) (1). Said self-
study may include viewing and listening to all man-
ner of communication, including, but not limited
to, video or audio recordings or taking online legal
courses. The selection of self-study courses or
programs shall be consistent with the objective of
this rule, which is to maintain and enhance the
skill level, knowledge, ethics and competence of
the attorney and shall comply with the minimum
quality standards set forth in subsection (c) (6).
(3) By publishing articles in legal publications
that have as their primary goal the enhancement
of competence in the legal profession, including,
without limitation, substantive and procedural law,
ethics, law practice management and profes-
sionalism.
(4) By teaching legal seminars and courses,
including the participation on panel discussions
as a speaker or moderator.
(5) By serving as a full-time faculty member
at a law school accredited by the American Bar
Association, in which case, such attorney will be
credited with meeting the minimum continuing
legal education requirements set forth herein.
(6) By serving as a part-time or adjunct faculty
member at a law school accredited by the Ameri-
can Bar Association, in which case, such attorney
will be credited with meeting the minimum continu-
ing legal education requirements set forth herein
at the rate of one hour for each hour of class-
room instruction.
(c) Credit Computation:
(1) Credit for any of the above activities shall
be based on the actual instruction time, which
may include lecture, panel discussion, and ques-
tion and answer periods. Self-study credit shall
be based on the reading time or running time of
the selected materials or program.
(2) Credit for attorneys preparing for and pre-
senting legal seminars, courses or programs shall
be based on one hour of credit for each two hours
of preparation. A maximum of six hours of credit
may be credited for preparation of a single pro-
gram. Credit for presentation shall be on an hour
for hour basis. Credit may not be earned more
than once for the same course given during a
twelve month period.
(3) Credit for the writing and publication of arti-
cles shall be based on the actual drafting time
required. Each article may be counted only one
time for credit.
(4) Continuing legal education courses ordered
pursuant to Section 2-37 (a) (5) or any court order
of discipline shall not count as credit toward an
attorney’s obligation under this section.
SUPERIOR COURT—GENERAL PROVISIONSSec. 2-27A
(5) Attorneys may carry forward no more than
two credit hours in excess of the current annual
continuing legal education requirement to be
applied to the following year’s continuing legal
education requirement.
(6) To be eligible for continuing legal education
credit, the course or activity must: (A) have signifi-
cant intellectual or practical content designed to
increase or maintain the attorney’s professional
competence and skills as a lawyer; (B) constitute
an organized program of learning dealing with
matters directly related to legal subjects and the
legal profession; and (C) be conducted by an indi-
vidual or group qualified by practical or aca-
demic experience.
(d) Attorneys shall retain records to prove com-
pliance with this rule for a period of seven years.
(e) Violation of this section shall constitute mis-
conduct.
(f) Unless it is determined that the violation of
this section was wilful, a noncompliant attorney
must be given at least sixty days to comply with
this section before he or she is subject to any dis-
cipline.
(g) A minimum continuing legal education com-
mission (‘‘commission’’) shall be established by
the judicial branch and shall be composed of four
superior court judges and four attorneys admitted
to practice in this state, all of whom shall be
appointed by the chief justice of the supreme court
or his or her designee and who shall serve without
compensation. The charge of the commission will
be to provide advice regarding the application and
interpretation of this rule and to assist with its
implementation including, but not limited to, the
development of a list of frequently asked ques-
tions and other documents to assist the members
of the bar to meet the requirements of this rule.
(Adopted June 24, 2016, to take effect Jan. 1, 2017.)
COMMENTARY—2017: It is the intention of this rule to
provide attorneys with relevant and useful continuing legal
education covering the broadest spectrum of substantive, pro-
cedural, ethical and professional subject matter at the lowest
cost reasonably feasible and with the least amount of supervi-
sion, structure and reporting requirements, which will aid in
the development, enhancement and maintenance of the legal
knowledge and skills of practicing attorneys and will facilitate
the delivery of competent legal services to the public.
The rule also permits an attorney to design his or her own
course of study. The law is constantly evolving and attorneys,
like all other professionals, are expected to keep abreast of
changes in the profession and the law if they are to provide
competent representation.
Subsection (a) provides that Connecticut attorneys must
complete twelve credit hours of continuing legal education per
calendar year. Subsection (a) also lists those Connecticut
attorneys, who are exempt from compliance, including, among
others: judges, senior judges, attorneys serving in the military,
new attorneys during the year in which they are admitted to
practice, attorneys who earn less than $1000 in compensation
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for the provision of legal services in the subject year, and
those who obtain an exempt status for good cause shown.
The subsection also provides an exemption for attorneys who
are disbarred, resigned, on inactive status due to disability,
or are retired. The exemption for attorneys who earn less than
$1000 in compensation in a particular year is not intended to
apply to attorneys who claim that they were not paid as a
result of billed fees to a client. All compensation received for
the provision of legal services, whether the result of billed fees
or otherwise, must be counted. There is no exemption for
attorneys who are suspended or on administrative suspension.
Subsection (d) requires an attorney to maintain adequate
records of compliance. For continuing legal education courses,
a certificate of attendance shall be sufficient proof of compli-
ance. For self-study, a contemporaneous log identifying and
describing the course listened to or watched and listing the
date and time the course was taken, as well as a copy of the
syllabus or outline of the course materials, if available, and,
when appropriate, a certificate from the course provider, shall
be sufficient proof of compliance. For anyother form of continu-
ing legal education, a file including a log of the time spent and
drafts of the prepared material shall provide sufficient proof
of compliance.
Sec. 2-28. Overdraft Notification
(a) The terms used in this section are defined
as follows:
(1) ‘‘Financial institution’’ includes banks, sav-
ings and loan associations, credit unions, savings
banks and any other business or person which
accepts for deposit funds held in trust by
attorneys.
(2) ‘‘Properly payable’’ refers to an instrument
which, if presented in the normal course of busi-
ness, is in a form requiring payment under law.
(3) ‘‘Insufficient funds’’ refers to the status of
an account that does not contain sufficient funds
available to pay a properly payable instrument.
(4) ‘‘Uncollected funds’’ refers to funds depos-
ited in an account and available to be drawn upon
but not yet deemed by the financial institution to
have been collected.
(b) Attorneys shall deposit all funds held in any
fiduciary capacity in accounts clearly identified as
‘‘trust,’’ ‘‘client funds’’ or ‘‘escrow’’ accounts,
referred to herein as ‘‘trust accounts,’’ and shall
take all steps necessary to inform the depository
institution of the purpose and identity of such
accounts. Funds held in trust include funds held
in any fiduciary capacity in connection with a rep-
resentation in Connecticut, whether as trustee,
agent, guardian, executor or otherwise. Where
an attorney fiduciary has the right to draw by a
properly payable instrument on such trust account
in which the funds of more than one client are
kept, such account shall be maintained only in
financial institutions approved by the statewide
grievance committee. No such trust account in
which the funds of more than one client are kept
shall be maintained in any financial institution in
SUPERIOR COURT—GENERAL PROVISIONS Sec. 2-28A
Connecticut which does not file the agreement
required by this section. Violation of this subsec-
tion shall constitute misconduct.
(c) Attorneys regularly maintaining funds in a
fiduciary capacity shall register any account in
which the funds of more than one client are kept
with the statewide grievance committee in accord-
ance with Section 2-27 (d).
(d) A financial institution shall be approved as
a depository for attorney trust accounts only if it
files with the statewide grievance committee an
agreement, in a form provided by the committee,
to report to the committee the fact that an instru-
ment has been presented against an attorney trust
account containing insufficient funds, irrespective
of whether or not the instrument is honored. No
report shall be required if funds in an amount
sufficient to cover the deficiency in the trust
account are deposited within one business day
of the presentation of the instrument. No report
shall be required in the case of an instrument
presented and paid against uncollected funds.
(e) Any such agreement shall not be cancelled
by a financial institution except upon thirty days
written notice to the statewide grievance commit-
tee. The statewide grievance committee shall
establish rules governing approval and termina-
tion of approved status for financial institutions,
and shall publish annually a list of approved insti-
tutions. Any such agreement shall apply to all
branches of the financial institution in Connecticut
and shall not be cancelled except upon thirty days
notice in writing to the statewide grievance com-
mittee.
(f) The financial institution shall report to the
statewide grievance committee within seven busi-
ness days from the date of such presentation, any
instrument presented against insufficient funds on
any trust funds account unless funds in an amount
sufficient to cover the deficiency in the account
are deposited within one business day of the pre-
sentation of the instrument. The report shall be
accompanied by a copy of the instrument.
(g) The statewide grievance committee may
delegate to the statewide bar counsel the authority
to investigate overdraft notifications and deter-
mine that no misconduct has occurred or that no
further action is warranted. Any determination that
misconduct may have occurred and a grievance
complaint should be initiated, unless such com-
plaint is premised upon the failure of an attorney
to file an explanation of an overdraft, shall be
made by the statewide grievance committee.
(h) Upon receipt of notification of an overdraft,
the statewide grievance committee, its counsel or
disciplinary counsel may request that the attorney
produce such books of account and statements
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of reconciliation, and any other records required
to be maintained pursuant to Section 2-27 (b)
for review, examination or audit. Failure of the
attorney to respond to inquiries of the statewide
grievance committee, its counsel, or disciplinary
counsel, or to produce the requested books of
account and statements of reconciliation or other
records shall be grounds for disciplinary counsel
to file an application for an interim suspension in
accordance with the provisions of Section 2-42.
(i) Every attorney practicing or admitted to prac-
tice in Connecticut shall, as a condition thereof,
be conclusively presumed to have authorized the
reporting and production requirements of this sec-
tion. Where an attorney qualifies as executor of
a will or as trustee or successor fiduciary, the
attorney fiduciary shall have a reasonable time
after qualification to bring preexisting trust
accounts into compliance with the provisions of
this section.
(P.B. 1978-1997, Sec. 27A.1.) (Amended June 24, 2002,
to take effect July 1, 2003; May 14, 2003, effective date
changed to Oct. 1, 2003; Sept. 30, 2003, effective date
changed to Jan. 1, 2004; amended June 26, 2006, to take
effect Jan. 1, 2007.)
Sec. 2-28A. Attorney Advertising; Manda-
tory Filing
(a) Any attorney who advertises services to the
public through any media, electronic or otherwise,
or through written or recorded communication pur-
suant to Rule 7.2 of the Rules of Professional
Conduct shall file a copy of each such advertise-
ment or communication with the statewide griev-
ance committee either prior to or concurrently with
the attorney’s first dissemination of the advertise-
ment or written or recorded communication,
except as otherwise provided in subsection (b)
herein. The materials shall be filed in a format
prescribed by the statewide grievance committee,
which may require them to be filed electronically.
Any such submission in a foreign language must
include an accurate English language translation.
The filing shall consist of the following:
(1) A copy of the advertisement or communica-
tion in the form or forms in which it is to be dissem-
inated (e.g., videotapes, DVDs, audiotapes,
compact discs, print media, photographs of out-
door advertising);
(2) A transcript, if the advertisement or commu-
nication is in video or audio format;
(3) A list of domain names used by the attorney
primarily to offer legal services, which shall be
updated quarterly;
(4) A sample envelope in which the written com-
munication will be enclosed, if the communication
is to be mailed;
SUPERIOR COURT—GENERAL PROVISIONSSec. 2-28A
(5) A statement listing all media in which the
advertisement or communication will appear, the
anticipated frequency of use of the advertisement
or communication in each medium in which it will
appear, and the anticipated time period during
which the advertisement or communication will
be used.
(b) The filing requirements of subsection (a) do
not extend to any of the following materials:
(1) An advertisement in the public media that
contains only the information, in whole or in part,
contained in Rule 7.2 (i) of the Rules of Profes-
sional Conduct, provided the information is not
false or misleading;
(2) An advertisement in a telephone directory;
(3) A listing or entry in a regularly published
law list;
(4) An announcement card stating new or
changed associations, new offices, or similar
changes relating to an attorney or firm, or a tomb-
stone professional card;
(5) A communication sent only to:
(i) Existing or former clients;
(ii) Other attorneys or professionals; business
organizations including trade groups; not-for-
profit organizations; governmental bodies and/or
(iii) Members of a not-for-profit organization that
meets the following conditions: the primary pur-
poses of the organization do not include the rendi-
tion of legal services; the recommending,
furnishing, paying for or educating persons
regarding legal services is incidental and reason-
ably related to the primary purposes of the organi-
zation; the organization does not derive a financial
benefit from the rendition of legal services by an
attorney; and the person for whom the legal ser-
vices are rendered, and not the organization, is
recognized as the client of the attorney who is
recommended, furnished, or paid for by the orga-
nization.
(6) Communication that is requested by a pro-
spective client.
(7) The contents of an attorney’s Internet web-
site that appears under any of the domain names
submitted pursuant to subdivision (3) of subsec-
tion (a).
(c) If requested by the statewide grievance com-
mittee, an attorney shall promptly submit informa-
tion to substantiate statements or representations
made or implied in any advertisement in the public
media and/or written or recorded communi-
cations.
(d) The statewide bar counsel shall review
advertisements and communications filed pursu-
ant to this section that have been selected for such
review on a random basis. If after such review the
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statewide bar counsel determines that an adver-
tisement or communication does not comply with
the Rules of Professional Conduct, the statewide
bar counsel shall in writing advise the attorney
responsible for the advertisement or communica-
tion of the noncompliance and shall attempt to
resolve the matter with such attorney. If the matter
is not resolved to the satisfaction of the statewide
bar counsel, he or she shall forward the advertise-
ment or communication and a statement describ-
ing the attempt to resolve the matter to the
statewide grievance committee for review. If, after
reviewing the advertisement or communication,
the statewide grievance committee determines
that it violates the Rules of Professional Conduct,
it shall forward a copy of its file to the disciplinary
counsel and direct the disciplinary counsel to file
a presentment against the attorney in the supe-
rior court.
(e) The procedure set forth in subsection (d)
shall apply only to advertisements and communi-
cations that are reviewed as part of the random
review process. If an advertisement or communi-
cation comes to the attention of the statewide bar
counsel other than through that process, it shall
be handled pursuant to the grievance procedure
that is set forth in Section 2-29 et seq.
(f) The materials required to be filed by this
section shall be retained by the statewide griev-
ance committee for a period of one year from the
date of their filing, unless, at the expiration of
the one year period, there is pending before the
statewide grievance committee, a reviewing com-
mittee, or the court a proceeding concerning such
materials, in which case the materials that are the
subject of the proceeding shall be retained until
the expiration of the proceeding or for such other
period as may be prescribed by the statewide
grievance committee.
(g) Except for records filed in court in connection
with a presentment brought pursuant to subsec-
tion (d), records maintained by the statewide bar
counsel, the statewide grievance committee and/
or the disciplinary counsel’s office pursuant to this
section shall not be public. Nothing in this rule
shall prohibit the use or consideration of such
records in any subsequent disciplinary or client
security fund proceeding and such records shall
be available in such proceedings to a judge of the
superior court or to the standing committee on
recommendations for admission to the bar, to dis-
ciplinary counsel, to the statewide bar counsel or
assistant bar counsel, or, with the consent of the
respondent, to any other person, unless otherwise
ordered by the court.
SUPERIOR COURT—GENERAL PROVISIONS Sec. 2-29
(h) Violation of subsections (a) or (c) shall con-
stitute misconduct.
(Adopted June 26, 2006, to take effect July, 1, 2007;
amended June 21, 2010, to take effect Jan. 1, 2011.)
Sec. 2-28B. —Advisory Opinions
(a) An attorney who desires to secure an
advance advisory opinion concerning compliance
with the Rules of Professional Conduct of a con-
templated advertisement or communication may
submit to the statewide grievance committee, not
less than 30 days prior to the date of first dissemi-
nation, the material specified in Section 2-28A (a)
accompanied by a fee established by the chief
court administrator. It shall not be necessary to
submit a videotape or DVD if the videotape or
DVD has not then been prepared and the produc-
tion script submitted reflects in detail and accu-
rately the actions, events, scenes, and
background sounds that will be depicted or con-
tained on such videotapes or DVDs, when pre-
pared, as well as the narrative transcript of the
verbal and printed portions of such advertisement.
(b) An advisory opinion shall be issued, without
a hearing, by the statewide grievance committee
or by a reviewing committee assigned by the
statewide grievance committee. Such reviewing
committee shall consist of at least three members
of the statewide grievance committee, at least
one-third of whom are not attorneys.
(c) An advisory opinion issued by the statewide
grievance committee or a reviewing committee
finding noncompliance with the Rules of Profes-
sional Conduct is not binding in a disciplinary pro-
ceeding, but a finding of compliance is binding in
favor of the submitting attorney in a disciplinary
proceeding if the representations, statements,
materials, facts and written assurances received
in connection therewith are not false or mis-
leading. The finding constitutes admissible evi-
dence if offered by a party. If a request for an
advisory opinion is made within 60 days of the
effective date of this section, the statewide griev-
ance committee or reviewing committee shall
issue its advisory opinion within 45 days of the
filing of the request. Thereafter, the statewide
grievance committee or reviewing committee shall
issue its advisory opinion within 30 days of the
filing of the request. For purposes of this section,
an advisory opinion is issued on the date notice
of the opinion is transmitted to the attorney who
requested it pursuant to subsection (a) herein.
(d) If requested by the statewide grievance
committee or a reviewing committee, the attorney
seeking an advisory opinion shall promptly submit
information to substantiate statements or repre-
sentations made or implied in such attorney’s
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advertisement. The time period set forth in sub-
section (c) herein shall be tolled from the date of
the committee’s request to the date the requested
information is filed with the committee.
(e) If an advisory opinion is not issued by the
statewide grievance committee or a reviewing
committee within the time prescribed in this sec-
tion, the advertisement or communication for
which the opinion was sought shall be deemed
to be in compliance with the Rules of Profes-
sional Conduct.
(f) If, after receiving an advisory opinion finding
that an advertisement or communication violates
the Rules of Professional Conduct, the attorney
disseminates such advertisement or communica-
tion, the statewide grievance committee, upon
receiving notice of such dissemination, shall for-
ward a copy of its file concerning the matter to
the disciplinary counsel and direct the disciplinary
counsel to file a presentment against the attorney
in the superior court.
(g) Except for advisory opinions, all records
maintained by the statewide grievance committee
pursuant to this section shall not be public. Advi-
sory opinions issued pursuant to this section shall
not be public for a period of 30 days from the date
of their issuance. During that 30 day period the
advisory opinion shall be available only to the
attorney who requested it pursuant to subsection
(a), to the statewide grievance committee or its
counsel, to reviewing committees, to grievance
panels, to disciplinary counsel, to a judge of the
superior court, and, with the consent of the attor-
ney who requested the opinion, to any other per-
son. Nothing in this rule shall prohibit the use or
consideration of such records in any subsequent
disciplinary or client security fund proceeding and
such records shall be available in such proceed-
ings to a judge of the superior court or to the
standing committee on recommendations for
admission to the bar, to disciplinary counsel, to the
statewide bar counsel or assistant bar counsel,
or, with the consent of the respondent, to any
other person, unless otherwise ordered by the
court.
(Adopted June 26, 2006, to take effect July 1, 2007.)
Sec. 2-29. Grievance Panels
(a) The judges of the superior court shall
appoint one or more grievance panels in each
judicial district, each consisting of two members
of the bar who do not maintain an office for the
practice of law in such judicial district and one
nonattorney who resides in such judicial district,
and shall designate as an alternate member a
member of the bar who does not maintain an
office for the practice of law in such judicial district.
SUPERIOR COURT—GENERAL PROVISIONSSec. 2-29
Terms shall commence on July 1. Appointments
shall be for terms of three years. No person may
serve as a member and/or as an alternate mem-
ber for more than two consecutive three year
terms, but may be reappointed after a lapse of
one year. The appointment of any member or
alternate member may be revoked or suspended
by the judges or by the executive committee of
the superior court. In connection with such revoca-
tion or suspension, the judges or the executive
committee shall appoint a qualified individual to
fill the vacancy for the balance of the term or for
any other appropriate period. In the event that a
vacancy arises on a panel before the end of a
term by reasons other than revocation or suspen-
sion, the executive committee of the superior court
shall appoint an attorney or nonattorney,
depending on the position vacated, who meets
the appropriate condition set forth above to fill the
vacancy for the balance of the term.
(b) Consideration for appointment to these posi-
tions shall be given to those candidates recom-
mended to the appointing authority by the
administrative judges.
(c) In the event that more than one panel has
been appointed to serve a particular judicial dis-
trict, the executive committee of the superior court
shall establish the jurisdiction of each such panel.
(d) An attorney who maintains an office for the
practice of law in the same judicial district as a
respondent may not participate as a member of
a grievance panel concerning a complaint against
that respondent.
(e) In addition to any other powers and duties
set forth in this chapter, each panel shall:
(1) On its own motion or on complaint of any
person, inquire into and investigate offenses
whether or not occurring in the actual presence
of the court involving the character, integrity, pro-
fessional standing and conduct of members of the
bar in this state.
(2) Compel any person by subpoena to appear
before it to testify in relation to any matter deemed
by the panel to be relevant to any inquiry or investi-
gation it is conducting and to produce before it
for examination any books or papers which, in its
judgment, may be relevant to such inquiry or
investigation.
(3) Utilize a court reporter or court recording
monitor employed by the judicial branch to record
any testimony taken before it.
(f) The grievance panel may, upon the vote of a
majority of its members, require that a disciplinary
counsel pursue the matter before the grievance
panel on the issue of probable cause.
(P.B. 1978-1997, Sec. 27B.) (Amended June 24, 2002, to
take effect July 1, 2003; May 14, 2003, effective date changed
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to Oct. 1, 2003; Sept. 30, 2003, effective date changed to Jan.
1, 2004.)
Sec. 2-30. Grievance Counsel for Panels
and Investigators
(a) The judges of the superior court shall
appoint, as set forth below, attorneys to serve
either on a part-time or full-time basis as grievance
counsel for grievance panels, and shall appoint
one or more investigators either on a full-time or
part-time basis. The investigators so appointed
shall serve the statewide grievance committee,
the reviewing committees and the grievance pan-
els and shall be under the supervision of the state-
wide bar counsel. These appointments shall be
for a term of one year commencing July 1. In
the event that a vacancy arises in any of these
positions before the end of a term, the executive
committee of the superior court shall appoint a
qualified individual to fill the vacancy for the bal-
ance of the term. Compensation for these posi-
tions shall be paid by the judicial branch. Such
appointees may be placed on the judicial branch
payroll or be paid on a contractual basis.
(b) Consideration for appointment to the posi-
tion of grievance counsel for a grievance panel
shall be given to those candidates recommended
to the appointing authority by the resident judges
in the judicial district or districts to which the
appointment is to be made.
(c) The executive committee of the superior
court shall determine the number of grievance
counsel to serve one or more grievance panels.
(P.B. 1978-1997, Sec. 27D.)
Sec. 2-31. Powers and Duties of Grievance
Counsel
Grievance counsel shall have the following
powers and duties:
(1) Upon referral of the complaint to the griev-
ance panel, to confer with and, if possible, meet
with the complainants and assist them in under-
standing the grievance process set forth in these
rules and to answer questions complainants may
have concerning that process.
(2) To investigate all complaints received by the
grievance panel from the statewide bar counsel
involving alleged misconduct of an attorney sub-
ject to the jurisdiction of the superior court.
(3) To assist the grievance panels in carrying
out their duties under this chapter.
(4) When determined to be necessary by the
statewide grievance committee, to assist
reviewing committees of the statewide grievance
committee in conducting hearings before said
reviewing committees.
SUPERIOR COURT—GENERAL PROVISIONS Sec. 2-32
(5) If the grievance panel has dismissed the
complaint, to assist the complainant in under-
standing the reasons for the dismissal.
(P.B. 1978-1997, Sec. 27E.) (Amended June 24, 2002, to
take effect July 1, 2003; May 14, 2003, effective date changed
to Oct. 1, 2003; Sept. 30, 2003, effective date changed to Jan.
1, 2004.)
Sec. 2-32. Filing Complaints against Attor-
neys; Action; Time Limitation
(a) Any person, including disciplinary counsel,
or a grievance panel on its own motion, may file
a written complaint, executed under penalties of
false statement, alleging attorney misconduct
whether or not such alleged misconduct occurred
in the actual presence of the court. Complaints
against attorneys shall be filed with the statewide
bar counsel. Within seven days of the receipt of
a complaint, the statewide bar counsel shall
review the complaint and process it in accordance
with subdivisions (1), (2) or (3) of this subsection
as follows:
(1) forward the complaint to a grievance panel
in the judicial district in which the respondent
maintains his or her principal office or residence,
provided that, if the respondent does not maintain
such an address in this state, the statewide bar
counsel shall forward the complaint to any griev-
ance panel and notify the complainant and the
respondent, by certified mail with return receipt
or with electronic delivery confirmation, of the
panel to which the complaint was sent. The notifi-
cation to the respondent shall be accompanied
by a copy of the complaint. The respondent shall
respond within thirty days of the date notification
is mailed to the respondent unless for good cause
shown such time is extended by the grievance
panel. The response shall be sent to the grievance
panel to which the complaint has been referred.
The failure to file a timely response shall constitute
misconduct unless the respondent establishes
that the failure to respond timely was for good
cause shown;
(2) refer the complaint to the chair of the state-
wide grievance committee or an attorney desig-
nee of the chair and to a nonattorney member of
the committee, and the statewide bar counsel in
conjunction with the chair or attorney designee
and the nonattorney member shall, if deemed
appropriate, dismiss the complaint on one or more
of the following grounds:
(A) the complaint only alleges a fee dispute and
not a clearly excessive or improper fee;
(B) the complaint does not allege facts which,
if true, would constitute a violation of any provision
of the applicable rules governing attorney
conduct;
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(C) the complaint does not contain sufficient
specific allegations on which to conduct an investi-
gation;
(D) the complaint is duplicative of a previously
adjudicated complaint;
(E) the complaint alleges that the last act or
omission constituting the alleged misconduct
occurred more than six years prior to the date on
which the complaint was filed;
(i) Notwithstanding the period of limitation set
forth in this subparagraph, an allegation of mis-
conduct that would constitute a violation of Rule
1.15, 8.1 or 8.4 (2) through (6) of the Rules of
Professional Conduct may still be considered as
long as a written complaint is filed within one year
of the discovery of such alleged misconduct.
(ii) Each period of limitation in this subpara-
graph is tolled during any period in which: (1) the
alleged misconduct remains undiscovered due to
active concealment; (2) the alleged misconduct
would constitute a violation of Rule 1.8 (c) and
the conditions precedent of the instrument have
not been satisfied; (3) the alleged misconduct is
part of a continuing course of misconduct; or (4)
the aggrieved party is under the age of majority,
insane, or otherwise unable to file a complaint
due to mental or physical incapacitation.
(F) the complaint alleges misconduct occurring
in a superior court, appellate court or supreme
court action and the court has been made aware
of the allegations of misconduct and has rendered
a decision finding misconduct or finding that either
no misconduct has occurred or that the allegations
should not be referred to the statewide griev-
ance committee;
(G) the complaint alleges personal behavior
outside the practice of law which does not consti-
tute a violation of the Rules of Professional
Conduct;
(H) the complaint alleges the nonpayment of
incurred indebtedness;
(I) the complaint names only a law firm or other
entity and not any individual attorney, unless dis-
missal would result in gross injustice. If the com-
plaint names a law firm or other entity as well as
an individual attorney or attorneys, the complaint
shall be dismissed only as against the law firm
or entity;
(J) the complaint alleges misconduct occurring
in another jurisdiction in which the attorney is also
admitted and in which the attorney maintains an
office to practice law, and it would be more practi-
cable for the matter to be determined in the other
jurisdiction. If a complaint is dismissed pursuant
to this subdivision, it shall be without prejudice
and the matter shall be referred by the statewide
SUPERIOR COURT—GENERAL PROVISIONSSec. 2-32
bar counsel to the jurisdiction in which the conduct
is alleged to have occurred.
(3) If a complaint alleges only a fee dispute
within the meaning of subsection (a) (2) (A) of this
section, the statewide bar counsel in conjunction
with the chairperson or attorney designee and the
nonattorney member may stay further proceed-
ings on the complaint on such terms and condi-
tions as deemed appropriate, including referring
the parties to fee arbitration. The record and result
of any such fee arbitration shall be filed with the
statewide bar counsel and shall be dispositive of
the complaint. A party who refuses to utilize the
no cost fee arbitration service provided by the
Connecticut Bar Association shall pay the cost of
the arbitration.
(b) The statewide bar counsel, chair or attorney
designee and nonattorney member shall have
fourteen days from the date the complaint was
filed to determine whether to dismiss the com-
plaint. If after review by the statewide bar counsel,
chair or attorney designee and nonattorney mem-
ber it is determined that the complaint should be
forwarded to a grievance panel for investigation
in accordance with subsections (f) through (j) of
this section, the complaint shall be so forwarded in
accordance with subsection (a) (1) of this section
within seven days of the determination to forward
the complaint.
(c) If the complaint is dismissed by the statewide
bar counsel in conjunction with the chair or attor-
ney designee and nonattorney member, the com-
plainant and respondent shall be notified of the
dismissal in writing. The respondent shall be pro-
vided with a copy of the complaint with the notice
of dismissal. The notice of dismissal shall set forth
the reason or reasons for the dismissal. The com-
plainant shall have fourteen days from the date
notice of the dismissal is mailed to the complain-
ant to file an appeal of the dismissal. The appeal
shall be in writing setting forth the basis of the
appeal and shall be filed with the statewide bar
counsel who shall forward it to a reviewing com-
mittee for decision on the appeal. The reviewing
committee shall review the appeal and render a
decision thereon within sixty days of the filing of
the appeal. The reviewing committee shall either
affirm the dismissal of the complaint or order the
complaint forwarded to a grievance panel for
investigation in accordance with subsections (f)
through (j) of this section. The decision of the
reviewing committee shall be in writing and mailed
to the complainant. The decision of the reviewing
committee shall be final.
(d) The statewide bar counsel shall keep a
record of all complaints filed. The complainant
and the respondent shall notify the statewide bar
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counsel of any change of address or telephone
number during the pendency of the proceedings
on the complaint.
(e) If for good cause a grievance panel declines,
or is unable pursuant to Section 2-29 (d), to inves-
tigate a complaint, it shall forthwith return the com-
plaint to the statewide bar counsel to be referred
by him or her immediately to another panel. Notifi-
cation of such referral shall be given by the state-
wide bar counsel to the complainant and the
respondent by certified mail with return receipt or
with electronic delivery confirmation.
(f) The grievance panel, with the assistance of
the grievance counsel assigned to it, shall investi-
gate each complaint to determine whether proba-
ble cause exists that the attorney is guilty of
misconduct. The grievance panel may, upon the
vote of a majority of its members, require that a
disciplinary counsel pursue the matter before the
grievance panel on the issue of probable cause.
(g) Investigations and proceedings of the griev-
ance panel shall be confidential unless the attor-
ney under investigation requests that such
investigation and proceedings be public.
(h) On the request of the respondent and for
good cause shown, or on its own motion, the griev-
ance panel may conduct a hearing on the com-
plaint. The complainant and respondent shall be
entitled to be present at any proceedings on the
complaint at which testimony is given and to have
counsel present, provided, however, that they
shall not be entitled to examine or cross-examine
witnesses unless requested by the grievance
panel.
(i) The panel shall, within 110 days from the
date the complaint was referred to it, unless such
time is extended pursuant to subsection (j), do
one of the following: (1) If the panel determines
that probable cause exists that the respondent is
guilty of misconduct, it shall file the following with
the statewide grievance committee and with the
disciplinary counsel: (A) its written determination
that probable cause exists that the respondent is
guilty of misconduct, (B) a copy of the complaint
and response, (C) a transcript of any testimony
heard by the panel, (D) a copy of any investigatory
file and copies of any documents, transcripts or
other written materials which were available to the
panel. These materials shall constitute the panel’s
record in the case. (2) If the panel determines that
no probable cause exists that the respondent is
guilty of misconduct, it shall dismiss the complaint
unless there is an allegation in the complaint that
the respondent committed a crime. Such dis-
missal shall be final and there shall be no review
of the matter by the statewide grievance commit-
tee, but the panel shall file with the statewide
SUPERIOR COURT—GENERAL PROVISIONS Sec. 2-34
grievance committee a copy of its decision dis-
missing the complaint and the materials set forth
in subsection (i) (1) (B), (C) and (D). In cases in
which there is an allegation in the complaint that
the respondent committed a crime, the panel shall
file with the statewide grievance committee and
with disciplinary counsel its written determination
that no probable cause exists and the materials
set forth in subsection (i) (1) (B), (C) and (D).
These materials shall constitute the panel’s record
in the case.
(j) The panel may file a motion for extension of
time not to exceed thirty days with the statewide
grievance committee which may grant the motion
only upon a finding of good cause. If the panel
does not complete its action on a complaint within
the time provided in this section, the statewide
grievance committee shall inquire into the delay
and shall order that the panel take action on the
complaint forthwith, or order that the complaint be
forwarded to and heard by another panel or a
reviewing committee designated by the statewide
grievance committee.
(k) The panel shall notify the complainant, the
respondent, and the statewide grievance commit-
tee of its determination. The determination shall
be a matter of public record if the panel determines
that probable cause exists that the respondent is
guilty of misconduct.
(P.B. 1978-1997, Sec. 27F.) (Amended June 29, 1998, to
take effect Jan. 1, 1999; amended June 28, 1999, to take
effect Jan. 1, 2000; amended June 24, 2002, to take effect
July 1, 2003; May 14, 2003, effective date changed to Oct. 1,
2003; amended June 30, 2003, to take effect Oct. 1, 2003;
Sept. 30, 2003, effective date of two latest amendments
changed to Jan. 1, 2004; amended June 21, 2004, to take
effect Jan. 1, 2005; amended June 20, 2005, to take effect
Jan. 1, 2006; amended June 30, 2008, to take effect Jan. 1,
2009; amended June 15, 2012, to take effect Jan. 1, 2013;
amended June 14, 2013, to take effect Jan. 1, 2014.)
Sec. 2-33. Statewide Grievance Committee
(a) The judges of the superior court shall
appoint twenty-one persons to a committee to be
known as the ‘‘statewide grievance committee.’’
At least seven shall not be attorneys and the
remainder shall be members of the bar of this
state. The judges shall designate one member
as chair and another as vice-chair to act in the
absence or disability of the chair.
(b) All members shall serve for a term of three
years commencing on July 1. Except as otherwise
provided herein, no person shall serve as a mem-
ber for more than two consecutive three year
terms, excluding any appointments for less than
a full term; a member may be reappointed after
a lapse of one year. If the term of a member
who is on a reviewing committee expires while a
complaint is pending before that committee, the
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judges or the executive committee may extend
the term of such member to such time as the
reviewing committee has completed its action on
that complaint. In the event of such an extension
the total number of statewide grievance commit-
tee members may exceed twenty-one. The
appointment of any member may be revoked or
suspended by the judges or by the executive com-
mittee of the superior court. In connection with
such revocation or suspension, the judges or the
executive committee shall appoint a qualified indi-
vidual to fill the vacancy for the remainder of the
term or for any other appropriate period. In the
event that a vacancy arises in this position before
the end of a term by reasons other than revocation
or suspension, the executive committee of the
superior court shall fill the vacancy for the balance
of the term or for any other appropriate period.
Unless otherwise provided in this chapter, the
committee must have at least a quorum present to
act, and a quorum shall be eleven. The committee
shall act by a vote of a majority of those present
and voting, provided that a minimum of six votes
for a particular action is necessary for the commit-
tee to act. Members present but not voting due
to disqualification, abstention, silence or a refusal
to vote, shall be counted for purposes of establish-
ing a quorum, but not counted in calculating a
majority of those present and voting.
(c) In addition to any other powers and duties
set forth in this chapter, the statewide grievance
committee shall:
(1) Institute complaints involving violations of
General Statutes § 51-88.
(2) Adopt rules to carry out its duties under this
chapter which are not inconsistent with these
rules.
(3) Adopt rules for grievance panels to carry
out their duties under this chapter which are not
inconsistent with these rules.
(4) In its discretion, disclose that it or the state-
wide bar counsel has referred a complaint to a
panel for investigation when such disclosure is
deemed by the committee to be in the public
interest.
(P.B. 1978-1997, Sec. 27G.)
Sec. 2-34. Statewide Bar Counsel
(a) The judges of the superior court shall
appoint an attorney to act as statewide bar coun-
sel, and such additional attorneys to act as assis-
tant bar counsel as are necessary, for a term of
one year commencing July 1. In the event that a
vacancy arises in any such position before the
end of a term, the executive committee of the
superior court shall appoint an attorney to fill the
SUPERIOR COURT—GENERAL PROVISIONSSec. 2-34
vacancy for the balance of the term. Compensa-
tion for these positions shall be paid by the judicial
branch. Such individuals shall be in the legal ser-
vices division of the office of the chief court admin-
istrator and shall perform such other duties as
may be assigned to them in that capacity.
(b) In addition to any other powers and duties
set forth in this chapter, the statewide bar counsel
or an assistant bar counsel shall:
(1) Report to the national disciplinary data bank
such requested information as is officially reported
to the statewide bar counsel concerning attorneys
who have resigned pursuant to Section 2-52, or
whose unethical conduct has resulted in disciplin-
ary action by the court or by the statewide griev-
ance committee, or who have been placed on
inactive status pursuant to Sections 2-56 through
2-62.
(2) Receive and maintain information forwarded
to the statewide bar counsel by the national disci-
plinary data bank.
(3) Receive and maintain records forwarded to
the statewide bar counsel by the clerks of court
pursuant to Sections 2-23 and 2-52 and by com-
plainants pursuant to Section 2-32.
(4) For a fee established by the chief court
administrator, certify the status of individuals who
are or were members of the bar of this state at
the request of bar admission authorities of other
jurisdictions or at the request of a member of the
bar of this state with respect to such member’s
status. In certifying the status of an individual, no
information shall be provided to the requesting
entity, other than public information, without a
waiver from that individual.
(5) Assist the statewide grievance committee
and the reviewing committees in carrying out their
duties under this chapter.
(P.B. 1978-1997, Sec. 27H.) (Amended June 24, 2002, to
take effect July 1, 2003; May 14, 2003, effective date changed
to Oct. 1, 2003; Sept. 30, 2003, effective date changed to Jan.
1, 2004; amended June 22, 2009, to take effect Jan. 1, 2010.)
Sec. 2-34A. Disciplinary Counsel
(a) There shall be a chief disciplinary counsel
and such disciplinary counsel and staff as are
necessary. The chief disciplinary counsel and the
disciplinary counsel shall be appointed by the
judges of the superior court for a term of one year
commencing July 1, except that initial appoint-
ments shall be from such date as the judges deter-
mine through the following June 30. In the event
that a vacancy arises in any of these positions
before the end of a term, the executive committee
of the superior court may appoint a qualified indi-
vidual to fill the vacancy for the balance of the
term. The chief disciplinary counsel and disciplin-
ary counsel shall be assigned to the office of the
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chief court administrator for administrative pur-
poses and shall not engage in the private practice
of law. The term ‘‘disciplinary counsel’’ as used
in the rules for the superior court shall mean the
chief disciplinary counsel or any disciplinary
counsel.
(b) In addition to any other powers and duties
set forth in this chapter, disciplinary counsel shall:
(1) Investigate each complaint which has been
forwarded, after a determination that probable
cause exists that the respondent is guilty of mis-
conduct, by a grievance panel to the statewide
grievance committee for review pursuant to Sec-
tion 2-32 (i) and pursue such matter before the
statewide grievance committee or reviewing com-
mittee. When, after a determination of no probable
cause by a grievance panel, a complaint is for-
warded to the statewide grievance committee
because it contains an allegation that the respon-
dent committed a crime, and the statewide griev-
ance committee or a reviewing committee
determines that a hearing shall be held concern-
ing the complaint pursuant to Section 2-35 (c),
the disciplinary counsel shall present the matter
to such committee.
(2) Pursuant to Section 2-82, discuss and may
negotiate a disposition of the complaint with the
respondent or, if represented by an attorney, the
respondent’s attorney, subject to the approval of
the statewide grievance committee or a reviewing
committee or the court.
(3) Remove irrelevant information from the
complaint file and thereafter permit discovery of
information in the file.
(4) Pursuant to Section 2-35, add additional
allegations of misconduct to the grievance panel’s
determination that probable cause exists that the
respondent is guilty of misconduct.
(5) Have the power to subpoena witnesses for
any hearing before a grievance panel, a reviewing
committee or the statewide grievance committee
convened pursuant to these rules.
(6) In his or her discretion, recommend disposi-
tions to the statewide grievance committee or the
reviewing committee after the hearing on a com-
plaint is concluded.
(7) At the request of the statewide grievance
committee or a reviewing committee, prepare and
file complaints initiating presentment proceedings
in the superior court, whether or not the alleged
misconduct occurred in the actual presence of the
court, and prosecute same.
(8) At the request of a grievance panel made
pursuant to Section 2-29, pursue the matter
before the grievance panel on the issue of proba-
ble cause.
SUPERIOR COURT—GENERAL PROVISIONS Sec. 2-35
(9) Investigate and prosecute complaints
involving the violation by any person of General
Statutes § 51-88.
(Adopted June 24, 2002, to take effect July 1, 2003; May
14, 2003, effective date changed to Oct. 1, 2003, and amended
on an interim basis, pursuant to the provisions of Section 1-
9 (c), to take effect Oct. 1, 2003, and amendment adopted
June 30, 2003, to take effect Oct. 1, 2003; Sept. 30, 2003,
effective date of adopted rule and amendment changed to
Jan. 1, 2004; amended June 21, 2004, to take effect Jan. 1,
2005; amended June 15, 2012, to take effect Jan. 1, 2013.)
Sec. 2-35. Action by Statewide Grievance
Committee or Reviewing Committee
(a) Upon receipt of the record from a grievance
panel, the statewide grievance committee may
assign the case to a reviewing committee which
shall consist of at least three members of the
statewide grievance committee, at least one third
of whom are not attorneys. The statewide griev-
ance committee may, in its discretion, reassign
the case to a different reviewing committee. The
committee shall regularly rotate membership on
reviewing committees and assignments of com-
plaints from the various grievance panels. An
attorney who maintains an office for the practice
of law in the same judicial district as the respon-
dent may not sit on the reviewing committee for
that case.
(b) The statewide grievance committee and the
reviewing committee shall have the power to issue
a subpoena to compel any person to appear
before it to testify in relation to any matter deemed
by the statewide grievance committee or the
reviewing committee to be relevant to the com-
plaint and to produce before it for examination
any books or papers which, in its judgment, may
be relevant to such complaint. Any such testimony
shall be on the record.
(c) If the grievance panel determined that prob-
able cause exists that the respondent is guilty of
misconduct, the statewide grievance committee
or the reviewing committee shall hold a hearing
on the complaint. If the grievance panel deter-
mined that probable cause does not exist, but filed
the matter with the statewide grievance committee
because the complaint alleges that a crime has
been committed, the statewide grievance commit-
tee or the reviewing committee shall review the
determination of no probable cause, take evi-
dence if it deems it appropriate and, if it deter-
mines that probable cause does exist, shall take
the following action: (1) if the statewide grievance
committee reviewed the grievance panel’s deter-
mination, it shall hold a hearing concerning the
complaint or assign the matter to a reviewing com-
mittee to hold the hearing; or (2) if a reviewing
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committee reviewed the grievance panel’s deter-
mination, it shall hold a hearing concerning the
complaint or refer the matter to the statewide
grievance committee which shall assign it to
another reviewing committee to hold the hearing.
(d) Disciplinary counsel may add additional alle-
gations of misconduct to the grievance panel’s
determination that probable cause exists in the
following circumstances:
(1) Prior to the hearing before the statewide
grievance committee or the reviewing committee,
disciplinary counsel may add additional allega-
tions of misconduct arising from the record of the
grievance complaint or its investigation of the
complaint.
(2) Following commencement of the hearing
before the statewide grievance committee or the
reviewing committee, disciplinary counsel may
only add additional allegations of misconduct for
good cause shown and with the consent of the
respondent and the statewide grievance commit-
tee or the reviewing committee. Additional allega-
tions of misconduct may not be added after the
hearing has concluded.
(e) If disciplinary counsel determines that addi-
tional allegations of misconduct exist, it shall issue
a written notice to the respondent and the state-
wide grievance committee, which shall include,
but not be limited to, the following: (1) a description
of the factual allegation or allegations that were
considered in rendering the determination; and
(2) for each such factual allegation, an identifica-
tion of the specific provision or provisions of the
applicable rules governing attorney conduct con-
sidered in rendering the determination.
(f) The respondent shall be entitled to a period
of not less than thirty days before being required
to appear at a hearing to defend against any addi-
tional charges of misconduct filed by the disciplin-
ary counsel.
(g) At least two of the same members of a
reviewing committee shall be physically present
at all hearings held by the reviewing committee.
Unless waived by the disciplinary counsel and the
respondent, the remaining member of the
reviewing committee shall obtain and review the
transcript of each such hearing and shall partici-
pate in the committee’s determination. All hear-
ings following a determination of probable cause
shall be public and on the record.
(h) The complainant and respondent shall be
entitled to be present at all hearings and other
proceedings on the complaint at which testimony
is given and to have counsel present. At all hear-
ings, the respondent shall have the right to be
heard in the respondent’s own defense and by
witnesses and counsel. The disciplinary counsel
SUPERIOR COURT—GENERAL PROVISIONSSec. 2-35
shall pursue the matter before the statewide griev-
ance committee or reviewing committee. The dis-
ciplinary counsel and the respondent shall be
entitled to examine or cross-examine witnesses.
At the conclusion of the evidentiary phase of a
hearing, the complainant, the disciplinary counsel
and the respondent shall have the opportunity to
make a statement, either individually or through
counsel. The statewide grievance committee or
reviewing committee may request oral argument.
(i) Within ninety days of the date the grievance
panel filed its determination with the statewide
grievance committee pursuant to Section 2-32 (i),
the reviewing committee shall render a final writ-
ten decision dismissing the complaint, imposing
sanctions and conditions as authorized by Section
2-37 or directing the disciplinary counsel to file a
presentment against the respondent in the supe-
rior court and file it with the statewide grievance
committee. Where there is a final decision dis-
missing the complaint, the reviewing committee
may give notice in a written summary order to be
followed by a full written decision. The reviewing
committee’s record in the case shall consist of a
copy of all evidence it received or considered,
including a transcript of any testimony heard by
it, and its decision. The record shall also be sent
to the statewide grievance committee. The
reviewing committee shall forward a copy of the
final decision to the complainant, the disciplinary
counsel, the respondent, and the grievance panel
to which the complaint was forwarded. The deci-
sion shall be a matter of public record if there was
a determination by a grievance panel, a reviewing
committee or the statewide grievance committee
that there was probable cause that the respondent
was guilty of misconduct. The reviewing commit-
tee may file a motion for extension of time not to
exceed thirty days with the statewide grievance
committee which shall grant the motion only upon
a showing of good cause. If the reviewing commit-
tee does not complete its action on a complaint
within the time provided in this section, the state-
wide grievance committee shall, on motion of the
complainant or the respondent or on its own
motion, inquire into the delay and determine the
appropriate course of action. Enforcement of the
final decision, including the publication of the
notice of a reprimand pursuant to Section 2-54,
shall be stayed for thirty days from the date of the
issuance to the parties of the final decision. In
the event the respondent timely submits to the
statewide grievance committee a request for
review of the final decision of the reviewing com-
mittee, such stay shall remain in full force and
effect pursuant to Section 2-38 (b).
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(j) If the reviewing committee finds probable
cause to believe the respondent has violated the
criminal law of this state, it shall report its findings
to the chief state’s attorney.
(k) Within thirty days of the issuance to the
parties of the final decision by the reviewing com-
mittee, the respondent may submit to the state-
wide grievance committee a request for review of
the decision. Any request for review submitted
under this section must specify the basis for the
request including, but not limited to, a claim or
claims that the reviewing committee’s findings,
inferences, conclusions or decision is or are: (1)
in violation of constitutional, rules of practice or
statutory provisions; (2) in excess of the authority
of the reviewing committee; (3) made upon unlaw-
ful procedure; (4) affected by other error of law; (5)
clearly erroneous in view of the reliable, probative,
and substantial evidence on the whole record;
or (6) arbitrary or capricious or characterized by
abuse of discretion or clearly unwarranted exer-
cise of discretion and the specific basis for such
claim or claims. For grievance complaints filed on
or after January 1, 2004, the respondent shall
serve a copy of the request for review on disciplin-
ary counsel in accordance with Sections 10-12
through 10-17. Within fourteen days of the
respondent’s submission of a request for review,
disciplinary counsel may file a response. Disciplin-
ary counsel shall serve a copy of the response
on the respondent in accordance with Sections
10-12 through 10-17. No reply to the response
shall be allowed.
(l) If, after its review of a complaint pursuant to
this section that was forwarded to the statewide
grievance committee pursuant to Section 2-32 (i)
(2), a reviewing committee agrees with a griev-
ance panel’s determination that probable cause
does not exist that the attorney is guilty of miscon-
duct and there has been no finding of probable
cause by the statewide grievance committee or
a reviewing committee, the reviewing committee
shall have the authority to dismiss the complaint
within the time period set forth in subsection (e)
of this section without review by the statewide
grievance committee. The reviewing committee
shall file its decision dismissing the complaint with
the statewide grievance committee along with the
record of the matter and shall send a copy of the
decision to the complainant, the respondent, and
the grievance panel to which the complaint was
assigned.
(m) If the statewide grievance committee does
not assign a complaint to a reviewing committee,
it shall have one hundred and twenty days from
the date the panel’s determination was filed with
it to render a decision dismissing the complaint,
SUPERIOR COURT—GENERAL PROVISIONS Sec. 2-38
imposing sanctions and conditions as authorized
by Section 2-37 or directing the disciplinary coun-
sel to file a presentment against the respondent.
The decision shall be a matter of public record.
The failure of a reviewing committee to complete
its action on a complaint within the period of time
provided in this section shall not be cause for
dismissal of the complaint. If the statewide griev-
ance committee finds probable cause to believe
that the respondent has violated the criminal law
of this state, it shall report its findings to the chief
state’s attorney.
(P.B. 1978-1997, Sec. 27J.) (Amended June 28, 1999, to
take effect Jan. 1, 2000; amended June 24, 2002, to take
effect July 1, 2003; May 14, 2003, effective date changed to
Oct. 1, 2003; Sept. 30, 2003, effective date changed to Jan.
1, 2004; amended June 26, 2006, to take effect Jan. 1, 2007;
amended June 29, 2007, to take effect Jan. 1, 2008; amended
June 30, 2008, to take effect Jan. 1, 2009; amended June 15,
2012, to take effect Jan. 1, 2013.)
Sec. 2-36. Action by Statewide Grievance
Committee on Request for Review
Within sixty days of the expiration of the thirty
day period for the filing of a request for review
under Section 2-35 (k), or, with regard to griev-
ance complaints filed on or after January 1, 2004,
within sixty days of the expiration of the fourteen
day period for the filing of a response by disciplin-
ary counsel to a request for review under that
section, the statewide grievance committee shall
issue a written decision affirming the decision of
the reviewing committee, dismissing the com-
plaint, imposing sanctions and conditions as
authorized by Section 2-37, directing the disciplin-
ary counsel to file a presentment against the
respondent in the superior court or referring the
complaint to the same or a different reviewing
committee for further investigation and a decision.
Before issuing its decision, the statewide griev-
ance committee may, in its discretion, request oral
argument. The statewide grievance committee
shall forward a copy of its decision to the com-
plainant, the disciplinary counsel, the respondent,
the reviewing committee and the grievance panel
which investigated the complaint. The decision
shall be a matter of public record. A decision of
the statewide grievance committee shall be
issued only if the respondent has timely filed a
request for review under Section 2-35 (k).
(P.B. 1978-1997, Sec. 27M.) (Amended June 24, 2002, to
take effect July 1, 2003; May 14, 2003, effective date changed
to Oct. 1, 2003; Sept. 30, 2003, effective date changed to Jan.
1, 2004; amended June 26, 2006, to take effect Jan. 1, 2007.)
Sec. 2-37. Sanctions and Conditions Which
May Be Imposed by Committees
(a) A reviewing committee or the statewide
grievance committee may impose one or more of
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the following sanctions and conditions in accord-
ance with the provisions of Sections 2-35 and
2-36:
(1) reprimand;
(2) restitution;
(3) assessment of costs;
(4) an order that the respondent return a client’s
file to the client;
(5) a requirement that the respondent attend
continuing legal education courses, at his or her
own expense, regarding one or more areas of
substantive law or law office management;
(6) an order to submit to fee arbitration;
(7) in any grievance complaint where there has
been a finding of a violation of Rule 1.15 of the
Rules of Professional Conduct or Practice Book
Section 2-27, an order to submit to periodic audits
and supervision of the attorney’s trust accounts
to ensure compliance with the provisions of Sec-
tion 2-27 and the related Rules of Professional
Conduct. Any alleged misconduct discovered as
the result of such audit shall be alleged in a sepa-
rate grievance complaint filed pursuant to these
rules;
(8) with the respondent’s consent, a require-
ment that the respondent undertake treatment, at
his or her own expense, for medical, psychological
or psychiatric conditions or for problems of alcohol
or substance abuse.
(b) In connection with subsection (a) (6), a party
who refuses to utilize the no cost fee arbitration
service provided by the Connecticut Bar Associa-
tion shall pay the cost of the arbitration.
(c) Failure of the respondent to comply with any
sanction or condition imposed by the statewide
grievance committee or a reviewing committee
may be grounds for presentment before the supe-
rior court.
(P.B. 1978-1997, Sec. 27M.1.) (Amended June 28, 1999,
to take effect Jan. 1, 2000; amended June 15, 2012, to take
effect Jan. 1, 2013.)
Sec. 2-38. Appeal from Decision of State-
wide Grievance Committee or Reviewing
Committee Imposing Sanctions or Con-
ditions
(Amended June 30, 2008, to take effect Jan. 1, 2009.)
(a) A respondent may appeal to the superior
court a decision by the statewide grievance com-
mittee or a reviewing committee imposing sanc-
tions or conditions against the respondent, in
accordance with Section 2-37 (a). A respondent
may not appeal a decision by a reviewing commit-
tee imposing sanctions or conditions against the
respondent if the respondent has not timely
requested a review of the decision by the state-
wide grievance committee under Section 2-35 (k).
Within thirty days from the issuance, pursuant to
SUPERIOR COURT—GENERAL PROVISIONSSec. 2-38
Section 2-36, of the decision of the statewide
grievance committee, the respondent shall: (1) file
the appeal with the clerk of the superior court for
the judicial district of Hartford and (2) mail a copy
of the appeal by certified mail, return receipt
requested or with electronic delivery confirmation,
to the office of the statewide bar counsel as agent
for the statewide grievance committee and to the
office of the chief disciplinary counsel.
(b) Enforcement of a final decision imposing
sanctions or conditions against the respondent
pursuant to Section 2-35 (i) or Section 2-35 (m),
including the publication of the notice of a repri-
mand in accordance with Section 2-54, shall be
stayed for thirty days from the issuance to the
parties of such decision. If within that period the
respondent files with the statewide grievance
committee a request for review of the reviewing
committee’s decision, the stay shall remain in
effect for thirty days from the issuance by the
statewide grievance committee of its final decision
pursuant to Section 2-36. If the respondent timely
commences an appeal pursuant to subsection (a)
of this section, such stay shall remain in full force
and effect until the conclusion of all proceedings,
including all appeals, relating to the decision
imposing sanctions or conditions against the
respondent. If at the conclusion of all proceedings,
the decision imposing sanctions or conditions
against the respondent is rescinded, the com-
plaint shall be deemed dismissed as of the date
of the decision imposing sanctions or conditions
against the respondent. An application to termi-
nate the stay may be made to the court and shall
be granted if the court is of the opinion that the
appeal is taken only for delay or that the due
administration of justice requires that the stay
be terminated.
(c) Within thirty days after the service of the
appeal, or within such further time as may be
allowed by the court, the statewide bar counsel
shall transmit to the reviewing court a certified
copy of the entire record of the proceeding
appealed from, which shall include the grievance
panel’s record in the case, as defined in Section
2-32 (i), and a copy of the statewide grievance
committee’s record or the reviewing committee’s
record in the case, which shall include a transcript
of any testimony heard by it or by a reviewing
committee which is required by rule to be on the
record, any decision by the reviewing committee
in the case, any requests filed pursuant to Section
2-35 (k) of this section, and a copy of the statewide
grievance committee’s decision on the request for
review. By stipulation of all parties to such appeal
proceedings, the record may be shortened. The
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court may require or permit subsequent correc-
tions or additions to the record.
(d) The appeal shall be conducted by the court
without a jury and shall be confined to the record.
If alleged irregularities in procedure before the
statewide grievance committee or reviewing com-
mittee are not shown in the record, proof limited
thereto may be taken in the court. The court, upon
request, shall hear oral argument.
(e) The respondent shall file a brief within thirty
days after the filing of the record by the statewide
bar counsel. The disciplinary counsel shall file his
or her brief within thirty days of the filing of the
respondent’s brief. Unless permission is given by
the court for good cause shown, briefs shall not
exceed thirty-five pages.
(f) Upon appeal, the court shall not substitute
its judgment for that of the statewide grievance
committee or reviewing committee as to the
weight of the evidence on questions of fact. The
court shall affirm the decision of the committee
unless the court finds that substantial rights of the
respondent have been prejudiced because the
committee’s findings, inferences, conclusions, or
decisions are: (1) in violation of constitutional pro-
visions, rules of practice or statutory provisions;
(2) in excess of the authority of the committee;
(3) made upon unlawful procedure; (4) affected
by other error of law; (5) clearly erroneous in view
of the reliable, probative, and substantial evidence
on the whole record; or (6) arbitrary or capricious
or characterized by abuse of discretion or clearly
unwarranted exercise of discretion. If the court
finds such prejudice, it shall sustain the appeal
and, if appropriate, rescind the action of the state-
wide grievance committee or take such other
action as may be necessary. For purposes of fur-
ther appeal, the action taken by the superior court
hereunder is a final judgment.
(g) In all appeals taken under this section, costs
may be taxed in favor of the statewide grievance
committee in the same manner, and to the same
extent, that costs are allowed in judgments ren-
dered by the superior court. No costs shall be
taxed against the statewide grievance committee,
except that the court may, in its discretion, award
to the respondent reasonable fees and expenses
if the court determines that the action of the com-
mittee was undertaken without any substantial
justification. ‘‘Reasonable fees and expenses’’
means any expenses not in excess of $7500
which the court finds were reasonably incurred in
opposing the committee’s action, including court
costs, expenses incurred in administrative pro-
ceedings, attorney’s fees, witness fees of all nec-
essary witnesses, and such other expenses as
were reasonably incurred.
(P.B. 1978-1997, Sec. 27N.) (Amended June 29, 1998, to
take effect Sept. 1, 1999; amended June 28, 1999, to take
SUPERIOR COURT—GENERAL PROVISIONS Sec. 2-40
effect Jan. 1, 2000; amended June 24, 2002, to take effect
July 1, 2003; May 14, 2003, effective date changed to Oct. 1,
2003; amended June 30, 2003, to take effect Oct. 1, 2003;
Sept. 30, 2003, effective date of two prior amendments
changed to Jan. 1, 2004; amended June 29, 2007, to take
effect Jan. 1, 2008; amended June 30, 2008, to take effect
Jan. 1, 2009; amended June 14, 2013, to take effect Jan. 1,
2014; amended June 13, 2014, to take effect Jan. 1, 2015.)
Sec. 2-39. Reciprocal Discipline
(a) Upon being informed that a lawyer admitted
to the Connecticut bar has resigned, been dis-
barred, suspended or otherwise disciplined, or
placed on inactive disability status in another juris-
diction, and that said discipline or inactive disabil-
ity status has not been stayed, the disciplinary
counsel shall obtain a certified copy of the order
and file it with the superior court for the judicial
district wherein the lawyer maintains an office for
the practice of law in this state, except that, if the
lawyer has no such office, the disciplinary counsel
shall file the certified copy of the order from the
other jurisdiction with the superior court for the
judicial district of Hartford. No entry fee shall be
required for proceedings hereunder.
(b) Upon receipt of a certified copy of the order,
the court shall forthwith cause to be served upon
the lawyer a copy of the order from the other
jurisdiction and an order directing the lawyer to
file within thirty days of service, with proof of ser-
vice upon the disciplinary counsel, an answer
admitting or denying the action in the other juris-
diction and setting forth, if any, reasons why com-
mensurate action in this state would be
unwarranted. Such certified copy will constitute
prima facie evidence that the order of the other
jurisdiction entered and that the findings con-
tained therein are true.
(c) Upon the expiration of the thirty day period
the court shall assign the matter for a hearing.
After hearing, the court shall take commensurate
action unless it is found that any defense set forth
in the answer has been established by clear and
convincing evidence.
(d) Notwithstanding the above, a reciprocal dis-
cipline action need not be filed if the conduct giving
rise to discipline in another jurisdiction has already
been the subject of a formal review by the court
or statewide grievance committee.
(P.B. 1978-1997, Sec. 28A.) (Amended June 29, 1998, to
take effect Sept. 1, 1998; amended August 24, 2001, to take
effect Jan. 1, 2002; amended June 24, 2002, to take effect
July 1, 2003; May 14, 2003, effective date changed to Oct. 1,
2003; Sept. 30, 2003, effective date changed to Jan. 1, 2004.)
Sec. 2-40. Discipline of Attorneys Found
Guilty of Serious Crimes in Connecticut
(Amended June 13, 2014, to take effect Oct. 1, 2014.)
(a) The term ‘‘serious crime,’’ as used herein,
shall mean any felony, any larceny, any crime
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where the attorney was or will be sentenced to a
term of incarceration, or any other crime that
reflects adversely on the lawyer’s honesty, trust-
worthiness, or fitness as a lawyer in other
respects, or any crime, a necessary element of
which, as determined by the statutory or common-
law definition of the crime, involves interference
with the administration of justice, false swearing,
misrepresentation, fraud, deceit, bribery, extor-
tion, misappropriation, theft, wilful failure to file
tax returns, violations involving criminal drug
offenses, or any attempt, conspiracy or solicitation
of another to commit a ‘‘serious crime.’’
(b) The terms ‘‘found guilty’’ and ‘‘finding of
guilt,’’ as used herein, refer to the disposition of
any charge of a serious crime as herein defined
resulting from either a plea of guilty or nolo conten-
dere, or from a verdict after trial, and regardless
of the pendency of any appeal.
(c) The clerk of the superior court in which an
attorney is found guilty of any crime shall transmit
a certified copy of the finding of guilt, docket sheet,
or other proof of the finding of guilt to the disciplin-
ary counsel and to the statewide grievance com-
mittee.
(d) Notwithstanding any obligation imposed
upon the clerk by subsection (c) of this section,
any attorney found guilty of any crime shall send
written notice of the finding of guilt to the disciplin-
ary counsel and the statewide grievance commit-
tee, by certified mail, return receipt requested, or
with electronic delivery confirmation, within ten
days of the date of the finding of guilt. The written
notice shall include the name and address of the
court where the finding of guilt was made, the
date of the finding of guilt, and the specific section
of the applicable criminal, penal, or statutory code
upon which the finding of guilt was predicated. An
attorney’s failure to send timely written notice of
his or her finding of guilt required by this section
shall constitute misconduct.
(e) Upon receipt of proof of the finding of guilt,
the disciplinary counsel shall determine whether
the crime for which the attorney was found guilty
is a serious crime, as defined herein. If so, disci-
plinary counsel shall, pursuant to Section 2-47,
file a presentment against the attorney predicated
upon the finding of guilt. A certified copy of the
finding of guilt shall be conclusive evidence of
the commission of that crime in any disciplinary
proceeding based upon the finding of guilt. No
entry fee shall be required for proceedings
hereunder.
(f) A presentment filed pursuant to this section
shall be heard, where practical, by the judge who
presided at the proceeding in which the attorney
was found guilty. A hearing on the presentment
SUPERIOR COURT—GENERAL PROVISIONSSec. 2-40
complaint shall address the issue of the nature
and extent of the final discipline to be imposed
and shall be held within sixty days of the filing of
the presentment.
(g) Immediately upon receipt of proof of the
finding of guilt of an attorney of a serious crime,
as defined herein, the disciplinary counsel may
also apply to the court for an order of interim
suspension. If the attorney was or will be sen-
tenced to a term of incarceration, disciplinary
counsel shall seek a suspension during the term
of incarceration. The court may, in its discretion,
enter an order immediately placing the attorney
on interim suspension pending final disposition
of a presentment filed pursuant to this section.
Thereafter, for good cause shown, the court may,
in the interests of justice, set aside or modify the
interim suspension.
(h) At the presentment hearing, the attorney
shall have the right to counsel, to be heard in his
or her own defense and to present evidence and
witnesses in his or her behalf. After the hearing,
the court shall enter an order dismissing the pre-
sentment complaint, or imposing discipline upon
such attorney in the form of suspension for a
period of time, disbarment or such other discipline
as the court deems appropriate. If the finding of
guilt was based upon the lawyer’s misappropria-
tion of clients’ funds or other property held in trust,
the court shall enter an order disbarring the attor-
ney for a minimum of twelve years pursuant to
Sections 2-47A and 2-53 (g).
(i) Whenever the court enters an order sus-
pending or disbarring an attorney pursuant to a
presentment filed under this section, the court
may appoint a trustee, pursuant to Section 2-64,
to protect the interests of the attorney’s clients and
to secure the attorney’s clients’ funds accounts.
(j) If an attorney disciplined solely under the
provisions of this section demonstrates to the
court that the underlying finding of guilt was later
vacated or reversed, the court shall vacate any
disciplinary order entered pursuant to the finding
of guilt, and place the attorney on active status.
The vacating of such disciplinary order shall not
automatically terminate any other disciplinary pro-
ceeding then pending against the attorney.
(k) Immunity from prosecution granted to an
attorney is not a bar to disciplinary proceedings,
unless otherwise ordered by the court. The grant-
ing of a pretrial diversion program to an attorney
charged with a serious crime, as defined herein,
is not a bar to disciplinary proceedings, unless
otherwise ordered by the court that granted the
program to the attorney.
(P.B. 1978-1997, Sec. 28B.) (Amended June 24, 2002, to
take effect July 1, 2003; May 14, 2003, effective date changed
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to Oct. 1, 2003; Sept. 30, 2003, effective date changed to Jan.
1, 2004; amended June 26, 2006, to take effect Jan. 1, 2007;
amended June 13, 2014, to take effect Oct. 1, 2014.)
Sec. 2-41. Discipline of Attorneys Found
Guilty of Serious Crimes in Another Juris-
diction
(Amended June 13, 2014, to take effect Oct. 1, 2014.)
(a) The term ‘‘serious crime,’’ as used herein,
shall mean any felony, any larceny, or any crime
where the attorney was or will be sentenced to a
term of incarceration, or any other crime that
reflects adversely on the lawyer’s honesty, trust-
worthiness, or fitness as a lawyer in other
respects, or any crime, a necessary element of
which, as determined by the statutory or common-
law definition of the crime, involves interference
with the administration of justice, false swearing,
misrepresentation, fraud, deceit, bribery, extor-
tion, misappropriation, theft, wilful failure to file
tax returns, violations involving criminal drug
offenses, or any attempt, conspiracy or solicitation
of another to commit a ‘‘serious crime.’’
(b) The terms ‘‘found guilty’’ and ‘‘finding of
guilt,’’ as used herein, refer to the disposition of
any charge of a serious crime as defined herein
resulting from either a plea of guilty or nolo conten-
dere, or from a verdict after trial, and regardless
of the pendency of any sentencing or appeal.
(c) The term ‘‘another jurisdiction,’’ as used
herein, shall mean any state court, other than the
Connecticut superior court, any federal court, any
District of Columbia court or any court from a
commonwealth or possession of the United
States.
(d) Any attorney found guilty of any crime in
another jurisdiction shall send written notice of the
finding of guilt to the disciplinary counsel and the
statewide grievance committee, by certified mail,
return receipt requested, or with electronic deliv-
ery confirmation, within ten days of the date of
the finding of guilt. The written notice shall include
the name and address of the court where the
finding of guilt was made, the date of the finding
of guilt, and the specific section of the applicable
criminal, penal, or statutory code upon which the
finding of guilt was predicated. An attorney’s fail-
ure to send timely written notice of the finding of
guilt required by this section shall constitute mis-
conduct.
(e) Upon receipt of the written notice of the
finding of guilt in another jurisdiction, the disciplin-
ary counsel shall determine whether the crime for
which the attorney was found guilty is a ‘‘serious
crime,’’ as defined herein. If so, disciplinary coun-
sel shall obtain a certified copy of the finding of
guilt, which shall be conclusive evidence of the
SUPERIOR COURT—GENERAL PROVISIONS Sec. 2-42
commission of that crime in any disciplinary pro-
ceeding based upon the finding of guilt. Upon
receipt of the certified copy of the finding of guilt,
the disciplinary counsel shall, pursuant to Section
2-47, file a presentment against the attorney pred-
icated upon the finding of guilt. No entry fee shall
be required for proceedings hereunder.
(f) A presentment filed pursuant to this section
shall be filed in the judicial district where the attor-
ney maintains an office for the practice of law in
this state. If the attorney has no office for the
practice of law in this state, the disciplinary coun-
sel shall file the presentment in the superior court
for the judicial district of Hartford. A hearing on
the presentment complaint shall address the issue
of the nature and extent of the final discipline to
be imposed, and shall be held within sixty days
of the filing of the presentment.
(g) The disciplinary counsel may also apply to
the court for an order of interim suspension, which
application shall contain a certified copy of the
finding of guilt. If the attorney was or will be sen-
tenced to a term of incarceration, disciplinary
counsel shall seek a suspension for the term of
incarceration. The court may, in its discretion,
enter an order immediately placing the attorney
on interim suspension pending final disposition
of the presentment filed pursuant to this section.
Thereafter, for good cause shown, the court may,
in the interests of justice, set aside or modify the
interim suspension.
(h) At the presentment hearing, the attorney
shall have the right to counsel, to be heard in his
or her own defense, and to present evidence and
witnesses in his or her behalf. After the hearing,
the court shall enter an order dismissing the pre-
sentment complaint, or imposing discipline upon
such attorney in the form of suspension for a
period of time, disbarment or such other discipline
as the court deems appropriate. If the finding of
guilt was based on the lawyer’s misappropriation
of clients’ funds or other property held in trust, the
court shall enter an order disbarring the attorney
for a minimum of twelve years pursuant to Sec-
tions 2-47A and 2-53 (g).
(i) Whenever the court enters an order sus-
pending or disbarring an attorney pursuant to a
presentment filed under this section, the court
may appoint a trustee, pursuant to Section 2-64,
to protect the interests of the attorney’s clients and
to secure the attorney’s clients’ funds accounts.
(j) If an attorney disciplined solely under the
provisions of this section demonstrates to the
court that the attorney’s finding of guilt was later
vacated or reversed, the court shall vacate any
disciplinary order entered pursuant to this section.
The vacating of such disciplinary order shall not
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automatically terminate any other disciplinary pro-
ceeding then pending against the attorney.
(k) Immunity from prosecution granted to an
attorney is not a bar to disciplinary proceedings,
unless otherwise ordered by the court. The grant-
ing of a pretrial diversion program to an attorney
charged with a serious crime, as defined herein,
is not a bar to disciplinary proceedings, unless
otherwise ordered by the court that granted the
program to the attorney.
(P.B. 1978-1997, Sec. 28B.1.) (Amended June 29, 1998,
to take effect Sept. 1, 1998; amended June 24, 2002, to take
effect July 1, 2003; May 14, 2003, effective date changed to
Oct. 1, 2003; Sept. 30, 2003, effective date changed to Jan.
1, 2004; amended June 26, 2006, to take effect Jan. 1, 2007;
amended June 14, 2013, to take effect Jan. 1, 2014; amended
June 13, 2014, to take effect Oct. 1, 2014.)
Sec. 2-42. Conduct Constituting Threat of
Harm to Clients
(a) If there is a disciplinary proceeding pending
against a lawyer, or if there has been a notice
of overdraft in accordance with the provisions of
Section 2-28 (f) and the grievance panel, the
reviewing committee, the statewide grievance
committee or the disciplinary counsel believes
that the lawyer poses a substantial threat of irrepa-
rable harm to his or her clients or to prospective
clients, or that there has been an unexplained
overdraft in the lawyer’s trust funds account, the
panel or committee shall so advise the disciplinary
counsel. The disciplinary counsel shall, upon
being so advised or upon his or her own belief,
apply to the court for an order of interim suspen-
sion. The disciplinary counsel shall provide the
lawyer with notice that an application for interim
suspension has been filed and that a hearing will
be held on such application.
(b) The court, after hearing, pending final dispo-
sition of the disciplinary proceeding, may, if it finds
that the lawyer poses a substantial threat of irrepa-
rable harm to his or her clients or to prospective
clients, enter an order of interim suspension, or
may order such other interim action as deemed
appropriate. Thereafter, upon good cause shown,
the court may, in the interest of justice, set aside
or modify the interim suspension or other order
entered pursuant hereto. Whenever the court
enters an interim suspension order pursuant
hereto, the court may appoint a trustee, pursuant
to Section 2-64, to protect the clients’ and the
suspended attorney’s interests.
(c) No entry fee shall be required for proceed-
ings hereunder. Any hearings necessitated by the
proceedings may, in the discretion of the court,
be held in chambers.
(P.B. 1978-1997, Sec. 28C.) (Amended June 24, 2002, to
take effect July 1, 2003; May 14, 2003, effective date changed
SUPERIOR COURT—GENERAL PROVISIONSSec. 2-42
to Oct. 1, 2003; Sept. 30, 2003, effective date changed to Jan.
1, 2004; amended June 26, 2006, to take effect Jan. 1, 2007.)
Sec. 2-43. Notice by Attorney of Alleged Mis-
use of Clients’ Funds and Garnishments of
Lawyers’ Trust Accounts
(a) When any complaint, counterclaim, cross
complaint, special defense or other pleading in
a judicial or administrative proceeding alleges a
lawyer’s misuse of funds handled by the lawyer
in his or her capacity as a lawyer or a fiduciary,
the person signing the pleading shall mail a copy
thereof to the statewide bar counsel.
(b) In any case where a lawyer’s trust account,
as defined in Section 2-28 (b), is garnisheed, or
otherwise liened, the party who sought the gar-
nishment or lien shall mail a copy of the garnishee
process or writ of attachment to the statewide
bar counsel.
(P.B. 1978-1997, Sec. 28D.)
Sec. 2-44. Power of Superior Court to Disci-
pline Attorneys and to Restrain Unautho-
rized Practice
The superior court may, for just cause, suspend
or disbar attorneys and may, for just cause, punish
or restrain any person engaged in the unautho-
rized practice of law.
(P.B. 1978-1997, Sec. 29.)
Sec. 2-44A. Definition of the Practice of Law
(a) General Definition: The practice of law is
ministering to the legal needs of another person
and applying legal principles and judgment to the
circumstances or objectives of that person. This
includes, but is not limited to:
(1) Holding oneself out in any manner as an
attorney, lawyer, counselor, advisor or in any
other capacity which directly or indirectly repre-
sents that such person is either (a) qualified or
capable of performing or (b) is engaged in the
business or activity of performing any act consti-
tuting the practice of law as herein defined.
(2) Giving advice or counsel to persons con-
cerning or with respect to their legal rights or
responsibilities or with regard to any matter involv-
ing the application of legal principles to rights,
duties, obligations or liabilities.
(3) Drafting any legal document or agreement
involving or affecting the legal rights of a person.
(4) Representing any person in a court, or in a
formal administrative adjudicative proceeding or
other formal dispute resolution process or in any
administrative adjudicative proceeding in which
legal pleadings are filed or a record is established
as the basis for judicial review.
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(5) Giving advice or counsel to any person, or
representing or purporting to represent the inter-
est of any person, in a transaction in which an
interest in property is transferred where the advice
or counsel, or the representation or purported rep-
resentation, involves (a) the preparation, evalua-
tion, or interpretation of documents related to such
transaction or to implement such transaction or
(b) the evaluation or interpretation of procedures
to implement such transaction, where such trans-
action, documents, or procedures affect the legal
rights, obligations, liabilities or interests of such
person, and
(6) Engaging in any other act which may indi-
cate an occurrence of the authorized practice of
law in the state of Connecticut as established by
case law, statute, ruling or other authority.
‘‘Documents’’ includes, but is not limited to, con-
tracts, deeds, easements, mortgages, notes,
releases, satisfactions, leases, options, articles
of incorporation and other corporate documents,
articles of organization and other limited liability
company documents, partnership agreements,
affidavits, prenuptial agreements, wills, trusts,
family settlement agreements, powers of attorney,
notes and like or similar instruments; and plead-
ings and any other papers incident to legal actions
and special proceedings.
The term ‘‘person’’ includes a natural person,
corporation, company, partnership, firm, associa-
tion, organization, society, labor union, business
trust, trust, financial institution, governmental unit
and any other group, organization or entity of any
nature, unless the context otherwise dictates.
The term ‘‘Connecticut lawyer’’ means a natural
person who has been duly admitted to practice
law in this state and whose privilege to do so is
then current and in good standing as an active
member of the bar of this state.
(b) Exceptions. Whether or not it constitutes
the practice of law, the following activities by any
person are permitted:
(1) Selling legal document forms previously
approved by a Connecticut lawyer in any format.
(2) Acting as a lay representative authorized by
administrative agencies or in administrative hear-
ings solely before such agency or hearing where:
(A) Such services are confined to representa-
tion before such forum or other conduct reason-
ably ancillary to such representation; and
(B) Such conduct is authorized by statute, or
the special court, department or agency has
adopted a rule expressly permitting and regulating
such practice.
(3) Serving in a neutral capacity as a mediator,
arbitrator, conciliator or facilitator.
SUPERIOR COURT—GENERAL PROVISIONS Sec. 2-47
(4) Participating in labor negotiations, arbitra-
tions, or conciliations arising under collective bar-
gaining rights or agreements.
(5) Providing clerical assistance to another to
complete a form provided by a court for the protec-
tion from abuse, harassment and violence when
no fee is charged to do so.
(6) Acting as a legislative lobbyist.
(7) Serving in a neutral capacity as a clerk or
a court employee providing information to the
public.
(8) Performing activities which are preempted
by federal law.
(9) Performing statutorily authorized services
as a real estate agent or broker licensed by the
state of Connecticut.
(10) Preparing tax returns and performing any
other statutorily authorized services as a certified
public accountant, enrolled IRS agent, public
accountant, public bookkeeper, or tax preparer.
(11) Performing such other activities as the
courts of Connecticut have determined do not
constitute the unlicensed or unauthorized practice
of law.
(12) Undertaking self-representation, or practic-
ing law authorized by a limited license to practice.
(c) Nonlawyer Assistance: Nothing in this rule
shall affect the ability of nonlawyer assistants to
act under the supervision of a lawyer in compli-
ance with Rule 5.3 of the Rules of Professional
Conduct.
(d) General Information: Nothing in this rule
shall affect the ability of a person or entity to pro-
vide information of a general nature about the law
and legal procedures to members of the public.
(e) Governmental Agencies: Nothing in this rule
shall affect the ability of a governmental agency
to carry out its responsibilities as provided by law.
(f) Professional Standards: Nothing in this rule
shall be taken to define or affect standards for
civil liability or professional responsibility.
(g) Unauthorized Practice: If a person who is
not authorized to practice law is engaged in the
practice of law, that person shall be subject to the
civil and criminal penalties of this jurisdiction.
(Adopted June 29, 2007, to take effect Jan. 1, 2008.)
Sec. 2-45. —Cause Occurring in Presence
of Court
If such cause occurs in the actual presence of
the court, the order may be summary, and without
complaint or hearing; but a record shall be made
of such order, reciting the ground thereof. Without
limiting the inherent powers of the court, if attorney
misconduct occurs in the actual presence of the
court, the statewide grievance committee and the
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grievance panels shall defer to the court if the
court chooses to exercise its jurisdiction.
(P.B. 1978-1997, Sec. 30.)
Sec. 2-46. Suspension of Attorneys Who
Violate Support Orders
(a) Except as otherwise provided in this section,
the procedures of General Statutes §§ 46b-220
through 46b-223 shall be followed with regard to
the suspension from the practice of law of attor-
neys who are found to be delinquent child sup-
port obligors.
(b) A judge, upon finding that an attorney admit-
ted to the bar in this state is a delinquent child
support obligor as defined in General Statutes
§ 46b-220 (a), may, pursuant to General Statutes
§ 46b-220 (b), issue a suspension order concern-
ing that attorney.
(c) If the attorney obligor fails to comply with
the conditions of the suspension order within thirty
days of its issuance, the department of social ser-
vices, a support enforcement officer, the attorney
for the obligee or the obligee, as provided in the
suspension order, shall file with the clerk of the
superior court which issued the suspension order
an affidavit stating that the conditions of the sus-
pension order have not been met, and shall serve
the attorney obligor with a copy of such affidavit
in accordance with Sections 10-12 through 10-
17. The affidavit shall be filed within forty-five days
of the expiration of the thirty day period.
(d) Upon receipt of the affidavit, the clerk shall
forthwith bring the suspension order and the affi-
davit to a judge of the superior court for review.
If the judge determines that pursuant to the provi-
sions of General Statutes § 46b-220 the attorney
obligor should be suspended, the judge shall sus-
pend the attorney obligor from the practice of law,
effective immediately.
(e) A suspended attorney who has complied
with the conditions of the suspension order con-
cerning reinstatement, shall file a motion with the
court to vacate the suspension. Upon proof of
such compliance, the court shall vacate the order
of suspension and reinstate the attorney. The pro-
visions of Section 2-53 shall not apply to suspen-
sions under this section.
(f) The clerk shall notify the statewide bar coun-
sel of any suspensions and reinstatements
ordered pursuant to this section.
(P.B. 1978-1997, Sec. 30A.)
Sec. 2-47. Presentments and Unauthorized
Practice of Law Petitions
(a) Presentment of attorneys for misconduct,
whether or not the misconduct occurred in the
actual presence of the court, shall be made by
SUPERIOR COURT—GENERAL PROVISIONSSec. 2-47
written complaint of the disciplinary counsel. Ser-
vice of the complaint shall be made as in civil
actions. Any interim proceedings to the contrary
notwithstanding, a hearing on the merits of the
complaint shall be held within sixty days of the
date the complaint was filed with the court. At
such hearing, the respondent shall have the right
to be heard in his or her own defense and by
witnesses and counsel. After such hearing the
court shall render a judgment dismissing the com-
plaint or imposing discipline as follows: reprimand,
suspension for a period of time, disbarment or
such other discipline as the court deems appro-
priate. This may include conditions to be fulfilled
by the attorney before he or she may apply for
readmission or reinstatement. Unless otherwise
ordered by the court, such complaints shall be
prosecuted by the disciplinary counsel or an attor-
ney appointed pursuant to Section 2-48.
(b) The sole issue to be determined in a disci-
plinary proceeding predicated upon conviction of
a felony, any larceny or crime for which the lawyer
is sentenced to a term of incarceration or for which
a suspended period of incarceration is imposed
shall be the extent of the final discipline to be
imposed.
(c) A petition to restrain any person from engag-
ing in the unauthorized practice of law not
occurring in the actual presence of the court may
be made by written complaint to the superior court
in the judicial district where such violation occurs.
When offenses have been committed by the same
person in more than one judicial district, present-
ment for all offenses may be made in any one
of such judicial districts. Such complaint may be
prosecuted by the state’s attorney, by the disci-
plinary counsel, or by any member of the bar by
direction of the court. Upon the filing of such com-
plaint, a rule to show cause shall issue to the
defendant, who may make any proper answer
within twenty days from the return of the rule and
who shall have the right to be heard as soon as
practicable, and upon such hearing the court shall
make such lawful orders as it may deem just.
Such complaints shall be proceeded with as
civil actions.
(d) (1) If a determination is made by the state-
wide grievance committee or a reviewing commit-
tee that a respondent is guilty of misconduct and
such misconduct does not otherwise warrant a
presentment to the superior court, but the respon-
dent has been disciplined pursuant to these rules
by the statewide grievance committee, a
reviewing committee or the court at least three
times pursuant to complaints filed within the five
year period preceding the date of the filing of the
grievance complaint that gave rise to such finding
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of misconduct in the instant case, the statewide
grievance committee or the reviewing committee
shall direct the disciplinary counsel to file a pre-
sentment against the respondent in the superior
court. Service of the matter shall be made as in
civil actions. The statewide grievance committee
or the reviewing committee shall file with the court
the record in the matter and a copy of the prior
discipline issued against the respondent within
such five year period. The sole issue to be deter-
mined by the court upon the presentment shall
be the appropriate action to take as a result of
the nature of the misconduct in the instant case
and the cumulative discipline issued concerning
the respondent within such five year period. Such
action shall be in the form of a judgment dismiss-
ing the complaint or imposing discipline as follows:
reprimand, suspension for a period of time, disbar-
ment or such other discipline as the court deems
appropriate. This may include conditions to be
fulfilled by the respondent before he or she may
apply for readmission or reinstatement. This sub-
section shall apply to all findings of misconduct
issued from the day of enactment forward and the
determination of presentment shall consider all
discipline pursuant to complaints filed within the
five year period preceding the date of the filing of
the grievance complaint that gave rise to the find-
ing of misconduct even if they predate the effec-
tive date of these rules.
(2) If the respondent has appealed the issuance
of a finding of misconduct made by the statewide
grievance committee or the reviewing committee,
the court shall first adjudicate and decide that
appeal in accordance with the procedures set
forth in subsections (d) through (f) of Section 2-
38. In the event the court denies the respondent’s
appeal of the finding of misconduct, the court shall
then adjudicate the presentment brought under
this section. In no event shall the court review the
merits of the matters for which the prior repri-
mands were issued against the respondent.
(e) No entry fee shall be required for the filing
of any complaint pursuant to this section.
(P.B. 1978-1997, Sec. 31.) (Amended June 24, 2002, to
take effect July 1, 2003; May 14, 2003, effective date changed
to Oct. 1, 2003; Sept. 30, 2003, effective date changed to Jan.
1, 2004; amended June 21, 2004, to take effect Jan. 1, 2005;
amended June 20, 2005, to take effect Jan. 1, 2006; amended
June 26, 2006, to take effect Jan. 1, 2007.)
Sec. 2-47A. Disbarment of Attorney for Mis-
appropriation of Funds
In any disciplinary proceeding where there has
been a finding by a judge of the superior court
that a lawyer has knowingly misappropriated a
client’s funds or other property held in trust, the
SUPERIOR COURT—GENERAL PROVISIONS Sec. 2-47B
discipline for such conduct shall be disbarment
for a minimum of twelve years.
(Adopted June 26, 2006, to take effect Jan. 1, 2007;
amended June 13, 2014, to take effect Jan. 1, 2015.)
Sec. 2-47B. Restrictions on the Activities of
Deactivated Attorneys
(a) As used in this section:
(1) A ‘‘deactivated attorney’’ is an attorney who
is currently disbarred, suspended, resigned, or on
inactive status.
(2) A ‘‘supervising attorney’’ is an attorney:
(A) who has been approved by the court as a
supervising attorney for a deactivated attorney in
accordance with subsection (e) of this section;
(B) who is in good standing with the bar of
this state;
(C) who was not affiliated with the deactivated
attorney as an employer, employee, partner, inde-
pendent contractor or in any other employment
relationship at the time of the deactivation; and
(D) who did not serve as an attorney pursuant
to Section 2-64 in connection with the disbarment,
suspension, resignation or placement on inactive
status of the deactivated attorney.
(3) A ‘‘law-related activity’’ is:
(A) engaging in the practice of law as defined
by Section 2-44A;
(B) representing a client in any legal matter,
including discovery matters;
(C) negotiating or transacting any matter for, or
on behalf of, a client with third parties, or having
any contact with third parties regarding such
negotiation or transaction;
(D) receiving, disbursing or exercising any con-
trol over clients’ funds or other property held in
trust and related accounts;
(E) using the titles ‘‘attorney’’ or ‘‘lawyer,’’ or
the designations ‘‘Esq.,’’ or ‘‘J.D.’’ to describe one-
self; or
(F) communicating with clients and third parties
regarding matters that are the subject of represen-
tation by the supervising attorney or his or her firm.
(4) ‘‘Employ’’ means to engage the services of
another, including employees, agents, indepen-
dent contractors and consultants, regardless of
whether any compensation is paid.
(b) (1) No deactivated attorney shall be permit-
ted to engage in any law-related activities or to
be employed as a paralegal or legal assistant
unless expressly permitted by the court as pro-
vided in this section.
(2) The court may expressly permit, by written
order, a deactivated attorney to perform any of
the following activities, under the supervision of
a supervising attorney, as provided herein:
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(A) performing legal work of a preparatory
nature, such as conducting legal research,
assembling data and other necessary information,
and drafting transactional documents, pleadings,
briefs, and other similar documents; and
(B) providing clerical assistance to the supervis-
ing attorney.
(c) No attorney who knows or should have
known that an attorney’s license has been deacti-
vated, shall employ the deactivated attorney to
engage in any law-related activities or to act as
a paralegal or legal assistant, without the permis-
sion of the court, as provided in this section.
(d) A deactivated attorney shall not engage in
law-related activities or be employed as a parale-
gal or legal assistant on behalf of any client pre-
viously represented by the deactivated attorney or
for whom the deactivated attorney had previously
provided any legal services in the ten year period
prior to deactivation. During the period of employ-
ment of the deactivated attorney, the supervising
attorney or his or her firm shall not assume repre-
sentation of any matter on behalf of any client
previously represented by the deactivated attor-
ney or for whom the deactivated attorney had
previously provided any legal services in the ten
year period prior to deactivation.
(e) (1) An attorney desiring to become a super-
vising attorney shall file a written application on
a form approved by the office of the chief court
administrator.
(2) The application shall be filed with the court
in the docket number of the matter in which the
deactivated attorney was suspended, disbarred,
placed on inactive status or resigned. A copy of
the application shall be served by the applicant
on the office of the chief disciplinary counsel.
(3) An application filed under this section shall
be assigned to the same judge who presided over
the matter in which the deactivated attorney
resigned or was disbarred, suspended, or placed
on inactive status. If that judge is no longer avail-
able, the administrative judge in the judicial district
where the deactivation proceeding was held shall
assign the matter to another judge.
(f) The court shall schedule the application for
a hearing to determine the following:
(1) whether the deactivated attorney should be
permitted to perform the activities permitted
herein;
(2) whether the attorney will be appointed to
serve as the supervising attorney for the deacti-
vated attorney; and
(3) whether any additional monitoring, condi-
tions, or restrictions are necessary.
(g) If the relationship between the supervising
attorney and the deactivated attorney terminates,
SUPERIOR COURT—GENERAL PROVISIONSSec. 2-47B
the supervising attorney shall send written notice
to the court within fifteen days of the termination
of the relationship. A copy of the written notice
shall be served on the office of the chief disciplin-
ary counsel.
(h) Violation of this section by the deactivated
attorney or the supervising attorney shall consti-
tute a violation of Rule 8.4 (4) of the Rules of
Professional Conduct.
(i) In any application for reinstatement, the
supervising attorney and a deactivated attorney
under the supervision of a supervising attorney
pursuant to this section shall certify that he or she
has complied with the requirements of this section
during the period of suspension, disbarment, res-
ignation, or inactive status.
(Adopted June 12, 2015, to take effect Jan. 1, 2016.)
Sec. 2-48. Designee to Prosecute Pre-
sentments
The executive committee of the superior court
may choose one or more members of the bar of
this state to prosecute presentments. The chief
court administrator may also contract with mem-
bers of the bar of this state to prosecute present-
ments, actions for reciprocal discipline, actions for
interim suspension and disciplinary proceedings
predicated on the conviction of an attorney of a
felony or other crime set out in Section 2-40.
(P.B. 1978-1997, Sec. 31A.) (Amended June 24, 2002, to
take effect July 1, 2003; May 14, 2003, effective date changed
to Oct. 1, 2003; Sept. 30, 2003, effective date changed to Jan.
1, 2004.)
Sec. 2-49. Restitution
Whenever restitution has been made the panel
or committee investigating the attorney’s conduct
shall nevertheless determine if further proceed-
ings are necessary. If it is found that further pro-
ceedings are deemed unnecessary, such
decision shall be reviewed by the statewide griev-
ance committee in accordance with the provisions
of this chapter.
(P.B. 1978-1997, Sec. 31B.)
Sec. 2-50. Records of Statewide Grievance
Committee, Reviewing Committee and
Grievance Panel
(Amended June 26, 2006, to take effect Jan. 1, 2007.)
(a) The statewide grievance committee shall
maintain the record of each grievance proceeding.
The record in a grievance proceeding shall consist
of the following:
(1) The grievance panel’s record as set forth in
Section 2-32 (i);
(2) The reviewing committee’s record as set
forth in Section 2-35 (e);
(3) The statewide grievance committee’s
record;
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(4) Any probable cause determinations issued
by the statewide grievance committee or a
reviewing committee;
(5) Transcripts of hearings held before the
statewide grievance committee or a reviewing
committee;
(6) The reviewing committee’s proposed
decision;
(7) Any statement submitted to the statewide
grievance committee concerning a proposed
decision;
(8) The statewide grievance committee’s final
decision;
(9) The reviewing committee’s final decision;
(10) Any request for review submitted to the
statewide grievance committee concerning a
reviewing committee’s decision; and
(11) The statewide grievance committee’s deci-
sion on the request for review.
(b) The following records of the statewide griev-
ance committee shall not be public:
(1) All records pertaining to grievance com-
plaints that have been decided by a local griev-
ance committee prior to July 1, 1986.
(2) All records of pending grievance complaints
in which probable cause has not yet been
determined.
(3) All records pertaining to grievance com-
plaints that have been filed on or after July 1,
1986, and that have been dismissed by a griev-
ance panel, by the statewide grievance committee
or by a reviewing committee without a finding of
probable cause that the attorney is guilty of mis-
conduct.
(4) All records of complaints dismissed pursu-
ant to Section 2-32 (a) (2) and (c).
(c) All records enumerated in subsection (a)
pertaining to grievance complaints that have been
filed on or after July 1, 1986, in which probable
cause has been found that the attorney is guilty
of misconduct shall be public, whether or not the
complaint is subsequently dismissed.
(d) Unless otherwise ordered by the court, all
records that are not public shall be available only
to the statewide grievance committee and its
counsel, the reviewing committees, the grievance
panels and their counsel, the bar examining com-
mittee, the standing committee on recommenda-
tions for admission to the bar, disciplinary counsel,
the client security fund committee and its counsel,
a judge of the superior court, a judge of the United
States District Court for the District of Connecticut,
any grievance committee or other disciplinary
authority of the United States District Court for the
District of Connecticut or, with the consent of the
respondent, to any other person. Such records
may be used or considered in any subsequent
SUPERIOR COURT—GENERAL PROVISIONS Sec. 2-53
disciplinary or client security fund proceeding per-
taining to the respondent.
(e) Any respondent who was the subject of a
complaint in which the respondent was misidenti-
fied and the complaint was dismissed shall be
deemed to have never been subject to disciplinary
proceedings with respect to that complaint and
may so swear under oath. Records of such griev-
ance complaints shall not be public.
(f) For purposes of this section, all grievance
complaints that were pending before a grievance
panel on July 1, 1986, shall be deemed to have
been filed on that date.
(P.B. 1978-1997, Sec. 32.) (Amended June 24, 2002, to
take effect July 1, 2003; May 14, 2003, effective date changed
to Oct. 1, 2003; Sept. 30, 2003, effective date changed to Jan.
1, 2004; amended June 26, 2006, to take effect Jan. 1, 2007;
amended June 29, 2007, to take effect Jan. 1, 2008; amended
June 30, 2008, to take effect Jan. 1, 2009.)
Sec. 2-51. Costs and Expenses
Costs may be taxed against the respondent in
favor of the state, if the respondent be found guilty
of the offense charged in whole or in part, at the
discretion of the court. The court may also, upon
any such complaint by the state’s attorney or by
the statewide grievance committee, as the case
may be, audit and allow (whatever may be the
result of the proceeding) reasonable expenses to
be taxed as part of the expenses of the court.
(P.B. 1978-1997, Sec. 34.)
Sec. 2-52. Resignation and Waiver of Attor-
ney Facing Disciplinary Investigation
(Amended June 15, 2012, to take effect Jan. 1, 2013.)
(a) The superior court may, under the procedure
provided herein, permit an attorney to submit his
or her resignation from the bar with or without the
waiver of right to apply for readmission to the bar
at any time in the future if the attorney’s conduct
is the subject of an investigation or proceeding
by a grievance panel, a reviewing committee, the
statewide grievance committee, the disciplinary
counsel or the court.
(b) Concurrently with the written resignation,
the attorney shall submit an affidavit stating the
following:
(1) that he or she desires to resign and that the
resignation is knowingly and voluntarily submit-
ted, the attorney is not being subjected to coercion
or duress, and is fully aware of the consequences
of submitting the resignation;
(2) the attorney is aware that there is currently
pending an investigation or proceeding concern-
ing allegations that he or she has been guilty of
misconduct, the nature of which shall be specifi-
cally set forth in the affidavit;
(3) either (A) that the material facts of the allega-
tions of misconduct are true, or (B) if the attorney
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denies some or all of the material facts of the
allegations of misconduct, that the attorney
acknowledges that there is sufficient evidence to
prove such material facts of the allegations of
misconduct by clear and convincing evidence;
(4) the attorney waives the right to a hearing
on the merits of the allegations of misconduct, as
provided by these rules, and acknowledges that
the court will enter a finding that he or she has
engaged in the misconduct specified in the affida-
vit concurrently with the acceptance of the resig-
nation.
(c) If the written resignation is accompanied by
a waiver of the right to apply for readmission to
the bar, the affidavit required in (b) shall also state
that the attorney desires to resign and waive his
or her right to apply for readmission to the bar at
any time in the future.
(d) Any resignation submitted in accordance
with this section shall be in writing, signed by the
attorney, and filed in sextuplicate with the clerk
of the superior court in the judicial district in which
the attorney resides, or if the attorney is not a
resident of this state, with the clerk of the superior
court in Hartford. The clerk shall forthwith send
one copy to the grievance panel, one copy to the
statewide bar counsel, one copy to disciplinary
counsel, one copy to the state’s attorney, and one
copy to the standing committee on recommenda-
tions for admission to the bar. Such resignation
shall not become effective until accepted by the
court after a hearing, at which the court has
accepted a report by the statewide grievance
committee, made a finding of misconduct based
upon the respondent’s affidavit, and made a find-
ing that the resignation is knowingly and volunta-
rily made.
(e) Acceptance by the court of an attorney’s
resignation from the bar without the waiver of the
right to apply for readmission to the bar at any
time in the future shall not be a bar to any other
disciplinary proceedings based on conduct
occurring before or after the acceptance of the
attorney’s resignation.
(P.B. 1978-1997, Sec. 35.) (Amended June 24, 2002, to
take effect July 1, 2003; May 14, 2003, effective date changed
to Oct. 1, 2003; Sept. 30, 2003, effective date changed to Jan.
1, 2004; amended June 20, 2005, to take effect Jan. 1, 2006;
amended June 29, 2007, to take effect Jan. 1, 2008; amended
June 15, 2012, to take effect Jan. 1, 2013.)
Sec. 2-53. Reinstatement after Suspension,
Disbarment or Resignation
(a) An attorney who has been suspended from
the practice of law in this state for a period of
one year or more shall be required to apply for
reinstatement in accordance with this section,
unless the court that imposed the discipline
SUPERIOR COURT—GENERAL PROVISIONSSec. 2-53
expressly provided in its order that such applica-
tion is not required. An attorney who has been
suspended for less than one year need not file
an application for reinstatement pursuant to this
section, unless otherwise ordered by the court at
the time the discipline was imposed.
(b) An attorney who was disbarred or resigned
shall be required to apply for reinstatement pursu-
ant to this section, but shall not be eligible to do
so until after five years from the effective date
of disbarment or acceptance by the court of the
resignation, unless the court that imposed the dis-
cipline expressly provided a shorter period of dis-
barment or resignation in its order. No attorney
who has resigned from the bar and waived the
privilege of applying for readmission or reinstate-
ment to the bar at any future time shall be eligible
to apply for readmission or reinstatement to the
bar under this rule.
(c) In no event shall an application for reinstate-
ment by an attorney disbarred pursuant to the
provisions of Section 2-47A be considered until
after twelve years from the effective date of the
disbarment. No such application may be granted
unless the attorney provides satisfactory evidence
that full restitution has been made of all sums
found to be knowingly misappropriated, including,
but not limited to, restitution to the client security
fund for all claims paid resulting from the attor-
ney’s dishonest misconduct.
(d) Unless otherwise ordered by the court, an
application for reinstatement shall not be filed
until:
(1) The applicant is in compliance with Sections
2-27 (d), 2-70 and 2-80;
(2) The applicant is no longer the subject of any
pending disciplinary proceedings or investi-
gations;
(3) The applicant has passed the Multistate Pro-
fessional Responsibility Examination (MPRE) not
more than six months prior to the filing of the appli-
cation;
(4) The applicant has successfully completed
any criminal sentence including, but not limited
to, a sentence of incarceration, probation, parole,
supervised release, or period of sex offender reg-
istration and has fully complied with any orders
regarding conditions, restitution, criminal penal-
ties or fines;
(5) The applicant has fully complied with all
conditions imposed pursuant to the order of disci-
pline. If an applicant asserts that a certain disci-
plinary condition is impossible to fulfill, he or she
must apply to the court that ordered the condition
for relief from that condition prior to filing an appli-
cation for reinstatement;
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(6) The bar examining committee has received
an application fee. The fee shall be established
by the chief court administrator and shall be
expended in the manner provided by Section 2-
22 of these rules.
(e) An application for reinstatement shall be
filed with the clerk of the superior court in the
jurisdiction that issued the discipline. The applica-
tion shall be filed under oath and on a form
approved by the office of the chief court adminis-
trator. The application shall be accompanied by
proof of payment of the application fee to the bar
examining committee.
(f) The application shall be referred by the clerk
of the superior court where it is filed to the chief
justice or designee, who shall refer the matter to
a standing committee on recommendations for
admission to the bar whose members do not main-
tain their primary office in the same judicial district
as the applicant.
(g) The clerk of the superior court shall give
notice of the pendency of the application to the
state’s attorney of that court’s judicial district, the
grievance counsel to the grievance panel whose
jurisdiction includes that judicial district court loca-
tion, the statewide grievance committee, the office
of the chief disciplinary counsel, the client security
fund committee, the attorney or attorneys
appointed by the court pursuant to Section 2-64,
and to all complainants whose complaints against
the attorney resulted in the discipline for which the
attorney was disbarred or suspended or resigned.
The clerk shall also promptly publish notice on
the Judicial Branch website, in the Connecticut
Law Journal, and in a newspaper with substantial
distribution in the judicial district where the appli-
cation was filed.
(h) Within sixty days of the referral from the
chief justice to a standing committee, the state-
wide grievance committee and the office of the
chief disciplinary counsel shall file a report with
the standing committee, which report may include
additional relevant information, commentary in the
information provided in the application and recom-
mendations on whether the applicant should be
reinstated. Both the statewide grievance commit-
tee and the office of the chief disciplinary counsel
may file an appearance and participate in any
investigation into the application and at any hear-
ing before the standing committee, and at any
court proceeding thereon. All filings by the state-
wide grievance committee and the office of the
chief disciplinary counsel and any other party shall
be served and certified to all other parties pursu-
ant to Section 10-12.
(i) The standing committee shall investigate the
application, hold hearings pertaining thereto and
SUPERIOR COURT—GENERAL PROVISIONS Sec. 2-55
render a report with its recommendations to the
court. The standing committee shall give written
notice of all hearings to the applicant, the state’s
attorney of the court’s judicial district, the griev-
ance counsel to the grievance panel whose juris-
diction includes that judicial district location where
the application was filed, the statewide grievance
committee, the office of the chief disciplinary
counsel, the client security fund committee, the
attorney or attorneys appointed by the court pur-
suant to Section 2-64, and to all complainants
whose complaints against the attorney resulted
in the discipline for which the attorney was dis-
barred or suspended or resigned. The standing
committee shall also publish all hearing notices
on the Judicial Branch website, in the Connecticut
Law Journal and in a newspaper with substantial
distribution in the county where the application
was filed.
(j) The standing committee shall take all testi-
mony at its hearings under oath and shall include
in its report subordinate findings of facts and con-
clusions as well as its recommendation. The
standing committee shall have a record made of
its proceedings which shall include a copy of the
application for reinstatement, any reports filed by
the statewide grievance committee and office of
the chief disciplinary counsel, a copy of the record
of the applicant’s disciplinary history, a transcript
of its hearings thereon, any exhibits received by
the standing committee, any other documents
considered by the standing committee in making
its recommendations, and copies of all notices
provided by the standing committee in accord-
ance with this section. Record materials con-
taining personal identifying information or medical
information may, in the discretion of the standing
committee, be redacted, or open for inspection
only to the applicant and other persons having a
proper interest therein and upon order of the court.
The standing committee shall complete work on
the application within 180 days of referral from
the chief justice. It is the applicant’s burden to
demonstrate by clear and convincing evidence
that he or she possesses good moral character
and fitness to practice law as defined by Section
2-5A.
(k) Upon completion of its investigation, the
standing committee shall file its recommendation
in writing together with a copy of the record with
the clerk of the superior court. The report shall
recommend that the application be granted,
granted with conditions, or denied. The standing
committee’s report shall be served and certified
to all other parties pursuant to Section 10-12.
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(l) The court shall thereupon inform the chief
justice of the pending application and recommen-
dation, and the chief justice shall designate two
other judges of the superior court to sit with the
judge presiding at the session. The applicant, the
statewide grievance committee, the office of the
chief disciplinary counsel and the standing com-
mittee shall have an opportunity to appear and
be heard at any hearing. The three judge panel,
or a majority of them, shall determine whether the
application should be granted.
(m) If the application for reinstatement is
denied, the reasons therefor shall be stated on
the record or put in writing. Unless otherwise
ordered by the court, the attorney may not reapply
for reinstatement for a period of at least one year
following the denial.
(P.B. 1978-1997, Sec. 36.) (Amended Nov. 17, 1999, on
an interim basis, to take effect Jan. 1, 2000, and amendment
adopted June 26, 2000, to take effect Jan. 1, 2001; amended
June 24, 2002, to take effect July 1, 2003; May 14, 2003,
effective date changed to Oct. 1, 2003; Sept. 30, 2003, effec-
tive date changed to Jan. 1, 2004; amended June 26, 2006,
to take effect Jan. 1, 2007; amended June 21, 2010, to take
effect Jan. 1, 2011; amended June 15, 2012, to take effect
Jan. 1, 2013; amended June 14, 2013, to take effect Jan.
1, 2014.)
Sec. 2-54. Publication of Notice of Repri-
mand, Suspension, Disbarment, Resigna-
tion, Placement on Inactive Status or
Reinstatement
(a) Notice of the final action transferring an
attorney to inactive status or reprimanding, sus-
pending, or disbarring an attorney from practice
in this state shall be published once in the Con-
necticut Law Journal by the authority accepting
or approving such action. Notice of a reprimand
by the statewide grievance committee or by a
reviewing committee shall not be published until
the expiration of any stay pursuant to Sections 2-
35 (e) and 2-38.
(b) Notice of the resignation or reinstatement
after suspension, disbarment, resignation or
placement on inactive status of an attorney shall
be published once in the Connecticut Law Journal
by the authority accepting or approving such
action.
(P.B. 1978-1997, Sec. 36A.) (Amended June 28, 1999, to
take effect Jan. 1, 2000.)
Sec. 2-55. Retirement of Attorney—Right
of Revocation
(Amended June 14, 2013, to take effect Jan. 1, 2014.)
(a) An attorney who is admitted to the bar in
the state of Connecticut and is not the subject of
any pending disciplinary investigation may submit
a written request on a form approved by the office
of the chief court administrator to the statewide
SUPERIOR COURT—GENERAL PROVISIONSSec. 2-55
bar counsel for retirement under this section.
Upon receipt of the request, the statewide bar
counsel shall review it and, if it is found that the
attorney is eligible for retirement under this sec-
tion, shall grant the request and notify the attorney
and the clerk for the judicial district of Hartford.
Retirement shall not constitute removal from the
bar or the roll of attorneys, but it shall be noted
on the roll of attorneys kept by the clerk for the
judicial district of Hartford. If the request is
granted, the attorney shall no longer be eligible
to practice law as an attorney admitted in the state
of Connecticut, except as provided in subsection
(e) of this section.
(b) An attorney who has retired pursuant to this
section shall thereafter be exempt from payment
of the client security fund fee set forth in Section
2-70 (a), but must continue to comply with the
registration requirements set forth in Sections 2-
26 and 2-27 (d).
(c) An attorney who has retired pursuant to this
section and thereafter wishes to revoke the retire-
ment and be eligible to practice law again in the
state of Connecticut may do so at any time by
sending written notice to the clerk for the judicial
district of Hartford and the statewide bar counsel.
(d) Retirement pursuant to this section shall not
be a bar to the initiation, investigation and pursuit
of disciplinary complaints filed on or subsequent
to the date of retirement.
(e) An attorney who has retired pursuant to this
section may engage in uncompensated services
to clients under the supervision of an organized
legal aid society, a state or local bar association
project, or a court-affiliated pro bono program.
(P.B. 1978-1997, Sec. 37.) (Amended Nov. 17, 1999, on
an interim basis pursuant to Section 1-9 (c), to take effect Jan.
1, 2000, and amendment adopted June 26, 2000, to take effect
Jan. 1, 2001; amended June 14, 2013, to take effect Jan.
1, 2014.)
Sec. 2-55A. Retirement of Attorney—Per-
manent
(a) An attorney who is admitted to the bar in
the state of Connecticut and is not the subject of
any pending disciplinary investigation may submit
a written request on a form approved by the office
of the chief court administrator to the statewide
bar counsel for permanent retirement under this
section. Upon receipt of the request, the statewide
bar counsel shall review it and, if it is found that
the attorney is eligible for retirement under this
section, shall grant the request and notify the
attorney and the clerk for the judicial district of
Hartford. Retirement shall not constitute removal
from the bar or the roll of attorneys, but it shall
be noted on the roll of attorneys kept by the clerk
for the judicial district of Hartford. If granted, the
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attorney shall no longer be eligible to practice law
as an attorney admitted in the state of Con-
necticut.
(b) An attorney who has retired pursuant to this
section shall thereafter be exempt from the regis-
tration requirements set forth in Sections 2-26 and
2-27 (d) and from payment of the client security
fund fee set forth in Section 2-70 (a).
(c) An attorney who has retired pursuant to this
section and thereafter wishes to be eligible to
practice law again in the state of Connecticut must
apply for admission to the bar pursuant to Sec-
tions 2-8 or 2-13.
(d) Retirement pursuant to this section shall not
be a bar to the initiation, investigation and pursuit
of disciplinary complaints filed on or subsequent
to the date of retirement.
(Adopted June 14, 2013, to take effect Jan. 1, 2014.)
Sec. 2-56. Inactive Status of Attorney
During the time an order placing an attorney on
inactive status is in effect, such attorney shall be
precluded from practicing law. No entry fee shall
be required for proceedings pursuant to this sec-
tion and Sections 2-57 through 2-62. Any hearings
necessitated by the proceedings may, in the dis-
cretion of the court, be held in chambers, and
records and papers filed in connection therewith
shall be open for inspection only to persons having
a proper interest therein and upon order of the
court. The court shall, in exercising discretion,
weigh the public policy in favor of open proceed-
ings, as well as the duty to protect the public,
against the attorney’s right to medical and mental
health privacy and ability to pursue a livelihood.
(P.B. 1978-1997, Sec. 39.) (Amended June 24, 2002, to
take effect July 1, 2003; May 14, 2003, effective date changed
to Oct. 1, 2003; Sept. 30, 2003, effective date changed to Jan.
1, 2004.)
Sec. 2-57. —Prior Judicial Determination of
Incompetency or Involuntary Commitment
In the event an attorney is by a court of compe-
tent jurisdiction (1) declared to be incapable of
managing his or her affairs or (2) committed invol-
untarily to a mental hospital for drug dependency,
mental illness, or the addictive, intemperate, or
excessive use of alcohol, the superior court, upon
notice from a grievance panel, a reviewing com-
mittee, the statewide grievance committee or a
state’s attorney and upon proof of the fact of inca-
pacity to engage in the practice of law, shall enter
an order placing such attorney upon inactive sta-
tus, effective immediately, for an indefinite period
and until further order of the court. A copy of such
order shall be served, in such manner as the court
shall direct, upon such attorney, the attorney’s
SUPERIOR COURT—GENERAL PROVISIONS Sec. 2-62
conservator if any, and the director of any mental
hospital in which the attorney may reside.
(P.B. 1978-1997, Sec. 40.)
Sec. 2-58. —No Prior Determination of
Incompetency or Involuntary Commitment
(a) Whenever a grievance panel, a reviewing
committee, the statewide grievance committee or
the disciplinary counsel shall have reason to
believe that an attorney is incapacitated from con-
tinuing to practice law by reason of mental infirmity
or illness or because of drug dependency or addic-
tion to alcohol, such panel, committee or counsel,
shall petition the court to determine whether the
attorney is so incapacitated and the court may
take or direct such action as it deems necessary
or proper for such determination, including exami-
nation of the attorney by such qualified medical
expert or experts as the court shall designate, at
the expense of the judicial branch. If, upon due
consideration of the matter, the court is satisfied
and concludes that the attorney is incapacitated
from continuing to practice law, it shall enter an
order placing the attorney in an inactive status on
the ground of such disability for an indefinite
period and until the further order of the court, and
any pending disciplinary proceedings against the
attorney shall be held in abeyance.
(b) The court may provide for such notice to the
respondent attorney of proceedings in the matter
as is deemed proper and advisable and shall
appoint an attorney, at the expense of the judicial
branch, to represent any respondent who is with-
out adequate representation.
(P.B. 1978-1997, Sec. 41.) (Amended June 24, 2002, to
take effect July 1, 2003; May 14, 2003, effective date changed
to Oct. 1, 2003; Sept. 30, 2003, effective date changed to Jan.
1, 2004.)
Sec. 2-59. —Disability Claimed during
Course of Disciplinary Proceeding
If, during the course of a disciplinary proceed-
ing, the respondent contends that he or she is
suffering, by reason of mental infirmity or illness,
or because of drug dependency or addiction to
alcohol, from a disability which makes it impossi-
ble for the respondent adequately to defend him-
self or herself, the court thereupon shall, in a
proceeding instituted in substantial accordance
with the provisions of Section 2-58, enter an order
placing the respondent on inactive status until a
determination is made of the respondent’s capac-
ity to defend himself or herself. Notice of the insti-
tution of inactive status proceedings shall be
provided to the statewide bar counsel. If the court
determines that the respondent is not incapaci-
tated from practicing law, it shall take such action
as it deems proper and advisable, including a
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direction for the resumption of the disciplinary pro-
ceeding against the respondent.
(P.B. 1978-1997, Sec. 42.) (Amended June 24, 2002, to
take effect July 1, 2003; May 14, 2003, effective date changed
to Oct. 1, 2003; Sept. 30, 2003, effective date changed to Jan.
1, 2004.)
Sec. 2-60. —Reinstatement upon Termina-
tion of Disability
(a) Any attorney placed upon inactive status
under the provisions of these rules shall be enti-
tled to apply for reinstatement, without the pay-
ment of an entry fee, at such intervals as the court
may direct in the order placing the attorney on
inactive status or any modification thereof. Such
application shall be granted by the court upon a
showing by clear and convincing evidence that
the attorney’s disability has been removed and
the attorney is fit to resume the practice of law.
Upon such application, the court may take or
direct such action as it deems necessary or
proper, including the determination whether the
attorney’s disability has been removed, and
including direction of an examination of the attor-
ney by such qualified medical expert or experts
as the court shall designate. The court shall direct
that the expense of such an examination be paid
either by the attorney or by the judicial branch.
(b) Where an attorney has been placed on inac-
tive status by an order in accordance with the
provisions of Section 2-57 and thereafter, in pro-
ceedings duly taken, has been judicially declared
to be competent, the court may dispense with
further evidence that his or her disability has been
removed and may direct his or her return to active
status upon such terms as are deemed proper
and advisable.
(P.B. 1978-1997, Sec. 44.)
Sec. 2-61. —Burden of Proof in Inactive Sta-
tus Proceedings
In a proceeding seeking an order to place an
attorney on inactive status, the burden of proof
shall rest with the petitioner. In a proceeding seek-
ing an order terminating inactive status, the bur-
den of proof shall rest with the inactive attorney.
(P.B. 1978-1997, Sec. 45.)
Sec. 2-62. —Waiver of Doctor-Patient Privi-
lege upon Application for Reinstatement
The filing of an application for reinstatement by
an attorney on inactive status shall be deemed to
constitute a waiver of any doctor-patient privilege
existing between the attorney and any psychia-
trist, psychologist, physician or hospital who or
which has examined or treated the attorney during
the period of disability. The attorney shall be
required to disclose the name of every psychia-
trist, psychologist, physician and hospital by
SUPERIOR COURT—GENERAL PROVISIONSSec. 2-62
whom or at which the attorney has been examined
or treated since being placed on inactive status
and shall furnish to the court written consent to
each to divulge such information and records as
are requested by court-appointed medical experts
or by the clerk of the court.
(P.B. 1978-1997, Sec. 46.)
Sec. 2-63. Definition of Respondent
When used in Sections 2-29 through 2-62 the
word ‘‘respondent’’ shall mean the attorney
against whom a grievance complaint or present-
ment has been filed or a person who is alleged
to have been engaged in the unauthorized prac-
tice of law pursuant to General Statutes § 51-88.
(P.B. 1978-1997, Sec. 46A.)
Sec. 2-64. Appointment of Attorney to Pro-
tect Clients’ and Attorney’s Interests
(a) Whenever an attorney is placed upon inac-
tive status, suspended, disbarred, or resigns, the
court, upon such notice to him or her as the court
may direct, shall appoint an attorney or attorneys
to inventory the files of the inactive, suspended,
disbarred or resigned attorney and to take such
action as seems indicated to protect the interests
of the attorney’s clients. The court may also
appoint an attorney to protect the interests of the
attorney placed on inactive status, suspended,
disbarred or resigned with respect to such files,
when the attorney is not otherwise represented
and the court deems that such representation is
necessary. If the discipline imposed is not effec-
tive immediately as a result of an appeal or stay,
the court, after the hearing and consideration of
the merits of the appeal or reason for the stay, may
issue interim orders to protect the public during
the pendency of the appeal period or stay, until
the discipline order becomes effective. In case of
an attorney’s death, the court may appoint an
attorney where no partner, executor or other
responsible party capable of conducting the
deceased attorney’s affairs is known to exist or
willing to assume the responsibility.
(b) Any attorney so appointed by the court shall
not be permitted to disclose any information con-
tained in any file so inventoried without the con-
sent of the client to whom such file relates except
as is necessary to carry out the order of the court
which appointed the attorney to make such
inventory.
(c) Not less frequently than once each year and
at such time as the attorney may be returned
to active status, reinstated or readmitted to the
practice of law or when the attorney appointed to
protect clients’ interests has finished rendering
services to those clients, the appointed attorney
shall file with the court, for its examination and
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approval, a report showing fees earned from the
clients of the attorney, necessary disbursements,
and the amount requested by the appointed attor-
ney as a fee for services rendered, to be paid out
of the funds received. Any attorney so appointed
by the court for the inactive, suspended, dis-
barred, resigned or deceased attorney may also
be reimbursed for his or her services from any
amount found to be due to the inactive, sus-
pended, disbarred, resigned or deceased attorney
for services rendered to such clients. All attorney’s
fees paid to any attorney appointed hereunder
shall be subject to court approval.
(d) Unless the attorney appointed to protect cli-
ents’ interests is a partner or associate of the
attorney, if the attorney is returned to active status,
reinstated or readmitted, the appointed attorney
shall immediately cease representing the clients
of the attorney and shall return to the reinstated
or readmitted attorney, or to the attorney returned
to active status, such files as the appointed attor-
ney may have received, and the appointed attor-
ney and partners and associates shall not
represent any person who was a client of the
reinstated or readmitted attorney, or who was a
client of an attorney returned to active status, on
or before the date when he or she was placed
upon inactive status, suspended, disbarred or
resigned, unless the court which entered the order
directing reinstatement, readmission, or return to
active status shall order otherwise after written
request to the court by the client whose interest
is involved.
(P.B. 1978-1997, Sec. 46B.) (Amended June 24, 2002, to
take effect July 1, 2003; May 1, 2003, effective date changed
to Oct. 1, 2003; Sept. 30, 2003, effective date changed to Jan.
1, 2004.)
Sec. 2-65. Good Standing of Attorney
An attorney is in good standing in this state if
the attorney has been admitted to the bar of this
state, has registered with the statewide grievance
committee in compliance with Section 2-27 (d),
has complied with Section 2-70, and is not under
suspension, on inactive status, disbarred, or
resigned from the bar.
(P.B. 1978-1997, Sec. 46C.) (Amended June 22, 2009, to
take effect Jan. 1, 2010.)
Sec. 2-66. Practice by Court Officials
(a) No lawyer who is a judge of the supreme
court, appellate court or superior court shall prac-
tice law in any state or federal court.
(b) The chief public defender, the deputy chief
public defender, public defenders, assistant public
defenders, deputy assistant public defenders, the
chief state’s attorney, the deputy chief state’s
SUPERIOR COURT—GENERAL PROVISIONS Sec. 2-68A
attorney, state’s attorneys, assistant state’s attor-
neys and deputy assistant state’s attorneys who
have been appointed on a full-time basis will
devote their full time to the duties of their offices,
will not engage in the private practice of law, either
civil or criminal, and will not be connected in any
way with any attorney or law firm engaged in the
private practice of law.
(c) No state’s attorney or assistant state’s attor-
ney, no partner or associate of a law firm of which
any of the aforementioned court officials is a part-
ner or associate, shall appear as counsel in any
criminal case in behalf of any accused in any state
or federal court.
(d) No chief clerk, deputy chief clerk, clerk, dep-
uty clerk or assistant clerk who has been
appointed on a full-time basis shall appear as
counsel in any civil or criminal case in any state
or federal court. Such persons may otherwise
engage in the practice of law as permitted by
established judicial branch policy.
(e) No chief public defender, deputy chief public
defender, public defender, assistant public
defender or deputy assistant public defender shall
appear in behalf of the state in any criminal case.
(P.B. 1978-1997, Sec. 47.)
Sec. 2-67. Payment of Attorneys by Bank
and Trust Companies
(a) No attorney shall directly or indirectly receive
payment from any bank or trust company for legal
services rendered to others in the preparation of
wills, codicils or drafts of such instruments or for
advising others as to legal rights under existing
or proposed instruments of that character.
(b) The violation of this section by an attorney
may be cause for grievance proceedings.
(P.B. 1978-1997, Sec. 48.)
Sec. 2-68. Client Security Fund Established
(a) A client security fund is hereby established
to promote public confidence in the judicial system
and the integrity of the legal profession by reim-
bursing clients, to the extent provided for by these
rules, for losses resulting from the dishonest con-
duct of attorneys practicing law in this state in
the course of the attorney-client relationship, by
providing crisis intervention and referral assis-
tance to attorneys admitted to the practice of law
in this state who suffer from alcohol or other sub-
stance abuse problems or gambling problems,
or who have behavioral health problems, and by
making grants-in-aid to the organization adminis-
tering the program for the use of interest earned
on lawyers’ clients’ funds accounts pursuant to
General Statute § 51-81c, for the purpose of fund-
ing the delivery of legal services to the poor.
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(b) It is the obligation of all attorneys admitted
to the practice of law in this state to participate in
the collective effort to reimburse clients who have
lost money or property as the result of the unethi-
cal and dishonest conduct of other attorneys, to
provide crisis intervention and referral assistance
to attorneys admitted to the practice of law in this
state who suffer from alcoholor other substance
abuse problems or gambling problems, or who
have behavioral health problems, and to fund the
delivery of legal services to the poor.
(c) The client security fund is provided as a
public service to persons using the legal services
of attorneys practicing in this state and as a means
of providing crisis intervention and referral assis-
tance to impaired attorneys, and grants-in-aid for
the purpose of funding the delivery of legal ser-
vices to the poor. All moneys and assets of the
fund shall constitute a trust.
(d) The establishment, administration and oper-
ation of the fund shall not impose or create any
obligation, expectation of recovery from or liability
of the fund to any claimant, attorney or organiza-
tion, and all reimbursements therefrom shall be a
matter of grace and not of right.
(Adopted June 29, 1998, to take effect Jan. 1, 1999;
amended May 3, 2005, to take effect May 17, 2005; amended
June 23, 2017, to take effect Jan. 1, 2018.)
HISTORY—2018: In subsection (a), ‘‘and’’ was deleted
and a comma was added after ‘‘relationship.’’ Also in subsec-
tion (a), ‘‘, and by making grants-in-aid to the organization
administering the program for the use of interest earned on
lawyers’ clients’ funds accounts pursuant to General Statute
§ 51-81c, for the purpose of funding the delivery of legal ser-
vices to the poor’’ was added after ‘‘problems.’’
In subsection (b), ‘‘and’’ was deleted and a comma was
added after the second instance of ‘‘attorneys.’’ Alsoin subsec-
tion (b), ‘‘, and to fund the delivery of legal services to the
poor’’ was added after ‘‘problems.’’
In the first sentence of subsection (c), ‘‘, and grants-in-aid
for the purpose of funding the delivery of legal services to the
poor’’ was added after ‘‘attorneys.’’
COMMENTARY—2018: The changes to this section imple-
ment the provisions of No. 16-26 of the 2016 Public Acts,
which authorized the Client Security Fund to be used to make
grants-in-aid to the organization administering the program for
the use of interest on lawyers’ clients’ funds accounts pursuant
to General Statutes § 51-81c, for the purpose of funding the
delivery of legal services to the poor, in addition to its other
purposes of reimbursing claims for losses caused by the dis-
honest conduct of attorneys and for crisis intervention and
referral assistance to attorneys admitted in Connecticut who
suffer from alcohol or other substance abuse or gambling
problems or who have behavioral health problems.
Sec. 2-68A. —Crisis Intervention and Refer-
ral Assistance
(a) The chief court administrator may enter into
any contracts and take such other action as may
SUPERIOR COURT—GENERAL PROVISIONSSec. 2-68A
be reasonably necessary to provide for crisis inter-
vention and referral assistance to attorneys admit-
ted to the practice of law in this state who suffer
from alcohol or other substance abuse problems
or gambling problems, or who have behavioral
health problems.
(b) The crisis intervention and referral assis-
tance shall be provided with the assistance of an
advisory committee appointed by the chief court
administrator that shall include one or more
behavioral health professionals.
(Adopted May 3, 2005, to take effect May 17, 2005.)
Sec. 2-69. —Definition of Dishonest
Conduct
(a) As used in Sections 2-68 through 2-81, inclu-
sive, ‘‘dishonest conduct’’ means wrongful acts
committed by an attorney, in an attorney-client
relationship or in a fiduciary capacity arising out
of an attorney-client relationship, in the nature of
theft or embezzlement of money or the wrongful
taking or conversion of money, property, or other
things of value, including, but not limited to refusal
to refund unearned fees received in advance as
required by Rule 1.16 (d) of the Rules of Profes-
sional Conduct.
(b) ‘‘Dishonest conduct’’ does not include such
wrongful acts committed in connection with the
provision of investment services to the claimant
by the attorney.
(Adopted June 29, 1998, to take effect Jan. 1, 1999.)
Sec. 2-70. —Client Security Fund Fee
(a) The judges of the superior court shall assess
an annual fee in an amount adequate for the
proper payment of claims, the provision of crisis
intervention and referral assistance, and for mak-
ing grants-in-aid for the purpose of funding the
delivery of legal services to the poor under these
rules and the costs of administering the client
security fund. Such fee, which shall be $75, shall
be paid by each attorney admitted to the practice
of law in this state and each judge, judge trial
referee, state referee, family support magistrate,
family support referee and workers’ compensation
commissionerin this state. Notwithstanding the
above, an attorney who is disbarred, retired,
resigned, or serving on active duty with the armed
forces of the United States for more than six
months in such year shall be exempt from pay-
ment of the fee, and an attorney who does not
engage in the practice of law as an occupation
and receives less than $1000 in legal fees or other
compensation for services involving the practice
of law during the calendar year shall be obligated
to pay one-half of such fee. No attorney who is
disbarred, retired or resigned shall be reinstated
pursuant to Sections 2-53 or 2-55 until such time
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as the attorney has paid the fee due for the year
in which the attorney retired, resigned or was dis-
barred.
(b) An attorney or family support referee who
fails to pay the client security fund fee in accord-
ance with this section shall be administratively
suspended from the practice of law in this state
pursuant to Section 2-79 of these rules until such
payment, along with a reinstatement fee of $75,
has been made. An attorney or family support
referee who is under suspension for another rea-
son at the time he or she fails to pay the fee, shall
be the subject of an additional suspension which
shall continue until the fee and reinstatement fee
are paid.
(c) A judge, judge trial referee, state referee,
family support magistrate or workers’ compensa-
tion commissioner who fails to pay the client secu-
rity fund fee in accordance with this section shall
be referred to the judicial review council.
(Adopted June 29, 1998, to take effect Jan. 1, 1999;
amended June 28, 1999, to take effect Jan. 1, 2000; amended
Nov. 17, 1999, on an interim basis pursuant to Section 1-9
(c), to take effect Jan. 1, 2000, and amendment adopted June
26, 2000, to take effect Jan. 1, 2001; amended June 21,
2004, to take effect July 13, 2004; amended May 3, 2005, to
takeeffect May 17, 2005; amended June 20, 2005, to take
effect Jan. 1, 2006; amended June 15, 2012, to take effect
Jan. 1, 2013; amended June 23, 2017, to take effect Jan.
1, 2018.)
HISTORY—2018: In the first sentence of subsection (a),
‘‘and’’ was deleted and a comma was added after ‘‘claims’’
and ‘‘, and for making grants-in-aid for the purpose of funding
the delivery of legal services to the poor’’ was added after
‘‘assistance.’’ In the third sentence of subsection (a), ‘‘$450’’
was deleted and ‘‘$1000’’ was added after ‘‘less than.’’
COMMENTARY—2018: The changes to this section imple-
ment the provisions of No. 16-26 of the 2016 Public Acts,
which authorized the Client Security Fund to be used to make
grants-in-aid to the organization administering the program for
the use of interest on lawyers’ clients’ funds accounts pursuant
to General Statutes § 51-81c, for the purpose of funding the
delivery of legal services to the poor, in addition to its other
purposes of reimbursing claims for losses caused by the dis-
honest conduct of attorneys and for crisis intervention and
referral assistance to attorneys admitted in Connecticut who
suffer from alcohol or other substance abuse or gambling
problems or who have behavioral health problems.
Sec. 2-71. —Eligible Claims
(a) A claim for reimbursement of a loss must be
based upon the dishonest conduct of an attorney
who, in connection with the defalcation upon
which the claim is based, was a member of the
Connecticut bar and engaged in the practice of
law in this state.
(b) The claim shall not be eligible for reimburse-
ment unless:
(1) the attorney was acting as an attorney or
fiduciary in the matter in which the loss arose;
SUPERIOR COURT—GENERAL PROVISIONS Sec. 2-73
(2) the attorney has died, been adjudged inca-
pable, not competent or insane, been disbarred
or suspended from the practice of law in Connecti-
cut, been placed on probation or inactive status
by a Connecticut court, resigned from the Con-
necticut bar, or become the judgment debtor of
the claimant with respect to such claim; and
(3) the claim is presented within four years of
the time when the claimant discovered or first
reasonably should have discovered the dishonest
acts and the resulting losses or the claim was
pending before the Connecticut Bar Association’s
client security fund committee as of the effective
date of this rule.
(c) Except as provided by subsection (d) of this
section, the following losses shall not be eligible
for reimbursement:
(1) losses incurred by spouses, children, par-
ents, grandparents, siblings, partners, associates
and employees of the attorney causing the losses;
(2) losses covered by any bond, surety
agreement, or insurance contract to the extent
covered thereby, including any loss to which any
bonding agent, surety or insurer is subrogated, to
the extent of that subrogated interest;
(3) losses incurred by any financial institution
which are recoverable under a ‘‘banker’s blanket
bond’’ or similar commonly available insurance or
surety contract;
(4) losses incurred by any business entity con-
trolled by the attorney, any person or entity
described in subdivisions (c) (1), (2), or (3) herein;
(5) losses incurred by any governmental entity
or agency.
(d) In cases of extreme hardship or special and
unusual circumstances, the client security fund
committee may, in its discretion, consider a claim
eligible for reimbursement which would otherwise
be excluded under these rules.
(e) In cases where it appears that there will be
unjust enrichment, or the claimant unreasonably
or knowingly contributed to the loss, the client
security fund committee may, in its discretion,
deny the claim.
(Adopted June 29, 1998, to take effect Jan. 1, 1999.)
Sec. 2-72. —Client Security Fund Com-
mittee
(a) There is hereby established a client security
fund committee which shall consist of fifteen mem-
bers who shall be appointed by the chief justice.
Nine of the members shall be attorneys, three
shall not be attorneys and three shall be individu-
als who serve in one of the following capacities:
superior court judge, judge trial referee, appellate
court judge, supreme court justice, family support
magistrate, family support referee or workers’
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compensation commissioner. Members shall be
appointed for terms of three years, provided, how-
ever, that of the members first appointed, five shall
serve for one year, five for two years and five for
three years. No person shall serve as a member
for more than two consecutive three year terms,
excluding any appointments for less than a full
term, but a member may be reappointed after a
lapse of one year. The appointment of any mem-
ber may be revoked or suspended by the chief
justice. In connection with such revocation or sus-
pension, the chief justice shall appoint a qualified
individual to fill the vacancy for the remainder of
the term or for any other appropriate period. In
the event that a vacancy arises in this position
before the end of a term by reason other than
revocation or suspension, the chief justice shall
fill the vacancy for the balance of the term or for
any other appropriate period.
(b) The client security fund committee shall
elect from among its members a chair and a vice-
chair who shall serve for a period of one year.
(c) Seven members of the client security fund
committee shall constitute a quorum at its meet-
ings. The chair may assign individual members
of the committee to investigate and report on
claims to the committee.
(d) Members shall serve without compensation,
but shall be reimbursed for their necessary and
reasonable expenses incurred in the discharge of
their duties.
(e) The client security fund committee shall
operate under the supervision of the superior
court judges and report on its activities to the
executive committee of the superior court on at
least a quarterly basis.
(Adopted June 29, 1998, to take effect Jan. 1, 1999.)
Sec. 2-73. —Powers and Duties of Client
Security Fund Committee
In addition to any other powers and duties set
forth in Sections 2-68 through 2-81, the client
security fund committee shall:
(a) Publicize its activities to the public and bar,
including filing with the chief justice and the execu-
tive committee of the superior court an annual
report on the claims made and processed and the
amounts disbursed.
(b) Receive, investigate and evaluate claims
for reimbursement.
(c) Determine in its judgment whether reim-
bursement should be made and the amount of
such reimbursement.
(d) Prosecute claims for restitution against
attorneys whose conduct has resulted in dis-
bursements.
SUPERIOR COURT—GENERAL PROVISIONSSec. 2-73
(e) Employ such persons and contract with any
public or private entity as may be reasonably nec-
essary to provide for its efficient and effective
operations, which shall include, but not be limited
to, the investigation of claims and the prosecution
of claims for restitution against attorneys.
(f) Pay to the chief court administrator for the
provision of crisis intervention and referral assis-
tance to attorneys admitted to the practice of law
in this state who suffer from alcohol or other sub-
stance abuse problems or gambling problems, or
who have behavioral health problems, any
amounts required pursuant to Section 2-77.
(g) Pay to the chief court administrator for mak-
ing grants-in-aid to the organization administering
the program for the use of interest earned on
lawyers’ clients’ funds accounts pursuant to Gen-
eral Statutes § 51-81c, for the purpose of funding
the delivery of legal services to the poor, any
amounts required pursuant to Section 2-77.
(h) Perform all other acts necessary or proper
for the fulfillment of the purposes and effective
administration of the fund.
(Adopted June 29, 1998, to take effect Jan. 1, 1999;
amended May 3, 2005, to take effect May 17, 2005; amended
June 23, 2017, to take effect Jan. 1, 2018.)
HISTORY—2018: In 2018, what is now subsection (g) was
added and what had been subsection (g) was designated
subsection (h).
COMMENTARY—2018: The changes to this section imple-
ment the provisions of No. 16-26 of the 2016 Public Acts,
which authorized the Client Security Fund to be used to make
grants-in-aid to the organization administering the program for
the use of interest on lawyers’ clients’ funds accounts pursuant
to General Statutes § 51-81c, for the purpose of funding the
delivery of legal services to the poor, in addition to its other
purposes of reimbursing claims for losses caused by the dis-
honest conduct of attorneys and for crisis intervention and
referral assistance to attorneys admitted in Connecticut who
suffer from alcohol or other substance abuse or gambling
problems or who have behavioral health problems.
Sec. 2-74. —Regulations of Client Security
Fund Committee
The client security fund committee shall have
the power and authority to implement these rules
by regulations relevant to and not inconsistent
with these rules. Such regulations may be
adopted at any regular meeting of the client secu-
rity fund committee or at any special meeting
called for that purpose. The regulations shall be
effective sixty days after publication in one issue
of the Connecticut Law Journal and shall at all
times be subject to amendment or revision by the
committee. A copy shall be provided to the chief
justice, the chief court administrator, and the exec-
utive committee of the superior court.
(Adopted June 29, 1998, to take effect Jan. 1, 1999;
amended June 20, 2011, to take effect Jan. 1, 2012.)
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Sec. 2-75. —Processing Claims
(a) Upon receipt of a claim the client security
fund committee shall cause an appropriate inves-
tigation to be conducted and shall cause the attor-
ney who is the subject of the claim or the attorney’s
representative to be notified by certified mail
within ten days of the filing of such claim. The
attorney or his or her representative shall have
twenty days from the date the notice was mailed
to file a response with the client security fund
committee. Before processing a claim, the client
security fund committee may require the claimant
to pursue other remedies he or she may have.
(b) The client security fund committee shall
promptly notify the statewide grievance commit-
tee of each claim and shall request the grievance
committee to furnish it with a report of its investiga-
tion, if any, on the matter. The statewide grievance
committee shall allow the client security fund com-
mittee access to its records during an investiga-
tion of a claim. The client security fund committee
shall evaluate whether the investigation is com-
plete and determine whether it should conduct
additional investigation or await the pendency of
any disciplinary investigation or proceeding
involving the same act or conduct as is alleged
in the claim.
(c) The client security fund committee may, to
the extent permitted by law, request and receive
from the state’s attorneys and from the superior
court information relative to the client security fund
committee’s investigation, processing and deter-
mination of claims.
(d) A certified copy of an order disciplining an
attorney for the same dishonest act or conduct
alleged in a claim, or a final trial court judgment
imposing civil or criminal liability therefor, shall be
evidence that the attorney committed such dis-
honest act or conduct.
(e) The client security fund committee may
require that a claimant, the subject attorney or
any other person give testimony relative to a claim
and may designate one or more members to
receive the testimony and render a report thereon
to the committee.
(f) The client security fund committee shall, on
the basis of the record, make its determination in
its sole and absolute discretion as to the validity
of claims. A determination shall require an affirma-
tive vote of at least seven members.
(g) Based upon the claims approved for reim-
bursement, the claims being processed and the
amounts available in the client security fund, the
client security fund committee shall determine in
its sole and absolute discretion the amount, the
order and the manner of the payment to be made
on the approved claim.
SUPERIOR COURT—GENERAL PROVISIONS Sec. 2-78
(h) Reimbursements shall not include interest,
expenses, or attorney’s fees in processing the
claim, and may be paid in a lump sum or in
installments.
(i) The client security fund committee shall notify
the claimant and the subject attorney of its deter-
mination, which shall be final and not be subject
to review by any court.
(j) The approval or disapproval of a claim shall
not be pertinent in any disciplinary proceeding.
(Adopted June 29, 1998, to take effect Jan. 1, 1999.)
Sec. 2-76. —Confidentiality
(a) Claims, proceedings and reports involving
claims for reimbursement for losses caused by
the dishonest conduct of attorneys are confiden-
tial until the client security fund committee autho-
rizes a disbursement to the claimant, at which
time the committee may disclose the name of the
claimant, the attorney whose conduct produced
the claim and the amount of the reimbursement.
However, the client security fund committee may
provide access to relevant information regarding
such claims to the statewide grievance commit-
tee, grievance panels, to law enforcement agen-
cies, to the office of the chief disciplinary counsel,
and to a judge of the superior court. The client
security fund committee may also disclose such
information to any attorney retained or employed
by the committee to protect the interests of the
client security fund or the committee in any state
or federal action in which the interests of the com-
mittee or the fund may be at issue, and may dis-
close such information as may be necessary to
protect the rights of the committee in any action
or proceeding in which the committee’s right to
receive restitution pursuant to Sections 2-80 or 2-
81 is at issue. The client security fund committee
may also provide statistical information regarding
claims which does not disclose the names of
claimants and attorneys until a disbursement is
authorized.
(b) All information given or received in connec-
tion with the provision of crisis intervention and
referral assistance under these rules shall be sub-
ject to the provisions of General Statutes § 51-
81d (f).
(Adopted June 29, 1998, to take effect Jan. 1, 1999;
amended May 3, 2005, to take effect May 17, 2005; amended
June 26, 2006, to take effect Jan. 1, 2007.)
Sec. 2-77. —Review of Status of Fund
The client security fund committee shall periodi-
cally analyze the status of the fund, the approved
claims and the pending claims, the cost to the
fund of providing crisis intervention and referral
assistance to attorneys, and the cost to the fund
of funding the delivery of legal services to the
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poor, to ensure the integrity of the fund for its
intended purposes. Based upon the analysis and
recommendation of the client security fund com-
mittee, the judges of the superior court may
increase or decrease the amount of the client
security fund fee and the superior court executive
committee may fix a maximum amount on reim-
bursements payable from the fund.
The amount paid from the fund in any calendar
year to the chief court administrator for the provi-
sion of crisis intervention and referral assistance
to attorneys shall not exceed 15.9 percent of the
amount received by the fund from payments of
the client security fund fee in the prior calendar
year. If less than the 15.9 percent maximum
amount is paid from the fund in any calendar year
for the provision of crisis intervention and referral
assistance to attorneys, the remaining amount
may not be carried over and added to the amount
that may be paid from the fund for that purpose
in any other year.
By April 1 of each year, the client security fund
committee shall recommend to the chief court
administrator the amount of funds available to be
paid for making grants-in-aid for the purpose of
funding the delivery of legal services to the poor.
The chief court administrator shall review the rec-
ommendation of the client security fund commit-
tee and any other relevant information and
determine and advise the client security fund com-
mittee of the amount of funds to be used for mak-
ing grants-in-aid for the purpose of funding the
delivery of legal services to the poor.
(Adopted June 29, 1998, to take effect Jan. 1, 1999;
amended May 3, 2005, to take effect May 17, 2005; amended
June 23, 2017, to take effect Jan. 1, 2018.)
HISTORY—2018: In the first sentence of the first para-
graph, ‘‘and’’ was deleted before ‘‘claims’’ and ‘‘and the cost
to the fund of funding the delivery of legal services to the
poor,’’ was added after ‘‘attorneys.’’
Also, what is now the third paragraph of this section was
added.
COMMENTARY—2018: The changes to this section imple-
ment the provisions of No. 16-26 of the 2016 Public Acts,
which authorized the Client Security Fund to be used to make
grants-in-aid to the organization administering the program for
the use of interest on lawyers’ clients’ funds accounts pursuant
to General Statutes § 51-81c, for the purpose of funding the
delivery of legal services to the poor, in addition to its other
purposes of reimbursing claims for losses caused by the dis-
honest conduct of attorneys and for crisis intervention and
referral assistance to attorneys admitted in Connecticut who
suffer from alcohol or other substance abuse or gambling
problems or who have behavioral health problems.
Sec. 2-78. —Attorney’s Fee for Prosecut-
ing Claim
No attorney shall accept any fee for prosecuting
a claim on behalf of a claimant, except where
SUPERIOR COURT—GENERAL PROVISIONSSec. 2-78
specifically approved by the client security fund
committee for payment out of the award.
(Adopted June 29, 1998, to take effect Jan. 1, 1999.)
Sec. 2-79. —Enforcement of Payment of Fee
(a) The client security fund committee shall
send a notice to each attorney who has not paid
the client security fund fee pursuant to Section 2-
70 of these rules that the attorney’s license to
practice law in this state may be administratively
suspended unless within sixty days from the date
of such notice the client security fund committee
receives from such attorney proof that he or she
has either paid the fee or is exempt from such
payment. If the client security fund committee
does not receive such proof within the time
required, it shall cause a second notice to be sent
to the attorney advising the attorney that he or
she will be referred to the superior court for an
administrative suspension of the attorney’s
license to practice law in this state unless within
thirty days from the date of the notice proof of the
payment of the fee or exemption is received. The
client security fund committee shall submit to the
clerk of the superior court for the Hartford Judicial
District a list of attorneys who did not provide proof
of payment or exemption within thirty days after
the date of the second notice. Upon order of the
court, the attorneys so listed and referred to the
clerk shall be deemed administratively suspended
from the practice of law in this state until such
time as payment of the fee and the reinstatement
fee assessed pursuant to Section 2-70 is made,
which suspension shall be effective upon publica-
tion of the list in the Connecticut Law Journal.
An administrative suspension of an attorney for
failure to pay the client security fund fee shall not
be considered discipline, but an attorney who is
placed on administrative suspension for such fail-
ure shall be ineligible to practice law as an attor-
ney admitted to practice in this state, and shall
not be considered in good standing pursuant to
Section 2-65 of these rules until such time as the
fee and reinstatement fee are paid. An attorney
aggrieved by an order placing the attorney on
administrative suspension for failing to pay the
client security fund fee may make an application
to the superior court to have the order vacated,
by filing the application with the superior court for
the Hartford Judicial District within thirty days of
the date that the order is published, and mailing
a copy of the same by certified mail, return receipt
requested, to the office of the client security fund
committee. The application shall set forth the rea-
sons why the application should be granted. The
court shall schedule a hearing on the application,
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which shall be limited to whether good cause
exists to vacate the suspension order.
(b) If a judge, judge trial referee, state referee,
family support magistrate or workers’ compensa-
tion commissioner has not paid the client security
fund fee, the office of the chief court administrator
shall send a notice to such person that he or she
will be referred to the judicial review council unless
within sixty days from the date of such notice
the office of the chief court administrator receives
from such person proof that he or she has either
paid the fee or is exempt from such payment. If
the office of the chief court administrator does not
receive such proof within the time required, it shall
refer such person to the judicial review council.
(c) Family support referees shall be subject to
the provisions of subsection (a) herein until such
time as they come within the jurisdiction of the
judicial review council, when they will be subject
to the provisions of subsection (b).
(d) The notices required by this section shall
be sent by certified mail, return receipt requested
or with electronic delivery confirmation to the last
address registered by the attorney pursuant to
Section 2-26 and Section 2-27 (d), and to the
home address of the judge, judge trial referee,
state referee, family support magistrate, family
support referee or workers’ compensation com-
missioner.
(Adopted June 29, 1998, to take effect Jan. 1, 1999;
amended June 20, 2005, to take effect Jan. 1, 2006; amended
June 15, 2012, to take effect Jan. 1, 2013.)
Sec. 2-80. —Restitution by Attorney
An attorney whose dishonest conduct has
resulted in reimbursement to a claimant shall
make restitution to the fund including interest and
the expense incurred by the fund in processing the
claim. An attorney’s failure to make satisfactory
arrangements for restitution shall be cause for
suspension, disbarment, or denial of an applica-
tion for reinstatement.
(Adopted June 29, 1998, to take effect Jan. 1, 1999.)
Sec. 2-81. —Restitution and Subrogation
(a) An attorney whose dishonest conduct
results in reimbursement to a claimant shall be
liable to the fund for restitution; and the client
security fund committee may bring such action as
it deems advisable to enforce such obligation.
(b) As a condition of reimbursement, a claimant
shall be required to provide the fund with a pro
tanto transfer of the claimant’s rights against the
attorney, the attorney’s legal representative,
estate or assigns; and of the claimant’s rights
against any third party or entity who may be liable
for the claimant’s loss.
SUPERIOR COURT—GENERAL PROVISIONS Sec. 2-82
(c) Upon commencement of an action by the
client security fund committee as subrogee or
assignee of a claim, it shall advise the claimant,
who may then join in such action to recover the
claimant’s unreimbursed losses.
(d) In the event that the claimant commences
an action to recover unreimbursed losses against
the attorney or another entity who may be liable
for the claimant’s loss, the claimant shall be
required to notify the client security fund commit-
tee of such action.
(e) The claimant shall be required to agree to
cooperate in all efforts that the client security fund
committee undertakes to achieve restitution for
the fund.
(Adopted June 29, 1998, to take effect Jan. 1, 1999.)
Sec. 2-82. Admission of Misconduct; Disci-
pline by Consent
(a) The disciplinary counsel to whom a com-
plaint is forwarded after a finding that probable
cause exists that the respondent is guilty of mis-
conduct may negotiate a proposed disposition of
the complaint with the respondent or, if the
respondent is represented by an attorney, with
the respondent’s attorney. Such a proposed dis-
position shall be based upon the respondent’s
admission of misconduct, which shall consist of
either (1) an admission by the respondent that the
material facts alleged in the complaint, or a portion
thereof describing one or more acts of misconduct
to which the admission relates, are true, or (2) if
the respondent denies some or all of such material
facts, an acknowledgment by the respondent that
there is sufficient evidence to prove such material
facts by clear and convincing evidence.
(b) If disciplinary counsel and the respondent
agree to a proposed disposition of the matter, they
shall place their agreement in writing and submit
it, together with the complaint, the record in the
matter, and the respondent’s underlying admis-
sion of misconduct, for approval as follows: (i) by
the court, in all matters involving possible suspen-
sion or disbarment, or possible imposition of a
period of probation or other sanctions beyond the
authority of the statewide grievance committee,
as set forth in Section 2-37; or (ii) by a reviewing
committee of the statewide grievance committee,
in all other matters. If, after a hearing, the admis-
sion of misconduct is accepted and the proposed
disposition is approved by the court or the
reviewing committee, the matter shall be disposed
of in the manner agreed to. If any resulting admis-
sion of misconduct or proposed disposition is
rejected by the court or the reviewing committee,
the admission of misconduct and proposed dispo-
sition shall be withdrawn, shall not be made public,
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and shall not be used against the respondent in
any subsequent proceedings. In that event, the
matter shall be referred for further proceedings to
a different judicial authority or reviewing commit-
tee, as appropriate.
(c) If disciplinary counsel and the respondent
are unable to agree to a proposed disposition
of the matter, the respondent may nonetheless
tender an admission of misconduct, which shall be
in accordance with subsection (a) of this section.
If such an admission of misconduct without pro-
posed disposition is tendered, disciplinary coun-
sel shall cause it to be forwarded, together with
the complaint and the record in the matter, for
consideration, possible acceptance and disposi-
tion as follows: (i) by the court, in all matters involv-
ing possible suspension or disbarment, or
possible imposition of a period of probation or
other sanctions beyond the authority of the state-
wide grievance committee, as set forth in Section
2-37; or (ii) by a reviewing committee of the state-
wide grievance committee, in all other matters. If,
after a hearing, the admission of misconduct is
accepted by the court or the reviewing committee,
the matter shall be disposed of and any resulting
imposition of discipline shall be made public in
the manner prescribed by these rules. If the
admission of misconduct is rejected by the court
or the reviewing committee, it shall be withdrawn,
shall not be made public, and shall not be used
against the respondent in any subsequent pro-
ceedings. In that event, the matter shall be
referred for further proceedings to a different judi-
cial authority or reviewing committee, as appro-
priate.
(d) A respondent who tenders an admission of
misconduct and, if applicable, enters with disci-
plinary counsel into a proposed disposition of the
matter, shall present to the court or the reviewing
committee an affidavit stating the following:
(1) That the admission of misconduct and, if
applicable, the proposed disposition are freely
and voluntarily submitted; that the respondent is
not making the admission of misconduct and, if
applicable, the proposed disposition, as a result
of any threats or other coercion or duress, or any
promises or other inducements not set forth in the
proposed disposition; that the respondent is fully
aware of the consequences of such submissions;
(2) That the respondent is aware that there is
presently pending a complaint, in connection with
which probable cause has been found that the
respondent committed the following acts of mis-
conduct: (list specific acts); and
(3) Either (i) that the respondent admits that the
material facts alleged in the complaint, or in that
SUPERIOR COURT—GENERAL PROVISIONSSec. 2-82
portion thereof to which the respondent’s admis-
sion relates, are true, or (ii) if the respondent
denies some or all of such material facts, that the
respondent acknowledges that there is sufficient
evidence to prove such material facts by clear
and convincing evidence.
(e) The disciplinary counsel may recommend
dismissal of acts of misconduct alleged in the
complaint that are not admitted by the respondent.
The respondent’s admission of some acts of mis-
conduct shall not foreclose the disciplinary coun-
sel from pursuing discipline based upon other acts
of misconduct alleged in the complaint.
(f) Prior to acceptance by the court or the
reviewing committee of the admission of miscon-
duct, the proposed disposition of the matter, if
applicable, and the imposition of any discipline,
the complainant will be given the right to com-
ment thereon.
(g) In any disciplinary proceeding where the
respondent already has other disciplinary matters
pending before a court, either pursuant to an order
of interim suspension under Section 2-42, or pur-
suant to a presentment filed under Sections 2-35,
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2-40, 2-41 or 2-47, the respondent and disciplin-
ary counsel may agree to a presentment. The
respondent and disciplinary counsel shall stipu-
late that the order of presentment is requested
for the purpose of consolidating all pending disci-
plinary matters before the court.
(Adopted June 24, 2002, to take effect July 1, 2003; May
14, 2003, effective date changed to Oct. 1, 2003; Sept. 30,
2003, effective date changed to Jan. 1, 2004; amended June
26, 2006, to take effect Jan. 1, 2007.)
Sec. 2-83. Effective Dates
(a) The revisions to this chapter which are effec-
tive January 1, 2004, shall apply to all grievance
complaints filed on or after that date, unless other-
wise provided in these rules.
(b) The rules in effect on December 31, 2003,
shall govern all grievance complaints filed on or
before that date.
(Adopted June 24, 2002, to take effect July 1, 2003; May
14, 2003, effective date changed to Oct. 1, 2003, and amended
on an interim basis, pursuant to the provisions of Section 1-
9 (c), to take effect Oct. 1, 2003, and amendment adopted
June 30, 2003, to take effect Oct. 1, 2003; Sept. 30, 2003,
effective date changed to Jan. 1, 2004, and amended on an
interim basis, pursuant to the provisions of Section 1-9 (c), to
take effect Jan. 1, 2004.)
SUPERIOR COURT—GENERAL PROVISIONS Sec. 3-3
CHAPTER 3
APPEARANCES
Sec. Sec.
3-1. Appearance for Plaintiff on Writ or Complaint in Civil
and Family Cases
3-2. Time to File Appearance
3-3. Form and Signing of Appearance
3-4. Filing Appearance
3-5. Service of Appearances on Other Parties
3-6. Appearances for Bail or Detention Hearing Only
3-7. Consequence of Filing Appearance
3-8. Appearance for Represented Party
3-9. Withdrawal of Appearance; Duration of Appearance
3-10. Motion to Withdraw Appearance
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
Complaint in Civil and Family Cases
When a writ has been signed by an attorney at
law admitted to practice in the courts of this state,
such writ shall contain the attorney’s name, juris
number, mailing address, and telephone number,
all of which shall be typed or printed on the writ,
and the attorney’s appearance shall be entered
for the plaintiff, unless such attorney by endorse-
ment on the writ shall otherwise direct, or unless
such attorney shall type or print on the writ the
name, address, juris number and telephone num-
ber of the professional corporation or firm, of
which such attorney shall be a member, entering
its appearance for the plaintiff. The signature on
the complaint of any person proceeding without
the assistance of counsel pursuant to Section 8-1
shall be deemed to constitute the self-represented
appearance of such party.
(P.B. 1978-1997, Sec. 64 (a).)
Sec. 3-2. Time to File Appearance
(a) After the writ has been filed the attorney for
any party to any action, or any party himself or
herself, may enter his or her appearance in writing
with the clerk of the court location to which such
action is returnable. Except where otherwise pre-
scribed herein or by statute, an appearance for a
party in a civil or family case should be filed on
or before the second day following the return day.
Appearances filed thereafter in such cases shall
be accepted but an appearance for a party after
the entry against such party of a nonsuit or judg-
ment after default for failure to appear shall not
affect the entry of the nonsuit or any judgment
after default.
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3-11. Appearance for Several Parties
3-12. Change in Name, Composition or Membership of a
Firm or Professional Corporation
3-13. When Creditor May Appear and Defend
3-14. Legal Interns
3-15. —Supervision of Legal Interns
3-16. —Requirements and Limitations
3-17. —Activities of Legal Intern
3-18. —Certification of Intern
3-19. —Legal Internship Committee
3-20. —Unauthorized Practice
3-21. —Out-of-State Interns
(b) An appearance in a criminal case or in a
juvenile matter should be filed promptly but may
be filed at any stage of the proceeding.
(P.B. 1978-1997, Sec. 64 (b); see also Secs. 66, 630,
1056.1.)
Sec. 3-3. Form and Signing of Appearance
(a) Except as otherwise provided in subsection
(b), each appearance shall: (1) be filed on judicial
branch form JD-CL-12, (2) include the name and
number of the case, the name of the court location
to which it is returnable and the date, (3) be legibly
signed by the individual preparing the appearance
with the individual’s own name and (4) state the
party or parties for whom the appearance is being
entered and the official (with position or depart-
ment, if desired), firm, professional corporation or
individual whose appearance is being entered,
together with the juris number assigned thereto,
if any, the mailing address and the telephone
number.
(b) Each limited appearance pursuant to Sec-
tion 3-8 (b) shall: (1) be filed on judicial branch
form JD-CL-121; (2) include the name and num-
ber of the case, the name of the court location to
which it is returnable and the date; (3) be legibly
signed by the individual preparing the appearance
with the individual’s own name; and (4) state the
party or parties for whom the appearance is being
entered and the official (with position or depart-
ment, if desired), firm, professional corporation or
individual whose appearance is being entered,
together with the juris number assigned thereto if
any, the mailing address and the telephone num-
ber; (5) define the proceeding or event for which
the lawyer is appearing; and (6) state that the
attorney named on the limited appearance is
SUPERIOR COURT—GENERAL PROVISIONSSec. 3-3
available for service of process only for those mat-
ters described on the limited appearance. All
pleadings, motions, or other documents served
on the limited appearance attorney shall also be
served in the same manner on the party for whom
the limited appearance was filed. For all other
matters, service must be made on the party
instead of the attorney who filed the limited
appearance, unless otherwise ordered by court.
(c) This section does not apply to appearances
entered pursuant to Section 3-1.
(P.B. 1978-1997, Sec. 64 (b).) (Amended June 22, 2009,
to take effect Jan. 1, 2010; amended June 21, 2010, to take
effect Jan. 1, 2011; amended June 20, 2011, to take effect
Jan. 1, 2012; amended June 14, 2013, to take effect Oct.
1, 2013.)
Sec. 3-4. Filing Appearance
(Amended June 20, 2011, to take effect Jan. 1, 2012.)
Appearances shall be filed with the clerk of the
court location where the matter is pending.
(a) Whenever an appearance is filed in any civil
or family action, including appearances filed in
addition to or in place of another appearance, a
copy shall be mailed or delivered to all counsel
and self-represented parties of record.
(b) Whenever an appearance is filed in sum-
mary process actions, including appearances filed
in addition to or in place of another appearance,
the attorney for the defendant, or, if there is no
such attorney, the defendant himself or herself,
shall mail or deliver a copy of the appearance to
the attorney for the plaintiff, or if there is no such
attorney, to the plaintiff himself or herself.
(c) Whenever an appearance is filed in delin-
quency or family with service needs proceedings,
including appearances filed in addition to or in
place of another appearance, the attorney or
guardian ad litem for the respondent, or for any
other interested party, shall mail or deliver a copy
of the appearance to the prosecutorial official and
all other counsel and self-represented parties of
record; in child protection proceedings, the attor-
ney or guardian ad litem for the child, respondent,
or any other interested party, shall mail or deliver
a copy of the appearance to the attorney for the
petitioner and to all other counsel and self-repre-
sented parties of record.
(d) Whenever an appearance is filed in criminal
cases, including appearances filed in addition to
or in place of another appearance, the attorney
for the defendant shall mail or deliver a copy of
the appearance to the prosecuting authority.
(P.B. 1978-1997, Sec. 64 (c); see also Secs. 630, 1056.1.)
(P.B. 1998.) (Amended June 20, 2011, to take effect Jan. 1,
2012; amended June 15, 2012, to take effect Jan. 1, 2013;
amended June 13, 2014, to take effect Jan. 1, 2015.)
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Sec. 3-5. Service of Appearances on Other
Parties
(Amended June 20, 2011, to take effect Jan. 1, 2012.)
Service of appearances shall be made in
accordance with Sections 10-12 through 10-17.
Proof of service shall be endorsed on the appear-
ance filed with the clerk. This section shall not
apply to appearances entered pursuant to Section
3-1.
(See Secs. 64 (c), 630, 1056.1, P.B. 1978-1997.) (P.B.
1998.) (Amended June 20, 2011, to take effect Jan. 1, 2012.)
Sec. 3-6. Appearances for Bail or Detention
Hearing Only
(a) An attorney, prior to the entering of an
appearance by any other attorney, may enter an
appearance for the defendant in a criminal case
for the sole purpose of representing the defendant
at a hearing for the fixing of bail. Such appearance
shall be in writing and shall be styled, ‘‘for the
purpose of the bail hearing only.’’ Upon entering
such an appearance, that attorney shall be enti-
tled to confer with the prosecuting authority in
connection with the bail hearing.
(b) An attorney may enter an appearance in a
delinquency proceeding for the sole purpose of
representing the respondent at any detention
hearing; such appearance shall be in writing and
styled ‘‘for the purpose of detention hearing only.’’
(See Sec. 633, P.B. 1978-1997.) (P.B. 1998.)
Sec. 3-7. Consequence of Filing Appear-
ance
(a) Except by leave of the judicial authority, no
attorney shall be permitted to appear in court or
to be heard on behalf of a party until the attorney’s
appearance has been entered. No attorney shall
be entitled to confer with the prosecuting authority
as counsel for the defendant in a criminal case
until the attorney’s appearance has been so
entered.
(b) After the filing of an appearance, the attor-
ney or self-represented party shall receive copies
of all notices required to be given to parties by
statute or by these rules.
(c) The filing of an appearance by itself shall
not waive the right to attack defects in jurisdiction
or any claimed violation of constitutional rights.
(See also Secs. 630, 631, 1056.1, P.B. 1978-1997.)
(P.B. 1998.)
Sec. 3-8. Appearance for Represented Party
(a) Whenever an attorney files an appearance
for a party, or the party files an appearance for
himself or herself, and there is already an appear-
ance of an attorney or party on file for that party,
the attorney or party filing the new appearance
shall state thereon whether such appearance is
SUPERIOR COURT—GENERAL PROVISIONS Sec. 3-9
in place of or in addition to the appearance or
appearances already on file.
(b) An attorney is permitted to file an appear-
ance limited to a specific event or proceeding in
any family or civil case. If an event or proceeding
in a matter in which a limited appearance has
been filed has been continued to a later date, for
any reason, it is not deemed completed unless
otherwise ordered by the court. Except with leave
of court, a limited appearance may not be filed to
address a specific issue or to represent the client
at or for a portion of a hearing. A limited appear-
ance may not be limited to a particular length of
time or the exhaustion of a fee. Whenever an
attorney files a limited appearance for a party, the
limited appearance shall be filed in addition to any
self-represented appearance that the party may
have already filed with the court. Upon the filing
of the limited appearance, the client may not file or
serve pleadings, discovery requests or otherwise
represent himself or herself in connection with
the proceeding or event that is the subject of the
limited appearance. An attorney shall not file a
limited appearance for a party when filing a new
action or during the pendency of an action if there
is no appearance on file for that party, unless the
party for whom the limited appearance is being
filed files an appearance in addition to the attor-
ney’s limited appearance at the same time. A lim-
ited appearance may not be filed on behalf of a
firm or corporation. A limited appearance may not
be filed in criminal or juvenile cases.
(c) The provisions of this section regarding par-
ties filing appearances for themselves do not
apply to criminal cases.
(P.B. 1978-1997, Sec. 65.) (Amended June 15, 2012, to
take effect Jan. 1, 2013; amended June 14, 2013, to take
effect Oct. 1, 2013; amended June 12, 2015, to take effect
Jan. 1, 2016.)
Sec. 3-9. Withdrawal of Appearance; Dura-
tion of Appearance
(a) An attorney or party whose appearance has
been filed shall be deemed to have withdrawn
such appearance upon the filing of a new appear-
ance that is stated to be in place of the appear-
ance on file in accordance with Section 3-8.
Appropriate entries shall be made in the court
file. An attorney or party whose appearance is
deemed to have been withdrawn may file an
appearance for the limited purpose of filing an
objection to the in place of appearance at any
time.
(b) An attorney may withdraw his or her appear-
ance for a party or parties in any action after the
appearance of other counsel representing the
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same party or parties has been entered. An appli-
cation for withdrawal in accordance with this sub-
section shall state that such an appearance has
been entered and that such party or parties are
being represented by such other counsel at the
time of the application. Such an application may
be granted by the clerk as of course, if such an
appearance by other counsel has been entered.
(c) In addition to the grounds set forth in subsec-
tions (a), (b), and (d), a lawyer who represents a
party or parties on a limited basis in accordance
with Section 3-8 (b) and has completed his or her
representation as defined in the limited appear-
ance, shall file a certificate of completion of limited
appearance on judicial branch form JD-CL-122.
The certificate shall constitute a full withdrawal of
a limited appearance. Copies of the certificate
must be served in accordance with Sections 10-
12 through 10-17 on the client, and all attorneys
and self-represented parties of record.
(d) All appearances of counsel shall be deemed
to have been withdrawn 180 days after the entry
of judgment in any action seeking a dissolution
of marriage or civil union, annulment, or legal sep-
aration, provided no appeal shall have been
taken. In the event of an appeal or the filing of a
motion to open a judgment within such 180 days,
all appearances of counsel shall be deemed to
have been withdrawn after final judgment on such
appeal or motion or within 180 days after the entry
of the original judgment, whichever is later. Noth-
ing herein shall preclude or prevent any attorney
from filing a motion to withdraw with leave of the
court during that period subsequent to the entry of
judgment. In the absence of a specific withdrawal,
counsel will continue of record for all postjudg-
ment purposes until 180 days have elapsed from
the entry of judgment or, in the event an appeal
or a motion to open a judgment is filed within such
180 day period, until final judgment on that appeal
or determination of that motion, whichever is later.
(e) Except as provided in subsections (a), (b),
(c) and (d), no attorney shall withdraw his or her
appearance after it has been entered upon the
record of the court without the leave of the court.
(f) All appearances in juvenile matters shall be
deemed to continue during the period of delin-
quency probation, family with service needs
supervision, or any commitment to the commis-
sioner of the department of children and families
or protective supervision. An attorney appointed
by the chief public defender to represent a parent
in a pending neglect or uncared for proceeding
shall continue to represent the parent for any sub-
sequent petition to terminate parental rights if the
attorney remains under contract to the office of
the chief public defender to represent parties in
SUPERIOR COURT—GENERAL PROVISIONSSec. 3-9
child protection matters, the parent appears at
the first hearing on the termination petition and
qualifies for appointed counsel, unless the attor-
ney files a motion to withdraw pursuant to Section
3-10 that is granted by the judicial authority or the
parent requests a new attorney. The attorney shall
represent the client in connection with appeals,
subject to Section 35a-20, and with motions for
review of permanency plans, revocations or post-
judgment motions and shall have access to any
documents filed in court. The attorney for the child
shall continue to represent the child in all proceed-
ings relating to the child, including termination of
parental rights and during the period until final
adoption following termination of parental rights.
(P.B. 1978-1997, Sec. 77.) (Amended June 26, 2006, to
take effect Jan. 1, 2007; amended June 30, 2008, to take
effect Jan. 1, 2009; amended June 21, 2010, to take effect
Jan. 1, 2011; amended June 15, 2012, to take effect Jan. 1,
2013; amended June 14, 2013, to take effect Oct. 1, 2013;
amended June 24, 2016, to take effect Jan. 1, 2017.)
Sec. 3-10. Motion to Withdraw Appearance
(a) No motion for withdrawal of appearance
shall be granted unless good cause is shown and
until the judicial authority is satisfied that reason-
able notice has been given to other attorneys of
record and that the party represented by the attor-
ney was served with the motion and the notice
required by this section or that the attorney has
made reasonable efforts to serve such party. All
motions to withdraw appearance shall be set
down for argument and when the attorney files
such motion, he or she shall obtain such argument
date from the clerk.
(b) In civil and family cases, a motion to with-
draw shall include the last known address of any
party as to whom the attorney seeks to withdraw
his or her appearance and shall have attached to
it a notice to such party advising of the following:
(1) the attorney is filing a motion which seeks the
court’s permission to no longer represent the party
in the case; (2) the date and time the motion will
be heard; (3) the party may appear in court on
that date and address the court concerning the
motion; (4) if the motion to withdraw is granted,
the party should either obtain another attorney or
file an appearance on his or her own behalf with
the court; and (5) if the party does neither, the
party will not receive notice of court proceedings
in the case and a nonsuit or default judgment may
be rendered against such party.
(c) In criminal and juvenile matters, the motion
to withdraw shall comply with subsections (b)(1),
(2) and (3) of this section and the client shall also
be advised by the attorney that if the motion to
withdraw is granted the client should request court
appointed counsel, obtain another attorney or file
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an appearance on his or her own behalf with the
court and be further advised that if none is done,
there may be no further notice of proceeding and
the court may act.
(d) In addition to the above, each motion to
withdraw appearance and each notice to the party
or parties who are the subject of the motion shall
state whether the case has been assigned for pre-
trial or trial and, if so, the date so assigned.
(e) The attorney’s appearance for the party shall
be deemed to have been withdrawn upon the
granting of the motion without the necessity of
filing a withdrawal of appearance.
(P.B. 1978-1997, Sec. 77 (d).) (Amended June 26, 2000,
to take effect Jan. 1, 2001; amended June 25, 2001, to take
effect Jan. 1, 2002; amended June 21, 2004, to take effect
Jan. 1, 2005.)
Sec. 3-11. Appearance for Several Parties
Where there are several plaintiffs or defend-
ants, the appearance shall state specifically either
that it is for all or that it is for certain specified
parties; otherwise the appearance shall not be
entered by the clerk.
(P.B. 1978-1997, Sec. 76.)
Sec. 3-12. Change in Name, Composition or
Membership of a Firm or Professional Cor-
poration
(a) Whenever the appearance of a firm or pro-
fessional corporation (hereinafter collectively
referred to as ‘‘unit’’) has been entered upon the
record of the court and there is a change in the
name, composition or membership of such unit,
it shall be the duty of such unit forthwith to notify,
in writing, the director of court operations of the
judicial branch, giving the name, mailing address
and telephone number of the successor firm, pro-
fessional corporation or individual who will con-
tinue the major portion of such unit’s business. In
court locations having access to the automated
roll of attorneys, upon receipt of such notice the
appearance of such successor will be automati-
cally entered in lieu of the appearance of the for-
mer unit in all pending cases. In other court
locations, unless such successor unit files a notice
to the clerks pursuant to Section 2-26 or withdraws
its appearance under the provisions of Section
3-10, the former unit’s original appearance shall
remain on file in each case in which it had been
entered and the clerk may rely on the information
contained therein for the purpose of giving notice
to such unit regarding court activities involving the
cases in which the unit remains active.
(b) In each case where such successor will no
longer represent the party or parties for whom the
original unit had entered an appearance, it is the
duty of the new attorney who will represent such
SUPERIOR COURT—GENERAL PROVISIONS Sec. 3-17
party or parties to enter an appearance, and it is
the duty of the successor firm, professional corpo-
ration or individual to withdraw such unit’s appear-
ance under the provisions of Section 3-10.
(P.B. 1978-1997, Sec. 78.)
Sec. 3-13. When Creditor May Appear and
Defend
In any action in which property has been
attached, any person may appear and defend in
the name of the defendant, upon filing in the court
an affidavit that he or she is a creditor of the
defendant and has good reason to believe, and
does believe, that the amount which the plaintiff
claims was not justly due at the commencement
of the suit and that he or she is in danger of being
defrauded by a recovery by the plaintiff, and upon
giving bond with surety to the plaintiff, in such
amount as the judicial authority approves, for the
payment of such costs as the plaintiff may there-
after recover. If the plaintiff recovers the whole
claim, costs shall be taxed against the defendant
to the time of the appearance of such creditor,
and for the residue of the costs such creditor shall
be liable upon his or her bond; if only a part of
the plaintiff’s claim is recovered, the whole costs
shall be taxed against the defendant, and the
creditor shall not be liable for the same; if judg-
ment is rendered in favor of the defendant, costs
shall be taxed in his or her favor against the plain-
tiff, but the judicial authority may order that the
judgment and execution therefor shall belong to
such creditor. No creditor so appearing shall be
permitted to file a motion to dismiss, or to plead
or give in evidence the statute of limitations, or to
plead that the contract was not in writing according
to the requirements of the statute, or to plead any
other statutory defense consistent with the justice
of the plaintiff’s claim. (See General Statutes § 52-
86 and annotations.)
(P.B. 1978-1997, Sec. 79.)
Sec. 3-14. Legal Interns
An eligible legal intern may, under supervision
by a member of the Connecticut bar as provided
in Section 3-15, appear in court with the approval
of the judicial authority or before an administrative
tribunal, subject to its permission, on behalf of any
person, if that person has indicated in writing his
or her consent to the intern’s appearance and the
supervising attorney has also indicated in writing
approval of that appearance.
(P.B. 1978-1997, Sec. 68.)
Sec. 3-15. —Supervision of Legal Interns
The member of the bar under whose supervi-
sion an eligible legal intern does any of the things
permitted by these rules shall:
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(1) be an attorney who has been admitted to
the Connecticut bar for at least three years, or
one who is employed by an attorney of five years’
standing, or one who is employed by an accred-
ited law school in Connecticut, or one who is
approved as a supervising attorney by the presid-
ing judge in the case at bar;
(2) assume personal professional responsibility
for the intern’s work;
(3) assist the intern in his or her preparation to
the extent the supervising attorney considers nec-
essary;
(4) be present in court with the intern.
(P.B. 1978-1997, Sec. 69.)
Sec. 3-16. —Requirements and Limitations
(a) In order to appear pursuant to these rules,
the legal intern must:
(1) be certified by a law school approved by
the American Bar Association or by the state bar
examining committee of the superior court;
(2) have completed legal studies amounting to
at least two semesters of credit in a three or four
year course of legal studies, or the equivalent if
the school is on some basis other than a semester
basis except that the dean may certify a student
under this section who has completed less than
two semesters of credit or the equivalent to enable
that student to participate in a faculty supervised
law school clinical program;
(3) be certified by the dean of his or her law
school as being of good character and competent
legal ability;
(4) be introduced to the court in which he or she
is appearing by an attorney admitted to practice
in that court;
(5) comply with the provisions of Section 3-
21 if enrolled in a law school outside the state
of Connecticut.
(b) A legal intern may not be employed or com-
pensated directly by a client for services rendered.
This section shall not prevent an attorney, legal
aid bureau, law school, public defender agency
or the state from compensating an eligible intern.
(P.B. 1978-1997, Sec. 70.) (Amended June 28, 1999, to
take effect Jan. 1, 2000; amended June 22, 2009, to take
effect Jan. 1, 2010.)
Sec. 3-17. —Activities of Legal Intern
(a) The legal intern, supervised in accordance
with these rules, may appear in court or at other
hearings in the following situations:
(1) where the client is financially unable to afford
counsel; or
(2) where the intern is assisting a privately
retained attorney; or
SUPERIOR COURT—GENERAL PROVISIONSSec. 3-17
(3) where the intern is assisting an established
legal aid bureau or organization, a public defender
or prosecutor’s office, or a state agency.
(b) In each case, the written consent and
approval referred to in Section 3-14 shall be filed
in the record of the case and shall be brought to
the attention of the judicial authority or the presid-
ing officer of the administrative tribunal.
(c) In addition, an intern may, under the supervi-
sion of a member of the bar:
(1) prepare pleadings and other documents to
be filed in any matter;
(2) prepare briefs, abstracts and other doc-
uments.
(d) Each document or pleading must contain
the name of the intern who participated in drafting
it and must be signed by the supervising attorney.
(P.B. 1978-1997, Sec. 71.)
Sec. 3-18. —Certification of Intern
The certification of an intern by the law
school dean:
(1) shall be filed with the clerk of the superior
court in Hartford and, unless it is sooner with-
drawn, shall remain in effect until the announce-
ment of the results of the second Connecticut bar
examination following the intern’s graduation. For
any intern who passes that examination, the certi-
fication shall continue in effect until the date of
admission to the bar.
(2) shall terminate if the intern, prior to gradua-
tion, is no longer duly enrolled in an accredited
law school.
(3) may be terminated by the dean at any time
by mailing a notice to that effect to the clerk of
the superior court in Hartford and to the intern. It
is not necessary that the notice to the superior
court state the cause for termination.
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(4) may be terminated by the superior court at
any time upon notice to the intern, to the dean
and to the superior court in Hartford.
(P.B. 1978-1997, Sec. 72.)
Sec. 3-19. —Legal Internship Committee
There shall be established a legal internship
committee appointed by the chief justice and com-
posed of four judges, four practicing attorneys,
three law professors, and three law students. This
committee shall consult with the deans of law
schools located in Connecticut, review the prog-
ress of the legal internship program, and consider
any complaints or suggestions regarding the
program.
(P.B. 1978-1997, Sec. 73.)
Sec. 3-20. —Unauthorized Practice
Nothing contained in these rules shall affect the
right of any person who is not admitted to the
practice of law to do anything that he or she might
lawfully do prior to their adoption, nor shall they
enlarge the rights of persons, not members of the
bar or legal interns covered by these rules, to
engage in activities customarily considered to be
the practice of law.
(P.B. 1978-1997, Sec. 74.)
Sec. 3-21. —Out-of-State Interns
A legal intern who is certified under a legal
internship program or student practice rule in
another state or in the District of Columbia may
appear in a court or before an administrative tribu-
nal of Connecticut under the same circumstances
and on the same conditions as those applicable
to certified Connecticut legal interns, if the out-of-
state intern files with the clerk of the superior court
in Hartford, with a copy to the legal internship
committee, a certification by the dean of his or
her law school of his or her admission to internship
or student practice in that state or in the District
of Columbia, together with the text of that state’s
or the District of Columbia’s applicable statute or
rule governing such admissions.
(P.B. 1978-1997, Sec. 75.)
SUPERIOR COURT—GENERAL PROVISIONS Sec. 4-4
CHAPTER 4
PLEADINGS
Sec. Sec.
4-1. Form of Pleading
4-2. Signing of Pleading
4-3. Filing and Endorsing Pleadings
4-4. Electronic Filing
4-5. Notice Required for Ex Parte Temporary Injunctions
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
(a) All documents filed in paper format shall be
typed or printed on size 81/2by 11 inch paper, shall
have no back or cover sheet, and shall include a
page number on each page other than the first
page. Those subsequent to the complaint shall
be headed with the title and number of the case,
the name of the court, and the date and designa-
tion of the particular pleading, in conformity with
the applicable form in the rules of practice which
is set forth in the Appendix of Forms in this volume.
(b) At the bottom of the first page of each paper,
a blank space of approximately two inches shall
be reserved for notations of receipt or time of
filing by the clerk and for statements by counsel
pursuant to Section 11-18 (a) (2). Papers shall be
punched with two holes, two and twelve-six-
teenths inches apart, each centered seven-six-
teenths of an inch from the upper edge, one being
two and fourteen-sixteenths inches from the left-
hand edge and the other being the same distance
from the right-hand edge, and each four-six-
teenths of an inch in diameter.
(c) All documents filed electronically shall be
in substantially the same format as required by
subsection (a) of this section.
(d) The clerk may require a party to correct any
filed paper which is not in compliance with this
section by substituting a paper in proper form.
(e) This section shall not apply to forms supplied
by the Judicial Branch or generated by the elec-
tronic filing system.
(P.B. 1978-1997, Sec. 118.) (Amended Aug. 24, 2001, to
take effect Jan. 1, 2002; amended June 20, 2011, to take
effect Jan. 1, 2012; amended June 13, 2014, to take effect
Jan. 1, 2015.)
Sec. 4-2. Signing of Pleading
(a) Every pleading and other paper of a party
represented by an attorney shall be signed by
at least one attorney of record in the attorney’s
individual name. A party who is not represented
by an attorney shall sign his or her pleadings and
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4-6. Page Limitations for Briefs, Memoranda of Law and
Reply Memoranda
4-7. Personal Identifying Information to Be Omitted or
Redacted from Court Records in Civil and Family
Matters
other papers. The name of the attorney or party
who signs such document shall be legibly typed
or printed beneath the signature.
(b) The signing of any pleading, motion, objec-
tion or request shall constitute a certificate that
the signer has read such document, that to the
best of the signer’s knowledge, information and
belief there is good ground to support it, that it is
not interposed for delay, and that the signer has
complied with the requirements of Section 4-7
regarding personal identifying information. Each
pleading and every other court-filed document
signed by an attorney or party shall set forth the
signer’s telephone number and mailing address.
(c) An attorney may assist a client in preparing
a pleading, motion or other document to be signed
and filed in court by the client. In such cases, the
attorney shall insert the notation ‘‘prepared with
assistance of counsel’’ on any pleading, motion
or document prepared by the attorney. The attor-
ney is not required to sign the pleading, motion
or document and the filing of such a pleading,
motion or document shall not constitute an
appearance by the attorney.
(P.B. 1978-1997, Sec. 119.) (Amended June 22, 2009, to
take effect Jan. 1, 2010; amended June 14, 2013, to take
effect Oct. 1, 2013.)
Sec. 4-3. Filing and Endorsing Pleadings
All pleadings, written motions, and papers in
pending cases shall be filed with and kept by the
clerk of the court, who shall endorse upon each
the time when it is filed, and make a like entry
upon the clerk’s docket and the file.
(P.B. 1978-1997, Sec. 127.)
Sec. 4-4. Electronic Filing
Papers may be filed, signed or verified by elec-
tronic means that comply with procedures and
technical standards established by the office of
the chief court administrator, which may also set
forth the manner in which such papers shall be
kept by the clerk. A paper filed by electronic
SUPERIOR COURT—GENERAL PROVISIONSSec. 4-4
means in compliance with such procedures and
standards constitutes a written paper for the pur-
pose of applying these rules.
(Adopted June 29, 1998, to take effect Jan. 1, 1999;
amended June 30, 2008, to take effect Jan. 1, 2009.)
Sec. 4-5. Notice Required for Ex Parte Tem-
porary Injunctions
(a) No temporary injunction shall be granted
without notice to each opposing party unless the
applicant certifies one of the following to the court
in writing:
(1) facts showing that within a reasonable time
prior to presenting the application the applicant
gave notice to each opposing party of the time
when and the place where the application would
be presented and provided a copy of the applica-
tion; or
(2) the applicant in good faith attempted but
was unable to give notice to an opposing party or
parties, specifying the efforts made to contact
such party or parties; or
(3) facts establishing good cause why the appli-
cant should not be required to give notice to each
opposing party.
(b) When an application for a temporary injunc-
tion is granted without notice or without a hearing,
the court shall schedule an expeditious hearing
as to whether the temporary injunction should
remain in effect. Any temporary injunction which
was granted without a hearing shall automatically
expire thirty days following its issuance, unless
the court, following a hearing, determines that said
injunction should remain in effect.
(c) For purposes of this rule, notice to the
opposing party means notice to the opposing par-
ty’s attorney if the applicant knows who the oppos-
ing party’s attorney is; if the applicant does not
know who the opposing party’s attorney is, notice
shall be given to the opposing party. If the tempo-
rary injunction is sought against the state of Con-
necticut, a city or town, or an officer or agency
thereof, notice shall be given to the attorney gen-
eral or to the city or town attorney or corporation
counsel, as the case may be.
(d) This section shall not apply to applications
for relief from physical abuse filed pursuant to
General Statutes § 46b-15 or to motions for orders
of temporary custody in juvenile matters filed pur-
suant to General Statutes § 46b-129.
(Adopted June 26, 2000, to take effect Jan. 1, 2001.)
Sec. 4-6. Page Limitations for Briefs, Memo-
randa of Law and Reply Memoranda
(Amended June 12, 2015, to take effect Jan. 1, 2016.)
(a) The text of any trial brief or any other brief
concerning a motion in any case shall not exceed
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thirty-five pages without permission of the judicial
authority. The judicial authority may also permit
the filing of a supplemental brief of a particular
number of pages. The text of any brief shall be
double-spaced and the type font shall be no
smaller than 12 point. The judicial authority may
in its discretion limit the number of pages of any
brief to less than thirty-five.
(b) Any reply memorandum filed pursuant to
Section 11-10 (b) shall not exceed ten pages with-
out the permission of the judicial authority.
(Adopted June 26, 2000, to take effect Jan. 1, 2001;
amended June 12, 2015, to take effect Jan. 1, 2016.)
Sec. 4-7. Personal Identifying Information to
Be Omitted or Redacted from Court Records
in Civil and Family Matters
(a) As used in this section, ‘‘personal identifying
information’’ means: an individual’s date of birth;
mother’s maiden name; motor vehicle operator’s
license number; Social Security number; other
government issued identification number except
for juris, license, permit or other business related
identification numbers that are otherwise made
available to the public directly by any government
agency or entity; health insurance identification
number; or any financial account number, security
code or personal identification number (PIN). For
purposes of this section, a person’s name is spe-
cifically excluded from this definition of personal
identifying information unless the judicial authority
has entered an order allowing the use of a pseud-
onym in place of the name of a party. If such an
order has been entered, the person’s name is
included in this definition of ‘‘personal identi-
fying information.’’
(b) Persons who file documents with the court
shall not include personal identifying information,
and if any such personal identifying information
is present, shall redact it from any documents filed
with the court, whether filed in electronic or paper
format, unless otherwise required by law or
ordered by the court. The party filing the redacted
documents shall retain the original unredacted
documents throughout the pendency of the action,
any appeal period, and any applicable appellate
process.
(c) The responsibility for omitting or redacting
personal identifying information rests solely with
the person filing the document. The court or the
clerk of the court need not review any filed docu-
ment for compliance with this rule.
(Adopted June 22, 2009, to take effect Jan. 1, 2010;
amended June 21, 2010, to take effect Jan. 1, 2011; amended
June 15, 2012, to take effect Jan. 1, 2013; amended June 12,
2015, to take effect Jan. 1, 2016.)
SUPERIOR COURT—GENERAL PROVISIONS Sec. 5-8
CHAPTER 5
TRIALS
Sec. Sec.
5-1. Trial Briefs
5-2. Raising Questions of Law Which May Be the Subject
of an Appeal
5-3. Administering Oath
5-4. Examination of Witnesses
5-5. Objections to Evidence; Interlocutory Questions;
Exceptions Not Required
5-6. Reception of Evidence Objected to
5-7. Marking Exhibits
5-8. Interlocutory Matters
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
The parties shall, if the judicial authority so
orders, file, at such time as the judicial authority
shall determine, written trial briefs discussing the
issues in the case and the factual or legal basis
upon which they ought to be resolved.
(P.B. 1978-1997, Sec. 285A.) (Amended June 14, 2013,
to take effect Jan. 1, 2014.)
Sec. 5-2. Raising Questions of Law Which
May Be the Subject of an Appeal
Any party intending to raise any question of law
which may be the subject of an appeal must either
state the question distinctly to the judicial authority
in a written trial brief under Section 5-1 or state
the question distinctly to the judicial authority on
the record before such party’s closing argument
and within sufficient time to give the opposing
counsel an opportunity to discuss the question. If
the party fails to do this, the judicial authority will
be under no obligation to decide the question.
(See Secs. 877, 285A, P.B.1978-1997.)(P.B. 1998.)
Sec. 5-3. Administering Oath
The oath or affirmation shall be administered
deliberately and with due solemnity, as the wit-
ness takes the stand. The reporter shall note by
whom it was administered.
(P.B. 1978-1997, Sec. 286.)
Sec. 5-4. Examination of Witnesses
The counsel who commences the examination
of a witness, either in chief or on cross-examina-
tion, must alone conduct it; and no associate
counsel will be permitted to interrogate the wit-
ness, except by permission of the judicial
authority.
(P.B. 1978-1997, Secs. 287, 875.)
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5-9. Citation of Opinion Not Officially Published
[Repealed]
5-10. Sanctions for Counsel’s Failure to Appear
5-11. Testimony of Party or Child in Family Relations Matter
When Protective Order, Restraining Order, Stand-
ing Criminal Protective Order or Standing Criminal
Restraining Order Issued on Behalf of Party or
Child
Sec. 5-5. Objections to Evidence; Interlocu-
tory Questions; Exceptions Not Required
Whenever an objection to the admission of evi-
dence is made, counsel shall state the grounds
upon which it is claimed or upon which objection
is made, succinctly and in such form as he or
she desires it to go upon the record, before any
discussion or argument is had. Argument upon
such objection or upon any interlocutory question
arising during the trial of a case shall not be made
by either party unless the judicial authority
requests it and, if made, must be brief and to
the point.
(P.B. 1978-1997, Secs. 288, 850A.)
Sec. 5-6. Reception of Evidence Objected to
Whenever evidence offered upon trial is
objected to as inadmissible, the judicial authority
or committee trying such case shall not admit such
evidence subject to the objection, unless both par-
ties agree that it be so admitted; but, if either party
requests a decision, such judicial authority or
committee shall pass upon such objection and
admit or reject the testimony. (See General Stat-
utes § 52-208 and annotations.)
(P.B. 1978-1997, Sec. 289.)
Sec. 5-7. Marking Exhibits
Unless otherwise ordered by the judicial author-
ity, the clerk shall mark all exhibits not marked in
advance of trial and shall keep a list of all exhibits
marked for identification or received in evidence
during the course of the trial.
(P.B. 1978-1997, Sec. 291.)
Sec. 5-8. Interlocutory Matters
No more than one counsel on each side shall
be heard on any question of evidence, or upon any
SUPERIOR COURT—GENERAL PROVISIONSSec. 5-8
interlocutory motion or motion to dismiss, without
permission of the judicial authority.
(P.B. 1978-1997, Sec. 293.)
Sec. 5-9. Citation of Opinion Not Officially
Published
[Repealed as of Jan. 1, 2014.]
Sec. 5-10. Sanctions for Counsel’s Failure
to Appear
Counsel who fails to appear on a scheduled
date for any hearing or trial or who requests a
continuance without cause or in any other way
delays a case unnecessarily will be subject to
sanctions pursuant to General Statutes § 51-84.
(P.B. 1978-1997, Sec. 983.)
Sec. 5-11. Testimony of Party or Child in
Family Relations Matter When Protective
Order, Restraining Order, Standing Criminal
Protective Order or Standing Criminal
Restraining Order Issued on Behalf of Party
or Child
(Amended June 20, 2011, to take effect Jan. 1, 2012.)
(a) In any court proceeding in a family relations
matter, as defined in General Statutes § 46b-1,
or in any proceeding pursuant to General Statutes
§ 46b-38c, the court may, except as otherwise
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required by law and within available resources,
upon motion of any party, order that the testimony
of a party or a child who is a subject of the pro-
ceeding be taken outside the physical presence
of any other party if a protective order, restraining
order, standing criminal protective order or stand-
ing criminal restraining order has been issued on
behalf of the party or child, and the other party is
subject to the protective order or restraining order.
Such order may provide for the use of alternative
means to obtain the testimony of any party or
child, including, but not limited to, the use of a
secure video connection for the purpose of con-
ducting hearings by videoconference. Such testi-
mony may be taken outside the courtroom or at
another location inside or outside the state. The
court shall provide for the administration of an
oath to such party or child prior to the taking of
such testimony as required by law.
(b) Nothing in this section shall be construed to
limit any party’s right to cross-examine a witness
whose testimony is taken pursuant to an order
under subsection (a) hereof.
(c) An order under this section may remain in
effect during the pendency of the proceedings in
the family relations matter.
(Adopted June 21, 2010, to take effect Jan. 1, 2011;
amended June 20, 2011, to take effect Jan. 1, 2012.)
SUPERIOR COURT—GENERAL PROVISIONS Sec. 6-3
CHAPTER 6
JUDGMENTS
Sec. Sec.
6-1. Statement of Decision; When Required
6-2. Judgment Files; Captions and Contents
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
Required
(a) The judicial authority shall state its decision
either orally or in writing, in all of the following:
(1) in rendering judgments in trials to the court in
civil and criminal matters, including rulings regard-
ing motions for stay of execution, (2) in ruling
on aggravating and mitigating factors in capital
penalty hearings conducted to the court, (3) in
ruling on motions to dismiss under Sections 41-8
through 41-11, (4) in ruling on motions to suppress
under Sections 41-12 through 41-17, (5) in grant-
ing a motion to set aside a verdict under Sections
16-35 through 16-38, and (6) in making any other
rulings that constitute a final judgment for pur-
poses of appeal under General Statutes § 52-263,
including those that do not terminate the proceed-
ings. The judicial authority’s decision shall encom-
pass its conclusion as to each claim of law raised
by the parties and the factual basis therefor. If
oral, the decision shall be recorded by a court
reporter and, if there is an appeal, the trial judge
shall create a memorandum of decision for use
in the appeal by ordering a transcript of the portion
of the proceedings in which it stated its oral deci-
sion. The transcript of the decision shall be signed
by the trial judge and filed in the trial court
clerk’s office.
This section does not apply in small claims
actions and to matters listed in subsection (b).
(b) In any uncontested matter where no aspect
of the matter is in dispute, in a pendente lite family
relations matter whether contested or uncon-
tested, or in any dismissal under Section 14-3,
the oral or written decision as provided in subsec-
tion (a) is not required, except as provided in sub-
section (c). The clerk of the trial court shall,
however, promptly notify the trial judge of the filing
of the appeal.
(c) Within twenty days from the filing of an
appeal from a contested pendente lite order or
from a dismissal under Section 14-3 in which an
oral or written decision has not been made pursu-
ant to subsection (b), each party to the appeal
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6-4. —Signing of Judgment File
6-5. —Notation of Satisfaction
shall file a brief with the trial court discussing the
legal and factual issues in the matter. Within
twenty days after the briefs have been filed by
the parties, the judicial authority shall file a written
memorandum of decision stating the factual basis
for its decision on the issues in the matter and
its conclusion as to each claim of law raised by
the parties.
(P.B. 1978-1997, Sec. 334A.) (Amended June 28, 1999,
to take effect Jan. 1, 2000.)
Sec. 6-2. Judgment Files; Captions and
Contents
The name and residence of every party to the
action, at the date of judgment, must be given in
the caption of every judgment file. In the captions
of pleas, answers, etc., the parties may be
described as John Doe v. Richard Roe et al., but
this will not be sufficient in a judgment file, which
must give all the data necessary for use in drawing
any execution that may be necessary. All judg-
ment files in actions for dissolution of marriage or
civil union, legal separation and annulment shall
state the date and place, including the city or town,
of the marriage and the jurisdictional facts as
found by the judicial authority upon the hearing.
(P.B. 1978-1997, Sec. 336.) (Amended June 26, 2006, to
take effect Jan. 1, 2007.)
Sec. 6-3. —Preparation; When; By Whom;
Filing
(a) Judgment files in civil, criminal, family and
juvenile cases shall be prepared when: (1) an
appeal is taken; (2) a party requests in writing that
the judgment be incorporated into a judgment file;
(3) a judgment has been entered involving the
granting of a dissolution of marriage or civil union,
a legal separation, an annulment, injunctive relief,
or title to property (including actions to quiet title
but excluding actions of foreclosure), except in
those instances where judgment is entered in
such cases pursuant to Section 14-3 and no
appeal has been taken from the judicial authority’s
judgment; (4) a judgment has been entered in a
juvenile matter involving allegations that a child
SUPERIOR COURT—GENERAL PROVISIONSSec. 6-3
has been neglected, abused, or uncared for, or
involving termination of parental rights, commit-
ment of a delinquent child or commitment of a
child from a family with service needs; (5) in crimi-
nal cases, sentence review is requested; or (6)
ordered by the judicial authority.
(b) Unless otherwise ordered by the judicial
authority, the judgment file in juvenile cases shall
be prepared by the clerk and in all other cases,
in the clerk’s discretion, by counsel or the clerk.
As to judgments of foreclosure, the clerk’s office
shall prepare a certificate of judgment in accord-
ance with a form prescribed by the chief court
administrator only when requested in the event
of a redemption. In those cases in which a plaintiff
has secured a judgment of foreclosure under
authority of General Statutes § 49-17, when
requested, the clerk shall prepare a decree of
foreclosure in accordance with a form prescribed
by the chief court administrator.
(c) Judgment files in family cases shall be filed
within sixty days of judgment.
(P.B. 1978-1997, Sec. 337.) (Amended June 26, 2006, to
take effect Jan. 1, 2007; amended June 15, 2012, to take
effect Jan. 1, 2013; amended June 13, 2014, to take effect
Jan. 1, 2015.)
Sec. 6-4. —Signing of Judgment File
(a) Except as hereinafter provided, the judg-
ment file, where it is necessary that it be prepared
pursuant to Section 6-3, shall be signed by the
clerk or assistant clerk unless otherwise ordered
by the judicial authority.
(b) In all actions involving dissolution of mar-
riage or civil union where counsel have appeared
for both the plaintiff and the defendant, unless the
judicial authority shall order otherwise, counsel
for the parties shall endorse their approval of the
judgment file immediately below the line for the
subscribing authority in the following words: "I
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hereby certify that the foregoing judgment file con-
forms to the judgment entered by the court"; the
clerk or assistant clerk, after ascertaining that the
terms of the judgment have been correctly incor-
porated into the judgment file, may sign any judg-
ment file so endorsed.
(c) In those cases in which there is no provision
in this section for a clerk to sign a judgment file
and in which a case has been tried and judgment
has been directed in open court or by memoran-
dum of decision and the trial judge shall die or
become incapacitated before the judgment file is
signed, any judge holding such court may exam-
ine the docket and file and, if it appears therefrom
that the issues have been definitely decided and
that the only thing remaining to be done is the
signing of the judgment file, the judgment file may
be drawn up by that judge or under that judge’s
direction and signed by him or her.
(d) Whenever a clerk or assistant clerk signs a
judgment file, the signer’s name shall be legibly
typed or printed beneath such signature.
(P.B. 1978-1997, Sec. 338.) (Amended June 24, 2002, to
take effect Jan. 1, 2003; amended June 26, 2006, to take
effect Jan. 1, 2007.)
Sec. 6-5. —Notation of Satisfaction
When the judgment is satisfied in a civil action,
the party recovering the judgment shall file written
notice thereof with the clerk, who shall endorse
judgment satisfied on the judgment file, if there is
one, and make a similar notation on the file and
docket sheet, giving the name of the party and
the date. An execution returned fully satisfied shall
be deemed a satisfaction of judgment and the
notice required in this section shall not be filed.
The judicial authority may, upon motion, make a
determination that the judgment has been sat-
isfied.
(P.B. 1978-1997, Sec. 339.) (Amended June 25, 2001, to
take effect Jan. 1, 2002; amended June 30, 2003, to take
effect Jan. 1, 2004.)
SUPERIOR COURT—GENERAL PROVISIONS Sec. 7-4B
CHAPTER 7
CLERKS; FILES AND RECORDS
Sec. Sec.
7-1. Dockets; Clerk’s Records
7-2. General Duties of Clerk
7-3. Financial Accounts
7-4. Daybook
7-4A. Identification of Cases
7-4B. Motion to File Record under Seal
7-4C. Lodging a Record
7-5. Notice to Attorneys and Self-Represented Parties
7-6. Filing of Papers
7-7. Custody of Files
7-8. Lost File or Pleading
7-9. Completing Records
7-10. Retention and Destruction of Files and Records;
Withdrawals, 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
The clerk shall keep a record of all pending
cases, including applications and petitions made
to the court, together with a record of each paper
filed and order made or judgment rendered
therein, with the date of such filing, making or
rendition. Duplicates of these records shall be
kept with the original file in the case.
(P.B. 1978-1997, Sec. 250.)
Sec. 7-2. General Duties of Clerk
The clerk at each court location shall receive
files, processes and documents, make records of
all proceedings required to be recorded, have the
custody of the files and records of the court loca-
tion except those sent to the records center, make
and certify true copies of the files and records at
the court location of which each is the clerk, make
and keep dockets of causes therein, issue execu-
tions on judgments and perform all other duties
imposed on such clerks by law. Each such clerk
shall collect and receive all fines and forfeitures
imposed or decreed by the court, including fines
paid after commitment. (See General Statutes
§ 51-52 and annotations.)
(P.B. 1978-1997, Sec. 395.)
Sec. 7-3. Financial Accounts
The clerk shall make and keep adequate
accounts showing all receipts and disbursements.
Records of such accounts shall be retained for
such period as determined by the chief court
administrator.
(P.B. 1978-1997, Sec. 396.)
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7-11. —Judgments on the Merits—Stripping and Retention
7-12. —Actions Affecting the Title to Land
7-13. —Criminal/Motor Vehicle Files and Records
7-14. —Reports from Adult Probation and Family Division
7-15. —Retention Ordered by Chief Court Administrator;
Transfer to State Library
7-16. —Motion to Prevent Destruction of File
7-17. Clerks’ Offices
7-18. Hospital, Psychiatric and Medical Records
7-19. Issuing Subpoenas for Witnesses on Behalf of Self-
Represented Litigants
7-20. Records of Short Calendar Matters
7-21. Removing Exhibits and Other Papers
Sec. 7-4. Daybook
The clerk shall keep daybooks in which to enter
each case on the date upon which the matter is
filed on a docket of the court location. Each entry
shall state the first named plaintiff and the first
named defendant, unless otherwise prohibited by
statute or ordered by the judicial authority, the
date of filing and the number assigned to the case.
Daybooks shall be retained for a period deter-
mined by the chief court administrator.
(P.B. 1978-1997, Sec. 397.)
Sec. 7-4A. Identification of Cases
Except as otherwise required by statute, every
case filed in the superior court shall be identified
as existing in the records of the court by docket
number and by the names of the parties, and this
information shall be available to the public.
(Adopted May 14, 2003, to take effect July 1, 2003.)
COMMENTARY—2003: In all cases brought, the records
of the clerk’s office shall reflect a docket number and names
of the parties involved. This information shall be available to
any member of the public who shall request such information.
The names of the parties reflected in the records of the clerk’s
office shall reflect the true identity of the parties unless permis-
sion has been granted for use of a pseudonym pursuant to
Section 11-20A. If a motion for use of a pseudonym is granted,
then the records of the clerk’s office shall reflect that
pseudonym.
Sec. 7-4B. Motion to File Record under Seal
(a) As used in this section, ‘‘record’’ means any
affidavit, document, or other material.
(b) A party filing a motion requesting that a
record be filed under seal or that its disclosure
be limited shall lodge the record with the court
SUPERIOR COURT—GENERAL PROVISIONSSec. 7-4B
pursuant to Section 7-4C when the motion is filed,
unless the judicial authority, for good cause
shown, orders that the record need not be lodged.
The motion must be accompanied by an appro-
priate memorandum of law to justify the sealing
or limited disclosure.
(c) If necessary to prevent disclosure, the
motion, any objection thereto, and any supporting
records must be filed in a public redacted version
and lodged in a nonredacted version conditionally
under seal.
(d) If the judicial authority denies the motion to
seal or to limit disclosure, the clerk shall either (1)
return the lodged record to the submitting party
and shall not place it in the court file or (2) upon
written request of the submitting party retain the
record as a lodged record so that in the event the
submitting party appeals the denial of the motion,
the lodged record can be part of the record on
appeal of the final judgment in the case. In the
latter event or if the judicial authority grants the
motion, the clerk shall follow the procedure set
forth in Section 7-4C (e). If the lodged record is
retained pursuant to (2) above, the clerk shall
return it to the submitting party or destroy it upon
the expiration of the appeal period if no appeal
has been filed.
(Adopted May 14, 2003, to take effect July 1, 2003;
amended June 21, 2004, to take effect Jan. 1, 2005.)
COMMENTARY—2003: Sections 7-4B and 7-4C are nec-
essary to provide a uniform procedure for the filing of motions
to seal records and the processing of such motions by the
clerks. These rules are based on Rule 243.2 of the California
Rules of Court.
HISTORY—2005: In 2005, the words ‘‘or limited disclosure’’
were added to the end of subsection (b).
COMMENTARY—2005: The above change made the rule
internally consistent.
Sec. 7-4C. Lodging a Record
(a) A ‘‘lodged’’ record is a record that is tempo-
rarily placed or deposited with the court but not
filed.
(b) A party who moves to file a record under
seal or to limit its disclosure shall put the record in
a manila envelope or other appropriate container,
seal the envelope or container, and lodge it with
the court.
(c) The party submitting the lodged record must
affix to the envelope or container a cover sheet
that contains the case caption and docket number,
the words ‘‘Conditionally Under Seal,’’ the name
of the party submitting the record and a statement
that the enclosed record is subject to a motion to
file the record under seal.
(d) Upon receipt of a record lodged under this
section, the clerk shall note on the affixed cover
sheet the date of its receipt and shall retain but
not file the record unless the court orders it filed.
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(e) If the judicial authority grants the motion to
seal the record or to limit its disclosure, the clerk
shall prominently place on the envelope or con-
tainer in bold letters the words ‘‘Sealed by Order
of the Court on (Date)’’ or ‘‘Disclosure Limited
by Order of the Court on (Date),’’ as appro-
priate, and shall affix to the envelope or container
a copy of the court’s order and the public redacted
version of the motion. If the judicial authority
denies the motion and the submitting party
requests in writing that the record be retained as
a lodged record, the clerk shall prominently place
on the envelope or container in bold letters the
words ‘‘Motion Denied, Retain as Lodged
Record’’ and shall affix to the envelope or con-
tainer a copy of the court’s order and the public
redacted version of the motion.
(Adopted May 14, 2003, to take effect July 1, 2003.)
Sec. 7-5. Notice to Attorneys and Self-Rep-
resented Parties
The clerk shall give notice, by mail or by elec-
tronic delivery, to the attorneys of record and self-
represented parties unless otherwise provided by
statute or these rules, of all judgments, nonsuits,
defaults, decisions, orders and rulings unless
made in their presence. The clerk shall record in
the court file the date of the issuance of the notice.
(P.B. 1978-1997, Sec. 398.) (Amended June 20, 2011, to
take effect Jan. 1, 2012.)
Sec. 7-6. Filing of Papers
No document in any case shall be filed by the
clerk unless it has been signed by counsel or a
self-represented party and contains the title of
the case to which it belongs, the docket number
assigned to it by the clerk and the nature of the
document. The document shall contain a certifica-
tion of service in accordance with Sections 10-12
through 10-17, and, if required by Section 11-1,
a proper order and order of notice if one or both
are necessary.
(P.B. 1978-1997, Sec. 399.)
Sec. 7-7. Custody of Files
Clerks will not permit files, records, transcripts,
or exhibits to be taken from their offices, except
for use in the courtroom or upon order of a judicial
authority. No person shall take any file from the
custody of the clerk or from the courtroom without
the express authority of a judicial authority or a
clerk of the court and unless a proper receipt is
given to the clerk on a form prescribed by the
office of the chief court administrator.
(P.B. 1978-1997, Sec. 400.)
SUPERIOR COURT—GENERAL PROVISIONS Sec. 7-11
Sec. 7-8. Lost File or Pleading
If any file or pleading be mislaid, lost or
destroyed the clerk may permit the original dupli-
cate or a sworn copy to be substituted therefor in
the files, and such substitution shall be certified
by the clerk thereon.
(P.B. 1978-1997, Sec. 402.)
Sec. 7-9. Completing Records
The clerk may, when so directed by a judicial
authority, make up, amend and complete any
imperfect or unfinished record in such manner
as the judicial authority may direct. (See General
Statutes § 51-52a (b).)
(P.B. 1978-1997, Sec. 403.)
Sec. 7-10. Retention and Destruction of
Files and Records; Withdrawals, Dismiss-
als, Satisfactions of Judgment
The files in all civil, family and juvenile actions,
including summary process and small claims,
which, before a final judgment has been rendered
on the issues, have been terminated by the filing
of a withdrawal or by a judgment of dismissal or
nonsuit when the issues have not been resolved
on the merits or upon motion by any party or the
court, or in which judgment for money damages
only has been rendered and a full satisfaction of
such judgment has been filed, may be destroyed
upon the expiration of one year after such termina-
tion or the rendition of such judgment.
(P.B. 1978-1997, Sec. 403B.) (Amended June 29, 1998,
to take effect Jan. 1, 1999.)
Sec. 7-11. —Judgments on the Merits—
Stripping and Retention
(a) With the exception of actions which affect
the title to land and actions which have been dis-
posed of pursuant to Section 7-10, the files in civil,
family and juvenile actions in which judgment has
been rendered may be stripped and destroyed
pursuant to the schedule set forth in subsection
(d), except that requests relating to discovery,
responses and objections thereto may be stripped
after the expiration of the appeal period.
(b) When a file is to be stripped, all papers in
the file shall be destroyed except:
(1) The complaint, including any amendment
thereto, substituted complaint or amended com-
plaint;
(2) All orders of notice, appearances and offi-
cers’ returns;
(3) All military or other affidavits;
(4) Any cross complaint, third-party complaint,
or amendment thereto;
(5) All responsive pleadings;
(6) Any memorandum of decision;
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(7) The judgment file or notation of the entry of
judgment, and all modifications of judgment;
(8) All executions issued and returned.
(c) Upon the expiration of the stripping date, or
at any time if facilities are not available for local
retention, the file in any action set forth in subsec-
tion (d) may be transferred to the records center
or other proper designated storage area, where
it shall be retained for the balance of the retention
period. Files in actions concerning dissolution of
marriage or civil union, legal separation, or annul-
ment may, upon agreement with officials of the
state library, be transferred to the state library at
the expiration of their retention period.
(d) The following is a schedule which sets forth
when a file may be stripped and the length of
time the file shall be retained. The time periods
indicated herein shall run from the date judgment
is rendered, except receivership actions or actions
for injunctive relief, which shall run from the date
of the termination of the receivership or injunction.
Type of Case Stripping Retention
Date Date
(1) Administrative appeals 3 years
(2) Contracts (where money dam- 1 year 20 years
ages are not awarded)
(3) Eminent domain (except as 10 years
provided in Section 7-12)
(4) Family
-Dissolution of marriage or civil 5 years 75 years
union, legal separation, annul-
ment and change of name
-Delinquency Until subject is 25
years of age
-Family with service needs Until subject is 25
years of age
-Termination of parental rights Permanent
-Neglect and uncared for 75 years
-Emancipation of minor 5 years
-Orders in relief from physical 5 years
abuse (General Statutes
§ 46b-15)
-Other 75 years
(5) Family support magistrate 75 years
matters
-Uniform Reciprocal Enforce- 75 years
ment of Support
-Uniform Interstate Family Sup- 75 years
port Act
(6) Landlord/Tenant
-Summary process 3 years
-Housing code enforcement 5 years
(General Statutes § 47a-14h)
-Contracts/Leases (where 1 year 20 years
money damages are not
awarded)
-Money damages (except 1 year 26 years
where a satisfaction of judg-
ment has been filed)
SUPERIOR COURT—GENERAL PROVISIONSSec. 7-11
(7) Miscellaneous
-Bar discipline 50 years
-Money damages (except 1 year 26 years
where a satisfaction of judg-
ment has been filed)
-Mandamus, habeas corpus, 10 years
arbitration, petition for new trial,
action for an accounting, inter-
pleader
-Injunctive relief (where no 5 years
other relief is requested)
(8) Property (except as provided 5 years 26 years
in Section 7-12)
(9) Receivership 10 years
(10) Small Claims 15 years
(11) Torts (except as noted below) 1 year 26 years
-Money damages if the judg- Permanent
ment was rendered in an action
to recover damages for per-
sonal injury caused by sexual
assault where the party at fault
was convicted under General
Statutes § 53a-70 or § 53a-70a
(except where a satisfaction of
judgment has been filed)
(12) Wills and estates 10 years
(13) Asset forfeiture (General Stat- 10 years
utes § 54-36h)
(14) Alcohol and drug commitment 10 years
(General Statutes § 17a-685)
(15) All other civil actions (except as 75 years
provided in Section 7-12)
(P.B. 1978-1997, Sec. 403C.) (Amended June 29, 1998, to
take effect Jan. 1, 1999; amended June 28, 1999, to take
effect Jan. 1, 2000; amended June 30, 2003, to take effect
Jan. 1, 2004; amended June 26, 2006, to take effect Jan. 1,
2007; amended June 15, 2012, to take effect Jan. 1, 2013;
amended June 23, 2017, to take effect Jan. 1, 2018.)
HISTORY—2018: In subsection (d) (5), in the ‘‘retention
date’’ column, two instances of ‘‘6 years after youngest child
reaches majority age or after activity ceases, whichever is
shorter, subject to federal law on filing an amended tax return’’
were replaced with ‘‘75 years.’’
TECHNICAL CHANGE: In subsection (a) ‘‘below’’ was
deleted after ‘‘subsection (d).’’ Also, in the second sentence
of subsection (d), ‘‘below’’ was replaced with ‘‘herein’’ after
‘‘indicated.’’
COMMENTARY—2018: The changes to this section make
the retention period for UIFSA and URESA cases 75 years
conform to the retention of those case types with the retention
of other Family Support Magistrate matters.
Sec. 7-12. —Actions Affecting the Title to
Land
Files in any actions concerning title to land
which are terminated by a final judgment affecting
any right, title or interest in real property shall be
retained for forty years in the office of the clerk
of the court location in which the judgment is ren-
dered and thereafter may be transferred to the
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state library pursuant to Section 7-15 (b) or to the
judicial branch record center.
(P.B. 1978-1997, Sec. 403D.)
Sec. 7-13. —Criminal/Motor Vehicle Files
and Records
(Amended June 29, 1998, to take effect Jan. 1, 1999.)
(a) Upon the disposition of any criminal case,
except a case in which a felony or a capital felony
conviction resulted, or any motor vehicle case,
including any matter brought pursuant to the com-
mission of an infraction or a violation, the file may
be stripped of all papers except (1) the executed
arrest warrant and original affidavit in support of
probable cause, the misdemeanor/motor vehicle
summons, prosecutorial summons or the com-
plaint ticket, (2) the uniform arrest report, (3) the
information or indictment and any substitute infor-
mation, (4) a written plea of nolo contendere, (5)
documents relating to programs for adjudication
and treatment as a youthful offender, programs
relating to family violence education, community
service labor, accelerated pretrial rehabilitation,
pretrial drug education, pretrial alcohol education
and treatment, determination of competency to
stand trial or suspension of prosecution or any
other programs for adjudication or treatment
which may be created from time to time, (6) any
official receipts, (7) the judgment mittimus, (8) any
written notices of rights, (9) orders regarding pro-
bation, (10) any exhibits on file, (11) any tran-
scripts on file of proceedings held in the matter,
and (12) the transaction sheet.
(b) Unless otherwise ordered by the court, the
copy of the application for a search warrant and
affidavits filed pursuant to General Statutes § 54-
33c shall be destroyed upon the expiration of three
years from the filing of the copy of the application
and affidavits with the clerk.
(c) Except as otherwise provided, the papers
stripped from the court file may be destroyed upon
the expiration of ninety days from the date of dis-
position of the case.
(d) Upon the disposition of any criminal or motor
vehicle case in which the defendant has been
released pursuant to a bond, the clerk shall
remove the bond form from the file and maintain
it in the clerk’s office for such periods as deter-
mined by the chief court administrator.
(e) Upon the disposition of any criminal or motor
vehicle case in which property is seized, whether
pursuant to a search warrant, an arrest, an in rem
proceeding or otherwise, the clerk shall remove
the executed search warrant, if any, papers relat-
ing to any in rem proceedings, if any, and the
inventory of the seized property from the court file
and maintain them in the clerk’s office during the
SUPERIOR COURT—GENERAL PROVISIONS Sec. 7-17
pendency of proceedings to dispose of the prop-
erty and for such further periods as determined
by the chief court administrator.
(f) In cases in which there has been neither a
conviction nor the payment of a fine on any
charge, the file shall be destroyed upon the expira-
tion of three years from the date of disposition.
(g) In cases in which a fine has been paid pursu-
ant to an infraction or a violation, the file shall be
destroyed upon the expiration of five years from
the date of disposition.
(h) In cases in which there has been a convic-
tion of a misdemeanor charge but not a conviction
of a felony charge, the file shall be destroyed
upon the expiration of ten years from the date
of disposition.
(i) In cases in which there has been a conviction
of a felony charge but not a conviction of a capital
felony charge, the file, all exhibits and the tran-
scripts of all proceedings held in the matter shall
be destroyed upon the expiration of twenty years
from the date of disposition or upon the expiration
of the sentence, whichever is later.
(j) In cases in which there has been a conviction
of a capital felony charge, the file, all exhibits and
the transcripts of all proceedings held in the matter
shall be destroyed upon the expiration of seventy-
five years from such conviction.
(k) The file and records in any case in which
an individual is adjudged a youthful offender shall
be retained for ten years.
(l) The file in any case in which the disposition
is not guilty by reason of mental disease or defect
shall be retained for seventy-five years.
(m) Investigatory grand jury records shall be
retained permanently.
(P.B. 1978-1997, Sec. 403E.) (Amended June 29, 1998,
to take effect Jan. 1, 1999; amended June 30, 2003, to take
effect Jan. 1, 2004; amended June 29, 2007, to take effect
Jan. 1, 2008; amended June 22, 2009, to take effect Jan.
1, 2010.)
Sec. 7-14. —Reports from Adult Probation
and Family Division
(a) The office of adult probation shall maintain
one copy of each presentence investigation report
for twenty-five years. Copies of such reports in
the custody of the clerk pursuant to Section 43-
8 may be destroyed upon the expiration of one
year from the date of final disposition of the case.
(b) Except as provided in General Statutes
§ 45a-757, the family division of the superior court
shall maintain one copy of each case study report
prepared pursuant to Section 25-60 for two years
beyond the youngest child’s eighteenth birthday
and copies of such reports in the custody of the
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clerk may be destroyed upon the expiration of one
year from the date of final disposition of the case.
(P.B. 1978-1997, Sec. 403F.)
Sec. 7-15. —Retention Ordered by Chief
Court Administrator; Transfer to State
Library
(a) The chief court administrator may require
that any files and records of the judicial branch,
the retention of which is not otherwise provided for
by rule or statute, be retained either for a specific
period or permanently, and may authorize the
transfer of any such files and records to the
records center or other proper facility for retention.
Such files and records may be destroyed upon
the expiration of the specific period required for
their retention.
(b) Except where prohibited by rule or statute,
any files and records of the judicial branch may,
with the written consent of the chief court adminis-
trator and upon agreement with the appropriate
officials of the state library, be transferred to the
state library for retention.
(P.B. 1978-1997, Sec. 403G.)
Sec. 7-16. —Motion to Prevent Destruction
of File
Upon the motion of any interested party, the
judicial authority may, for good cause shown,
exempt from destruction for a specified period the
file in any case which has gone to judgment for
reasons other than dismissal.
(P.B. 1978-1997, Sec. 403H.)
Sec. 7-17. Clerks’ Offices
The chief court administrator shall, from time
to time, determine for each clerk’s office the hours
that it shall be open, provided that each clerk’s
office shall be open at least five days a week
except during weeks which include a legal holiday.
The chief court administrator may increase the
hours of the clerk’s office for the purpose of the
acceptance of bonds or for other limited purposes
for one or more court locations. If the last day for
filing any matter in the clerk’s office falls on a day
on which such office is not open as thus provided
or is closed pursuant to authorization by the
administrative judge in consultation with the chief
court administrator or the chief court administrator
due to the existence of special circumstances,
then the last day for filing shall be the next busi-
ness day upon which such office is open. Except
as provided below, a document that is electroni-
cally received by the clerk’s office for filing after
5 o’clock in the afternoon on a day on which the
clerk’s office is open or that is electronically
received by the clerk’s office for filing at any time
on a day on which the clerk’s office is closed, shall
SUPERIOR COURT—GENERAL PROVISIONSSec. 7-17
be deemed filed on the next business day upon
which such office is open. If a party is unable to
electronically file a document because the court’s
electronic filing system is nonoperational for thirty
consecutive minutes from 9 o’clock in the fore-
noon to 3 o’clock in the afternoon or for any period
of time from 3 o’clock to 5 o’clock in the afternoon
of the day on which the electronic filing is
attempted, and such day is the last day for filing
the document, the document shall be deemed to
be timely filed if received by the clerk’s office on
the next business day the electronic system is
operational.
(P.B. 1978-1997, Sec. 405.) (Amended June 24, 2002, to
take effect Jan. 1, 2003; amended June 21, 2004, to take
effect July 13, 2004; amended June 21, 2010, to take effect
Jan. 1, 2011; amended June 24, 2016, to take effect July
12, 2016.)
Sec. 7-18. Hospital, Psychiatric and Medi-
cal Records
Hospital, psychiatric and medical records shall
not be filed with the clerk unless such records are
submitted in a sealed envelope clearly identified
with the case caption, the subject’s name and the
name of the attorney or self-represented party
pursuant to Section 7-19 subpoenaing the same.
Such records shall be opened only pursuant to
court order.
(P.B. 1978-1997, Secs. 397B, 1011E.) (Amended June 23,
2017, to take effect Jan. 1, 2018.)
HISTORY—2018: In the first sentence, ‘‘and the health
care provider, institution or facility from which said records
were issued’’ was deleted after ‘‘name’’ and ‘‘and the name
of the attorney or self-represented party pursuant to Section
7-19 subpoenaing the same’’ was added.
COMMENTARY—2018: The changes to this section make
it consistent with General Statutes § 4-104.
Sec. 7-19. Issuing Subpoenas for Witnesses
on Behalf of Self-Represented Litigants
Self-represented litigants seeking to compel the
attendance of necessary witnesses in connection
with the hearing of any matter shall file an applica-
tion to have the clerk of the court issue subpoenas
for that purpose. The application shall include a
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summary of the expected testimony of each pro-
posed witness so that the court may determine
the relevance of the testimony. The clerk, after
verifying the scheduling of the matter, shall pre-
sent the application to the judge before whom the
matter is scheduled for hearing, or the administra-
tive judge or any judge designated by the adminis-
trative judge if the matter has not been scheduled
before a specific judge, which judge shall conduct
an ex parte review of the application and may
direct or deny the issuance of subpoenas as such
judge deems warranted under the circumstances,
keeping in mind the nature of the scheduled hear-
ing and future opportunities for examination of
witnesses, as may be appropriate. If an applica-
tion is denied in whole or in part, the applicant
may request a hearing which shall be scheduled
by the court.
(P.B. 1978-1997, Sec. 395A.) (Amended June 12, 2015,
to take effect Jan. 1, 2016; amended June 24, 2016, to take
effect Jan. 1, 2017.)
Sec. 7-20. Records of Short Calendar
Matters
The clerk shall keep a record of all matters
assigned for hearing on the civil short calendar
together with the disposition made of them. Such
records shall be retained for such period and in
such format as determined by the chief court
administrator.
(P.B. 1978-1997, Sec. 397A.) (Amended June 30, 2008,
to take effect Jan. 1, 2009.)
Sec. 7-21. Removing Exhibits and Other
Papers
Unless otherwise ordered by the judicial author-
ity, it is the duty of attorneys and self-represented
parties, upon the final determination of any civil
case, to remove from the courthouse all exhibits
that have been entered into evidence, briefs,
depositions, and memoranda and, if not so
removed, such items may be destroyed by the
clerk four months after the final determination of
the case, without notice.
(P.B. 1978-1997, Sec. 401.)
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 8-2
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS
CHAPTER 8
COMMENCEMENT OF ACTION
Sec. Sec.
8-1. Process
8-2. Waiver of Court Fees and Costs
8-3. Bond for Prosecution [Repealed]
8-3A. Bond for Prosecution or Recognizance
8-4. Certification of Financial Responsibility [Repealed]
8-5. Remedy for Failure to Give Bond [Repealed]
8-6. Bond Ordered by Judicial Authority [Repealed]
For previous Histories and Commentaries see the editions of the Practice Book
corresponding to the years of the previous amendments.
Sec. 8-1. Process
(Amended June 14, 2013, to take effect Jan. 1, 2014.)
(a) Process in civil actions shall be a writ of
summons or attachment, describing the parties,
the court to which it is returnable and the time
and place of appearance, and shall be accompa-
nied by the plaintiff’s complaint. Such writ may
run into any judicial district or geographical area
and shall be signed by a commissioner of the
superior court or a judge or clerk of the court to
which it is returnable. Except in those actions and
proceedings indicated below, the writ of summons
shall be on a form substantially in compliance with
the following judicial branch forms prescribed by
the chief court administrator: Form JD-FM-3 in
family actions, Form JD-HM-32 in summary pro-
cess actions, and Form JD-CV-1 in other civil
actions, as such forms shall from time to time
be amended. Any person proceeding without the
assistance of counsel shall sign the complaint and
present the complaint and proposed writ of sum-
mons to the clerk; the clerk shall review the pro-
posed writ of summons and, unless it is defective
as to form, shall sign it.
(b) For administrative appeals brought pursuant
to General Statutes § 4-183 et seq., process and
service of process shall be made in accordance
with General Statutes § 4-183 (c) and Practice
Book Section 14-7A (a).
(c) Form JD-FM-3, Form JD-HM-32, and Form
JD-CV-1 shall not be used in the following actions
and proceedings:
(1) Applications for change of name.
(2) Proceedings pertaining to arbitration.
(3) Probate appeals.
(4) Administrative appeals.
(5) Verified petitions for paternity.
(6) Verified petitions for support orders.
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8-7. Request to Furnish Bond [Repealed]
8-8. Member of Community Defending to Give Bond
[Repealed]
8-9. Bond by Nonresident in Realty Action [Repealed]
8-10. Surety Company Bond Acceptable
8-11. Action on Probate Bond; Endorsement of Writ
[Repealed]
8-12. Renewal of Bond
(7) Any actions or proceedings in which an
attachment, garnishment or replevy is sought.
(8) Applications for custody.
(9) Applications for visitation.
(d) A plaintiff may, before service on a defend-
ant, alter printed forms JD-FM-3, JD-HM-32, and
JD-CV-1 in order to make them conform to any
relevant amendments to the rules of practice or
statutes.
(P.B. 1978-1997, Sec. 49.) (Amended June 28, 1999, to
take effect Jan. 1, 2000; amended June 21, 2004, to take
effect Jan. 1, 2005; amended June 14, 2013, to take effect
Jan. 1, 2014.)
Sec. 8-2. Waiver of Court Fees and Costs
(a) Prior to the commencement of an action, or
at any time during its pendency, a party may file
with the clerk of the court in which the action is
pending, or in which the party intends to return a
writ, summons and complaint, an application for
waiver of fees payable to the court and for pay-
ment by the state of the costs of service of pro-
cess. The application shall set forth the facts
which are the basis of the claim for waiver and
for payment by the state of any costs of service
of process; a statement of the applicant’s current
income, expenses, assets and liabilities; pertinent
records of employment, gross earnings, gross
wages and all other income; and the specific fees
and costs of service of process sought to be
waived or paid by the state and the amount of
each. The application and any representations
shall be supported by an affidavit of the applicant
to the truth of the facts recited.
(b) The clerk with whom such an application is
filed shall refer it to the court of which he or she
is clerk. If the court finds that a party is indigent
and unable to pay a fee or fees payable to the
court or to pay the cost of service of process, the
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 8-2
court shall waive such fee or fees and the cost of
service of process shall be paid by the state.
(c) There shall be a rebuttable presumption that
a person is indigent and unable to pay a fee or
fees or the cost of service of process if (1) such
person receives public assistance or (2) such per-
son’s income after taxes, mandatory wage deduc-
tions and child care expenses is one hundred
twenty-five percent or less of the federal poverty
level. For purposes of this subsection, ‘‘public
assistance’’ includes, but is not limited to, state
administered general assistance, temporary fam-
ily assistance, aid to the aged, blind and disabled,
food stamps and supplemental security income.
(d) Nothing in this section shall preclude the
court from (1) finding that a person whose income
does not meet the criteria of subsection (c) of this
section is indigent and unable to pay a fee or fees
or the cost of service of process, or (2) denying
an application for the waiver of the payment of a
fee or fees or the cost of service of process when
the court finds that (A) the applicant has repeat-
edly filed actions with respect to the same or simi-
lar matters, (B) such filings establish an extended
pattern of frivolous filings that have been without
merit, (C) the application sought is in connection
with an action before the court that is consistent
with the applicant’s previous pattern of frivolous
filings, and (D) the granting of such application
would constitute a flagrant misuse of Judicial
Branch resources.
If an application for the waiver of the payment
of a fee or fees or the cost of service of process
is denied, the court clerk shall, upon the request
of the applicant, schedule a hearing on the appli-
cation. Nothing in this section shall affect the
inherent authority of the court to manage its
docket.
(P.B. 1978-1997, Sec. 50.) (Amended June 21, 2010, to
take effect Jan. 1, 2011; amended June 13, 2014, to take
effect Jan. 1, 2015.)
Sec. 8-3. Bond for Prosecution
[Repealed as of Jan. 1, 2017.]
Sec. 8-3A. Bond for Prosecution or Recog-
nizance
No bond for prosecution or recognizance for
prosecution shall be required of a party in any
civil action unless ordered by the judicial authority
upon motion and for good cause shown. If the
judicial authority finds that a party is not able to
pay the costs of the action, the judicial authority
shall order the party to give a sufficient bond to
pay taxable costs. In determining the sufficiency
of the bond to be given, the judicial authority shall
consider only the taxable costs for which a party
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may be responsible under General Statutes § 52-
257, except that in no event shall the judicial
authority consider the fees or charges of expert
witnesses notwithstanding that such fees or
charges may be allowable under that section. Any
party failing to comply with such order may be
nonsuited or defaulted, as the case may be.
(Adopted June 24, 2016, to take effect Jan. 1, 2017.)
Sec. 8-4. Certification of Financial Respon-
sibility
[Repealed as of Jan. 1, 2017.]
Sec. 8-5. Remedy for Failure to Give Bond
[Repealed as of Jan. 1, 2017.]
Sec. 8-6. Bond Ordered by Judicial
Authority
[Repealed as of Jan. 1, 2017.]
Sec. 8-7. Request to Furnish Bond
[Repealed as of Jan. 1, 2017.]
Sec. 8-8. Member of Community Defending
to Give Bond
[Repealed as of Jan. 1, 2017.]
Sec. 8-9. Bond by Nonresident in Realty
Action
[Repealed as of Jan. 1, 2017.]
Sec. 8-10. Surety Company Bond Ac-
ceptable
Any surety company chartered by this state or
authorized to do business herein may be accepted
as surety or recognizor upon any bond or recogni-
zance required by law in any civil action or in any
proceeding instituted under the statutes of this
state and, in any case where a bond or recogni-
zance is required by law, the bond of such com-
pany, duly executed and conditioned for the
performance of the obligations expressed in such
bond or recognizance, may be accepted by the
person having authority thereto, who shall file it
with the court where the action or proceeding is
returnable or pending. (See General Statutes
§ 52-189 and annotations.)
(P.B. 1978-1997, Sec. 58.) (Amended June 24, 2016, to
take effect Jan. 1, 2017.)
Sec. 8-11. Action on Probate Bond;
Endorsement of Writ
[Repealed as of Jan. 1, 2017.]
Sec. 8-12. Renewal of Bond
Bonds given in the course of any judicial pro-
ceedings may, for reasonable cause and upon
due notice, be renewed, or other bonds taken in
lieu of them, by the judicial authority.
(P.B. 1978-1997, Sec. 60.) (Amended June 24, 2016, to
take effect Jan. 1, 2017.)
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 9-2
CHAPTER 9
PARTIES
Sec. Sec.
9-1. Continuance for Absent or Nonresident Defendant
9-2. Defense by Garnishee; Continuance
9-3. Joinder of Parties and Actions; Interested Persons
as Plaintiffs
9-4. —Joinder of Plaintiffs in One Action
9-5. —Consolidation of Actions
9-6. —Interested Persons as Defendants
9-7. Class Actions; Prerequisites to Class Actions
9-8. —Class Actions Maintainable
9-9. —Procedure for Class Certification and Management
of Class
9-10. —Orders to Ensure Adequate Representation
9-11. Executor, Administrator or Trustee of Express Trust
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-
ident Defendant
Every civil action in which the defendant is an
inhabitant of this state but is absent therefrom at
the commencement of the suit and continues to
be absent until after the return day, without having
entered any appearance therein, shall be contin-
ued or postponed for thirty days by order of the
judicial authority. If the defendant does not then
appear and no special reason is shown for further
delay, judgment by default may be rendered
against the defendant. If the defendant is not an
inhabitant or resident of this state at the com-
mencement of the action and does not appear
therein, the judicial authority shall continue or
postpone it for a period of three months and may,
if it deems further notice advisable, direct such
further notice of the pendency of the action to be
given to the defendant by publication in some
newspaper, or otherwise, as it deems expedient,
or may authorize any person empowered to serve
process by the laws of the foreign jurisdiction in
which such defendant resides to serve upon such
defendant a copy of the summons and complaint
and of the order of notice and such person shall
make affidavit of his or her doings thereon on the
original order of notice. If, upon the expiration of
such three months, the defendant does not then
appear and no special reason is shown for further
delay, judgment may be rendered against such
defendant by default. Upon the expiration of any
such continuance, it shall be presumed prima
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9-13. Persons Liable on Same Instrument
9-14. Defendants Alternately Liable
9-15. Assignee of Part Interest
9-16. Assignment Pending Suit
9-17. Unsatisfied Judgment against One Defendant
9-18. Addition or Substitution of Parties; Additional Parties
Summoned in by Court
9-19. —Nonjoinder and Misjoinder of Parties
9-20. —Substituted Plaintiff
9-21. —Counterclaim; Third Parties
9-22. —Motion to Cite in New Parties
9-23. Suit by Real Party in Interest
9-24. Change of Name by Minor Child
9-25. Action on Bond to Municipal Officer
facie that no special reason for further delay
exists. In actions of foreclosure, including prayers
for relief incident thereto and part thereof, judg-
ment may then be rendered upon the plaintiff’s
motion for judgment of foreclosure. The provisions
of this section shall not apply in the case of any
civil action brought under and pursuant to General
Statutes § 47-33 or § 52-69 and no continuance
or postponement of any such action or additional
notice of the pendency thereof shall be required
unless the judicial authority so orders. (See Gen-
eral Statutes § 52-87 and annotations.)
(P.B. 1978-1997, Sec. 80.)
Sec. 9-2. Defense by Garnishee; Con-
tinuance
In any action by foreign attachment, if the
defendant does not appear, any garnishee may
be admitted to defend his or her principal; but, if
the defendant is not in this state and does not
appear, personally or by attorney, and the gar-
nishee does not appear to defend, the action shall
be continued, postponed or adjourned for a period
of three months from the return day of the writ.
Any continuance, postponement or adjournment,
prescribed in this or Section 9-1, shall not be
granted or, if granted, shall terminate whenever
the judicial authority finds that the absent or non-
resident defendant, or authorized agent or attor-
ney, has received actual notice of the pendency
of the case at least twelve days prior to such
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 9-2
finding, and thereupon, unless some special rea-
son is shown for further delay, the cause may be
brought to trial. (See General Statutes § 52-88
and annotations.)
(P.B. 1978-1997, Sec. 81.)
Sec. 9-3. Joinder of Parties and Actions;
Interested Persons as Plaintiffs
All persons having an interest in the subject of
the action, and in obtaining the judgment
demanded, may be joined as plaintiffs, except
as otherwise expressly provided; and, if one who
ought to be joined as plaintiff declines to join, such
person may be made a defendant, the reason
therefor being stated in the complaint. (See Gen-
eral Statutes § 52-101 and annotations.)
(P.B. 1978-1997, Sec. 83.)
Sec. 9-4. —Joinder of Plaintiffs in One
Action
All persons may be joined in one action as plain-
tiffs in whom any right of relief in respect to or
arising out of the same transaction or series of
transactions is alleged to exist either jointly or
severally when, if such persons brought separate
actions, any common question of law or fact would
arise; provided, if, upon the motion of any party,
it would appear that such joinder might embarrass
or delay the trial of the action, the judicial authority
may order separate trials, or make such other
order as may be expedient, and judgment may
be given for such one or more of the plaintiffs as
may be found to be entitled to relief, for the relief
to which he, she or they may be entitled; and there
shall be but one entry fee, one jury fee, if claimed
for jury trial, and such other costs as may by rule
be prescribed.
(P.B. 1978-1997, Sec. 84.)
Sec. 9-5. —Consolidation of Actions
(a) Whenever there are two or more separate
actions which should be tried together, the judicial
authority may, upon the motion of any party or
upon its own motion, order that the actions be
consolidated for trial.
(b) If a party seeks consolidation, the motion to
consolidate shall be filed in all of the court files
proposed to be consolidated, shall include the
docket number and judicial district of each of the
cases, and shall contain a certification specifically
stating that the motion was served in accordance
with Sections 10-12 through 10-17 on all parties
to such actions. The certification shall specifically
recite the name and address of each counsel and
self-represented party served, the date of such
service and the name and docket number of the
case in which that person has appeared. The mov-
ing party shall give reasonable notice to all such
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parties of the date on which the motion will be
heard on short calendar. The judicial authority
shall not consider the motion unless it is satisfied
that such notice was given.
(c) The court files in any actions consolidated
pursuant to this section shall be maintained as
separate files and all documents submitted by
counsel or the parties shall bear only the docket
number and case title of the file in which it is to
be filed.
(P.B. 1978-1997, Sec. 84A.) (Amended June 29, 1998, to
take effect Jan. 1, 1999.)
Sec. 9-6. —Interested Persons as De-
fendants
Any person may be made a defendant who has
or claims an interest in the controversy, or any
part thereof, adverse to the plaintiff, or whom it is
necessary, for a complete determination or settle-
ment of any question involved therein, to make a
party. (See General Statutes § 52-102 and anno-
tations.)
(P.B. 1978-1997, Sec. 85.)
Sec. 9-7. Class Actions; Prerequisites to
Class Actions
One or more members of a class may sue or
be sued as representative parties on behalf of all
only if (1) the class is so numerous that joinder
of all members is impracticable, (2) there are
questions of law or fact common to the class,
(3) the claims or defenses of the representative
parties are typical of the claims or defenses of the
class, and (4) the representative parties will fairly
and adequately protect the interests of the class.
(P.B. 1978-1997, Sec. 87.)
Sec. 9-8. —Class Actions Maintainable
An action may be maintained as a class action
if the prerequisites of Section 9-7 are satisfied,
and in addition:
(1) the prosecution of separate actions by or
against individual members of the class would
create a risk of: (A) inconsistent or varying adjudi-
cations with respect to individual members of the
class which would establish incompatible stan-
dards of conduct for the party opposing the class;
or (B) adjudications with respect to individual
members of the class which would, as a practical
matter, be dispositive of the interests of the other
members who are not parties to the adjudications
or substantially impair or impede their ability to
protect their interests; or
(2) the party opposing the class has acted or
refused to act on grounds generally applicable to
the class, thereby making appropriate final injunc-
tive relief or corresponding declaratory relief with
respect to the class as a whole; or
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 9-9
(3) the court finds that the questions of law or
fact common to the members of the class predom-
inate over any questions affecting only individual
members and that a class action is superior to
other available methods for the fair and efficient
adjudication of the controversy. The matters perti-
nent to the findings include: (A) the interest of
members of the class in individually controlling
the prosecution or defense of separate actions;
(B) the extent and nature of any litigation concern-
ing the controversy already commenced by or
against members of the class; (C) the desirability
or undesirability of concentrating the litigation of
the claims in the particular forum; (D) the difficul-
ties likely to be encountered in the management
of class action.
(P.B. 1978-1997, Sec. 88.) (Amended June 22, 2009, to
take effect Jan. 1, 2010.)
Sec. 9-9. —Procedure for Class Certification
and Management of Class
(Amended June 22, 2009, to take effect Jan. 1, 2010.)
(a) (1) (A) When a person sues or is sued as
a representative of a class, the court must, at an
early practicable time, determine by order whether
to certify the action as a class action.
(B) An order certifying a class action must
define the class and the class claims, issues or
defenses, and must appoint class counsel.
(C) An order under Section 9-9 (a) (1) (A) may
be altered or amended before final judgment.
(2) (A) For any class certified under Section 9-8
(1) or (2), the court must direct notice to the class.
(B) For any class certified under Section 9-8
(3), the court must direct to class members the
best notice practicable under the circumstances,
including individual notice to all members who can
be identified through reasonable effort. The notice
must concisely and clearly state in plain, easily
understood language:
(i) the nature of the action;
(ii) the definition of the class certified;
(iii) the class claims, issues or defenses;
(iv) that a class member may enter an appear-
ance through counsel if the member so desires;
(v) that the court will exclude from the class any
member who requests exclusion, stating when
and how members may elect to be excluded; and
(vi) the binding effect of a class judgment on
class members under Section 9-8 (3).
(3) The judgment in an action maintained as a
class action under Section 9-8 (1) or (2), whether
or not favorable to the class, shall include and
describe those whom the court finds to be mem-
bers of the class. The judgment in an action main-
tained as a class action under Section 9-8 (3),
whether or not favorable to the class, shall include
and specify or describe those to whom the notice
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provided in Section 9-9 (a) (2) (B) was directed,
and who have not requested exclusion, and whom
the court finds to be members of the class.
(4) When appropriate, (A) an action may be
brought or maintained as a class action with
respect to particular issues, or (B) a class may be
divided into subclasses and each subclass treated
as a class, and the provisions of Sections 9-7 and
9-8 shall then be construed and applied
accordingly.
(b) In the conduct of actions to which Section
9-7 et seq. apply, the court may make appro-
priate orders:
(1) determining the course of proceedings or
prescribing measures to prevent undue repetition
or complication in the presentation of evidence
or argument;
(2) requiring, for the protection of the members
of the class or otherwise for the fair conduct of
the action, that notice be given in such manner
as the court may direct to some or all of the mem-
bers of:
(i) any step in the action;
(ii) the proposed extent of the judgment; or
(iii) the opportunity of members to signify
whether they consider the representation fair and
adequate, to intervene and to present claims or
defenses, or otherwise to come into the action;
(3) imposing conditions on the representative
parties or on intervenors;
(4) requiring that the pleadings be amended to
eliminate therefrom allegations as to representa-
tion of absent persons, and that the action pro-
ceed accordingly;
(5) dealing with similar procedural matters.
The orders may be altered or amended as may
be desirable from time to time.
(c) (1) (A) The court must approve any settle-
ment, withdrawal, or compromise of the claims,
issues, or defense of a certified class. Court
approval is not required for settlement, withdrawal
or compromise of a claim in which a class has
been alleged but no class has been certified.
(B) The court must direct notice in a reasonable
manner to all class members who would be bound
by a proposed settlement, withdrawal or com-
promise.
(C) The court may approve a settlement, with-
drawal, or compromise that would bind class
members only after a hearing and on finding that
the settlement, withdrawal, or compromise is fair,
reasonable, and adequate.
(2) The parties seeking approval of a settle-
ment, withdrawal, or compromise of an action in
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 9-9
which a class has been certified must file a state-
ment identifying any agreement made in connec-
tion with the proposed settlement, withdrawal or
compromise.
(3) In an action previously certified as a class
action under Section 9-8 (3), the court may refuse
to approve a settlement unless it affords a new
opportunity to request exclusion to individual class
members who had an earlier opportunity to
request exclusion but did not do so.
(4) (A) Any class member may object to a pro-
posed settlement, withdrawal or compromise that
requires court approval under (c) (1) (A).
(B) An objection made under (c) (4) (A) may be
withdrawn only with the court’s approval.
(d) Unless a statute provides otherwise, a court
that certifies a class must appoint class counsel.
An attorney appointed to serve as class counsel
must fairly and adequately represent the interests
of the class.
(1) In appointing class counsel, the court
must consider:
(i) the work counsel has done in identifying or
investigating potential claims in the action;
(ii) counsel’s experience in handling class
actions, other complex litigation, and claims of the
type asserted in the action;
(iii) counsel’s knowledge of the applicable
law; and
(iv) the resources counsel will commit to repre-
senting the class.
(2) The court may:
(i) consider any other matter pertinent to coun-
sel’s ability to represent the interests of the class
fairly and adequately;
(ii) direct potential class counsel to provide
information on any subject pertinent to the
appointment and to propose terms for attorney’s
fees and nontaxable costs; and
(iii) make further orders in connection with
the appointment.
(e) The court may designate interim counsel to
act on behalf of the putative class before determin-
ing whether to certify the action as a class action.
When there is one applicant for appointment as
class counsel, the court may appoint that appli-
cant only if the applicant is adequate under sub-
section (d). If more than one adequate applicant
seeks appointment as class counsel, the court
must appoint the applicant best able to represent
the interests of the class. The order appointing
class counsel may include provisions about the
award of attorney’s fees or nontaxable costs
under subsection (f).
(f) In an action certified as a class action, the
court may award reasonable attorney’s fees and
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nontaxable costs authorized by law or by consent
of the parties as follows:
(1) a request for an award of attorney’s fees
and nontaxable costs must be made by motion
subject to the provisions of this subdivision, at a
time set by the court. Notice of the motion must
be served on all parties and, for motions by class
counsel, directed to class members in a reason-
able manner.
(2) A class member or a party from whom pay-
ment is sought, may object to the motion.
(3) The court may hold a hearing and must
find the facts and state its conclusions of law on
such motion.
(g) (1) ‘‘Residual funds’’ are funds that remain
after the payment of approved class member
claims, expenses, litigation costs, attorney’s fees,
and other court-approved disbursements made to
implement the relief granted. Nothing in this rule
is intended to limit the parties to a class action
from recommending, or the trial court from approv-
ing, a settlement that does not create residual
funds.
(2) Any order, judgment or approved settlement
in a class action that establishes a process for
identifying and compensating members of the
class may designate the recipient or recipients of
any such residual funds that may remain after the
claims payment process has been completed. In
the absence of such designation, the residual
funds shall be disbursed to the organization
administering the program for the use of interest
on lawyers’ client funds pursuant to General Stat-
utes § 51-81c for the purpose of funding those
organizations that provide legal services for the
poor in Connecticut.
(P.B. 1978-1997, Sec. 89.) (Amended June 22, 2009, to
take effect Jan. 1, 2010; amended June 13, 2014, to take
effect Jan. 1, 2015.)
Sec. 9-10. —Orders to Ensure Adequate
Representation
The judicial authority at any stage of an action
under this section may require such security and
impose such terms as shall fairly and adequately
protect the interests of the class in whose behalf
the action is brought or defended. It may order
that notice be given, in such manner as it may
direct, of the pendency of the action, of a proposed
settlement, of entry of judgment, or of any other
proceedings in the action, including notice to the
absent persons that they may come in and present
claims and defenses if they so desire. Whenever
the representation appears to the judicial authority
inadequate fairly to protect the interests of absent
parties who may be bound by the judgment, it
may at any time prior to judgment order an amend-
ment of the pleadings, eliminating therefrom all
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 9-21
reference to representation of absent persons,
and it shall order entry of judgment in such form
as to affect only the parties to the action and those
adequately represented.
(P.B. 1978-1997, Sec. 90.)
Sec. 9-11. Executor, Administrator or
Trustee of Express Trust
An executor, administrator, or trustee of an
express trust may sue or be sued without joining
the persons represented by him or her and benefi-
cially interested in the suit. The term ‘‘trustee of
an express trust’’ shall be construed to include any
person with whom, or in whose name, a contract
is made for the benefit of another. (See General
Statutes § 52-106 and annotations.)
(P.B. 1978-1997, Sec. 91.)
Sec. 9-12. Personal Representatives of Co-
contractor
In suits on a joint contract, whether partnership
or otherwise, the personal representatives of a
deceased cocontractor may join, as plaintiffs, and
be joined, as defendants, with the survivor; pro-
vided, where the estate of the decedent is in set-
tlement in this state as an insolvent estate, his or
her personal representatives cannot be joined as
defendants. (See General Statutes § 52-78.)
(P.B. 1978-1997, Sec. 92.)
Sec. 9-13. Persons Liable on Same
Instrument
Persons severally and immediately liable on the
same obligation or instrument, including parties
to bills of exchange and promissory notes, and
endorsers, guarantors, and sureties, whether on
the same or by separate instruments, may all, or
any of them, be joined as defendants, and a joint
judgment may be rendered against those so
joined.
(P.B. 1978-1997, Sec. 93.)
Sec. 9-14. Defendants Alternately Liable
Persons may be joined as defendants against
whom the right to relief is alleged to exist in the
alternative, although a right to relief against one
may be inconsistent with a right to relief against
the other.
(P.B. 1978-1997, Sec. 94.)
Sec. 9-15. Assignee of Part Interest
If a part interest in a contract obligation be
assigned, the assignor retaining the remaining
interest and the assignee may join as plaintiffs.
(P.B. 1978-1997, Sec. 95.)
Sec. 9-16. Assignment Pending Suit
If, pending the action, the plaintiff assigns the
cause of action, the assignee, upon written
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motion, may either be joined as a coplaintiff or
be substituted as a sole plaintiff, as the judicial
authority may order; provided that it shall in no
manner prejudice the defense of the action as it
stood before such change of parties.
(P.B. 1978-1997, Sec. 96.)
Sec. 9-17. Unsatisfied Judgment against
One Defendant
Where the plaintiff may at his or her option join
several persons as defendants, or sue them sepa-
rately, judgment without satisfaction against one
shall not bar a suit against another.
(P.B. 1978-1997, Sec. 97.)
Sec. 9-18. Addition or Substitution of Par-
ties; Additional Parties Summoned in by
Court
The judicial authority may determine the contro-
versy as between the parties before it, if it can do
so without prejudice to the rights of others; but, if
a complete determination cannot be had without
the presence of other parties, the judicial authority
may direct that they be brought in. If a person not
a party has an interest or title which the judgment
will affect, the judicial authority, on its motion, shall
direct that person to be made a party. (See Gen-
eral Statutes § 52-107 and annotations.)
(P.B. 1978-1997, Sec. 99.)
Sec. 9-19. —Nonjoinder and Misjoinder of
Parties
Except as provided in Sections 10-44 and 11-
3 no action shall be defeated by the nonjoinder
or misjoinder of parties. New parties may be
added and summoned in, and parties misjoined
may be dropped, by order of the judicial authority,
at any stage of the cause, as it deems the interests
of justice require. (See General Statutes § 52-108
and annotations.)
(P.B. 1978-1997, Sec. 100.)
Sec. 9-20. —Substituted Plaintiff
When any action has been commenced in the
name of the wrong person as plaintiff, the judicial
authority may, if satisfied that it was so com-
menced through mistake and that it is necessary
for the determination of the real matter in dispute
so to do, allow any other person to be substituted
or added as plaintiff. (See General Statutes § 52-
109 and annotations.)
(P.B. 1978-1997, Sec. 101.)
Sec. 9-21. —Counterclaim; Third Parties
When a counterclaim raises questions affecting
the interests of third parties, the defendant may,
and if required by the judicial authority shall, cause
such parties to be summoned in as parties to such
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 9-21
suit. (See General Statutes § 52-110 and anno-
tations.)
(P.B. 1978-1997, Sec. 102.)
Sec. 9-22. —Motion to Cite in New Parties
Any motion to cite in or admit new parties must
comply with Section 11-1 and state briefly the
grounds upon which it is made.
(P.B. 1978-1997, Sec. 103.)
Sec. 9-23. Suit by Real Party in Interest
An action may be brought in all cases in the
name of the real party in interest, but any claim
or defense may be set up which would have been
available had the plaintiff sued in the name of the
nominal party in interest.
(P.B. 1978-1997, Sec. 104.)
Sec. 9-24. Change of Name by Minor Child
In all proceedings for change of name under
General Statutes § 52-11, brought by a minor
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child through his or her next friend, the parents
of such child, not named as next friends, shall be
necessary parties and shall be cited in, in such
manner as shall be ordered by the court or a
judge thereof.
(P.B. 1978-1997, Sec. 105.)
Sec. 9-25. Action on Bond to Municipal
Officer
When any bond, note or other security is taken
to any officer of a community or corporation in
this state, wherein the beneficial interest belongs,
or on the face of such security appears to belong,
to such community or corporation, any action to
recover or enforce the same may be maintained
by such community or corporation in its own cor-
porate name. (See General Statutes § 52-73a.)
(P.B. 1978-1997, Sec. 106.)
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 10-1
CHAPTER 10
PLEADINGS
Sec. Sec.
10-1. Fact Pleading
10-2. Pleading Legal Effect
10-3. Allegations Based on Statutory Grounds; Foreign
Law
10-4. Implied Duty
10-5. Untrue Allegations or Denials
10-6. Pleadings Allowed and Their Order
10-7. Waiving Right to Plead
10-8. Time to Plead
10-9. Common Counts
10-10. Supplemental Pleadings; Counterclaims
10-11. Impleading of Third Party by Defendant in Civil
Action
10-12. Service of the Pleading and Other Papers; Respon-
sibility of Counsel or Self-Represented Party:
Documents and Persons to Be Served
10-13. —Method of Service
10-14. —Proof of Service
10-15. —Numerous Defendants
10-16. —Several Parties Represented by One Attorney
10-17. —Service by Indifferent Person
10-18. Penalty for Failing to Plead
10-19. Implied Admissions
10-20. Contents of Complaint
10-21. Joinder of Causes of Action
10-22. —Transactions Connected with Same Subject
10-23. —Joinder of Torts
10-24. —Legal and Equitable Relief
10-25. Alternative Relief
10-26. Separate Counts
10-27. Claim for Equitable Relief
10-28. Interest and Costs Need Not Be Claimed
10-29. Exhibits as Part of Pleading
10-30. Motion to Dismiss; Grounds
10-31. —Opposition; Date for Hearing Motion to Dismiss
10-32. —Waiver Based on Certain Grounds
10-33. —Waiver and Subject Matter Jurisdiction
10-34. —Further Pleading by Defendant
10-35. Request to Revise
10-36. —Reasons in Request to Revise
10-37. —Granting of and Objection to Request to Revise
10-38. —Waiver of Pleading Revisions
10-39. Motion to Strike; Grounds
10-40. —Opposition; Date for Hearing Motion to Strike
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 pleading shall contain a plain and concise
statement of the material facts on which the
pleader relies, but not of the evidence by which
they are to be proved, such statement to be
divided into paragraphs numbered consecutively,
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10-42. —Memorandum of Law—Motion and Objection
[Repealed]
10-43. —When Memorandum of Decision Required on
Motion to Strike
10-44. —Substitute Pleading; Judgment
10-45. —Stricken Pleading Part of Another Cause or
Defense
10-46. The Answer; General and Special Denial
10-47. —Evasive Denials
10-48. —Express Admissions and Denials to Be Direct
and Specific
10-49. —Suit by Corporation; Admission by General
Denial
10-50. —Denials; Special Defenses
10-51. —Several Special Defenses
10-52. —Admissions and Denials in Special Defense
10-53. —Pleading Contributory Negligence
10-54. —Pleading of Counterclaim and Setoff
10-55. —Withdrawal of Action after Counterclaim
10-56. Subsequent Pleadings; Plaintiff’s Response to
Answer
10-57. —Matter in Avoidance of Answer
10-58. —Pleadings Subsequent to Reply
10-59. Amendments; Amendment as of Right by Plaintiff
10-60. —Amendment by Consent, Order of Judicial
Authority, or Failure to Object
10-61. —Pleading after Amendment
10-62. —Variance; Amendment
10-63. —Amendment; Legal or Equitable Relief
10-64. —Amendment Calling for Legal Relief; Jury Trial
10-65. —Amending Contract to Tort and Vice Versa
10-66. —Amendment of Amount in Demand
10-67. —Amendment of Claim against Insolvent Estate
10-68. Pleading Special Matters; Pleading Notice
10-69. —Foreclosure Complaint; Pleading Encumbrances
10-70. —Foreclosure of Municipal Liens
10-71. —Action on Probate Bond
10-72. —Action by Assignee of Chose in Action
10-73. —Pleading Charters
10-74. —Wrongful Sale; Wrongful Conversion
10-75. —Goods Sold; Variance
10-76. —Probate Appeals; Reasons of Appeal
10-77. —Appeals from Commissioners
10-78. —Pleading Collateral Source Payments
10-79. —Pleading Issues of Policy Limitations
each containing as nearly as may be a separate
allegation. If any such pleading does not fully dis-
close the ground of claim or defense, the judicial
authority may order a fuller and more particular
statement; and, if in the opinion of the judicial
authority the pleadings do not sufficiently define
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 10-1
the issues in dispute, it may direct the parties to
prepare other issues, and such issues shall, if the
parties differ, be settled by the judicial authority.
(P.B. 1978-1997, Sec. 108.)
Sec. 10-2. Pleading Legal Effect
Acts and contracts may be stated according to
their legal effect, but in so doing the pleading
should be such as fairly to apprise the adverse
party of the state of facts which it is intended to
prove. Thus an act or promise by a principal, other
than a corporation, if in fact proceeding from an
agent known to the pleader, should be so stated;
and the obligation of a spouse to pay for necessar-
ies furnished to his or her spouse, whom he or
she has driven from the marital house, should be
stated according to the facts.
(P.B. 1978-1997, Sec. 109.)
Sec. 10-3. Allegations Based on Statutory
Grounds; Foreign Law
(a) When any claim made in a complaint, cross
complaint, special defense, or other pleading is
grounded on a statute, the statute shall be specifi-
cally identified by its number.
(b) A party to an action who intends to raise an
issue concerning the law of any jurisdiction or
governmental unit thereof outside this state shall
give notice in his or her pleadings or other reason-
able written notice.
(P.B. 1978-1997, Sec. 109A.)
Sec. 10-4. Implied Duty
It is unnecessary to allege any promise or duty
which the law implies from the facts pleaded.
(P.B. 1978-1997, Sec. 110.)
Sec. 10-5. Untrue Allegations or Denials
Any allegation or denial made without reason-
able cause and found untrue shall subject the
party pleading the same to the payment of such
reasonable expenses, to be taxed by the judicial
authority, as may have been necessarily incurred
by the other party by reason of such untrue plead-
ing; provided that no expenses for counsel fees
shall be taxed exceeding $500 for any one
offense. Such expenses shall be taxed against
the offending party whether that party prevails in
the action or not. (See General Statutes § 52-99
and annotations.)
(P.B. 1978-1997, Sec. 111.)
Sec. 10-6. Pleadings Allowed and Their
Order
The order of pleading shall be as follows:
(1) The plaintiff’s complaint.
(2) The defendant’s motion to dismiss the com-
plaint.
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(3) The defendant’s request to revise the com-
plaint.
(4) The defendant’s motion to strike the com-
plaint.
(5) The defendant’s answer (including any spe-
cial defenses) to the complaint.
(6) The plaintiff’s request to revise the defend-
ant’s answer.
(7) The plaintiff’s motion to strike the defend-
ant’s answer.
(8) The plaintiff’s reply to any special defenses.
(P.B. 1978-1997, Sec. 112.)
Sec. 10-7. Waiving Right to Plead
In all cases, when the judicial authority does
not otherwise order, the filing of any pleading pro-
vided for by the preceding section will waive the
right to file any pleading which might have been
filed in due order and which precedes it in the
order of pleading provided in that section.
(P.B. 1978-1997, Sec. 113.)
Sec. 10-8. Time to Plead
Commencing on the return day of the writ, sum-
mons and complaint in civil actions, pleadings,
including motions and requests addressed to the
pleadings, shall advance within thirty days from
the return day, and any subsequent pleadings,
motions and requests shall advance at least one
step within each successive period of thirty days
from the preceding pleading or the filing of the
decision of the judicial authority thereon if one is
required, except that in summary process actions
the time period shall be three days and in actions
to foreclose a mortgage on real estate the time
period shall be fifteen days. The filing of interroga-
tories or requests for discovery shall not suspend
the time requirements of this section unless upon
motion of either party the judicial authority shall
find that there is good cause to suspend such
time requirements.
(P.B. 1978-1997, Sec. 114.) (Amended June 14, 2013, to
take effect Jan. 1, 2014.)
Sec. 10-9. Common Counts
The common counts writ and complaint is
hereby abolished.
(P.B. 1978-1997, Sec. 115.)
Sec. 10-10. Supplemental Pleadings; Coun-
terclaims
Supplemental pleadings showing matters aris-
ing since the original pleading may be filed in
actions for equitable relief by either party. In any
action for legal or equitable relief, any defendant
may file counterclaims against any plaintiff and
cross claims against any codefendant provided
that each such counterclaim and cross claim
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 10-13
arises out of the transaction or one of the transac-
tions which is the subject of the plaintiff’s com-
plaint; and if necessary, additional parties may be
summoned in to answer any such counterclaim
or cross claim. A defendant may also file a coun-
terclaim or cross claim under this section against
any other party to the action for the purpose of
establishing that party’s liability to the defendant
for all or part of the plaintiff’s claim against that
defendant.
(P.B. 1978-1997, Sec. 116.)
Sec. 10-11. Impleading of Third Party by
Defendant in Civil Action
(a) A defendant in any civil action may move
the court for permission as a third party plaintiff
to serve a writ, summons and complaint upon a
person not a party to the action who is or may
be liable to such defendant for all or part of the
plaintiff’s claim against him or her. Such a motion
may be filed at any time before trial and such
permission may be granted by the judicial author-
ity if, in its discretion, it deems that the granting
of the motion will not unduly delay the trial of the
action or work an injustice upon the plaintiff or the
party sought to be impleaded. The writ, summons
and complaint so served shall be equivalent in all
respects to an original writ, summons and com-
plaint, and the person upon whom it is served,
hereinafter called the third party defendant, shall
have available to him or her all remedies available
to an original defendant, including the right to
assert setoffs or counterclaims against the third
party plaintiff, and shall be entitled to file cross
complaints against any other third party defend-
ant. The third party defendant may also assert
against the plaintiff any defenses which the third
party plaintiff has to the plaintiff’s claim and may
assert any claim against the plaintiff arising out of
the transaction or occurrence which is the subject
matter of the plaintiff’s claim against the third
party plaintiff.
(b) The plaintiff, within twenty days after the
third party defendant appears in the action, may
assert any claim against the third party defendant
arising out of the transaction or occurrence which
is the subject matter of the original complaint, and
the third party defendant, as against such claim,
shall have available to him or her all remedies
available to an original defendant, including the
right to assert setoffs or counterclaims against
the plaintiff.
(c) A third party defendant may proceed under
this section against any person not a party to the
action who is or may be liable to such defendant
for all or any part of the third party plaintiff’s claim
against him or her.
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(d) When a counterclaim is asserted against a
plaintiff, the plaintiff may cause a third party to be
brought in under circumstances which under this
section would entitle a defendant to do so.
(e) When any civil action in which such a third
party has been brought in is reached for trial,
the judicial authority hearing the case may order
separate trials of different parts of the action and
may make such other order respecting the trial of
the action as will do justice to the parties and
expedite final disposition of the case.
(P.B. 1978-1997, Sec. 117.)
Sec. 10-12. Service of the Pleading and
Other Papers; Responsibility of Counsel or
Self-Represented Party: Documents and
Persons to Be Served
(a) It is the responsibility of counsel or a self-
represented party filing the same to serve on each
other party who has appeared one copy of every
pleading subsequent to the original complaint,
every written motion other than one in which an
order is sought ex parte and every paper relating
to discovery, request, demand, claim, notice or
similar paper, except a request for mediation
under General Statutes § 49-31l. When a party is
represented by an attorney, the service shall be
made upon the attorney unless service upon the
party is ordered by the judicial authority.
(b) It shall be the responsibility of counsel or a
self-represented party at the time of filing a motion
for default for failure to appear to serve the party
sought to be defaulted with a copy of the motion.
Upon good cause shown, the judicial authority
may dispense with this requirement when judg-
ment is rendered.
(c) Any pleading asserting new or additional
claims for relief against parties who have not
appeared or who have been defaulted shall be
served on such parties.
(P.B. 1978-1997, Sec. 121.) (Amended June 22, 2009, to
take effect Jan. 1, 2010.)
Sec. 10-13. —Method of Service
Service upon the attorney or upon a self-repre-
sented party, except service pursuant to Section
10-12 (c), may be by delivering a copy or by mail-
ing it to the last known address of the attorney or
party. Delivery of a copy within this section means
handing it to the attorney or to the party; or leaving
it at the attorney’s office with a person in charge
thereof; or, if there is no one in charge, leaving it
in a conspicuous place therein; or, if the office is
closed or the person to be served has no office,
leaving it at the usual place of abode. Delivery of
a copy within this rule may also mean electronic
delivery to the last known electronic address of the
attorney or party, provided that electronic delivery
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 10-13
was consented to in writing by the person served.
An attorney or self-represented party who files a
document electronically with the court must serve
it electronically on any attorney or self-repre-
sented party who consented in writing to elec-
tronic delivery under this section. Service by mail
is complete upon mailing. Service by electronic
delivery is complete upon sending the electronic
notice unless the party making service learns that
the attempted service did not reach the electronic
address of the person to be served. Service pursu-
ant to Section 10-12 (c) shall be made in the same
manner as an original writ and complaint is served
or as ordered by the judicial authority.
(P.B. 1978-1997, Sec. 122.) (Amended June 29, 1998, to
take effect Jan. 1, 1999; amended June 21, 2004, to take
effect Jan. 1, 2005; amended June 22, 2009, to take effect
Jan. 1, 2010; amended June 15, 2012, to take effect Jan.
1, 2013.)
Sec. 10-14. —Proof of Service
(a) Proof of service pursuant to Section 10-12
(a) and (b) may be made by written acknowledg-
ment of service by the party served, by a certificate
of counsel for the party filing the pleading or paper
or by the self-represented party, or by affidavit of
the person making the service, but these methods
of proof shall not be exclusive. Proof of service
shall include the address at which such service
was made. If proof of such service is made by a
certificate of counsel or by the self-represented
party, it shall be in substantially the following form:
I certify that a copy of the above was or will
immediately be mailed or delivered electronically
or nonelectronically on (Date) to all counsel and
self-represented parties of record and that written
consent for electronic delivery was received from
all counsel and self-represented parties of record
who were or will immediately be electronically
served. (Here list the name of each party served
or immediately to be served and the address at
which service was made or will immediately be
made.)
Or
to the party against whom the default for failure
to appear is claimed. (Here list the name of each
nonappearing party served or immediately to be
served and the address at which service was
made or will immediately be made.)
(Individual Signature of
Counsel or Self-Represented Party)
(b) Proof of service pursuant to Section 10-12
(c) shall be made in the same manner as proof of
service is made of an original writ and complaint,
unless the judicial authority ordered service in
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some other manner, in which event service may
be proved as prescribed in subsection (a) above.
(P.B. 1978-1997, Sec. 123.) (Amended June 29, 1998, to
take effect Jan. 1, 1999; amended June 21, 2004, to take
effect Jan. 1, 2005; amended June 13, 2014, to take effect
Jan. 1, 2015.)
Sec. 10-15. —Numerous Defendants
In any action in which there is an unusually
large number of defendants, the judicial authority,
upon motion or of its own initiative, may order that
service of the pleadings of the defendants and
replies thereto need not be made as between the
defendants and that any cross complaint, counter-
claim, or matter constituting an avoidance or affir-
mative defense contained therein shall be
deemed to be denied or avoided by all other
defendants and that the filing of any such pleading
and service thereof upon the plaintiff shall be
deemed to constitute due notice of it to the parties.
A copy of every such order shall be served upon
the parties in such manner and form as the judicial
authority directs.
(P.B. 1978-1997, Sec. 124.)
Sec. 10-16. —Several Parties Represented
by One Attorney
When several parties have entered their
appearance by one attorney or one firm of attor-
neys, such several parties shall be treated as a
single party under this section.
(P.B. 1978-1997, Sec. 125.)
Sec. 10-17. —Service by Indifferent Person
Service of copies of any written pleading subse-
quent to the original complaint, motion, claim,
notice or demand, when required by law or rule of
the court, may be made by any indifferent person.
(P.B. 1978-1997, Sec. 126.)
Sec. 10-18. Penalty for Failing to Plead
Parties failing to plead according to the rules
and orders of the judicial authority may be non-
suited or defaulted, as the case may be. (See
General Statutes § 52-119 and annotations.)
(P.B. 1978-1997, Sec. 128.)
Sec. 10-19. Implied Admissions
Every material allegation in any pleading which
is not denied by the adverse party shall be
deemed to be admitted, unless such party avers
that he or she has not any knowledge or informa-
tion thereof sufficient to form a belief.
(P.B. 1978-1997, Sec. 129.)
Sec. 10-20. Contents of Complaint
The first pleading on the part of the plaintiff
shall be known as the complaint. It shall contain
a concise statement of the facts constituting the
cause of action and, on a separate page of the
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 10-29
complaint, a demand for relief which shall be a
statement of the remedy or remedies sought.
When money damages are sought in the demand
for relief, the demand for relief shall include the
information required by General Statutes § 52-91.
(P.B. 1978-1997, Sec. 131.)
Sec. 10-21. Joinder of Causes of Action
In any civil action the plaintiff may include in
the complaint both legal and equitable rights and
causes of action, and demand both legal and equi-
table remedies; but, if several causes of action
are united in the same complaint, they shall all
be brought to recover, either (1) upon contract,
express or implied, or (2) for injuries, with or with-
out force, to person and property, or either, includ-
ing a conversion of property to the defendant’s
use, or (3) for injuries to character, or (4) upon
claims to recover real property, with or without
damages for the withholding thereof, and the rents
and profits of the same, or (5) upon claims to
recover personal property specifically, with or
without damages for the withholding thereof, or
(6) claims arising by virtue of a contract or by
operation of law in favor of or against a party in
some representative or fiduciary capacity, or (7)
upon claims, whether in contract or tort or both,
arising out of the same transaction or transactions
connected with the same subject of action. The
several causes of action so united shall all belong
to one of these classes, and, except in an action
for the foreclosure of a mortgage or lien, shall
affect all the parties to the action, and not require
different places of trial, and shall be separately
stated; and, in any case in which several causes
of action are joined in the same complaint, or as
matter of counterclaim or setoff in the answer, if
it appears to the judicial authority that they cannot
all be conveniently heard together, it may order
a separate trial of any such cause of action or
may direct that any one or more of them be
deleted from the complaint or answer. (See Gen-
eral Statutes § 52-97 and annotations.)
(P.B. 1978-1997, Sec. 133.)
Sec. 10-22. —Transactions Connected with
Same Subject
Transactions connected with the same subject
of action within the meaning of subdivision (7)
of Section 10-21, may include any transactions
which grew out of the subject matter in regard to
which the controversy has arisen; as, for instance,
the failure of a bailee to use the goods bailed for
the purpose agreed, also an injury to them by his
or her fault or neglect; the breach of a covenant
for quiet enjoyment by the entry of the lessor, also
a trespass to goods, committed in the course of
the entry. Injuries to character, within the meaning
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of subdivision (3) of Section 10-21, may embrace
libel, slander, and malicious prosecution.
(P.B. 1978-1997, Sec. 134.)
Sec. 10-23. —Joinder of Torts
Where several torts are committed simultane-
ously against the plaintiff, as a battery accompa-
nied by slanderous words, they may be joined,
within the meaning of subdivision (7) of Section
10-21, as causes of action arising out of the same
transaction, although they may belong to different
classes of torts.
(P.B. 1978-1997, Sec. 135.)
Sec. 10-24. —Legal and Equitable Relief
A cause of action for legal relief for breach of
contract may be joined with another cause of
action for equitable relief growing out of another
contract, although such contracts in no way relate
to each other.
(P.B. 1978-1997, Sec. 136.)
Sec. 10-25. Alternative Relief
The plaintiff may claim alternative relief, based
upon an alternative construction of the cause of
action.
(P.B. 1978-1997, Sec. 137.)
Sec. 10-26. Separate Counts
Where separate and distinct causes of action,
as distinguished from separate and distinct claims
for relief founded on the same cause of action
or transaction, are joined, the statement of the
second shall be prefaced by the words Second
Count, and so on for the others; and the several
paragraphs of each count shall be numbered sep-
arately beginning in each count with the num-
ber one.
(P.B. 1978-1997, Sec. 138.)
Sec. 10-27. Claim for Equitable Relief
A party seeking equitable relief shall specifically
demand it as such, unless the nature of the
demand itself indicates that the relief sought is
equitable relief.
(P.B. 1978-1997, Sec. 139.)
Sec. 10-28. Interest and Costs Need Not
Be Claimed
Interest and costs need not be specially claimed
in the demand for relief, in order to recover them.
(P.B. 1978-1997, Sec. 140.)
Sec. 10-29. Exhibits as Part of Pleading
(a) Any plaintiff, except as otherwise provided
in subsection (b) in connection with a plaintiff in
the housing division as defined in Section 1-7,
desiring to make a copy of any document a part
of the complaint shall refer to it as Exhibit A, B,
C, etc. No later than the return date, the plaintiff
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 10-29
shall file the original or a copy of such exhibit or
exhibits in court. The plaintiff shall serve a copy
of such exhibit or exhibits on each party no later
than ten days after receipt of notice of the appear-
ance of such party, in the manner provided in
Sections 10-12 through 10-17, and shall file proof
of service on each appearing party with the court.
Except as required by statute, the plaintiff shall
not annex the document or documents referred
to as exhibits to the complaint, or incorporate them
in the complaint, at full length, and if the plaintiff
does so, the plaintiff shall not be allowed in costs
for such part of the fees of the officer for copies
of such complaint left in service, as are chargeable
for copying such document or documents referred
to as exhibits.
(b) The provisions of subsection (a) shall apply
to a plaintiff in the housing division, as defined
in Section 1-7, desiring to make a copy of any
document a part of the complaint, except that the
plaintiff shall serve on each party who has
appeared a copy of such exhibit or exhibits at the
first court session of the matter or no later than
seven days after receipt of notice of the appear-
ance of such party, whichever is earlier.
(c) When either the plaintiff or the defendant in
any pleading subsequent to the complaint desires
to make a copy of any document a part of his or
her pleading, such party may, without reciting it
therein, either annex it thereto, or refer to it therein,
and shall serve it and file it in court with proof of
service in the manner provided in Sections 10-12
through 10-17.
(P.B. 1978-1997, Sec. 141.) (Amended June 15, 2012, to
take effect Jan. 1, 2013.)
Sec. 10-30. Motion to Dismiss; Grounds
(Amended June 30, 2003, to take effect Jan. 1, 2004;
amended June 14, 2013, to take effect Jan. 1, 2014.)
(a) A motion to dismiss shall be used to assert:
(1) lack of jurisdiction over the subject matter; (2)
lack of jurisdiction over the person; (3) insuffi-
ciency of process; and (4) insufficiency of service
of process.
(b) Any defendant, wishing to contest the court’s
jurisdiction, shall do so by filing a motion to dismiss
within thirty days of the filing of an appearance.
(c) This motion shall always be filed with a sup-
porting memorandum of law and, where appro-
priate, with supporting affidavits as to facts not
apparent on the record.
(P.B. 1978-1997, Sec. 142.) (Amended June 30, 2003, to
take effect Jan. 1, 2004; amended June 21, 2004, to take
effect Jan. 1, 2005; amended June 14, 2013, to take effect
Jan. 1, 2014; amended June 13, 2014, to take effect Jan.
1, 2015.)
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Sec. 10-31. —Opposition; Date for Hearing
Motion to Dismiss
(Amended June 14, 2013, to take effect Jan. 1, 2014.)
(a) Any adverse party shall have thirty days
from the filing of the motion to dismiss to respond
to the motion to dismiss by filing and serving in
accordance with Sections 10-12 through 10-17
a memorandum of law in opposition and, where
appropriate, supporting affidavits as to facts not
apparent on the record.
(b) Except in summary process matters, the
motion shall be placed on the short calendar to
be held not less than forty-five days following the
filing of the motion, unless the judicial authority
otherwise orders. If an evidentiary hearing is
required, any party shall file a request for such
hearing with the court.
(P.B. 1978-1997, Sec. 143.) (Amended June 14, 2013, to
take effect Jan. 1, 2014.)
Sec. 10-32. —Waiver Based on Certain
Grounds
Any claim of lack of jurisdiction over the person
or insufficiency of process or insufficiency of ser-
vice of process is waived if not raised by a motion
to dismiss filed in the sequence provided in Sec-
tions 10-6 and 10-7 and within the time provided
by Section 10-30.
(P.B. 1978-1997, Sec. 144.) (Amended June 24, 2016, to
take effect Jan. 1, 2017.)
Sec. 10-33. —Waiver and Subject Matter
Jurisdiction
Any claim of lack of jurisdiction over the subject
matter cannot be waived; and whenever it is found
after suggestion of the parties or otherwise that
the court lacks jurisdiction of the subject matter,
the judicial authority shall dismiss the action.
(P.B. 1978-1997, Sec. 145.)
Sec. 10-34. —Further Pleading by Defend-
ant
If any motion to dismiss is denied with respect to
any jurisdictional issue, the defendant may plead
further without waiving the right to contest jurisdic-
tion further.
(P.B. 1978-1997, Sec. 146.)
Sec. 10-35. Request to Revise
Whenever any party desires to obtain (1) a more
complete or particular statement of the allegations
of an adverse party’s pleading, or (2) the deletion
of any unnecessary, repetitious, scandalous,
impertinent, immaterial or otherwise improper
allegations in an adverse party’s pleading, or (3)
separation of causes of action which may be
united in one complaint when they are improperly
combined in one count, or the separation of two
or more grounds of defense improperly combined
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 10-39
in one defense, or (4) any other appropriate cor-
rection in an adverse party’s pleading, the party
desiring any such amendment in an adverse par-
ty’s pleading may file a timely request to revise
that pleading.
(P.B. 1978-1997, Sec. 147.)
Sec. 10-36. —Reasons in Request to Revise
The request to revise shall set forth, for each
requested revision, the portion of the pleading
sought to be revised, the requested revision, and
the reasons therefor, and, except where the
request is served electronically in accordance with
Section 10-13, in a format that allows the recipient
to insert electronically the objection and reasons
therefor, provide sufficient space in which the
party to whom the request is directed can insert
an objection and reasons therefor.
(P.B. 1978-1997, Sec. 148.) (Amended June 20, 2011, to
take effect Jan. 1, 2012.)
Sec. 10-37. —Granting of and Objection to
Request to Revise
(a) Any such request, after service upon each
party as provided by Sections 10-12 through 10-
17 and with proof of service endorsed thereon,
shall be filed with the clerk of the court in which
the action is pending, and such request shall be
deemed to have been automatically granted by
the judicial authority on the date of filing and shall
be complied with by the party to whom it is directed
within thirty days of the date of filing the same,
unless within thirty days of such filing the party to
whom it is directed shall file objection thereto.
(b) The objection and the reasons therefor shall
be inserted on the request to revise in the space
provided under the appropriate requested revi-
sion. In the event that a reason for objection
requires more space than that provided on the
request to revise, it shall be continued on a sepa-
rate sheet of paper which shall be attached to that
document, except where the request is served
electronically as provided in Section 10-13 and in
a format that allows the recipient to electronically
insert the objection and reasons therefor. The
request to revise on which objections have been
inserted shall be appended to a cover sheet which
shall comply with Sections 4-1 and 4-2 and the
objecting party shall specify thereon to which of
the requested revisions objection is raised. The
cover sheet with the appended objections shall
be filed with the clerk within thirty days from the
date of the filing of the request for the next short
calendar list. If the judicial authority overrules the
objection, a substitute pleading in compliance with
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the order of the judicial authority shall be filed
within fifteen days of such order.
(P.B. 1978-1997, Sec. 149.) (Amended June 20, 2012, to
take effect Jan. 1, 2012.)
Sec. 10-38. —Waiver of Pleading Revisions
Whenever any party files any request to revise
or any subsequent motion or pleading in the
sequence provided in Sections 10-6 and 10-7,
that party thereby waives any right to seek any
further pleading revisions which that party might
then have requested.
(P.B. 1978-1997, Sec. 150.)
Sec. 10-39. Motion to Strike; Grounds
(Amended June 14, 2013, to take effect Jan. 1, 2014.)
(a) A motion to strike shall be used whenever
any party wishes to contest: (1) the legal suffi-
ciency of the allegations of any complaint, coun-
terclaim or cross claim, or of any one or more
counts thereof, to state a claim upon which relief
can be granted; or (2) the legal sufficiency of any
prayer for relief in any such complaint, counter-
claim or cross complaint; or (3) the legal suffi-
ciency of any such complaint, counterclaim or
cross complaint, or any count thereof, because
of the absence of any necessary party or, pursu-
ant to Section 17-56 (b), the failure to join or give
notice to any interested person; or (4) the joining
of two or more causes of action which cannot
properly be united in one complaint, whether the
same be stated in one or more counts; or (5) the
legal sufficiency of any answer to any complaint,
counterclaim or cross complaint, or any part of
that answer including any special defense con-
tained therein.
(b) Each claim of legal insufficiency enumerated
in this section shall be separately set forth and
shall specify the reason or reasons for such
claimed insufficiency.
(c) Each motion to strike must be accompanied
by a memorandum of law citing the legal authori-
ties upon which the motion relies.
(d) A motion to strike on the ground of the non-
joinder of a necessary party or noncompliance
with Section 17-56 (b) must give the name and
residence of the missing party or interested per-
son or such information as the moving party has
as to the identity and residence of the missing
party or interested person and must state the
missing party’s or interested person’s interest in
the cause of action.
(P.B. 1978-1997, Sec. 152.) (Amended June 28, 1999, to
take effect Jan. 1, 2000; amended June 14, 2013, to take
effect Jan. 1, 2014; amended June 13, 2014, to take effect
Jan. 1, 2015.)
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 10-40
Sec. 10-40. —Opposition; Date for Hearing
Motion to Strike
(Amended June 30, 2003, to take effect Jan. 1, 2004;
amended June 14, 2013, to take effect Jan. 1, 2014.)
(a) Any adverse party shall have thirty days
from the filing of the motion to strike to respond
to a motion to strike filed pursuant to Section 10-
39 by filing and serving in accordance with Sec-
tions 10-12 through 10-17 a memorandum of law
in opposition.
(b) Except in summary process matters, the
motion to strike shall be placed on the short calen-
dar to be held not less than forty-five days follow-
ing the filing of the motion, unless the judicial
authority otherwise orders.
(P.B. 1978-1997, Sec. 153.) (Amended June 30, 2003, to
take effect Jan. 1, 2004; amended June 21, 2004, to take
effect Jan. 1, 2005; amended June 14, 2013, to take effect
Jan. 1, 2014.)
Sec. 10-41. —Reasons in Motion to Strike
[Repealed as of Jan. 1, 2014.]
Sec. 10-42. —Memorandum of Law—Motion
and Objection
[Repealed as of Jan. 1, 2014.]
Sec. 10-43. —When Memorandum of Deci-
sion Required on Motion to Strike
Whenever a motion to strike is filed and more
than one ground of decision is set up therein,
the judicial authority, in rendering the decision
thereon, shall specify in writing the grounds upon
which that decision is based.
(P.B. 1978-1997, Sec. 156.)
Sec. 10-44. —Substitute Pleading; Judg-
ment
Within fifteen days after the granting of any
motion to strike, the party whose pleading has
been stricken may file a new pleading; provided
that in those instances where an entire complaint,
counterclaim or cross complaint, or any count in
a complaint, counterclaim or cross complaint has
been stricken, and the party whose pleading or a
count thereof has been so stricken fails to file a
new pleading within that fifteen day period, the
judicial authority may, upon motion, enter judg-
ment against said party on said stricken com-
plaint, counterclaim or cross complaint, or count
thereof. Nothing in this section shall dispense with
the requirements of Sections 61-3 or 61-4 of the
appellate rules.
(P.B. 1978-1997, Sec. 157.) (Amended June 30, 2003, to
take effect Jan. 1, 2004.)
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Sec. 10-45. —Stricken Pleading Part of
Another Cause or Defense
Whenever the judicial authority grants a motion
to strike the whole or any portion of any pleading
or count which purports to state an entire cause
of action or defense, and such pleading or portion
thereof states or constitutes a part of another
cause of action or defense, the granting of that
motion shall remove from the case only the cause
of action or defense which was the subject of the
granting of that motion, and it shall not remove
such pleading or count or any portion thereof so
far as the same is applicable to any other cause
of action or defense.
(P.B. 1978-1997, Sec. 158.)
Sec. 10-46. The Answer; General and Spe-
cial Denial
The defendant in the answer shall specially
deny such allegations of the complaint as the
defendant intends to controvert, admitting the
truth of the other allegations, unless the defendant
intends in good faith to controvert all the allega-
tions, in which case he or she may deny them
generally. Any defendant who intends to contro-
vert the right of the plaintiff to sue as executor, or
as trustee, or in any other representative capacity,
or as a corporation, or to controvert the execution
or delivery of any written instrument or recogni-
zance sued upon, shall deny the same in the
answer specifically.
(P.B. 1978-1997, Sec. 160.)
Sec. 10-47. —Evasive Denials
Denials must fairly meet the substance of the
allegations denied. Thus, when the payment of a
certain sum is alleged, and in fact a lesser sum
was paid, the defendant cannot simply deny the
payment generally, but must set forth how much
was paid to the defendant; and where any matter
of fact is alleged with divers circumstances, some
of which are untruly stated, it shall not be sufficient
to deny it as alleged, but so much as is true and
material should be stated or admitted, and the
rest only denied.
(P.B. 1978-1997, Sec. 161.)
Sec. 10-48. —Express Admissions and
Denials to Be Direct and Specific
Express admissions and denials must be direct,
precise and specific, and not argumentative,
hypothetical or in the alternative. Accordingly, any
pleader wishing expressly to admit or deny a por-
tion only of a paragraph must recite that portion;
except that where a recited portion of a paragraph
has been either admitted or denied, the remainder
of the paragraph may be denied or admitted with-
out recital. Admissions or denials of allegations
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 10-56
identified only by a summary or generalization
thereof, or by describing the facts alleged as ‘‘con-
sistent’’ or ‘‘inconsistent’’ with other facts recited
or referred to, are improper.
(P.B. 1978-1997, Sec. 162.)
Sec. 10-49. —Suit by Corporation; Admis-
sion by General Denial
In an action by a corporation, foreign or domes-
tic, founded upon any contract, express or implied,
the defendant shall not, under a general denial,
be permitted to dispute, but shall be deemed to
admit, the capacity of the plaintiff to make such
contract.
(P.B. 1978-1997, Sec. 163.)
Sec. 10-50. —Denials; Special Defenses
No facts may be proved under either a general
or special denial except such as show that the
plaintiff’s statements of fact are untrue. Facts
which are consistent with such statements but
show, notwithstanding, that the plaintiff has no
cause of action, must be specially alleged. Thus,
accord and satisfaction, arbitration and award,
duress, fraud, illegality not apparent on the face
of the pleadings, infancy, that the defendant was
non compos mentis, payment (even though non-
payment is alleged by the plaintiff), release, the
statute of limitations and res judicata must be spe-
cially pleaded, while advantage may be taken,
under a simple denial, of such matters as the
statute of frauds, or title in a third person to what
the plaintiff sues upon or alleges to be the plain-
tiff’s own.
(P.B. 1978-1997, Sec. 164.) (Amended June 23, 2017, to
take effect Jan. 1, 2018.)
HISTORY—2018: In the third sentence, ‘‘coverture’’ was
deleted following ‘‘award.’’
COMMENTARY—2018: The change to this section
removes ‘‘coverture’’ as a special defense as it is an obsolete
vestige of the past.
Sec. 10-51. —Several Special Defenses
Where several matters of defense are pleaded,
each must refer to the cause of action which it is
intended to answer, and be separately stated and
designated as a separate defense, as, First
Defense, Second Defense, etc. Where the com-
plaint or counterclaim is for more than one cause
of action, set forth in several counts, each sepa-
rate matter of defense should be preceded by
a designation of the cause of action which it is
designed to meet, in this manner: First Defense
to First Count, Second Defense to First Count,
First Defense to Second Count, and so on. Any
statement of a matter of defense resting in part
upon facts pleaded in any preceding statement in
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the same answer may refer to those facts as thus
recited, without otherwise repeating them.
(P.B. 1978-1997, Sec. 165.)
Sec. 10-52. —Admissions and Denials in
Special Defense
No special defense shall contain a denial of any
allegation of the complaint or counterclaim unless
that denial is material to such defense. An admis-
sion of any allegation of the complaint or counter-
claim in a special defense will be deemed to
incorporate such allegation in the defense.
(P.B. 1978-1997, Sec. 166.)
Sec. 10-53. —Pleading Contributory Neg-
ligence
If contributory negligence is relied upon as a
defense, it shall be affirmatively pleaded by the
defendant and the defendant shall specify the
negligent acts or omissions on which the defend-
ant relies. (See General Statutes § 52-114 and
annotations.)
(P.B. 1978-1997, Sec. 167.)
Sec. 10-54. —Pleading of Counterclaim
and Setoff
In any case in which the defendant has either
in law or in equity or in both a counterclaim, or
right of setoff, against the plaintiff’s demand, the
defendant may have the benefit of any such setoff
or counterclaim by pleading the same as such in
the answer, and demanding judgment accord-
ingly; and the same shall be pleaded and replied
to according to the rules governing complaints
and answers. (See General Statutes §§ 52-139
to 52-142.)
(P.B. 1978-1997, Sec. 168.)
Sec. 10-55. —Withdrawal of Action after
Counterclaim
The withdrawal of an action after a counter-
claim, whether for legal or equitable relief, has
been filed therein shall not impair the right of the
defendant to prosecute such counterclaim as fully
as if said action had not been withdrawn, provided
that the defendant shall, if required by the judicial
authority, give bond to pay costs as in civil actions.
(P.B. 1978-1997, Sec. 169.)
Sec. 10-56. Subsequent Pleadings; Plain-
tiff’s Response to Answer
The plaintiff’s reply pleading to each of the
defendant’s special defenses may admit some
and deny others of the allegations of that defense,
or by a general denial of that defense put the
defendant upon proof of all the material facts
alleged therein.
(P.B. 1978-1997, Sec. 171.)
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 10-57
Sec. 10-57. —Matter in Avoidance of Answer
Matter in avoidance of affirmative allegations
in an answer or counterclaim shall be specially
pleaded in the reply. Such a reply may contain
two or more distinct avoidances of the same
defense or counterclaim, but they must be sepa-
rately stated.
(P.B. 1978-1997, Sec. 172.)
Sec. 10-58. —Pleadings Subsequent to
Reply
Further pleadings, subsequent in their nature,
may be had if necessary by leave of the judicial
authority.
(P.B. 1978-1997, Sec. 173.)
Sec. 10-59. Amendments; Amendment as of
Right by Plaintiff
The plaintiff may amend any defect, mistake or
informality in the writ, complaint or petition and
insert new counts in the complaint, which might
have been originally inserted therein, without
costs, during the first thirty days after the return
day. (See General Statutes § 52-128 and anno-
tations.)
(P.B. 1978-1997, Sec. 175.)
Sec. 10-60. —Amendment by Consent,
Order of Judicial Authority, or Failure to
Object
(a) Except as provided in Section 10-66, a party
may amend his or her pleadings or other parts of
the record or proceedings at any time subsequent
to that stated in the preceding section in the follow-
ing manner:
(1) By order of judicial authority; or
(2) By written consent of the adverse party; or
(3) By filing a request for leave to file an amend-
ment together with: (A) the amended pleading or
other parts of the record or proceedings, and (B)
an additional document showing the portion or
portions of the original pleading or other parts of
the record or proceedings with the added lan-
guage underlined and the deleted language
stricken through or bracketed. The party shall file
the request and accompanying documents after
service upon each party as provided by Sections
10-12 through 10-17, and with proof of service
endorsed thereon. If no party files an objection to
the request within fifteen days from the date it is
filed, the amendment shall be deemed to have
been filed by consent of the adverse party. If an
opposing party shall have objection to any part of
such request or the amendment appended
thereto, such objection in writing specifying the
particular paragraph or paragraphs to which there
is objection and the reasons therefor, shall, after
service upon each party as provided by Sections
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10-12 through 10-17 and with proof of service
endorsed thereon, be filed with the clerk within
the time specified above and placed upon the next
short calendar list.
(b) The judicial authority may restrain such
amendments so far as may be necessary to com-
pel the parties to join issue in a reasonable time
for trial. If the amendment occasions delay in the
trial or inconvenience to the other party, the judi-
cial authority may award costs in its discretion in
favor of the other party. For the purposes of this
rule, a substituted pleading shall be considered
an amendment. (See General Statutes § 52-130
and annotations.)
(P.B. 1978-1997, Sec. 176.) (Amended June 24, 2016, to
take effect Jan. 1, 2017.)
Sec. 10-61. —Pleading after Amendment
When any pleading is amended the adverse
party may plead thereto within the time provided
by Section 10-8 or, if the adverse party has
already pleaded, alter the pleading, if desired,
within ten days after such amendment or such
other time as the rules of practice, or the judicial
authority, may prescribe, and thereafter pleadings
shall advance in the time provided by that section.
If the adverse party fails to plead further, pleadings
already filed by the adverse party shall be
regarded as applicable so far as possible to the
amended pleading.
(P.B. 1978-1997, Sec. 177.)
Sec. 10-62. —Variance; Amendment
In all cases of any material variance between
allegation and proof, an amendment may be per-
mitted at any stage of the trial. If such allegation
was made without reasonable excuse, or if the
adverse party was actually misled thereby to his or
her prejudice in maintaining the action or defense
upon the merits, or if such amendment requires
postponement of the trial or additional expense
to the adverse party and this is shown to the satis-
faction of the judicial authority, such amendment
shall be made only upon payment of costs or upon
such terms as the judicial authority may deem
proper; but in any other case, without costs. Imma-
terial variances shall be wholly disregarded.
(P.B. 1978-1997, Sec. 178.)
Sec. 10-63. —Amendment; Legal or Equita-
ble Relief
If, on the trial, whether upon an issue of fact
or of law, of a cause wherein equitable relief is
demanded, it appears that the plaintiff is not enti-
tled to such relief but may be entitled to legal relief,
the judicial authority may permit the complaint to
be amended so as to present a proper case for
the latter relief; and in like manner a complaint
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 10-70
demanding legal relief may be so amended as to
entitle the plaintiff to equitable relief. (See General
Statutes § 52-137 and annotations.)
(P.B. 1978-1997, Sec. 179.)
Sec. 10-64. —Amendment Calling for Legal
Relief; Jury Trial
If on the trial any complaint is so amended as to
call for legal instead of equitable relief, the judicial
authority shall not proceed to judgment until the
defendant has had a reasonable opportunity to
put the issue or issues, on which the new claim
for relief may be based, on the jury docket. (See
General Statutes § 52-138 and annotations.)
(P.B. 1978-1997, Sec. 180.)
Sec. 10-65. —Amending Contract to Tort
and Vice Versa
A complaint for breach of contract may be
amended so as to set forth a cause of action
founded on a tort arising from the same transac-
tion or subject of action; and a complaint founded
on a tort may be amended so as to set forth a
cause of action for a breach of contract arising
out of the same transaction or subject of action.
(See General Statutes § 52-136 and annotations.)
(P.B. 1978-1997, Sec. 181.)
Sec. 10-66. —Amendment of Amount in
Demand
A party may amend the party’s statement con-
cerning the amount in demand by order of the
judicial authority upon filing of a motion for leave
to file such amendment, with a copy of the amend-
ment appended, after service upon each party as
provided by Sections 10-12 through 10-17, and
with proof of service endorsed thereon. After
obtaining permission of the judicial authority, the
moving party shall file the amended statement of
amount in demand with the clerk and shall pay
any entry fee prescribed by statute to the clerk
when the amendment is filed.
(P.B. 1978-1997, Sec. 182.) (Amended June 24, 2016, to
take effect Jan. 1, 2017.)
Sec. 10-67. —Amendment of Claim against
Insolvent Estate
In any hearing on appeal from the doings of
commissioners on the estate of an insolvent
debtor or a deceased person, the claimant may
amend any defect, mistake or informality in the
statement of the claim, not changing the ground
of action; such amendment to be upon such terms
as to costs as the judicial authority directs. (See
General Statutes § 52-131 and annotations.)
(P.B. 1978-1997, Sec. 183.)
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Sec. 10-68. Pleading Special Matters; Plead-
ing Notice
Whenever in an action of tort or upon a statute
the plaintiff is compelled to allege the giving of a
notice required by statute, the plaintiff shall either
recite the same in the complaint or annex a
copy thereto.
(P.B. 1978-1997, Sec. 185.)
Sec. 10-69. —ForeclosureComplaint;Plead-
ing Encumbrances
The complaint in all actions seeking the foreclo-
sure of a mortgage or other lien upon real estate
shall set forth, in addition to the other essentials
of such complaint: All encumbrances of record
upon the property both prior and subsequent to
the encumbrance sought to be foreclosed, the
dates of such encumbrances, the amount of each
and the date when such encumbrance was
recorded; if such encumbrance be a mechanic’s
lien, the date of commencing to perform services
or furnish materials as therein recited; and if such
encumbrance be a judgment lien, whether said
judgment lien contains a reference to the previous
attachment of the same premises in the same
action, as provided by General Statutes § 52-
380a.
(P.B. 1978-1997, Sec. 186.)
Sec. 10-70. —Foreclosure of Municipal
Liens
(a) In any action to foreclose a municipal tax or
assessment lien the plaintiff need only allege and
prove: (1) the ownership of the liened premises
on the date when the same went into the tax
list, or when said assessment was made; (2) that
thereafter a tax in the amount specified in the list,
or such assessment in the amount made, was
duly and properly assessed upon the property and
became due and payable; (3) (to be used only
in cases where the lien has been continued by
certificate) that thereafter a certificate of lien for
the amount thereof was duly and properly filed
and recorded in the land records of the said town
on the date stated; (4) that no part of the same
has been paid; and (5) other encumbrances as
required by the preceding section.
(b) When the lien has been continued by certifi-
cate, the production in court of the certificate of
lien, or a certified copy thereof, shall be prima
facie evidence that all requirements of law for the
assessment and collection of the tax or assess-
ment secured by it, and for the making and filing
of the certificate, have been duly and properly
complied with. Any claimed informality, irregularity
or invalidity in the assessment or attempted col-
lection of the tax, or in the lien filed, shall be a
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 10-70
matter of affirmative defense to be alleged and
proved by the defendant.
(P.B. 1978-1997, Sec. 187.)
Sec. 10-71. —Action on Probate Bond
In any action upon a bond taken in a court of
probate, not brought by a representative of the
estate in connection with which the bond was
given or by some person in that person’s own
behalf and that of all other persons interested in
the estate, the plaintiff shall aver in the complaint
or reply for whose special benefit the action is
prosecuted, and how such persons are interested
in the same, and how the act or neglect of the
defendant has injured their rights or affected their
interests and the judgment rendered in any such
case shall not, in any future proceedings, by scire
facias or otherwise, bar or conclude the rights of
other persons interested in the bond. (See Gen-
eral Statutes § 52-117 and annotations.)
(P.B. 1978-1997, Sec. 189.)
Sec. 10-72. —Action by Assignee of Chose
in Action
Where the assignee and equitable and bona
fide owner of any chose in action, not negotiable,
sues thereon in his or her own name, such party
shall in the complaint allege that he or she is the
actual bona fide owner thereof, and set forth when
and how such party acquired title thereto. (See
General Statutes § 52-118 and annotations.)
(P.B. 1978-1997, Sec. 190.)
Sec. 10-73. —Pleading Charters
All acts of incorporation passed by the General
Assembly may be declared on or pleaded as pub-
lic acts. (See General Statutes § 52-115 and
annotations.)
(P.B. 1978-1997, Sec. 191.)
Sec. 10-74. —Wrongful Sale; Wrongful Con-
version
Where the defendant has wrongfully sold per-
sonal property of the plaintiff, the latter may waive
the tort, affirm the sale, and sue for the proceeds;
but in case of wrongful conversion of property,
without a sale, the plaintiff cannot waive the tort
and declare as on a contract.
(P.B. 1978-1997, Sec. 192.)
Sec. 10-75. —Goods Sold; Variance
In an action for goods sold at a reasonable
price, if the proof is that they were sold at an
agreed price, the plaintiff shall not be precluded,
on the ground of a variance, from recovering such
agreed price; and in an action for goods sold at an
agreed price the plaintiff may recover a different
or a reasonable price, if the proof fails to establish
the price alleged; and the like rule shall prevail in
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actions for work done, materials furnished, or use
and occupation of land.
(P.B. 1978-1997, Sec. 193.)
Sec. 10-76. —Probate Appeals; Reasons of
Appeal
(a) Unless otherwise ordered, in all appeals
from probate the appellant shall file reasons of
appeal, which upon motion shall be made reason-
ably specific, within ten days after the return day;
and pleadings shall thereafter follow in analogy
to civil actions.
(b) Appellees opposing the probate of a will
shall specifically deny such of the reasons of
appeal as they intend to controvert and affirma-
tively allege any other grounds upon which they
propose to rely.
(c) The appellant in appeals involving the pro-
bate of a will shall file, with the reasons of appeal,
a copy of the will. (See General Statutes §§ 45a-
186 to 45a-193.)
(P.B. 1978-1997, Sec. 194.)
Sec. 10-77. —Appeals from Commissioners
In all appeals from the allowance or disallow-
ance of any claim by commissioners appointed
by courts of probate, the party presenting the
claim shall, within ten days after the return day,
unless otherwise ordered, file a statement of the
amount and nature of the claim, and of the facts
upon which it is based, which statement shall con-
form, as far as may be, in form and substance,
to the requirements of a complaint brought to
recover upon said claim in a civil action. To such
statement the adverse party, unless otherwise
ordered by the judicial authority, shall plead, and
thereafter the pleadings shall continue until issues
are joined, as in civil actions.
(P.B. 1978-1997, Sec. 195.)
Sec. 10-78. —Pleading Collateral Source
Payments
No pleading shall contain any allegations
regarding receipt by a party of collateral source
payments as described in General Statutes §§ 52-
225a and 52-225b.
(P.B. 1978-1997, Sec. 195A.)
Sec. 10-79. —Pleading Issues of Policy Lim-
itations
An insurer should raise issues of monetary pol-
icy limits, or credits for payments by or on behalf of
third party tortfeasors, by special defense. When
a jury determination of the facts raised by special
defense is not necessary, the special defense
shall not be submitted to the jury but, rather, shall
be resolved by the trial court prior to the rendering
of judgment.
(P.B. 1978-1997, Sec. 195B.)
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 11-3
CHAPTER 11
MOTIONS, REQUESTS, ORDERS OF NOTICE, AND
SHORT CALENDAR
Sec. Sec.
11-1. Form of Motion and Request
11-2. Definition of ‘‘Motion’’ and ‘‘Request’’
11-3. Motion for Misjoinder of Parties
11-4. Applications for Orders of Notice
11-5. Subsequent Orders of Notice; Continuance
11-6. Notice by Publication
11-7. Attestation; Publication; Proof of Compliance
11-8. Orders of Notice Directed outside of the United
States of America
11-9. Disclosure of Previous Applications
11-10. Requirement That Memorandum of Law Be Filed
with Certain Motions
11-11. Motions Which Delay the Commencement of the
Appeal Period or Cause the Appeal Period to
Start Again
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
(a) Every motion, request, application or objec-
tion directed to pleading or procedure, unless
relating to procedure in the course of a trial, shall
be in writing. A motion to extend time to plead,
respond to written discovery, object to written dis-
covery, or respond to requests for admissions
shall state the date of the certification of service
of the document for which an extension is sought
and the date through which the moving party is
seeking the extension.
(b) (1) For civil matters, with the exception of
housing, family and small claims matters, when
any motion, application or objection is filed either
electronically or on paper, no order page should
be filed unless an order of notice and citation
is necessary.
(2) For family, juvenile, housing and small
claims matters, when any motion, application or
objection is filed in paper format, an order shall
be annexed to the filing until such cases are incor-
porated into the Judicial Branch’s electronic filing
system. Once these case types are incorporated
into such electronic filing system, no order page
should be filed unless an order of notice and cita-
tion is necessary.
(c) Whether filed under subsection (b) (1) or (b)
(2), such motion, request, application or objection
shall be served on all parties as provided in Sec-
tions 10-12 through 10-17 and, when filed, the
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11-12. Motion to Reargue
11-13. Short Calendar; Need for List; Case Assigned for
Trial; Reclaims
11-14. —Short Calendar; Frequency; Time; Lists
11-15. —Short Calendar; Assignments Automatic
11-16. —Continuances when Counsel’s Presence or Oral
Argument Required
11-17. —Transfers on Short Calendar
11-18. —Oral Argument of Motions in Civil Matters
11-19. —Time Limit for Deciding Short Calendar Matters
11-20. Closure of Courtroom in Civil Cases
11-20A. Sealing Files or Limiting Disclosure of Documents
in Civil Cases
11-20B. —Documents Containing Personal Identifying
Information
11-21. Motions for Attorney’s Fees
fact of such service shall be endorsed thereon.
Any such motion, request, application or objec-
tion, as well as any supporting brief or memoran-
dum, shall include a page number on each page
other than the first page, except that this require-
ment shall not apply to forms supplied by the Judi-
cial Branch or generated by the electronic filing
system.
(P.B. 1978-1997, Sec. 196.) (Amended June 20, 2011, to
take effect Jan. 1, 2012; amended June 15, 2012, to take
effect Jan. 1, 2013; amended June 13, 2014, to take effect
Jan. 1, 2015; amended June 24, 2016, to take effect Jan.
1, 2017.)
Sec. 11-2. Definition of ‘‘Motion’’ and
‘‘Request’’
As used in these rules, the term ‘‘motion’’
means any application to the court for an order,
which application is to be acted upon by the court
or any judge thereof; and the term ‘‘request’’
means any application to the court which shall be
granted by the clerk by operation of these rules
unless timely objection is filed.
(P.B. 1978-1997, Sec. 197.)
Sec. 11-3. Motion for Misjoinder of Parties
The exclusive remedy for misjoinder of parties
is by motion to strike. As set forth in Section 10-
39, the exclusive remedy for nonjoinder of parties
is by motion to strike.
(P.B. 1978-1997, Sec. 198.)
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 11-4
Sec. 11-4. Applications for Orders of Notice
Applications for orders of notice, whether made
to a court, a judge, a clerk, or an assistant clerk,
shall be made in writing, shall state the residence
of the party whom the notice is sought to reach
or that all reasonable efforts have been made to
ascertain the residence and have failed, and shall
further state what notice is considered most likely
to come to the attention of such person, with the
reasons therefor, unless they are evident; and
such applications shall become a part of the file
of the case.
(P.B. 1978-1997, Sec. 199.)
Sec. 11-5. Subsequent Orders of Notice;
Continuance
Motions made to the court for a second or sub-
sequent order of notice shall be filed with the clerk,
who shall call them to the attention of the judicial
authority at the earliest convenient time. The judi-
cial authority may thereupon enter its order or
direct that the matter be placed on the next short
calendar list. If a continuance of the case is
desired, it may also be requested in the motion
for the order of notice.
(P.B. 1978-1997, Sec. 200.)
Sec. 11-6. Notice by Publication
(a) If an order of notice is by publication and it
states the nature of the action and the relief sought
sufficiently to inform the party to whom the notice
is addressed of the way in which the interests of
the party may be affected, the authority issuing the
order may direct that only the order be published.
(b) Every notice by publication shall have the
words ‘‘State of Connecticut’’ in the caption of the
case, and following it, in bold type, the words
‘‘Notice to (the person to whom it is addressed).’’
(P.B. 1978-1997, Sec. 201.)
Sec. 11-7. Attestation; Publication; Proof
of Compliance
Orders of notice of legal or judicial proceedings
need not be directed to or attested by any officer
or person, but all copies of complaints or other
papers thereby ordered, served or mailed shall
be so attested as true copies of the original. To
prove publication of any legal notice, either the
return of any officer authorized to serve process
or the affidavit of any person showing that such
publication was made as directed shall be suffi-
cient. Such order shall not require publication of
any recital stating where the designated newspa-
per is printed or recital of any other details in or
pertinent to the application for such order which
are not essential parts of the notice to be given.
A copy of the prescribed notice, instead of the
original order, may be left with the newspaper
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for publication purposes, and each original order
shall be left with or returned to the clerk of the court
in which the proceeding is pending or returnable.
When proof of compliance with the order is filed
with such clerk, he or she shall note such fact
upon the docket, and such proof and order shall
be preserved as part of the case file. (See General
Statutes § 52-52 and annotations.)
(P.B. 1978-1997, Sec. 202.)
Sec. 11-8. Orders of Notice Directed outside
of the United States of America
If service of process cannot be made under the
applicable international treaty or convention within
sixty days from the issuance of the summons,
then the judicial authority may issue, upon the
application of any party, an order of notice. In
determining what manner and form of notice shall
be ordered, the judicial authority shall consider
the following:
(1) other methods of service specified or
allowed in any applicable international treaty or
convention, including any reservations;
(2) whether all applicable international treaties
and conventions prohibit substituted service;
(3) what method of service provides the great-
est likelihood the party being served will receive
actual and timely notice of the suit so the party
may appear and defend;
(4) whether a particular method of service vio-
lates the law, particularly the criminal law, of the
foreign country involved;
(5) whether an actual agent of the party being
served can be served within the United States.
(P.B. 1978-1997, Sec. 202A.)
Sec. 11-9. Disclosure of Previous Appli-
cations
Upon making a motion or application to the
court, or to a judge thereof before the return day
of the action, (1) for an order appointing a receiver
or an injunction, or (2) for a modification or dissolu-
tion of any such order or injunction, or (3) for
issuance of a prejudgment remedy, or (4) for a
reduction or dissolution of an attachment, if a
motion or application for the same order or injunc-
tion has been previously made to the court or to
any judge, such motion or application shall so
recite. Nothing in this section shall be so con-
strued as to preclude the making of more than
one motion or application for the same or similar
order or injunction or affect in any way the right
of the applicant to have such motion or application
passed upon on its merits.
(P.B. 1978-1997, Sec. 203.)
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 11-13
Sec. 11-10. Requirement That Memorandum
of Law Be Filed with Certain Motions
(a) A memorandum of law briefly outlining the
claims of law and authority pertinent thereto shall
be filed and served by the movant with the follow-
ing motions and requests: (1) motions regarding
parties filed pursuant to Sections 9-18 through 9-
22 and motions to implead a third party defendant
filed pursuant to Section 10-11; (2) motions to
dismiss except those filed pursuant to Section 14-
3; (3) motions to strike; (4) motions to set aside
judgment filed pursuant to Section 17-4; and (5)
motions for summary judgment. Memoranda of
law may be filed by other parties on or before the
time the matter appears on the short calendar.
(b) A reply memorandum is not required and
the absence of such memoranda will not prejudice
any party. A reply memorandum shall be strictly
confined to a discussion of matters raised by the
responsive memorandum and shall be filed within
fourteen days of the filing of the responsive memo-
randum to which such reply memoranda is
being made.
(c) Surreply memoranda cannot be filed without
the permission of the judicial authority.
(P.B. 1978-1997, Sec. 204.) (Amended June 12, 2015, to
take effect Jan. 1, 2016.)
Sec. 11-11. Motions Which Delay the Com-
mencement of the Appeal Period or Cause
the Appeal Period to Start Again
Any motions which would, pursuant to Section
63-1, delay the commencement of the appeal
period, and any motions which, pursuant to Sec-
tion 63-1, would toll the appeal period and cause
it to begin again, shall be filed simultaneously
insofar as such filing is possible, and shall be
considered by the judge who rendered the under-
lying judgment or decision. The party filing any
such motion shall set forth the judgment or deci-
sion which is the subject of the motion, the name
of the judge who rendered it, the specific grounds
upon which the party relies, and shall indicate on
the bottom of the first page of the motion that such
motion is a Section 11-11 motion. The foregoing
applies to motions to reargue decisions that are
final judgments for purposes of appeal, but shall
not apply to motions under Sections 16-35, 17-
2A and 11-12.
(P.B. 1978-1997, Sec. 204A.)
Sec. 11-12. Motion to Reargue
(a) A party who wishes to reargue a decision
or order rendered by the court shall, within twenty
days from the issuance of notice of the rendition
of the decision or order, file a motion to reargue
setting forth the decision or order which is the
subject of the motion, the name of the judge who
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rendered it, and the specific grounds for reargu-
ment upon which the party relies.
(b) The judge who rendered the decision or
order may, upon motion of a party and a showing
of good cause, extend the time for filing a motion
to reargue. Such motion for extension must be
filed before the expiration of the twenty day time
period in subsection (a).
(c) The motion to reargue shall be considered
by the judge who rendered the decision or order.
Such judge shall decide, without a hearing,
whether the motion to reargue should be granted.
If the judge grants the motion, the judge shall
schedule the matter for hearing on the relief
requested.
(d) This section shall not apply to motions to
reargue decisions which are final judgments for
purposes of appeal. Such motions shall be filed
pursuant to Section 11-11.
(P.B. 1978-1997, Sec. 204B.)
Sec. 11-13. Short Calendar; Need for List;
Case Assigned for Trial; Reclaims
(a) Unless otherwise provided in these rules or
ordered by the judicial authority, questions as to
the terms or form of a decree or judgment to be
rendered on the report of a committee or of audi-
tors, or on an award of arbitrators, foreclosures
where the only question is as to the time to be
limited for redemption, all motions and objections
to requests when practicable, and all issues of
law must be placed on the short calendar list. No
motions will be heard which are not on said list
and ought to have been placed thereon; provided
that any motion in a case on trial, or assigned for
trial, may be disposed of by the judicial authority
at its discretion, or ordered upon the short calen-
dar list on terms, or otherwise.
(b) Unless it is filed electronically, whenever a
short calendar matter or reclaim slip is filed in a
case which has been assigned for trial, the filing
party shall place the words ‘‘assigned for trial’’ on
the bottom of the first page of the document and
on any short calendar reclaim slip. The moving
party at a short calendar hearing shall, when appli-
cable, inform the judicial authority that the case
has been assigned for trial.
(c) If a motion has gone off the short calendar
without being adjudicated, any party may claim
the motion for adjudication. If an objection to a
request has gone off the short calendar without
being adjudicated, the party who filed the request
may claim the objection to the request for adjudi-
cation. If a case is on the docket management
list, any party may claim any motion or objection
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 11-13
for adjudication when the motion or objection must
be resolved to close the pleadings.
(P.B. 1978-1997, Sec. 206.) (Amended June 24, 2002, to
take effect Jan. 1, 2003; amended June 20, 2011, to take
effect Jan. 1, 2012.)
Sec. 11-14. —Short Calendar; Frequency;
Time; Lists
Short calendar sessions shall be held in each
judicial district and geographical area at least
once each month, the date, hour and place to be
fixed by the presiding judge upon due notice to
the clerk. The caseflow coordinator or clerk, in
consultation with the presiding judge, shall deter-
mine the number of lists, such as whether there
shall be separate lists for family relations matters
and foreclosures, and whether various portions of
any one list shall be scheduled for different days
and for different hours of the same day. Notice of
the assigned date and time of the motion shall be
provided to attorneys and self-represented parties
of record.
(P.B. 1978-1997, Sec. 207.) (Amended June 29, 2007, to
take effect Jan. 1, 2008.)
Sec. 11-15. —Short Calendar; Assignments
Automatic
Matters to be placed on the short calendar shall
be assigned automatically by the clerk without
written claim, except as provided in Section 17-
31. No such matters shall be so assigned unless
filed at least five days before the opening of court
on the short calendar day. Motions to dismiss,
motions to strike, and motions for summary judg-
ment shall be assigned in accordance with Sec-
tions 10-31, 10-40 and 17-45, respectively.
(P.B. 1978-1997, Sec. 208.)
Sec. 11-16. —Continuances when Coun-
sel’s Presence or Oral Argument Required
Matters upon the short calendar list requiring
oral argument or counsel’s presence shall not be
continued except for good cause shown; and no
such matter in which adverse parties are inter-
ested shall be continued unless the parties shall
agree thereto before the day of the short calendar
session and notify the clerk, who shall make note
thereof on the list of the presiding judge; in the
absence of such agreement, unless the judicial
authority shall otherwise order, any counsel
appearing may argue the matter and submit it for
decision, or request that it be denied.
(P.B. 1978-1997, Sec. 209.)
Sec. 11-17. —Transfers on Short Calendar
Matters on the short calendar list may, by writ-
ten stipulation of the parties and consent of the
judge, be heard and disposed of by any judge in
any judicial district, who shall certify the decision
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to the clerk of the court in which the action is
pending, who shall thereupon enter the decision
as the order or judgment of the court.
(P.B. 1978-1997, Sec. 210.)
Sec. 11-18. —Oral Argument of Motions in
Civil Matters
(a) Oral argument is at the discretion of the
judicial authority except as to motions to dismiss,
motions to strike, motions for summary judgment,
motions for judgment of foreclosure, and motions
for judgment on the report of an attorney trial ref-
eree and/or hearing on any objections thereto.
For those motions, oral argument shall be a matter
of right, provided:
(1) the motion has been marked ready in
accordance with the procedure that appears on
the short calendar on which the motion
appears, or
(2) a nonmoving party files and serves on all
other parties pursuant to Sections 10-12 through
10-17, with proof of service endorsed thereon, a
written notice stating the party’s intention to argue
the motion or present testimony. Such a notice
shall be filed on or before the third day before the
date of the short calendar date and shall contain
(A) the name of the party filing the motion and
(B) the date of the short calendar on which the
matter appears.
(b) As to any motion for which oral argument
is of right and as to any other motion for which the
judicial authority grants or, in its own discretion,
requires argument or testimony, the date for argu-
ment or testimony shall be set by the judge to
whom the motion is assigned.
(c) If a case has been designated for argument
as of right or by the judicial authority but a date
for argument or testimony has not been set within
thirty days of the date the motion was marked
ready, the movant may reclaim the motion.
(d) Failure to appear and present argument on
the date set by the judicial authority shall consti-
tute a waiver of the right to argue unless the judi-
cial authority orders otherwise.
(e) Notwithstanding the above, all motions to
withdraw appearance, except those under Sec-
tion 3-9 (b), and any other motions designated
by the chief court administrator in the civil short
calendar standing order shall be set down for
oral argument.
(f) For those motions for which oral argument
is not a matter of right, oral argument may be
requested in accordance with the procedure that
is printed on the short calendar on which the
motion appears.
(P.B. 1978-1997, Sec. 211.) (Amended June 28, 1999, to
take effect Jan. 1, 2000; amended June 21, 2004, to take
effect Jan. 1, 2005; amended June 29, 2007, to take effect
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 11-20
Jan. 1, 2008; amended June 20, 2011, to take effect Jan.
1, 2012.)
Sec. 11-19. —Time Limit for Deciding Short
Calendar Matters
(a) Any judge of the superior court and any
judge trial referee to whom a short calendar matter
has been submitted for decision, with or without
oral argument, shall issue a decision on such mat-
ter not later than 120 days from the date of such
submission, unless such time limit is waived by
the parties. In the event that the judge or referee
conducts a hearing on the matter and/or the par-
ties file briefs concerning it, the date of submission
for purposes of this section shall be the date the
matter is heard or the date the last brief ordered
by the court is filed, whichever occurs later. If a
decision is not rendered within this period the mat-
ter may be claimed in accordance with subsection
(b) for assignment to another judge or referee.
(b) A party seeking to invoke the provisions of
this section shall not later than fourteen days after
the expiration of the 120 day period file with the
clerk a motion for reassignment of the undecided
short calendar matter which shall set forth the
date of submission of the short calendar matter,
the name of the judge or referee to whom it was
submitted, that a timely decision on the matter
has not been rendered, and whether or not oral
argument is requested or testimony is required.
The failure of a party to file a timely motion for
reassignment shall be deemed a waiver by that
party of the 120 day time.
(P.B. 1978-1997, Sec. 211A.)
Sec. 11-20. Closure of Courtroom in Civil
Cases
(Amended May 14, 2003, to take effect July 1, 2003.)
(a) Except as otherwise provided by law, there
shall be a presumption that courtroom proceed-
ings shall be open to the public.
(b) Except as provided in this section and
except as otherwise provided by law, the judicial
authority shall not order that the public be
excluded from any portion of a courtroom pro-
ceeding.
(c) Upon written motion of any party, or upon
its own motion, the judicial authority may order
that the public be excluded from any portion of a
courtroom proceeding only if the judicial authority
concludes that such order is necessary to pre-
serve an interest which is determined to override
the public’s interest in attending such proceeding.
The judicial authority shall first consider reason-
able alternatives to any such order and any such
order shall be no broader than necessary to pro-
tect such overriding interest. An agreement of the
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parties to close the courtroom shall not constitute
a sufficient basis for the issuance of such an order.
(d) In connection with any order issued pursuant
to subsection (c) of this section, the judicial
authority shall articulate the overriding interest
being protected and shall specify its findings
underlying such order. If any findings would reveal
information entitled to remain confidential, those
findings may be set forth in a sealed portion of
the record. The time, date and scope of any such
order shall be set forth in a writing signed by the
judicial authority which upon issuance the court
clerk shall immediately enter in the court file and
publish by posting both on the Judicial Branch
website and on a bulletin board adjacent to the
clerk’s office and accessible to the public. The
judicial authority shall order that a transcript of
its decision be included in the file or prepare a
memorandum setting forth the reasons for its
order.
(e) A motion to close a courtroom proceeding
shall be filed not less than fourteen days before
the proceeding is scheduled to be heard. Such
motion shall be placed on the short calendar so
that notice to the public is given of the time and
place of the hearing on the motion and to afford
the public an opportunity to be heard on the motion
under consideration. The motion itself may be filed
under seal, where appropriate, by leave of the
judicial authority. When placed on a short calen-
dar, motions filed under this rule shall be listed in
a separate section titled ‘‘Motions to Seal or
Close’’ and shall also be listed with the time, date
and place of the hearing on the Judicial Branch
website. A notice of such motion being placed on
the short calendar shall, upon issuance of the
short calendar, be posted on a bulletin board adja-
cent to the clerk’s office and accessible to the
public.
(f) With the exception of any provision of the
General Statutes under which the judicial author-
ity is authorized to close courtroom proceedings,
whether at a pretrial or trial stage, no order exclud-
ing the public from any portion of a courtroom
proceeding shall be effective until seventy-two
hours after it has been issued. Any person
affected by such order shall have the right to the
review of such order by the filing of a petition for
review with the appellate court within seventy-two
hours from the issuance of such order. The timely
filing of any petition for review shall stay such
order.
(P.B. 1978-1997, Sec. 211B.) (Amended June 28, 1999,
to take effect Jan. 1, 2000; amended May 14, 2003, to take
effect July 1, 2003; amended June 21, 2004, to take effect
Jan. 1, 2005; June 20, 2011, to take effect Jan. 1, 2012.)
HISTORY—2003: Prior to July 1, 2003, Sec. 11-20 read:
‘‘Exclusion of the Public; Sealing Files Limiting Disclosure
of Documents
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 11-20
‘‘(a) Except as provided in this section and except as other-
wise provided by law, including Section 13-5, the judicial
authority shall not order that the public, which may include
the news media, be excluded from any portion of a proceeding
and shall not order that any files, affidavits, documents, or
other materials on file with the court or filed in connection with
a court proceeding be sealed or their disclosure limited.
‘‘(b) Upon motion of any party, or upon its own motion, the
judicial authority may order that the public be excluded from
any portion of a proceeding and may order that files, affidavits,
documents or other materials on file with the court or filed in
connection with a court proceeding be sealed or their disclo-
sure limited if the judicial authority concludes that such order
is necessary to preserve an interest which is determined to
override the public’s interest in attending such proceeding or
in viewing such materials. Any such order shall be no broader
than necessary to protect such overriding interest.
‘‘(c) In connection with any order issued pursuant to subsec-
tion (b) of this section, the judicial authority shall, on the record
in open court, articulate the overriding interest being protected
and shall specify its findings underlying such order. The time
and date of any such order shall be entered by the court clerk
in the court file together with such order.
‘‘(d) With the exception of orders concerning any session
of court conducted pursuant to General Statutes §§ 46b-11,
46b-49, 46b-122 or any other provision of the General Statutes
under which the judicial authority is authorized to close pro-
ceedings, whether at a pretrial or trial stage, no order excluding
the public from any portion of a proceeding shall be effective
until seventy-two hours after it has been issued. Any person
affected by such order shall have the right to the review of
such order by the filing of a petition for review with the appellate
court within seventy-two hours from the issuance of such order.
The timely filing of any petition for review shall stay such order.
‘‘(e) With the exception of orders concerning the confidenti-
ality of records and other papers, issued pursuant to General
Statutes § 46b-11 or any other provision of the General Stat-
utes under which the court is authorized to seal or limit the
disclosure of files, affidavits, documents or other materials,
whether at a pretrial or trial stage, any person affected by a
court order that seals or limits the disclosure of any files,
documents or other materials on file with the court or filed in
connection with a court proceeding, shall have the right to the
review of such order by the filing of a petition for review with
the appellate court within seventy-two hours from the issuance
of such order. Nothing under this subsection shall operate as
a stay of such sealing order.
‘‘(f) The provisions of this section shall not apply to settle-
ment agreements which have not been incorporated into a
judgment of the court.’’
COMMENTARY—2003: The public and press enjoy a right
of access to attend trials in civil as well as criminal cases.
Westmoreland v. Columbia Broadcasting System, Inc., 752
F.2d 16, 22 (2d Cir. 1984); Publicker Industries, Inc. v. Cohen,
733 F.2d 1059, 1071 (3d Cir. 1984). This right is implicit in the
first and fourteenth amendments. Westmoreland v. Columbia
Broadcasting System, Inc., supra, 21. In civil cases, public
access to trials ‘‘enhances the quality and safeguards the
integrity of the factfinding process . . . fosters an appearance
of fairness . . . and heightens public respect for the judicial
process . . . while permitting the public to participate in and
serve as a check upon the judicial process—an essential com-
ponent in our structure of self government . . . .’’ (Citations
omitted; internal quotation marks omitted.) Id., 23.
For a further discussion of court closure, see the Commen-
tary to Section 42-49.
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Because this section no longer deals with the sealing of
documents, subsections (e) and (f) have been transferred,
with revisions, to Section 11-20A.
HISTORY—2005: Prior to 2005, the third sentence of sub-
section (d) read: ‘‘The time, date and scope of any such order
shall be in writing and shall be signed by the judicial authority
and be entered by the court clerk in the court file.’’
COMMENTARY—2005: As used in subsection (a) above,
the words ‘‘Except as otherwise provided by law’’ are intended
to exempt from the operation of this rule all established proce-
dures for the closure of courtroom proceedings as required
or permitted by statute; e.g., General Statutes §§ 19a-583 (a)
(10) (D) (pertaining to court proceedings as to disclosure of
confidential HIV-related information), 36a-21 (b) (pertaining to
court proceedings at which certain records of the department
of banking are disclosed), 46b-11 (pertaining to hearings in
family relations matters), 54-86c (b) (pertaining to the disclo-
sure of exculpatory information or material), 54-86f (pertaining
to the admissibility of evidence of sexual conduct) and 54-86g
(pertaining to the testimony of a victim of child abuse); other
rules of practice; e.g., Practice Book Section 40-43; and/or
controlling state or federal case law.
The above amendment to subsection (d) establishes a
mechanism by which the public and the press, who are empow-
ered by this rule to object to pending motions to close the
courtroom in civil matters, will receive timely notice of the
court’s disposition of such motions. General Statutes § 51-
164x (a) gives any person affected by a court closure order
in a civil action the right to the review of such order by filing
a petition for review with the appellate court within seventy-
two hours from the issuance of the order.
HISTORY—2012: In 2012, in beginning of the fifth sentence
of subsection (e), ‘‘notice of such motion being placed on’’
was substituted for ‘‘copy of,’’ before ‘‘the short calendar.’’
Also, in that same sentence, ‘‘page containing the aforesaid
section’’ was deleted, after ‘‘short calendar.’’
COMMENTARY—2012: The above amendment is
intended to provide for the electronic filing and processing of
documents and orders, and the maintenance of court records,
where the present terminology, filing requirements or pro-
cesses that are applicable in a paper environment result in
confusion or redundancy when applied to an electronic envi-
ronment.
Sec. 11-20A. Sealing Files or Limiting Dis-
closure of Documents in Civil Cases
(a) Except as otherwise provided by law, there
shall be a presumption that documents filed with
the court shall be available to the public.
(b) Except as provided in this section and
except as otherwise provided by law, including
Section 13-5, the judicial authority shall not order
that any files, affidavits, documents, or other
materials on file with the court or filed in connec-
tion with a court proceeding be sealed or their
disclosure limited.
(c) Upon written motion of any party, or upon
its own motion, the judicial authority may order
that files, affidavits, documents, or other materials
on file or lodged with the court or in connection
with a court proceeding be sealed or their disclo-
sure limited only if the judicial authority concludes
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 11-20A
that such order is necessary to preserve an inter-
est which is determined to override the public’s
interest in viewing such materials. The judicial
authority shall first consider reasonable alterna-
tives to any such order and any such order shall
be no broader than necessary to protect such
overriding interest. An agreement of the parties
to seal or limit the disclosure of documents on file
with the court or filed in connection with a court
proceeding shall not constitute a sufficient basis
for the issuance of such an order.
(d) In connection with any order issued pursuant
to subsection (c) of this section, the judicial
authority shall articulate the overriding interest
being protected and shall specify its findings
underlying such order and the duration of such
order. If any findings would reveal information
entitled to remain confidential, those findings may
be set forth in a sealed portion of the record. The
time, date, scope and duration of any such order
shall be set forth in a writing signed by the judicial
authority which upon issuance the court clerk shall
immediately enter in the court file and publish by
posting both on the Judicial Branch website and
on a bulletin board adjacent to the clerk’s office
and accessible to the public. The judicial authority
shall order that a transcript of its decision be
included in the file or prepare a memorandum
setting forth the reasons for its order.
(e) Except as otherwise ordered by the judicial
authority, a motion to seal or limit the disclosure
of affidavits, documents, or other materials on file
or lodged with the court or in connection with a
court proceeding shall be calendared so that
notice to the public is given of the time and place
of the hearing on the motion and to afford the
public an opportunity to be heard on the motion
under consideration. The procedures set forth in
Sections 7-4B and 7-4C shall be followed in con-
nection with a motion to file affidavits, documents
or other materials under seal or to limit their dis-
closure.
(f) (1) A motion to seal the contents of an entire
court file shall be placed on the short calendar to
be held not less than fifteen days following the
filing of the motion, unless the judicial authority
otherwise directs, so that notice to the public is
given of the time and place of the hearing on the
motion and to afford the public an opportunity to
be heard on the motion under consideration. The
procedures set forth in Sections 7-4B and 7-4C
shall be followed in connection with such motion.
(2) The judicial authority may issue an order
sealing the contents of an entire court file only
upon a finding that there is not available a more
narrowly tailored method of protecting the overrid-
ing interest, such as redaction, sealing a portion
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of the file or authorizing the use of pseudonyms.
The judicial authority shall state in its decision or
order each of the more narrowly tailored methods
that was considered and the reason each such
method was unavailable or inadequate.
(g) With the exception of any provision of the
General Statutes under which the court is author-
ized to seal or limit the disclosure of files, affida-
vits, documents, or other materials, whether at a
pretrial or trial stage, any person affected by a
court order that seals or limits the disclosure of
any files, documents or other materials on file
with the court or filed in connection with a court
proceeding, shall have the right to the review of
such order by the filing of a petition for review
with the appellate court within seventy-two hours
from the issuance of such order. Nothing under
this subsection shall operate as a stay of such
sealing order. Any party requesting the use of a
pseudonym pursuant to this section shall lodge
the original documents with the true identity of
the party or parties with the clerk of the court in
accordance with Sections 7-4B and 7-4C.
(h) (1) Pseudonyms may be used in place of
the name of a party or parties only with the prior
approval of the judicial authority and only if the
judicial authority concludes that such order is nec-
essary to preserve an interest which is determined
to override the public’s interest in knowing the
name of the party or parties. The judicial authority
shall first consider reasonable alternatives to any
such order and any such order shall be no broader
than necessary to protect such overriding interest.
The judicial authority shall articulate the overriding
interest being protected and shall specify its find-
ings underlying such order and the duration of
such order. If any findings would reveal informa-
tion entitled to remain confidential, those findings
may be set forth in a sealed portion of the record.
The time, date, scope and duration of any such
order shall forthwith be reduced to writing and be
signed by the judicial authority and be entered by
the court clerk in the court file. The judicial author-
ity shall order that a transcript of its decision be
included in the file or prepare a memorandum
setting forth the reasons for its order. An
agreement of the parties that pseudonyms be
used shall not constitute a sufficient basis for the
issuance of such an order. The authorization of
pseudonyms pursuant to this section shall be in
place of the names of the parties required by Sec-
tion 7-4A.
(2) The judicial authority may grant prior to the
commencement of the action a temporary ex parte
application for permission to use pseudonyms
pending a hearing on continuing the use of such
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 11-20A
pseudonyms to be held not less than fifteen days
after the return date of the complaint.
(3) After commencement of the action, a motion
for permission to use pseudonyms shall be placed
on the short calendar to be held not less than
fifteen days following the filing of the motion,
unless the judicial authority otherwise directs, so
that notice to the public is given of the time and
place of the hearing on the motion and to afford
the public an opportunity to be heard on the motion
under consideration. Leave of the court may be
sought to file the motion under seal pending a
disposition of the motion by the judicial authority.
(4) Any order allowing the use of a pseudonym
in place of the name of a party shall also require
the parties to use such pseudonym in all docu-
ments filed with the court.
(i) The provisions of this section shall not apply
to settlement conferences or negotiations or to
documents submitted to the court in connection
with such conferences or negotiations. The provi-
sions of this section shall apply to settlement
agreements which have been filed with the court
or have been incorporated into a judgment of
the court.
(j) When placed on a short calendar, motions
filed under this rule shall be listed in a separate
section titled "Motions to Seal or Close" and shall
also be listed with the time, date and place of the
hearing on the Judicial Branch website. A notice
of such motion being placed on the short calendar
shall, upon issuance of the short calendar, be
posted on a bulletin board adjacent to the clerk’s
office and accessible to the public.
(Adopted May 14, 2003, to take effect July 1, 2003;
amended June 21, 2004, to take effect Jan. 1, 2005; amended
June 20, 2011, to take effect Jan. 1, 2012; amended June 23,
2017, to take effect Jan. 1, 2018.)
COMMENTARY—2003: The public and press enjoy a right
of access to attend trials in civil as well as criminal cases.
See Nixon v. Warner Communications, Inc., 435 U.S. 589,
597–608, 98 S. Ct. 1306, 55 L. Ed. 2d 570 (1978). The guaran-
tee of open public proceedings in civil trials applies as well to
the sealing of court documents. See Publicker Industries, Inc.
v. Cohen, 733 F.2d 1059, 1070–71 (3d Cir. 1984).
See also the Commentary to Section 42-49A.
Motions to seal or limit the disclosure of affidavits, docu-
ments or other materials in cases on the complex litigation
docket shall appear on the regular short calendar for the pur-
pose of providing notice to the public.
As regards the use of pseudonyms set out in subsection
(h) of this section, it is clear that such use generally runs afoul
of the public’s right of access to judicial proceedings. Does I
Thru XXIII v. Advanced Textile Corp., 214 F.3d 1058, 1067
(9th Cir. 2000). ‘‘Though not as critical as access to the pro-
ceedings, knowing the litigants’ identities nevertheless tends
to sharpen public scrutiny of the judicial process, to increase
confidence in the administration of the law, to enhance the
therapeutic value of judicial proceedings, and to serve the
structural function of the first amendment by enabling informed
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discussion of judicial operations.’’ (Internal quotation marks
omitted.) Doe v. Burkland, 808 A.2d 1090, 1097 (R.I. 2002).
‘‘[M]any federal courts . . . have permitted parties to pro-
ceed anonymously when special circumstances justify
secrecy. . . . In [the Ninth] [C]ircuit, [parties are allowed] to
use pseudonyms in the ‘unusual case’ when nondisclosure of
the party’s identity ‘is necessary . . . to protect a person from
harassment, injury, ridicule or personal embarrassment.’
United States v. Doe, 655 F.2d 920, 922 n.1 (9th Cir. 1981)
. . . .’’ (Citations omitted.) Does I Thru XXIII v. Advanced
Textile Corp., supra, 214 F.3d 1067–68. In Does I Thru XXIII
v. Advanced Textile Corp., supra, 1062, the plaintiffs filed suit
under pseudonyms against their employers alleging multiple
violations of the Fair Labor Standards Act. Thecourt concluded
that in determining whether to allow the use of pseudonyms,
the trial court must consider the severity of the plaintiffs’ threat-
ened injury, the reasonableness of their fears and their vulner-
ability to retaliation. Id., 1068. In Doe v. Frank, 951 F.2d 320,
322 (11th Cir. 1992), the plaintiff, a government employee
challenging government activity, was denied permission to
proceed under a pseudonym which he sought due to his alco-
holism. The court concluded that a plaintiff should be permitted
to proceed anonymously only in ‘‘exceptional cases involving
matters of a highly sensitive and personal nature, real danger
of physical harm, or where the injury litigated against would
be incurred as a result of the disclosure of the plaintiff’s identity.
The risk that a plaintiff may suffer some embarrassment is not
enough.’’ Id., 324. The need for anonymity must outweigh the
presumption of openness.
‘‘The privilege of using fictitious names in actions should
be granted only in the rare case where the nature of the issue
litigated and the interest of the parties demand it and no harm
can be done to the public interest.’’ See Buxton v. Ullman,
147 Conn. 48, 60, 156 A.2d 508 (1959), appeal dismissed
sub nom. Poe v. Ullman, 367 U.S. 497, 81 S. Ct. 1752, 6 L.
Ed. 2d 989 (1961) (parties who were medical patients of named
plaintiff were allowed to use pseudonyms due to intimate and
distressing details alleged in complaint regarding prevention
of contraception). Connecticut trial courts applying the Buxton
holding have concluded that permission to proceed anony-
mously may be appropriate in situations involving social stig-
matization, real danger of physical harm, or risk of an unfair
trial. Doe v. Diocese Corp., 43 Conn. Sup. 152, 158, 647 A.2d
1067 (1994) (plaintiff was allowed to proceed anonymously in
action against defendants for past sexual abuse). Courts have
generally concluded that there must be a strong social interest
in concealing a party’s identity, but the possibility that a litigant
may suffer some embarrassment, economic harm, or loss of
reputation have been found not to be sufficiently overriding
interests to justify anonymity. ABC, LLC v. State Ethics Com-
mission, Superior Court, judicial district of New Britain, Docket
No. CV 000504071S (October 11, 2000).
In Doe v. Connecticut Bar Examining Committee, 263 Conn.
39, 818 A.2d 14 (2003), the plaintiff sought to proceed anony-
mously in an action against the defendant in connection with
the defendant’s failure to recommend the plaintiff for admission
to the bar. The supreme court, in determining that the use of
a pseudonym in this case should be left to the discretion of
the superior court, stated: ‘‘Because lawsuits are public events
. . . a plaintiff should be permitted to proceed anonymously
only in those exceptional cases involving matters of a highly
sensitive and personal nature. . . . A plaintiff’s desire to avoid
economic and social harm as well as embarrassment and
humiliation in his professional and social community is nor-
mally insufficient to permit him to appear without disclosing
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 11-21
his identity.’’ (Citation omitted; internal quotation marks omit-
ted.) Id., 70.
HISTORY—2005: Prior to 2005, the third sentence of sub-
section (d) read: ‘‘The time, date, scope and duration of any
such order shall forthwith be reduced to writing and be signed
by the judicial authority and be entered by the court clerk in
the court file.’’
COMMENTARY—2005: As used in subsection (a) above,
the words ‘‘Except as otherwise provided by law’’ are intended
to exempt from the operation of this rule all established proce-
dures for the sealing or ex parte filing, in camera inspection
and/or nondisclosure to the public of documents, records and
other materials, as required or permitted by statute; e.g., Gen-
eral Statutes §§ 12-242vv (pertaining to taxpayer information),
52-146c et seq. (pertaining to the disclosure of psychiatric
records) and 54-56g (pertaining to the pretrial alcohol educa-
tion program); other rules of practice; e.g., Practice Book Sec-
tions 7-18, 13-5 (6)–(8) and 40-13 (c); and/or controlling state
or federal case law; e.g., Matza v. Matza, 226 Conn. 166,
627 A.2d 414 (1993) (establishing a procedure whereby an
attorney seeking to withdraw from a case due to his client’s
anticipated perjury at trial may support his motion to withdraw
by filing a sealed affidavit for the court’s review).
The above amendment to subsection (d) establishes a
mechanism by which the public and the press, who are empow-
ered by this rule to object to pending motions to seal files or
limit the disclosure of documents in civil matters, will receive
timely notice of the court’s disposition of suchmotions. General
Statutes § 51-164x (c) gives any person affected by a court
order sealing a file or limiting the disclosure of a document in
a civil action the right to the review of such order by filing a
petition for review with the appellate court within seventy-two
hours from the issuance of the order.
HISTORY—2012: In 2012, at the beginning of the second
sentence of subsection (j), ‘‘notice of such motion being placed
on’’ was substituted for ‘‘copy of,’’ before ‘‘the short calendar.’’
Also, in that same sentence, ‘‘page containing the aforesaid
section’’ was deleted, after ‘‘short calendar.’’
COMMENTARY—2012: The above amendment is
intended to provide for the electronic filing and processing of
documents and orders, and the maintenance of court records,
where the present terminology, filing requirements or pro-
cesses that are applicable in a paper environment result in
confusion or redundancy when applied to an electronic envi-
ronment.
HISTORY—2018: What is now the final sentence was
added to subsection (g).
COMMENTARY—2018: The change to this section clari-
fies that a party requesting the approval of the judicial authority
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to use a pseudonym must lodge the original documents identi-
fying the party or parties by name with the clerk of the court.
Sec. 11-20B. —Documents Containing Per-
sonal Identifying Information
(a) The requirements of Section 11-20A shall
not apply to ‘‘personal identifying information,’’ as
defined in Section 4-7, that may be found in docu-
ments filed with the court. If a document con-
taining personal identifying information is filed with
the court, a party or a person identified by the
personal identifying information may request that
the document containing the personal identifying
information be sealed. In response to such
request, or on its own motion, the court shall order
that the document be sealed and that the party
who filed the document submit a redacted copy
of the document within ten days of such order.
(b) If the party who filed the document fails to
submit a redacted copy of the document within ten
days of the order, the court may enter sanctions,
including a nonsuit or default, as appropriate,
against said party for such failure upon the expira-
tion of the ten day period. Upon the submission
of a redacted copy of such document, the original
document containing the personal identifying
information shall be retained as a sealed docu-
ment in the court file, unless otherwise ordered
by the court.
(Adopted June 22, 2009, to take effect Jan. 1, 2010;
amended June 21, 2010, to take effect Jan. 1, 2011.)
Sec. 11-21. Motions for Attorney’s Fees
Motions for attorney’s fees shall be filed with
the trial court within thirty days following the date
on which the final judgment of the trial court was
rendered. If appellate attorney’s fees are sought,
motions for such fees shall be filed with the trial
court within thirty days following the date on which
the appellate court or supreme court rendered
its decision disposing of the underlying appeal.
Nothing in this section shall be deemed to affect
an award of attorney’s fees assessed as a compo-
nent of damages.
(Adopted June 29, 1998, to take effect Jan. 1, 1999.)
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 12-1
CHAPTER 12
TRANSFER OF ACTIONS
Sec. Sec.
12-1. Procedure for Transfer
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
Any cause, or the trial of any issue therein, may
be transferred from a judicial district court location
to any other judicial district court location or to
any geographical area court location, or from a
geographical area court location to any other geo-
graphical area court location or to any judicial
district court location, by order of a judicial author-
ity (1) upon its own motion or upon the granting
of a motion of any of the parties, or (2) upon written
agreement of the parties filed with the court. (See
General Statutes § 51-347b and annotations.)
(P.B. 1978-1997, Sec. 212.)
Sec. 12-2. Transfer of Action Filed in Wrong
Location of Correct Court
A clerk of the court of a judicial district or geo-
graphical area should not accept a civil cause
which is made returnable to a judicial district or
geographical area of which such person is not the
clerk. A clerk who does accept and enter such a
civil cause shall, upon discovery of the error, bring
the matter to the attention of the court. The judicial
authority shall then order the plaintiff to file a
motion to transfer with such notice to the defend-
ant as the judicial authority may direct. If the plain-
tiff complies, the motion to transfer shall be
granted; but if the plaintiff fails to comply with the
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12-3. Transmission of Files and Papers
order of the judicial authority within a reasonable
time, the judicial authority shall dismiss the action
with costs.
(P.B. 1978-1997, Sec. 213.)
Sec. 12-3. Transmission of Files and Papers
Upon the transfer of any action, the clerk of the
court in which such action is pending shall transmit
to the clerk of the court to which such cause is
transferred the original files and papers in such
cause with a certificate of such transfer, who shall
enter such cause in the docket of the court to
which it is so transferred; and such cause shall
thereafter be proceeded with in the same manner
as if it were originally brought to such court. When
a case which has been claimed for trial is subse-
quently transferred to another court, a new certifi-
cate of closed pleadings shall not be required,
and its position on the inventory of pending cases
of the transferee court shall be determined by the
certificate of closed pleadings date in the original
file. Where only the trial of an issue or issues in
an action is transferred, the files, after such issues
have been disposed of, shall be returned to the
clerk of the court where the action originated and
judgment may be entered in such court. (See Gen-
eral Statutes § 51-347b; see also Section 14-8.)
(P.B. 1978-1997, Sec. 215.) (Amended June 29, 1998, to
take effect Jan. 1, 1999.)
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 13-1
CHAPTER 13
DISCOVERY AND DEPOSITIONS
Sec. Sec.
13-1. Definitions
13-2. Scope of Discovery; In General
13-3. —Materials Prepared in Anticipation of Litigation;
Statements of Parties; Privilege Log
13-4. —Experts
13-5. —Protective Order
13-6. Interrogatories; In General
13-7. —Answers to Interrogatories
13-8. —Objections to Interrogatories
13-9. Requests for Production, Inspection and Examina-
tion; In General
13-10. —Responses to Requests for Production;
Objections
13-11. —Physical or Mental Examination
13-11A. —Motion for Authorization to Obtain Protected
Health Information
13-12. Disclosure of Amount and Provisions of Insurance
Liability Policy
13-13. Disclosure of Assets in Cases in Which Prejudg-
ment Remedy Sought
13-14. Order for Compliance; Failure to Answer or Comply
with Order
13-15. Continuing Duty to Disclose
13-16. Orders by Judge
For previous Histories and Commentaries see the editions of the Practice Book
corresponding to the years of the previous amendments.
Sec. 13-1. Definitions
(a) For purposes of this chapter: (1) ‘‘statement’’
means (A) a written statement in the handwriting
of the person making it, or signed, or initialed, or
otherwise in writing adopted or approved by the
person making it; or (B) a stenographic, mechani-
cal, electrical or other recording or a transcription
thereof, which is a substantially verbatim recital
of an oral statement by the person making it and
which is contemporaneously recorded; (2) ‘‘party’’
means (A) a person named as a party in the
action, or (B) an agent, employee, officer, or direc-
tor of a public or private corporation, partnership,
association, or governmental agency, named as
a party in the action; (3) ‘‘representative’’ includes
agent, attorney, consultant, indemnitor, insurer,
and surety; (4) ‘‘electronic’’ means relating to tech-
nology having electrical, digital, magnetic, wire-
less, optical, electromagnetic, or similar
capabilities; (5) ‘‘electronically stored information’’
means information that is stored in an electronic
medium and is retrievable in perceivable form.
(b) The full text of the definitions and rules of
construction set forth in subsections (c) and (d)
herein is deemed incorporated by reference into
all discovery requests served pursuant to this
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13-17. Disclosure before Court or Committee
13-18. Disclosures in Equity
13-19. Disclosure of Defense
13-20. Discovery Sought by Judgment Creditor
13-21. Discovery Outside the United States of America
13-22. Admission of Facts and Execution of Writings;
Requests for Admission
13-23. —Answers and Objections to Requests for
Admission
13-24. —Effect of Admission
13-25. —Expenses on Failure to Admit
13-26. Depositions; In General
13-27. —Notice of Deposition; General Requirements;
Special Notice; Nonstenographic Recording;
Production of Documents and Things; Deposition
of Organization
13-28. —Persons before Whom Deposition Taken; Sub-
poenas
13-29. —Place of Deposition
13-30. —Deposition Procedure
13-31. —Use of Depositions in Court Proceedings
13-32. Stipulations regarding Discovery and Deposition
Procedure
13-33. Claim of Privilege or Protection after Production
chapter and shall preclude any broader definition
of a term defined in subsection (c), but shall not
preclude: (1) the definition of other terms specific
to the particular litigation; (2) the use of abbrevia-
tions; or (3) a more narrow definition of a term
defined in subsection (c).
(c) The following definitions apply to all discov-
ery requests:
(1) Communication. The term ‘‘communication’’
means the transmittal of information (in the form
of facts, ideas, inquiries or otherwise).
(2) Document. The term ‘‘document’’ means
any writing, drawing, graph, chart, photograph,
sound recording, image, and other data or data
compilation, stored in any medium from which
information can be obtained either directly or, if
necessary, after translation by the responding
party into a reasonably usable form. A draft or
nonidentical copy is a separate document within
the meaning of this term. A request for production
of ‘‘documents’’ shall encompass, and the
response shall include, electronically stored infor-
mation, as defined in subsection (a) above, unless
otherwise specified by the requesting party.
(3) Identify (with respect to persons). When
referring to a person, to ‘‘identify’’ means to pro-
vide, to the extent known, the person’s full name,
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 13-1
present or last known address, and when referring
to a natural person, additionally, the present or
last known place of employment. Once a person
has been identified in accordance with this subdi-
vision, only the name of that person need be listed
in response to subsequent discovery requesting
the identification of that person.
(4) Identify (with respect to documents or elec-
tronically stored information). When referring to
documents or electronically stored information, to
‘‘identify’’ means: to provide, to the extent known,
information about the (A) type of document or
electronically stored information; (B) its general
subject matter; (C) the date of the document or
electronically stored information; and (D)
author(s), addressee(s) and recipient(s).
(5) Identify (with respect to oral communica-
tions). When referring to an oral communication,
to ‘‘identify’’ means: (A) to state the date and place
of the oral communication; (B) to identify all per-
sons hearing, present or participating in the
communication; (C) to state whether the commu-
nication was in person, by telephone, or by some
other means or medium; (D) to summarize what
was said by each such person, or provide a tran-
script if one is available.
(6) Identify (with respect to an act or event).
When referring to an act or event, to ‘‘identify’’
means: (A) to describe the act or event, including
its location and its date; (B) to identify the persons
participating, present or involved in the act or
event; (C) to identify all oral communications
which were made at the act or event identified;
and (D) to identify all documents concerning the
act or event identified.
(7) Person. The term ‘‘person’’ is defined as
any natural person or any business, legal or gov-
ernmental entity or association.
(8) Concerning. The term ‘‘concerning’’ means
relating to, referring to, describing, evidencing
or constituting.
(9) You. The term ‘‘you’’ means the party or
person to whom a discovery request is directed,
except that: (A) if the party is the representative
of the estate of a decedent, ward, or incapable
person, ‘‘you’’ shall also refer to the party’s dece-
dent, ward or incapable person, unless the context
of the discovery request clearly indicates other-
wise; and (B) notwithstanding subsection (b)
above, the propounding party may specify a differ-
ent definition of the term ‘‘you.’’
(d) The following rules of construction apply to
all discovery requests:
(1) All/Each. The terms ‘‘all’’ and ‘‘each’’ shall
both be construed as all and each.
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(2) And/Or. The connectives ‘‘and’’ and ‘‘or’’
shall be construed either disjunctively or conjunc-
tively as necessary to bring within the scope of
the discovery request all responses that might
otherwise be construed to be outside its scope.
(3) Number. The use of the singular form of any
word includes the plural and vice versa.
(4) Gender. Unless the context clearly requires
otherwise, the use of any pronoun or gender-iden-
tified form of any word includes both the male and
female genders.
(P.B. 1978-1997, Sec. 216.) (Amended June 20, 2011, to
take effect Jan. 1, 2012; amended June 14, 2013, to take
effect Jan. 1, 2014.)
Sec. 13-2. Scope of Discovery; In General
In any civil action, in any probate appeal, or
in any administrative appeal where the judicial
authority finds it reasonably probable that evi-
dence outside the record will be required, a party
may obtain in accordance with the provisions of
this chapter discovery of information or disclosure,
production and inspection of papers, books, docu-
ments and electronically stored information mate-
rial to the subject matter involved in the pending
action, which are not privileged, whether the dis-
covery or disclosure relates to the claim or
defense of the party seeking discovery or to the
claim or defense of any other party, and which
are within the knowledge, possession or power
of the party or person to whom the discovery is
addressed. Discovery shall be permitted if the dis-
closure sought would be of assistance in the pros-
ecution or defense of the action and if it can be
provided by the disclosing party or person with
substantially greater facility than it could otherwise
be obtained by the party seeking disclosure. It
shall not be ground for objection that the informa-
tion sought will be inadmissible at trial if the infor-
mation sought appears reasonably calculated to
lead to the discovery of admissible evidence. Writ-
ten opinions of health care providers concerning
evidence of medical negligence, as provided by
General Statutes § 52-190a, shall not be subject
to discovery except as provided in that section.
(P.B. 1978-1997, Sec. 218.) (Amended June 20, 2011, to
take effect Jan. 1, 2012.)
Sec. 13-3. —Materials Prepared in Anticipa-
tion of Litigation; Statements of Parties;
Privilege Log
(Amended June 14, 2013, to take effect Jan. 1, 2014.)
(a) Subject to the provisions of Section 13-4,
a party may obtain discovery of documents and
tangible things otherwise discoverable under Sec-
tion 13-2 and prepared in anticipation of litigation
or for trial by or for another party or by or for that
other party’s representative only upon a showing
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 13-4
that the party seeking discovery has substantial
need of the materials in the preparation of the
case and is unable without undue hardship to
obtain the substantial equivalent of the materials
by other means. In ordering discovery of such
materials when the required showing has been
made, the judicial authority shall not order disclo-
sure of the mental impressions, conclusions, opin-
ions, or legal theories of an attorney or other
representative of a party concerning the litigation.
(b) A party may obtain, without the showing
required under this section, discovery of the par-
ty’s own statement and of any nonprivileged state-
ment of any other party concerning the action or
its subject matter.
(c) A party may obtain, without the showing
required under this section, discovery of any
recording, by film, photograph, video, audio or any
other digital or electronic means, of the requesting
party and of any recording of any other party con-
cerning the action or the subject matter, thereof,
including any transcript of such recording, pre-
pared in anticipation of litigation or for trial by or
for another party or by or for that other party’s
representative. A party may obtain information
identifying any such recording and transcript, if
one was created, prior to the deposition of the
party who is the subject of the recording; but the
person from whom discovery is sought shall not
be required to produce the recording or transcript
until thirty days after the completion of the deposi-
tion of the party who is the subject of the recording
or sixty days prior to the date the case is assigned
to commence trial, whichever is earlier; except
that if a deposition of the party who is the subject
of the recording was not taken, the recording and
transcript shall be produced sixty days prior to the
date the case is assigned to commence trial. If a
recording was created within such sixty day
period, the recording and transcript must be pro-
duced immediately. No such recording or tran-
script is required to be identified or produced if
neither it nor any part thereof will be introduced
into evidence at trial. However, if any such
recording or part or transcript thereof is required
to be identified or produced, all recordings and
transcripts thereof of the subject of the recording
party shall be identified and produced, rather than
only those recordings, or transcripts or parts
thereof that the producing party intends to use or
introduce at trial.
(d) When a claim of privilege or work product
protection has been asserted pursuant to Sec-
tions 13-5, 13-8 or 13-10 in response to a discov-
ery request for documents or electronically stored
information, the party asserting the privilege or
protection shall provide, within forty-five days from
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the request of the party serving the discovery, the
following information in the form of a privilege log:
(1) The type of document or electronically
stored information;
(2) The general subject matter of the document
or electronically stored information;
(3) The date of the document or electronically
stored information;
(4) The author of the document or electronically
stored information;
(5) Each recipient of the document or electroni-
cally stored information; and
(6) The nature of the privilege or protection
asserted.
The privilege log shall initially be served upon
all parties but not filed in court.
If the information called for by one or more of
the foregoing categories is itself privileged, it need
not be disclosed. However, the existence of the
document and any nonprivileged information
called for by the other categories must be dis-
closed.
A privilege log must be prepared with respect
to all documents and electronically stored infor-
mation withheld on the basis of a claim of privilege
or work product protection, except for the follow-
ing: written or electronic communications after
commencement of the action between a party and
the firm or lawyer appearing for the party in the
action or as otherwise ordered by the judicial
authority.
(P.B. 1978-1997, Sec. 219.) (Amended June 29, 2007, to
take effect Jan. 1, 2008; amended June 14, 2013, to take
effect Jan. 1, 2014; amended June 24, 2016, to take effect
Jan. 1, 2017; amended June 23, 2017, to take effect Jan.
1, 2018.)
HISTORY—2018: In subsection (d), ‘‘, 13-8’’ was added
after ‘‘Sections 13-5’’ in the first sentence.
COMMENTARY—2018: The change to this section is con-
sistent with the change to Section 13-8 regarding the withhold-
ing of information based upon an assertion of privilege or work
product protection.
Sec. 13-4. —Experts
(a) A party shall disclose each person who may
be called by that party to testify as an expert wit-
ness at trial, and all documents that may be
offered in evidence in lieu of such expert testi-
mony, in accordance with this section. The
requirements of Section 13-15 shall apply to dis-
closures made under this section.
(b) A party shall file with the court and serve
upon counsel a disclosure of expert witnesses
which identifies the name, address and employer
of each person who may be called by that party
to testify as an expert witness at trial, whether
through live testimony or by deposition. In addi-
tion, the disclosure shall include the following
information:
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 13-4
(1) Except as provided in subdivision (2) of this
subsection, the field of expertise and the subject
matter on which the witness is expected to offer
expert testimony; the expert opinions to which the
witness is expected to testify; the substance of
the grounds for each such expert opinion; and the
written report of the expert witness, if any. The
report shall not be filed with the court. Disclosure
of the information required under this subsection
may be made by making reference in the disclo-
sure to the written report of the expert witness
containing such information.
(2) If the witness to be disclosed hereunder
is a health care provider who rendered care or
treatment to the plaintiff, and the opinions to be
offered hereunder are based upon that provider’s
care or treatment, then the disclosure obligations
under this section may be satisfied by disclosure
to the parties of the medical records and reports
of such care or treatment. A witness disclosed
under this subsection shall be permitted to offer
expert opinion testimony at trial as to any opinion
as to which fair notice is given in the disclosed
medical records or reports. Expert testimony
regarding any opinion as to which fair notice is not
given in the disclosed medical records or reports
must be disclosed in accordance with subdivision
(1) of subsection (b) of this section. The parties
shall not file the disclosed medical records or dis-
closed medical reports with the court.
(3) Except for an expert witness who is a health
care provider who rendered care or treatment to
the plaintiff, or unless otherwise ordered by the
judicial authority or agreed upon by the parties,
the party disclosing an expert witness shall, upon
the request of an opposing party, produce to all
other parties all materials obtained, created and/
or relied upon by the expert in connection with
his or her opinions in the case within fourteen
days prior to that expert’s deposition or within
such other time frame determined in accordance
with the Schedule for Expert Discovery prepared
pursuant to subsection (g) of this section. If any
such materials have already been produced to
the other parties in the case, then a list of such
materials, made with sufficient particularity that
the materials can be easily identified by the par-
ties, shall satisfy the production requirement here-
under with respect to those materials. If an expert
witness otherwise subject to this subsection is
not being compensated in that capacity by or on
behalf of the disclosing party, then that party may
give written notice of that fact in satisfaction of
the obligations imposed by this subsection. If such
notice is provided, then it shall be the duty of the
party seeking to depose such expert witness to
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obtain the production of the requested materials
by subpoena or other lawful means.
(4) Nothing in this section shall prohibit any
witness disclosed hereunder from offering nonex-
pert testimony at trial.
(c) (1) Unless otherwise ordered by the judicial
authority upon motion, a party may take the depo-
sition of any expert witness disclosed pursuant
to subsection (b) of this section in the manner
prescribed in Section 13-26 et seq. governing
deposition procedure generally. Nothing con-
tained in subsection (b) of this section shall impair
the right of any party from exercising that party’s
rights under the rules of practice to subpoena or to
request production of any materials, to the extent
otherwise discoverable, in addition to those pro-
duced under subsection (b) of this section, in con-
nection with the deposition of any expert witness,
nor shall anything contained herein impair the
right of a party to raise any objections to any
request for production of documents sought here-
under to the extent that a claim of privilege exists.
(2) Unless otherwise ordered by the judicial
authority for good cause shown, or agreed upon
by the parties, the fees and expenses of the expert
witness for any such deposition, excluding prepa-
ration time, shall be paid by the party or parties
taking the deposition. Unless otherwise ordered,
the fees and expenses hereunder shall include
only (A) a reasonable fee for the time of the wit-
ness to attend the deposition itself and the wit-
ness’ travel time to and from the place of
deposition; and (B) the reasonable expenses
actually incurred for travel to and from the place
of deposition and lodging, if necessary. If the par-
ties are unable to agree on the fees and expenses
due under this subsection, the amount shall be
set by the judicial authority, upon motion.
(d) (1) A party shall file with the court a list of
all documents or records that the party expects
to submit in evidence pursuant to any statute or
rule permitting admissibility of documentary evi-
dence in lieu of the live testimony of an expert
witness. The list filed hereunder shall identify such
documents or records with sufficient particularity
that they shall be easily identified by the other
parties. The parties shall not file with the court a
copy of the documents or records on such list.
(2) Unless otherwise ordered by the judicial
authority upon motion, a party may take the depo-
sition of any expert witness whose records are
disclosed pursuant to subdivision (1) of subsec-
tion (d) of this section in the manner prescribed
in Section 13-26 et seq. governing deposition pro-
cedure generally. Nothing contained in subsection
(d) of this section shall impair the right of any party
from exercising that party’s rights under the rules
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 13-4
of practice to subpoena or to request production
of any materials, to the extent otherwise dis-
coverable, in addition to those produced under
subsection (d), in connection with the deposition
of any expert witness.
(3) Unless otherwise ordered by the judicial
authority for good cause shown, or agreed upon
by the parties, the fees and expenses of the expert
witness for any such deposition, excluding prepa-
ration time, shall be paid by the party or parties
taking the deposition. Unless otherwise ordered,
the fees and expenses hereunder shall include
only (A) a reasonable fee for the time of the wit-
ness to attend the deposition itself and the wit-
ness’ travel time to and from the place of
deposition; and (B) the reasonable expenses
actually incurred for travel to and from the place
of deposition and lodging, if necessary. If the par-
ties are unable to agree on the fees and expenses
due under this subsection, the amount shall be
set by the judicial authority, upon motion.
(e) If any party expects to call as an expert
witness at trial any person previously disclosed
by any other party under subsection (b) hereof,
the newly disclosing party shall file a notice of
disclosure: (1) stating that the party adopts all or
a specified part of the expert disclosure already on
file; and (2) disclosing any other expert opinions
to which the witness is expected to testify and
the substance of the grounds for any such expert
opinion. Such notice shall be filed within the time
parameters set forth in subsection (g).
(f) A party may discover facts known or opinions
held by an expert who had been retained or spe-
cially employed by another party in anticipation
of litigation or preparation for trial and who is not
expected to be called as a witness at trial only as
provided in Section 13-11 or upon a showing of
exceptional circumstances under which it is
impracticable for the party seeking discovery to
obtain facts or opinions on the same subject by
other means.
(g) Unless otherwise ordered by the judicial
authority, or otherwise agreed by the parties, the
following schedule shall govern the expert discov-
ery required under subsections (b), (c), (d) and
(e) of this section.
(1) Within 120 days after the return date of any
civil action, or at such other time as the parties
may agree or as the court may order, the parties
shall submit to the court for its approval a pro-
posed Schedule for Expert Discovery, which,
upon approval by the court, shall govern the timing
of expert discovery in the case. This schedule
shall be submitted on a ‘‘Schedule for Expert Dis-
covery’’ form prescribed by the office of the chief
court administrator. The deadlines proposed by
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the parties shall be realistic and reasonable, tak-
ing into account the nature and relative complexity
of the case, the need for predicate discovery and
the estimated time until the case may be exposed
for trial. If the parties are unable to agree on dis-
covery deadlines, they shall so indicate on the
proposed Schedule for Expert Discovery, in which
event the court shall convene a scheduling confer-
ence to set those deadlines.
(2) If a party is added or appears in a case after
the proposed Schedule for Expert Discovery is
filed, then an amended proposed Schedule for
Expert Discovery shall be prepared and filed for
approval by the court within sixty days after such
new party appears, or at such other time as the
court may order.
(3) Unless otherwise ordered by the court, dis-
closure of any expert witness under subsection
(e) hereof shall be made within thirty days of the
event giving rise to the need for that party to adopt
the expert disclosure as its own (e.g., the with-
drawal or dismissal of the party originally disclos-
ing the expert).
(4) The parties, by agreement, may modify the
approved Schedule for Expert Discovery or any
other time limitation under this section so long as
the modifications do not interfere with an assigned
trial date. A party who wishes to modify the
approved Schedule for Expert Discovery or other
time limitation under this section without
agreement of the parties may file a motion for
modification with the court stating the reasons
therefor. Said motion shall be granted if: (A) the
requested modification will not cause undue preju-
dice to any other party; (B) the requested modifi-
cation will not cause undue interference with the
trial schedule in the case; and (C) the need for
the requested modification was not caused by bad
faith delay of disclosure by the party seeking modi-
fication.
(h) A judicial authority may, after a hearing,
impose sanctions on a party for failure to comply
with the requirements of this section. An order
precluding the testimony of an expert witness may
be entered only upon a finding that: (1) the sanc-
tion of preclusion, including any consequence
thereof on the sanctioned party’s ability to prose-
cute or to defend the case, is proportional to the
noncompliance at issue, and (2) the noncompli-
ance at issue cannot adequately be addressed
by a less severe sanction or combination of
sanctions.
(i) The revisions to this rule adopted by the
judges of the superior court in June, 2008, effec-
tive on January 1, 2009, and the revisions to this
rule adopted by the judges of the superior court
in June, 2009, and March, 2010, shall apply to
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 13-4
cases commenced on or after January 1, 2009.
The version of this rule in effect on December
31, 2008, shall apply to cases commenced on or
before that date.
(P.B. 1978-1997, Sec. 220.) (Amended June 30, 2008, to
take effect Jan. 1, 2009; amended June 22, 2009, to take
effect Sept. 1, 2009; amended June 21, 2010, to take effect
Jan. 1, 2011; amended June 15, 2012, to take effect Jan. 1,
2013; amended June 24, 2016, to take effect Jan. 1, 2017.)
Sec. 13-5. —Protective Order
Upon motion by a party from whom discovery
is sought, and for good cause shown, the judicial
authority may make any order which justice
requires to protect a party from annoyance,
embarrassment, oppression, or undue burden or
expense, including one or more of the following:
(1) that the discovery not be had; (2) that the
discovery may be had only on specified terms and
conditions, including a designation of the time or
place; (3) that the discovery may be had only by
a method of discovery other than that selected
by the party seeking discovery; (4) that certain
matters not be inquired into, or that the scope of
the discovery be limited to certain matters; (5)
that discovery be conducted with no one present
except persons designated by the judicial author-
ity; (6) that a deposition after being sealed be
opened only by order of the judicial authority; (7)
that a trade secret or other confidential research,
development, or commercial information not be
disclosed or be disclosed only in a designated
way; (8) that the parties simultaneously file speci-
fied documents or information enclosed in sealed
envelopes to be opened as directed by the judicial
authority; (9) specified terms and conditions relat-
ing to the discovery of electronically stored infor-
mation including the allocation of expense of the
discovery of electronically stored information, tak-
ing into account the amount in controversy, the
resources of the parties, the importance of the
issues, and the importance of the requested dis-
covery in resolving the issues.
(P.B. 1978-1997, Sec. 221.) (Amended June 20, 2011, to
take effect Jan. 1, 2012.)
Sec. 13-6. Interrogatories; In General
(a) In any civil action, in any probate appeal, or
in any administrative appeal where the judicial
authority finds it reasonably probable that evi-
dence outside the record will be required, any
party may serve in accordance with Sections 10-
12 through 10-17 written interrogatories, which
may be in electronic format, upon any other party
to be answered by the party served. Written inter-
rogatories may be served upon any party without
leave of the judicial authority at any time after the
return day. Except as provided in subsection (d) or
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where the interrogatories are served electronically
as provided in Section 10-13 and in a format that
allows the recipient to electronically insert the
answers in the transmitted document, the party
serving interrogatories shall leave sufficient space
following each interrogatory in which the party to
whom the interrogatories are directed can insert
the answer. In the event that an answer requires
more space than that provided on interrogatories
that were not served electronically and in a format
that allows the recipient to electronically insert the
answers in the transmitted document, the answer
shall be continued on a separate sheet of paper
which shall be attached to the completed answers.
(b) Interrogatories may relate to any matters
which can be inquired into under Sections 13-2
through 13-5 and the answers may be used at trial
to the extent permitted by the rules of evidence.
In all personal injury actions alleging liability based
on the operation or ownership of a motor vehicle
or alleging liability based on the ownership, main-
tenance or control of real property, or in actions
claiming a loss of consortium or uninsured/under-
insured motorist coverage benefits, the interroga-
tories shall be limited to those set forth in Forms
201, 202, 203, 208, 210, 212, 213 and/or 214
of the rules of practice, unless upon motion, the
judicial authority determines that such interrogato-
ries are inappropriate or inadequate in the particu-
lar action. These forms are set forth in the
Appendix of Forms in this volume. Unless the
judicial authority orders otherwise, the frequency
of use of interrogatories in all actions except those
for which interrogatories have been set forth in
Forms 201, 202, 203, 208, 210, 212, 213 and/or
214 of the rules of practice is not limited.
(c) The standard interrogatories are intended
to address discovery needs in most cases in which
their use is mandated, but they do not preclude
any party from moving for permission to serve
such additional discovery as may be necessary
in any particular case.
(d) In lieu of serving the interrogatories set forth
in Forms 201, 202, 203, 208, 210, 212, 213 and/
or 214 of the rules of practice on a party who is
represented by counsel, the moving party may
serve on such party a notice of interrogatories,
which shall not include the actual interrogatories
to be answered, but shall instead set forth the
number of the Practice Book form containing such
interrogatories and the name of the party to whom
the interrogatories are directed. The party to
whom such notice is directed shall in his or her
response set forth each interrogatory immediately
followed by that party’s answer thereto.
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 13-8
(e) The party serving interrogatories or the
notice of interrogatories shall not file them with
the court.
(f) Unless leave of court is granted, the instruc-
tions to Forms 201 through 203 are to be used
for all nonstandard interrogatories.
(P.B. 1978-1997, Sec. 223.) (Amended June 28, 1999, to
take effect Jan. 1, 2000; amended Aug. 24, 2001, to take
effect Jan. 1, 2002; amended June 30, 2008, to take effect
Jan. 1, 2009; amended June 14, 2013, to take effect Jan. 1,
2014; amended June 24, 2016, to take effect Jan. 1, 2017;
amended June 23, 2017, to take effect Jan. 1, 2018.)
HISTORY—2018: In the second sentence of subsection
(b), ‘‘or in actions claiming a loss of consortium or uninsured/
underinsured motorist coverage benefits,’’ was added after
‘‘property.’’
In addition, references to Forms 213 and 214 were added
to the second and fourth sentences of subsection (b) and to
the first sentence of subsection (d), and the ‘‘and/or’’ was
moved in each instance to follow Form 213.
COMMENTARY—2018: This section now includes refer-
ences to standard interrogatories in cases claiming loss of
consortium or uninsured/underinsured motorist coverage ben-
efits. Standard interrogatories for loss of consortium were
approved effective January 1, 2017.
Sec. 13-7. —Answers to Interrogatories
(a) Any such interrogatories shall be answered
under oath by the party to whom directed and
such answers shall not be filed with the court but
shall be served within sixty days after the date of
certification of service, in accordance with Sec-
tions 10-12 through 10-17, of the interrogatories
or, if applicable, the notice of interrogatories on
the answering party, or within such shorter or
longer time as the judicial authority may allow,
unless:
(1) Counsel file with the court a written stipula-
tion extending the time within which answers or
objections may be served; or
(2) Upon motion, the judicial authority allows a
longer time; or
(3) Objections to the interrogatories and the
reasons therefor are filed and served within the
sixty day period.
(b) All answers to interrogatories shall: (1)
repeat immediately before each answer the inter-
rogatory being answered; and (2) be signed by
the person making them.
(c) A party objecting to one or more interrogato-
ries shall file an objection in accordance with Sec-
tion 13-8.
(d) Objection by a party to certain of the inter-
rogatories directed to such party shall not relieve
that party of the obligation to answer the interroga-
tories to which he or she has not objected within
the sixty day period.
(e) The party serving interrogatories or the
notice of interrogatories may move for an order
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under Section 13-14 with respect to any failure
to answer.
(P.B. 1978-1997, Sec. 224.) (Amended June 28, 1999, to
take effect Jan. 1, 2000; amended June 20, 2011, to take
effect Jan. 1, 2012; amended June 12, 2015, to take effect
Jan. 1, 2016; amended June 24, 2016, to take effect Jan.
1, 2017.)
Sec. 13-8. —Objections to Interrogatories
(a) The party objecting to any interrogatory
shall: (1) set forth each interrogatory; (2) specifi-
cally state the reasons for the objection; and (3)
state whether any responsive information is being
withheld on the basis of the stated objection.
Objections shall be governed by the provisions of
Sections 13-2 through 13-5, signed by the attor-
ney or self-represented party making them, and
filed with the court pursuant to Section 13-7. No
objection may be filed with respect to interrogato-
ries which have been set forth in Forms 201, 202,
203, 208, 210, 212, 213 and/or 214 of the rules
of practice for use in connection with Section 13-6.
(b) To the extent a party withholds responsive
information based on an assertion of a claim of
privilege or work product protection, the party
must file an objection in compliance with the provi-
sions of subsection (a) of this section and comply
with the provisions set forth in subsection (d) of
Section 13-3.
(c) No objections to interrogatories shall be
placed on the short calendar list until an affidavit
by either counsel is filed certifying that bona fide
attempts have been made to resolve the differ-
ences concerning the subject matter of the objec-
tion and that counsel have been unable to reach
an agreement. The affidavit shall set forth the date
of the objection, the name of the party who filed
the objection and the name of the party to whom
the objection was addressed. The affidavit shall
also recite the date, time and place of any confer-
ence held to resolve the differences and the
names of all persons participating therein or, if no
conference has been held, the reasons for the
failure to hold such a conference. If any objection
to an interrogatory is overruled, the objecting party
shall answer the interrogatory, and serve the
answer within twenty days after the judicial author-
ity ruling unless otherwise ordered by the judi-
cial authority.
(d) An interrogatory otherwise proper is not
objectionable merely because it involves more
than one fact or relates to the application of law
to facts.
(P.B. 1978-1997, Sec. 225.) (Amended Aug. 24, 2001, to
take effect Jan. 1, 2002; amended June 20, 2011, to take
effect Jan. 1, 2012; amended June 14, 2013, to take effect
Jan. 1, 2014; amended June 24, 2016, to take effect Jan. 1,
2017; amended June 23, 2017, to take effect Jan. 1, 2018.)
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 13-8
HISTORY—2018: Prior to 2018, subsection (a) read: ‘‘The
party objecting to any interrogatory shall set forth each inter-
rogatory immediately followed by reasons for the objection.
Objections shall be: (1) signed by the attorney or self-repre-
sented party making them; and (2) filed with the court pursuant
to Section 13-7. No objection may be filed with respect to
interrogatories which have been set forth in Forms 201, 202,
203, 208, 210 and/or 212 of the rules of practice for use in
connection with Section 13-6.’’
In addition, what is now subsection (b) was added to this
section, and what had been subsections (b) and (c) are now
designated (c) and (d), respectively.
COMMENTARY—2018: The revisions to this section on
objections to interrogatories incorporate the language regard-
ing a specific statement of the reasons for an objection and
a statement as to whether responsive information is being
withheld on the basis of an objection that was added to Section
13-10 on objections to production. In addition, a statement
that objections are governed by the provisions of Sections 13-
2 through 13-5 has been added to this section. Finally, this
section now includes references to standardized interrogato-
ries in cases claiming a loss of consortium or uninsured/under-
insured motorist coverage benefits and adds language to
clarify that any party withholding information based on an
assertion of privilege or work product protection must comply
with subsection (a) of this section and Section 13-3 (d).
Sec. 13-9. Requests for Production, Inspec-
tion and Examination; In General
(a) In any civil action, in any probate appeal, or
in any administrative appeal where the judicial
authority finds it reasonably probable that evi-
dence outside the record will be required, any
party may serve in accordance with Sections 10-
12 through 10-17 upon any other party a request
to afford the party submitting the request the
opportunity to inspect, copy, photograph or other-
wise reproduce designated documents or to
inspect and copy, test or sample any tangible
things in the possession, custody or control of the
party upon whom the request is served or to permit
entry upon designated land or other property for
the purpose of inspection, measuring, surveying,
photographing, testing or sampling the property
or any designated object or operation thereon.
Such requests will be governed by the provisions
of Sections 13-2 through 13-5. In all personal
injury actions alleging liability based on the opera-
tion or ownership of a motor vehicle or alleging
liability based on the ownership, maintenance or
control of real property, or in actions claiming a
loss of consortium or uninsured/underinsured
motorist coverage benefits, the requests for pro-
duction shall be limited to those set forth in Forms
204, 205, 206, 209, 211, 215 and/or 216 of the
rules of practice, unless, upon motion, the judicial
authority determines that such requests for pro-
duction are inappropriate or inadequate in the par-
ticular action. These forms are set forth in the
Appendix of Forms in this volume.
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(b) The standard requests for production are
intended to address discovery needs in most
cases in which their use is mandated, but they do
not preclude any party from moving for permission
to serve such additional discovery as may be nec-
essary in any particular case.
(c) Requests for production may be served
upon any party without leave of court at any time
after the return day. In lieu of serving the requests
for production set forth in Forms 204, 205, 206,
209, 211, 215 and/or 216 of the rules of practice
on a party who is represented by counsel, the
moving party may serve on such party a notice
of requests for production, which shall not include
the actual requests, but shall instead set forth the
number of the Practice Book form containing such
requests and the name of the party to whom the
requests are directed.
(d) The request shall clearly designate the items
to be inspected either individually or by category.
The request or, if applicable, the notice of requests
for production shall specify a reasonable time,
place and manner of making the inspection.
Unless the judicial authority orders otherwise, the
frequency of use of requests for production in
all actions except those for which requests for
production have been set forth in Forms 204, 205,
206, 209, 211, 215 and/or 216 of the rules of
practice is not limited.
(e) If information has been electronically stored,
and if a request for production does not specify
a form for producing a type of electronically stored
information, the responding party shall produce
the information in a form in which it is ordinarily
maintained or in a form that is reasonably usable.
A party need not produce the same electronically
stored information in more than one form.
(f) The party serving such request or notice of
requests for production shall not file it with the
court.
(g) Unless leave of court is granted, the instruc-
tions to Forms 204 through 206 of the rules of
practice are to be used for all nonstandard
requests for production.
(h) A party seeking the production of a written
authorization in compliance with the Health Insur-
ance Portability and Accountability Act to inspect
and make copies of protected health information,
or a written authorization in compliance with the
Public Health Service Act to inspect and make
copies of alcohol and drug records that are pro-
tected by that act, shall file a motion pursuant to
Section 13-11A. A motion need not be filed to
obtain such authorization in actions to which
Forms 204, 205 and 216 of the rules of practice
apply.
(P.B. 1978-1997, Sec. 227.) (Amended June 28, 1999, to
take effect Jan. 1, 2000; amended Aug. 24, 2001, to take
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 13-10
effect Jan. 1, 2002; amended June 20, 2005, to take effect
Jan. 1, 2006; amended June 20, 2011, to take effect Jan. 1,
2012; amended June 14, 2013, to take effect Jan. 1, 2014;
amended June 24, 2016, to take effect Jan. 1, 2017; amended
June 23, 2017, to take effect Jan. 1, 2018.)
HISTORY—2018: In the third sentence of subsection (a),
‘‘or in actions claiming a loss of consortium or uninsured/
underinsured motorist coverage benefits,’’ was added after
‘‘property’’; in addition, references to Forms 215 and 216 were
added and the ‘‘and/or’’ was moved to follow Form 215.
In subsections (c) and (d), references to Forms 215 and 216
were added and the ‘‘and/or’’ was moved to follow Form 215.
Prior to 2018, the final sentence of subsection (h) read: ‘‘A
motion need not be filed to obtain such authorization in actions
to which Forms 204 and 205 of the rules of practice apply.’’
COMMENTARY—2018: This section now includes refer-
ences to standardized requests for production in cases claim-
ing a loss of consortium or uninsured/underinsured motorist
coverage benefits
Sec. 13-10. —Responses to Requests for
Production; Objections
(a) The party to whom the request is directed
or such party’s attorney shall serve a written
response, which may be in electronic format,
within sixty days after the date of certification of
service, in accordance with Sections 10-12
through 10-17, of the request or, if applicable, the
notice of requests for production on the
responding party or within such shorter or longer
time as the judicial authority may allow, unless:
(1) Counsel and/or self-represented parties file
with the court a written stipulation extending the
time within which responses may be served; or
(2) Upon motion, the court allows a longer
time; or
(3) Objections to the requests for production
and the reasons therefor are filed and served
within the sixty day period.
(b) All responses: (1) shall repeat immediately
before the response the request for production
being responded to; and (2) shall state with
respect to each item or category that inspection
and related activities will be permitted as
requested, unless the request or any part thereof
is objected to.
(c) Where a request calling for submission of
copies of documents is not objected to, the party
responding to the request shall produce those
copies with the response served upon all parties.
(d) Objection by a party to certain parts of a
request shall not relieve that party of the obligation
to respond to those portions to which that party
has not objected within the sixty day period.
(e) A party objecting to one or more of the
requests for production shall file an objection in
accordance with subsection (f) of this section.
(f) A party who objects to any request or portion
of a request shall: (1) set forth the request
objected to; (2) specifically state the reasons for
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the objection; and (3) state whether any respon-
sive materials are being withheld on the basis of
the stated objection. Objections shall be governed
by the provisions of Sections 13-2 through 13-5,
signed by the attorney or self-represented party
making them and filed with the court.
(g) To the extent a party withholds any respon-
sive material based on an assertion of a claim of
privilege or work product protection, the party
must file an objection in compliance with the provi-
sions of subsection (f) of this section and comply
with the provisions set forth in subsection (d) of
Section 13-3.
(h) No objection may be filed with respect to
requests for production set forth in Forms 204,
205, 206, 209, 211, 215 and/or 216 of the rules
of practice for use in connection with Section 13-9.
(i) No objection to any request for production
shall be placed on the short calendar list until an
affidavit by counsel or self-represented parties is
filed certifying that they have made good faith
attempts to resolve the objection and that counsel
and/or self-represented parties have been unable
to reach an agreement. The affidavit shall set
forth: (1) the date of the objection; (2) the name
of the party who filed the objection and to whom
the objection was addressed; (3) the date, time
and place of any conference held to resolve the
differences; and (4) the names of all conference
participants. If no conference has been held, the
affidavit shall also set forth the reasons for the
failure to hold such a conference.
(j) If an objection to any part of a request for
production is overruled, the objecting party shall
comply with the request at a time set by the judi-
cial authority.
(k) The party serving the request or the notice
of request for production may move for an order
under Section 13-14 with respect to any failure to
respond by the party to whom the request or notice
is addressed.
(P.B. 1978-1997, Sec. 227.) (Amended June 28, 1999, to
take effect Jan. 1, 2000; amended Aug. 24, 2001, to take
effect Jan. 1, 2002; amended June 30, 2008, to take effect
Jan. 1, 2009; amended June 20, 2011, to take effect Jan. 1,
2012; amended June 14, 2013, to take effect Jan. 1, 2014;
amended June 12, 2015, to take effect Jan. 1, 2016; amended
June 24, 2016, to take effect Jan. 1, 2017; amended June 23,
2017, to take effect Jan. 1, 2018.)
HISTORY—2018: Prior to amendment, subsection (f) read:
‘‘A party who objects to any request or portion of a request
shall: (1) set forth the request objected to; (2) specifically state
the reasons for the objection; (3) state whether any responsive
materials are being withheld on the basis of the stated objec-
tion; and (4) sign the objections and file them with the court.’’
In addition, what is now subsection (g) was added, and
what had been subsections (g) through (j) were designated
subsections (h) through (k), respectively.
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 13-10
Also, in what is now subsection (h), references to Forms
215 and 216 were added and the ‘‘and/or’’ was moved to
follow Form 215.
COMMENTARY—2018: A statement that objections to
requests for production are governed by the provisions of
Sections 13-2 through 13-5 has been added to subsection (f)
of this section. Other minor changes have been made to the
existing provisions in the subsection to accommodate the addi-
tional language. Finally, this section now includes references
to standardized requests for production in cases claiming a
loss of consortium or uninsured/underinsured coverage bene-
fits and adds language to clarify that any party withholding
responsive material based on an assertion of privilege or work
product protection must comply with subsection (f) of this sec-
tion and Section 13-3 (d).
Sec. 13-11. —Physical or Mental Exami-
nation
(a) In any civil action, in any probate appeal, or
in any administrative appeal where the judicial
authority finds it reasonably probable that evi-
dence outside the record will be required, in which
the mental or physical condition of a party, or of
a person in the custody of or under the legal con-
trol of a party, is material to the prosecution or
defense of said action, the judicial authority may
order the party to submit to a physical or mental
examination by a physician or to produce for
examination the person in the party’s custody or
legal control.
(b) In the case of an action to recover damages
for personal injuries, any party adverse to the
plaintiff may file and serve in accordance with
Sections 10-12 through 10-17 a request that the
plaintiff submit to a physical or mental examination
at the expense of the requesting party. That
request shall specify the time, place, manner, con-
ditions and scope of the examination and the per-
son or persons by whom it is to be made. Any
such request shall be complied with by the plaintiff
unless, within ten days from the filing of the
request, the plaintiff files in writing an objection
thereto specifying to which portions of said
request objection is made and the reasons for
said objection. The objection shall be placed on
the short calendar list upon the filing thereof. The
judicial authority may make such order as is just
in connection with the request. No plaintiff shall
be compelled to undergo a physical or mental
examination by any physician to whom he or she
objects in writing.
(c) In any other case, such order may be made
only on motion for good cause shown to be heard
at short calendar. The motion shall specify the
time, place, manner, conditions and scope of the
examination and the person or persons by whom
it is to be made.
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(d) If requested by the party against whom an
order is made under this rule, or who has volunta-
rily agreed to an examination, the party causing
the examination to be made shall deliver to such
party a copy of a written report of the examining
physician, setting out the findings, including
results of all tests made, diagnoses and conclu-
sions, together with like reports of all earlier exam-
inations of the same condition. After delivery, the
party causing the examination shall be entitled
upon request to receive from the party against
whom the order is made, or who has voluntarily
agreed to an examination, a like report of any
examination, previously or thereafter made, of the
same condition. The judicial authority on motion
may make an order requiring delivery by a party
of a report on such terms as are just, and if a
physician fails or refuses to make a report, the
judicial authority may exclude the physician’s tes-
timony if offered at the trial.
(e) By requesting and obtaining a report of the
examination so ordered or by taking the deposi-
tion of the examiner, the party examined waives,
in that action, or in any other action involving the
same controversy, any privilege he or she may
have regarding the testimony of every other per-
son who has examined or may thereafter examine
the party in respect to the same mental or physi-
cal condition.
(f) This section does not preclude discovery of
a report of an examining physician or the taking
of a deposition of the physician in accordance with
the provisions of any other section of this chapter.
(P.B. 1978-1997, Sec. 229.) (Amended June 21, 2010, to
take effect Jan. 1, 2011.)
Sec. 13-11A. —Motion for Authorization to
Obtain Protected Health Information
The judicial authority may, on motion of a party
and for good cause shown, order a party to pro-
vide a written authorization sufficient to comply
with the provisions of the Health Insurance Porta-
bility and Accountability Act, as that act may from
time to time be amended, to inspect and make
copies of protected health information.
The judicial authority may, on application of a
party that is in compliance with the provisions of
the Public Health Service Act and for good cause
shown, order a party to provide a written authori-
zation sufficient to comply with the provisions of
said act, as that act may from time to time be
amended, to inspect and make copies of alcohol
and drug records that are protected by that act.
(Adopted June 20, 2005, to take effect Jan. 1, 2006.)
Sec. 13-12. Disclosure of Amount and Provi-
sions of Insurance Liability Policy
In any civil action the existence, contents and
policy limits of any insurance policy under which
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 13-15
any insurer may be liable to satisfy part or all of
a judgment which may be rendered in the action
against any party or to indemnify or reimburse
any defendant for payments made to satisfy the
judgment shall be subject to discovery by any
party by interrogatory or request for production
under Sections 13-6 through 13-11. Information
concerning the insurance agreement is not by rea-
son of disclosure admissible in evidence at trial.
(P.B. 1978-1997, Sec. 230.)
Sec. 13-13. Disclosure of Assets in Cases in
Which Prejudgment Remedy Sought
(a) The judicial authority may, on motion, order
any appearing party against whom a prejudgment
remedy has been granted to disclose property in
which the party has an interest or debts owing
to the party sufficient to satisfy a prejudgment
remedy. The existence, location and extent of a
party’s interest in such property or debts shall be
subject to disclosure after hearing on the motion
for disclosure. The form and terms of disclosure
shall be determined by the judicial authority.
(b) A motion to disclose pursuant to this section
may be made by filing it with the application for
a prejudgment remedy or may be made at any
time after the filing of the application.
(c) The judicial authority may order disclosure
at any time prior to final judgment after it has
determined that the party filing the motion for dis-
closure has, pursuant to either General Statutes
§§ 52-278d, 52-278e or 52-278i, probable cause
sufficient for the issuance of a prejudgment
remedy.
(d) Any party, in lieu of disclosing assets pursu-
ant to subsection (a), may move the judicial
authority for substitution either of a bond with
surety substantially in compliance with General
Statutes §§ 52-307 and 52-308 or of other suffi-
cient security.
(P.B. 1978-1997, Sec. 230A.) (Amended June 20, 2011,
to take effect Jan. 1, 2012.)
Sec. 13-14. Order for Compliance; Failure to
Answer or Comply with Order
(a) If any party has failed to answer interrogato-
ries or to answer them fairly, or has intentionally
answered them falsely or in a manner calculated
to mislead, or has failed to respond to requests
for production or for disclosure of the existence
and contents of an insurance policy or the limits
thereof, or has failed to submit to a physical or
mental examination, or has failed to comply with
a discovery order made pursuant to Section 13-
13, or has failed to comply with the provisions of
Section 13-15, or has failed to appear and testify
at a deposition duly noticed pursuant to this chap-
ter, or has failed otherwise substantially to comply
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with any other discovery order made pursuant to
Sections 13-6 through 13-11, the judicial authority
may, on motion, make such order as the ends of
justice require.
(b) Such orders may include the following:
(1) The entry of a nonsuit or default against the
party failing to comply;
(2) The award to the discovering party of the
costs of the motion, including a reasonable attor-
ney’s fee;
(3) The entry of an order that the matters
regarding which the discovery was sought or other
designated facts shall be taken to be established
for the purposes of the action in accordance with
the claim of the party obtaining the order;
(4) The entry of an order prohibiting the party
who has failed to comply from introducing desig-
nated matters in evidence;
(5) If the party failing to comply is the plaintiff,
the entry of a judgment of dismissal.
(c) The failure to comply as described in this
section may not be excused on the ground that the
discovery is objectionable unless written objection
as authorized by Sections 13-6 through 13-11 has
been filed.
(d) The failure to comply as described in this
section shall be excused and the judicial authority
may not impose sanctions on a party for failure
to provide information, including electronically
stored information, lost as the result of the routine,
good-faith operation of a system or process in
the absence of a showing of intentional actions
designed to avoid known preservation obligations.
(P.B. 1978-1997, Sec. 231.) (Amended June 20, 2011, to
take effect Jan. 1, 2012.)
Sec. 13-15. Continuing Duty to Disclose
If, subsequent to compliance with any request
or order for discovery, including partial compli-
ance subject to an objection or made notwith-
standing an objection, and prior to or during trial,
a party discovers additional or new material or
information previously requested and ordered
subject to discovery or inspection or discovers
that the prior compliance was totally or partially
incorrect or, though correct when made, is no
longer true and the circumstances are such that
a failure to amend the compliance is in substance
a knowing concealment, that party shall promptly
notify the other party, or the other party’s attorney,
and file and serve in accordance with Sections
10-12 through 10-17 a supplemental or cor-
rected compliance.
P.B. 1978-1997, Sec. 232.) (Amended June 23, 2017, to
take effect Jan. 1, 2018.)
HISTORY—2018: In 2018, ‘‘, including partial compliance
subject to an objection or made notwithstanding an objection,’’
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 13-15
was added following the first instance of ‘‘discovery’’ in this
section.
COMMENTARY—2018: The change to this section clarifies
that parties have a continuing duty to disclose even if there
has been only partial compliance subject to an objection or
compliance notwithstanding an objection.
Sec. 13-16. Orders by Judge
Any order provided in this chapter to be made
by the court may be made by a judge thereof
when the court is not actually in session.
(P.B. 1978-1997, Sec. 233.)
Sec. 13-17. Disclosure before Court or Com-
mittee
Disclosures by garnishees and all other disclo-
sures in civil actions not under Sections 13-2
through 13-16 may be made to the judicial author-
ity or before a committee, as the judicial authority
may determine.
(P.B. 1978-1997, Sec. 234.)
Sec. 13-18. Disclosures in Equity
Disclosures made in answer to complaints in
the nature of bills of discovery in equity may be
made either by sworn answers or before a com-
mittee, as the judicial authority may determine.
When either party in any action has obtained from
the other party a disclosure on oath, respecting
the matters alleged in any pleading, the disclosure
shall not be deemed conclusive, but may be con-
tradicted as any other testimony. (See General
Statutes § 52-200.)
(P.B. 1978-1997, Sec. 235.)
Sec. 13-19. Disclosure of Defense
In any action to foreclose or to discharge any
mortgage or lien or to quiet title, or in any action
upon any written contract, in which there is an
appearance by an attorney for any defendant, the
plaintiff may at any time file and serve in accord-
ance with Sections 10-12 through 10-17 a written
demand that such attorney present to the court,
to become a part of the file in such case, a writing
signed by the attorney stating whether he or she
has reason to believe and does believe that there
exists a bona fide defense to the plaintiff’s action
and whether such defense will be made, together
with a general statement of the nature or sub-
stance of such defense. If the defendant fails to
disclose a defense within ten days of the filing of
such demand in any action to foreclose a mort-
gage or lien or to quiet title, or in any action upon
any written contract, the plaintiff may file a written
motion that a default be entered against the
defendant by reason of the failure of the defendant
to disclose a defense. If no disclosure of defense
has been filed, the judicial authority may order
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judgment upon default to be entered for the plain-
tiff at the time the motion is heard or thereafter,
provided that in either event a separate motion
for such judgment has been filed. The motions
for default and for judgment upon default may
be served and filed simultaneously but shall be
separate motions.
(P.B. 1978-1997, Sec. 236.) (Amended June 22, 2009, to
take effect Jan. 1, 2010; amended June 20, 2011, to take
effect Jan. 1, 2012.)
Sec. 13-20. Discovery Sought by Judgment
Creditor
(a) A judgment creditor may obtain discovery
from the judgment debtor, or from any third person
the judgment creditor reasonably believes, in
good faith, may have assets of the judgment
debtor, or from any financial institution to the
extent provided by this section, of any matters
relevant to satisfaction of the money judgment.
The judgment creditor shall commence any dis-
covery proceeding by serving interrogatories on
a form approved by the judges of the superior
court, or their designees, on the person from
whom discovery is sought. Neither the interroga-
tories nor a notice thereof shall be filed with the
court. The interrogatories shall be in clear and
simple language and shall be placed on the page
in such manner as to leave space under each
interrogatory for the person served to insert the
answer. The person to whom interrogatories are
directed shall answer them and return them to the
judgment creditor within thirty days of the date of
service. Answers to interrogatories served on a
judgment debtor shall be signed by such debtor
under penalty of false statement. With respect to
assets, the person served is required to reveal
information concerning the amount, nature and
location of the judgment debtor’s nonexempt
assets up to an amount clearly sufficient in value
to ensure full satisfaction of the judgment with
interest and costs, provided disclosure shall be
first required as to assets subject to levy or foreclo-
sure within the state. If interrogatories are served
on a financial institution, the financial institution
shall disclose only whether it holds funds of the
judgment debtor on account and the balance of
such funds, up to the amount necessary to satisfy
the judgment with interest and costs.
(b) On failure of a person served with interroga-
tories to, within the thirty days, return a sufficient
answer or disclose sufficient assets for execution,
or on objection by such person to the interrogato-
ries, which objection shall not be filed with the
court by such person, the judgment creditor may
move the judicial authority for such supplemental
discovery orders as may be necessary to ensure
disclosure including (1) an order for compliance
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 13-23
with the interrogatories or authorizing additional
interrogatories and (2) an order for production or
for examination of the judgment debtor or third
person, provided any such examination shall be
conducted before the judicial authority. The judi-
cial authority may order such discovery as justice
requires provided the order shall contain a notice
that failure to comply therewith may subject the
person served to being held in contempt of court.
(c) On motion of a judgment debtor or third
person from whom discovery is sought, and for
good cause shown, or on its own motion, the judi-
cial authority may make any order which justice
requires to protect such debtor or third person
from annoyance, embarrassment, oppression or
undue burden or expense.
(d) The other provisions of this chapter shall
not apply to discovery sought under this section.
(P.B. 1978-1997, Sec. 236A.)
Sec. 13-21. Discovery Outside the United
States of America
(a) If an applicable treaty or convention renders
discovery inadequate or inequitable but does not
prohibit additional discovery, the judicial authority
may order, upon application of any party, discov-
ery on such terms and conditions as the judicial
authority deems just and equitable after consider-
ing the following:
(1) other methods of discovery specified or
allowed in any applicable international treaty or
convention, including any reservations;
(2) whether all applicable international treaties
and conventions prohibit one or more specified
methods of discovery;
(3) whether the method of discovery violates
the criminal law of the foreign nation involved;
(4) whether the foreign nation’s procedure will
allow the parties to directly apply to the foreign
nation’s courts for judicial assistance in
obtaining discovery;
(5) the importance of the requested documents
or other information to the litigation;
(6) the degree of specificity of the request;
(7) whether the information originated within the
United States;
(8) the availability of alternate means of
obtaining the information;
(9) the extent noncompliance with the request
would undermine important interests of the
United States;
(10) the extent compliance with the request
would undermine important interests of the foreign
nation involved;
(11) whether the discovery sought, or the
method sought to be employed, is unreasonably
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intrusive or burdensome under the circum-
stances;
(12) whether the request can be modified to
make it reasonable under the circumstances;
(13) whether the foreign party is wholly or par-
tially owned by a foreign nation or the instrumen-
tality of a foreign nation;
(14) the cost of compliance;
(15) whether the foreign country requires that
discovery be obtained through a judicial officer.
(b) As used in this section, discovery includes
the taking of testimony by deposition upon oral
examination.
(P.B. 1978-1997, Sec. 236B.)
Sec. 13-22. Admission of Facts and Execu-
tion of Writings; Requests for Admission
(a) A party may serve in accordance with Sec-
tions 10-12 through 10-17 upon any other party
a written request, which may be in electronic for-
mat, for the admission, for purposes of the pend-
ing action only, of the truth of any matters relevant
to the subject matter of the pending action set
forth in the request that relate to statements or
opinions of fact or of the application of law to
fact, including the existence, due execution and
genuineness of any documents described in the
request. The party serving a request for admission
shall separately set forth each matter of which an
admission is requested and unless the request is
served electronically as provided in Section 10-
13 and in a format that allows the recipient to
electronically insert the answers in the transmitted
document, shall leave sufficient space following
each request in which the party to whom the
requests are directed can insert an answer or
objection. Copies of documents shall be served
with the request unless they have been or are
otherwise furnished or made available for inspec-
tion and copying. The request may, without leave
of the judicial authority, be served upon any party
at any time after the return day. Unless the judicial
authority orders otherwise, the frequency of use
of requests for admission is not limited.
(b) The party serving such request shall not file
it with the court but shall instead file a notice with
the court which states that the party has served
a request for admission on another party, the
name of the party to whom the request has been
directed and the date upon which service in
accordance with Sections 10-12 through 10-17
was made.
(P.B. 1978-1997, Sec. 238.) (Amended June 30, 2008, to
take effect Jan. 1, 2009.)
Sec. 13-23. —Answers and Objections to
Requests for Admission
(a) Each matter of which an admission is
requested is admitted unless, within thirty days
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 13-23
after the filing of the notice required by Section
13-22 (b), or within such shorter or longer time
as the judicial authority may allow, the party to
whom the request is directed files and serves
upon the party requesting the admission a written
answer or objection addressed to the matter,
signed by the party or by his attorney. Any such
answer or objection shall be inserted directly on
the original request. In the event that an answer
or objection requires more space than that pro-
vided on a request for admission that was not
served electronically and in a format that allows
the recipient to electronically insert the answers
in the transmitted document, it shall be continued
on a separate sheet of paper which shall be
attached to the response. Documents sought to
be admitted by the request shall be filed with the
response by the responding party only if they are
the subject of an answer or objection. If objection
is made, the reasons therefor shall be stated. The
answer shall specifically deny the matter or set
forth in detail the reasons why the answering party
cannot truthfully admit or deny the matter. A denial
shall fairly meet the substance of the requested
admission, and when good faith requires that a
party qualify his or her answer or deny only a part
of the matter of which an admission is requested,
such party shall specify so much of it as is true
and qualify or deny the remainder. An answering
party may not give lack of information or knowl-
edge as a reason for failure to admit or deny
unless such party states that he or she has made
reasonable inquiry and that the information known
or readily obtainable by him or her is insufficient
to enable an admission or denial. A party who
considers that a matter of which an admission has
been requested presents a genuine issue for trial
may not, on that ground alone, object to the
request; the party may deny the matter or set forth
reasons why he or she cannot admit or deny it.
The responding party shall attach a cover sheet
to the response which shall comply with Sections
4-1 and 4-2 and shall specify those requests to
which answers and objections are addressed.
(b) The party who has requested the admission
may move to determine the sufficiency of the
answer or objection. No such motion shall be
placed on the short calendar list until an affidavit
by either counsel is filed certifying that bona fide
attempts have been made to resolve the differ-
ences concerning the subject matter of the motion
and that counsel have been unable to reach an
accord. Unless the judicial authority determines
that an objection is justified, it shall order that an
answer be served. If the judicial authority deter-
mines that an answer does not comply with the
requirements of this rule, it may order either that
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the matter is admitted or that an amended answer
be served. The judicial authority may, in lieu of
these orders, determine that final disposition of
the request be made at a designated time prior
to trial.
(P.B. 1978-1997, Sec. 239.) (Amended June 30, 2008, to
take effect Jan. 1, 2009.)
Sec. 13-24. —Effect of Admission
(a) Any matter admitted under this section is
conclusively established unless the judicial
authority on motion permits withdrawal or amend-
ment of the admission. The judicial authority may
permit withdrawal or amendment when the pre-
sentation of the merits of the action will be sub-
served thereby and the party who obtained the
admission fails to satisfy the judicial authority that
withdrawal or amendment will prejudice such
party in maintaining his or her action or defense
on the merits. Any admission made by a party
under this section is for the purpose of the pending
action only and is not an admission by him or her
for any other purpose nor may it be used against
him or her in any other proceeding.
(b) The admission of any matter under this sec-
tion shall not be deemed to waive any objections
to its competency or relevancy. An admission of
the existence and due execution of a document,
unless otherwise expressed, shall be deemed to
include an admission of its delivery, and that it
has not since been altered.
(P.B. 1978-1997, Sec. 240.)
Sec. 13-25. —Expenses on Failure to Admit
If a party fails to admit the genuineness of any
document or the truth of any matter as requested
herein, and if the party requesting the admissions
thereafter proves the genuineness of the docu-
ment or the truth of the matter, such party may
apply to the court for an order requiring the other
party to pay the reasonable expenses incurred in
making that proof, including reasonable attorney’s
fees. The judicial authority shall make the order
unless it finds that such failure to admit was rea-
sonable.
(P.B. 1978-1997, Sec. 241.)
Sec. 13-26. Depositions; In General
In addition to other provisions for discovery and
subject to the provisions of Sections 13-2 through
13-5, any party who has appeared in a civil action,
in any probate appeal, or in any administrative
appeal where the judicial authority finds it reason-
ably probable that evidence outside the record
will be required, may, at any time after the com-
mencement of the action or proceeding, in accord-
ance with the procedures set forth in this chapter,
take the testimony of any person, including a
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 13-27
party, by deposition upon oral examination. The
attendance of witnesses may be compelled by
subpoena as provided in Section 13-28. The
attendance of a party deponent or of an officer,
director, or managing agent of a party may be
compelled by notice to the named person or such
person’s attorney in accordance with the require-
ments of Section 13-27 (a). The deposition of a
person confined in prison may be taken only by
leave of the judicial authority on such terms as
the judicial authority prescribes. (See General
Statutes § 52-178.)
(P.B. 1978-1997, Sec. 243.)
Sec. 13-27. —Notice of Deposition; General
Requirements; Special Notice; Nonsteno-
graphic Recording; Production of Docu-
ments and Things; Deposition of
Organization
(a) A party who desires to take the deposition
of any person upon oral examination shall give
reasonable notice in writing to every other party
to the action. Such notice shall not be filed with
the court but shall be served upon each party or
each party’s attorney in accordance with Sections
10-12 through 10-17. The notice shall state the
time and place for taking the deposition, the name
and address of each person to be examined, if
known, and, if the name is not known, a general
description sufficient to identify such person or
the particular class or group to which he or she
belongs and the manner of recording. If a sub-
poena duces tecum is to be served on the person
to be examined, the designation of the materials
to be produced as set forth in the subpoena shall
be attached to or included in the notice.
(b) Leave of a judicial authority, granted with or
without notice, must be obtained only if the party
seeks to take a deposition prior to the expiration
of twenty days after the return day, except that
leave is not required (1) if the adverse party has
served a notice of the taking of a deposition or
has otherwise sought discovery, or (2) if special
notice is given as provided herein.
(c) Leave of a judicial authority is not required
for the taking of a deposition by a party if the
notice (1) states that the person to be examined
is about to go out of this state, or is bound on a
voyage to sea, and will be unavailable for exami-
nation unless such person’s deposition is taken
before the expiration of twenty days after the
return day, and (2) sets forth facts to support the
statement. The party’s attorney shall sign the
notice, and this signature constitutes a certifica-
tion by such attorney that to the best of his or her
knowledge, information and belief the statement
and supporting facts are true.
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(d) Whenever the whereabouts of any adverse
party is unknown, a deposition may be taken pur-
suant to Section 13-26 after such notice as the
court, in which such deposition is to be used,
or, when such court is not in session, any judge
thereof, may direct.
(e) The judicial authority may for good cause
shown increase or decrease the time for taking
the deposition.
(f) (1) The judicial authority may upon motion
order that the testimony at a deposition be
recorded by other than stenographic means such
as by videotape, in which event the order shall
designate the manner of recording, preserving,
and filing the deposition, and may include other
provisions to assure that the recorded testimony
will be accurate and trustworthy. If the order is
made, a party may nevertheless arrange to have
a stenographic transcription made at the party’s
own expense.
(2) Notwithstanding this section, a deposition
may be recorded by videotape without prior court
approval if (i) any party desiring to videotape the
deposition provides written notice of the videotap-
ing to all parties in either the notice of deposition
or other notice served in the same manner as a
notice of deposition and (ii) the deposition is also
recorded stenographically.
(g) The notice to a party deponent may be
accompanied by a request made in compliance
with Sections 13-9 through 13-11 for the produc-
tion of documents and tangible things at the taking
of the deposition. The procedure of Sections 13-
9 through 13-11 shall apply to the request.
(h) A party may in the notice and in the sub-
poena name as the deponent a public or private
corporation or a partnership or an association or
a governmental agency or a state officer in an
action arising out of the officer’s performance of
employment and designate with reasonable par-
ticularity the matters on which examination is
requested. The organization or state officer so
named shall designate one or more officers, direc-
tors, or managing agents, or other persons who
consent to testify on its behalf, and may set forth,
for each person designated, the matters on which
the person will testify. The persons so designated
shall testify as to matters known or reasonably
available to the organization. This subsection
does not preclude the taking of a deposition by
any other procedure authorized by the rules of
practice.
(P.B. 1978-1997, Sec. 244.) (Amended June 26, 2000, to
take effect Jan. 1, 2001; amended June 22, 2009, to take
effect Jan. 1, 2010.)
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 13-28
Sec. 13-28. —Persons before Whom Depo-
sition Taken; Subpoenas
(a) Within this state, depositions shall be taken
before a judge or clerk of any court, notary public
or commissioner of the superior court. In any other
state or country, depositions for use in a civil
action, probate proceeding or administrative
appeal within this state shall be taken before a
notary public, of such state or country, a commis-
sioner appointed by the governor of this state, any
magistrate having power to administer oaths in
such state or country, or a person commissioned
by the court before which such action or proceed-
ing is pending, or when such court is not in ses-
sion, by any judge thereof. Any person so
commissioned shall have the power by virtue of
his or her commission to administer any neces-
sary oaths and to take testimony. Additionally, if
a deposition is to be taken out of the United States,
it may be taken before any foreign minister, secre-
tary of a legation, consul or vice-consul appointed
by the United States or any person by him or her
appointed for the purpose and having authority
under the laws of the country where the deposition
is to be taken; and the official character of any
such person may be proved by a certificate from
the secretary of state of the United States.
(b) Each judge or clerk of any court, notary
public or commissioner of the superior court, in
this state, may issue a subpoena, upon request,
for the appearance of any witness before an offi-
cer authorized to administer oaths within this state
to give testimony at a deposition subject to the
provisions of Sections 13-2 through 13-5, if the
party seeking to take such person’s deposition
has complied with the provisions of Sections 13-
26 and 13-27.
(c) A subpoena issued for the taking of a deposi-
tion may command the person to whom it is
directed to produce and permit inspection and
copying of designated books, papers, documents
or tangible things which constitute or contain mat-
ters within the scope of the examination permitted
by Sections 13-2 through 13-5. Unless otherwise
ordered by the court or agreed upon in writing
by the parties any subpoena issued to a person
commanding the production of documents or
other tangible thing at a deposition shall not direct
compliance within less than fifteen days from the
date of service thereof.
(d) The person to whom a subpoena is directed
may, within fifteen days after the service thereof
or within such time as otherwise ordered by the
court or agreed upon in writing by the parties,
serve upon the issuing authority designated in the
subpoena written objection to the inspection or
copying of any or all of the designated materials.
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If objection is made, the party at whose request
the subpoena was issued shall not be entitled to
inspect and copy the disputed materials except
pursuant to an order of the court in which the
cause is pending. The party who requested the
subpoena may, if objection has been made, move,
upon notice to the deponent, for an order at any
time before or during the taking of the deposition.
(e) The court in which the cause is pending, or,
if the cause is pending in a foreign court, the court
in the judicial district wherein the subpoenaed per-
son resides, may, upon motion made promptly
and, in any event, at or before the time for compli-
ance specified in a subpoena authorized by sub-
section (b) of this section, (1) quash or modify the
subpoena if it is unreasonable and oppressive or
if it seeks the production of materials not subject
to production under the provisions of subsection
(c) of this section, or (2) condition denial of the
motion upon the advancement by the party who
requested the subpoena of the reasonable cost
of producing the materials being such.
(f) If any person to whom a lawful subpoena is
issued under any provision of this section fails
without just excuse to comply with any of its terms,
the court before which the cause is pending, or
any judge thereof, or, if the cause is pending in
a foreign court, the court in the judicial district
wherein the subpoenaed person resides, may
issue a capias and cause the person to be brought
before that court or judge, as the case may be,
and, if the person subpoenaed refuses to comply
with the subpoena, the court or judge may commit
the person to jail until he or she signifies a willing-
ness to comply with it.
(g) (1) Deposition of witnesses living in this state
may be taken in like manner to be used as evi-
dence in a civil action or probate proceeding pend-
ing in any court of the United States or of any
other state of the United States or of any foreign
country, on application of any party to such civil
action or probate proceeding.
(2) Any person to whom a subpoena has been
directed in a civil action or probate proceeding,
other than a party to such civil action or probate
court proceeding, pending in any court of any
other state of the United States or of any foreign
country, which subpoena commands (A) the per-
son’s appearance at a deposition, or (B) the pro-
duction, copying or inspection of books, papers,
documents or tangible things may, within fifteen
days after the service thereof or on or before the
time specified in the subpoena for compliance if
such time is less than fifteen days after service,
serve upon the party who requested issuance of
the subpoena written objection to appearing or
producing, copying or permitting the inspection of
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 13-30
such books, papers, documents or tangible things
on the ground that the subpoena will cause such
person undue or unreasonable burden or
expense. Service of the objection shall be made
by United States mail, certified or registered, post-
age prepaid, return receipt requested, without the
use of a state marshal or other officer. Such writ-
ten objection shall be accompanied by an affidavit
of costs setting forth the estimated or actual costs
of compliance with such subpoena, including, but
not limited to, the person’s attorney’s fees or the
costs to such person of electronic discovery. If a
person makes such written objection, the party
who requested issuance of the subpoena (i) shall
not be entitled to compel such person’s appear-
ance or receive, copy or inspect the books,
papers, documents or tangible things, except pur-
suant to an order of the Superior Court, and (ii)
may, upon notice to such person, file a motion
with the court in the judicial district wherein the
subpoenaed person resides, for an order to com-
pel such person’s appearance or production,
copying or inspection of such materials in accord-
ance with the terms of such subpoena. Upon
receipt of such motion together with the payment
of all entry fees, if required, the clerk shall sched-
ule the matter for hearing and provide the moving
party notice of the time and place of the hearing.
The moving party shall serve the motion to compel
and the notice of the time and place of the hearing
upon the subpoenaed party. When ruling on such
motion to compel, the court shall make a finding
as to whether the subpoena subjects the person
to undue or unreasonable burden or expense prior
to entering any order to compel such person’s
appearance or the production, copying or inspec-
tion of such materials. If the court finds that the
subpoena issued to the person subjects such per-
son to undue or unreasonable burden or expense,
any order to compel such person’s appearance
or production, copying or inspection of such mate-
rials shall protect the person from undue or unrea-
sonable burden or expense resulting from
compliance with such subpoena and, except in
the case of a subpoena commanding the produc-
tion, copying or inspection of medical records,
may include, but not be limited to, the reimburse-
ment of such person’s reasonable costs of compli-
ance, as set forth in the affidavit of costs.
(3) The provisions of subdivision (2) of this sub-
section shall not be applicable to a civil action
filed to recover damages resulting from personal
injury or wrongful death in which it is alleged that
such injury or death resulted from professional
malpractice of a health care provider or health
care institution.
(P.B. 1978-1997, Sec. 245.) (Amended June 21, 2004, to
take effect Jan. 1, 2005; amended June 24, 2016, to take
effect Jan. 1, 2017.)
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Sec. 13-29. —Place of Deposition
(a) Any party who is a resident of this state may
be compelled by notice as provided in Section 13-
27 (a) to give a deposition at any place within the
county of such party’s residence, or within thirty
miles of such residence, or at such other place
as is fixed by order of the judicial authority. A
plaintiff who is a resident of this state may also
be compelled by like notice to give a deposition
at any place within the county where the action
is commenced or is pending.
(b) A plaintiff who is not a resident of this state
may be compelled by notice under Section 13-27
(a) to attend at the plaintiff’s expense an examina-
tion in the county of this state where the action is
commenced or is pending or at any place within
thirty miles of the plaintiff’s residence or within the
county of his or her residence or in such other
place as is fixed by order of the judicial authority.
(c) A defendant who is not a resident of this
state may be compelled:
(1) By subpoena to give a deposition in any
county in this state in which the defendant is per-
sonally served, or
(2) By notice under Section 13-27 (a) to give a
deposition at any place within thirty miles of the
defendant’s residence or within the county of his
or her residence or at such other place as is fixed
by order of the judicial authority.
(d) A nonparty deponent may be compelled by
subpoena served within this state to give a deposi-
tion at a place within the county of his or her
residence or within thirty miles of the nonparty
deponent’s residence, or if a nonresident of this
state within any county in this state in which he
or she is personally served, or at such other place
as is fixed by order of the judicial authority.
(e) In this section, the terms ‘‘plaintiff’’ and
‘‘defendant’’ include officers, directors and man-
aging agents of corporate plaintiffs and corporate
defendants or other persons designated under
Section 13-27 (h) as appropriate.
(f) If a deponent is an officer, director or manag-
ing agent of a corporate party, or other person
designated under Section 13-27 (h), the place of
examination shall be determined as if the resi-
dence of the deponent were the residence of
the party.
(P.B. 1978-1997, Sec. 246.)
Sec. 13-30. —Deposition Procedure
(a) Examination and cross-examination of
deponents may proceed as permitted at trial. The
officer before whom the deposition is to be taken
shall put the deponent on oath and shall person-
ally, or by someone acting under the officer’s
direction, record the testimony of the deponent.
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 13-30
The testimony shall be taken stenographically or
recorded by any other means authorized in
accordance with Section 13-27 (f). If the testimony
is taken stenographically, it shall be transcribed
at the request of one of the parties.
(b) All objections made at the time of the exami-
nation to the qualifications of the officer taking the
deposition, or to the manner of taking it, or to
the evidence presented, or to the conduct of any
party, and any other objection to the proceedings,
shall be noted by the officer upon the deposition.
Evidence objected to shall be taken subject to
the objections. Every objection raised during a
deposition shall be stated succinctly and framed
so as not to suggest an answer to the deponent
and, at the request of the questioning attorney,
shall include a clear statement as to any defect
in form or other basis of error or irregularity. A
person may instruct a deponent not to answer
only when necessary to preserve a privilege, to
enforce a limitation directed by the court, or to
present a motion under subsection (c) of this sec-
tion. In lieu of participating in the oral examination,
parties may serve written questions in a sealed
envelope on the party taking the deposition and
the party shall transmit the questions to the officer,
who shall propound them to the witness and
record the answers verbatim.
(c) At any time during the taking of the deposi-
tion, on motion of a party or of the deponent and
upon a showing that the examination is being con-
ducted in bad faith or in such manner as unrea-
sonably to annoy, embarrass, or oppress the
deponent or party, the court in which the action
is pending may order the officer conducting the
examination forthwith to cease taking the deposi-
tion, or may limit the scope and manner of the
taking of the deposition as provided in Section 13-
5. If the order made terminates the examination,
it shall be resumed thereafter only upon the order
of the court in which the action is pending.
(d) If requested by the deponent or any party,
when the testimony is fully transcribed the deposi-
tion shall be submitted to the deponent for exami-
nation and shall be read to or by the deponent.
Any changes in form or substance which the
deponent desires to make shall be entered upon
the deposition by the officer with a statement of
the reasons given by the deponent for making
them. The deposition shall then be signed by the
deponent certifying that the deposition is a true
record of the deponent’s testimony, unless the
parties by stipulation waive the signing or the wit-
ness is ill or cannot be found or refuses to sign.
If the deposition is not signed by the deponent
within thirty days after its submission to the depo-
nent, the officer shall sign it and state on the
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record the fact of the waiver or of the illness or
absence of the deponent or the fact of the refusal
or failure to sign together with the reason, if any,
given therefor; and the deposition may then be
used as fully as though signed unless, on a motion
to suppress under Section 13-31 (c) (4), the judi-
cial authority holds that the reasons given for the
refusal or failure to sign require rejection of the
deposition in whole or in part.
(e) The person recording the testimony shall
certify on the deposition that the witness was duly
sworn by the person, that the deposition is a true
record of the testimony given by the deponent,
whether each adverse party or his agent was pres-
ent, and whether each adverse party or his agent
was notified, and such person shall also certify
the reason for taking the deposition. The person
shall then securely seal the deposition in an enve-
lope endorsed with the title of the action, the
address of the court where it is to be used and
marked ‘‘Deposition of (here insert the name of
the deponent),’’ shall then promptly deliver it to
the party at whose request it was taken and give
to all other parties a notice that the deposition has
been transcribed and so delivered. The party at
whose request the deposition was taken shall file
the sealed deposition with the court at the time
of trial.
(f) Documents and things produced for inspec-
tion during the examination of the deponent, shall,
upon the request of a party, be marked for identifi-
cation and annexed to and returned with the depo-
sition, and may be inspected and copied by any
party, except that (1) the person producing the
materials may substitute copies to be marked for
identification, if the person affords to all parties
fair opportunity to verify the copies by comparison
with the originals, and (2) if the person producing
the materials requests their return, the officer shall
mark them, give each party an opportunity to
inspect and copy them, and return them to the
person producing them, and the materials may
then be used in the same manner as if annexed
to and returned with the deposition to the court,
pending final disposition of the case.
(g) The parties may stipulate in writing and file
with the court, or the court may upon motion order,
that a deposition be taken by telephone, video-
conference, or other remote electronic means. For
the purposes of Sections 13-26 through 13-29
and this section, such a deposition is deemed
taken at the place where the deponent is to
answer questions. Except as otherwise provided
in this subsection, the rules governing the prac-
tice, procedures and use of depositions shall
apply to remote electronic means depositions.
The following additional rules, unless otherwise
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 13-31
agreed in writing by the parties or ordered by the
court, shall apply to depositions taken by remote
electronic means:
(1) The deponent shall be in the presence of
the officer administering the oath and recording
the deposition.
(2) Any exhibits or other demonstrative evi-
dence to be presented to the deponent by any
party at the deposition shall be provided to the
officer administering the oath and all other parties
prior to the deposition.
(3) Nothing in subsection (g) shall prohibit any
party from being with the deponent during the
deposition, at that party’s expense; provided,
however, that a party attending a deposition shall
give written notice of that party’s intention to
appear at the deposition to all other parties within
a reasonable time prior to the deposition.
(4) The party at whose instance the remote
electronic means deposition is taken shall pay all
costs of the remote electronic means deposition
for the transmission from the location of the depo-
nent and one site for participation of counsel
located in the judicial district where the case is
pending together with the cost of the steno-
graphic, video or other electronic record. The cost
of participation in a remote electronic means
deposition from any other location shall be paid
by the party or parties participating from such
other location.
(h) Notwithstanding this section, a deposition
may be attended by any party by remote electronic
means even if the party noticing the deposition
does not elect to use remote electronic means if
(i) a party desiring to attend by remote electronic
means provides written notice of such intention
to all parties in either the notice of deposition or
a notice served in the same manner as a notice
of deposition and (ii) if the party electing to partici-
pate by remote electronic means is not the party
noticing the deposition, such party pays all costs
associated with implementing such remote elec-
tronic participation by that party.
(i) Nothing contained in any provision providing
for the use of remote electronic means deposi-
tions shall prohibit any party from securing a rep-
resentative to be present at the location where
the deponent is located to report on the record any
events which occur in that location which might
not otherwise be transmitted and/or recorded by
the electronic means utilized.
(j) The party on whose behalf a deposition is
taken shall bear the cost of the original transcript,
and any permanent electronic record including
audio or videotape. Any party or the deponent
may obtain a copy of the deposition transcript and
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permanent electronic record including audio or
videotape at its own expense.
(P.B. 1978-1997, Sec. 247.) (Amended June 26, 2000, to
take effect Jan. 1, 2001; amended June 30, 2003, to take
effect Jan. 1, 2004; amended June 21, 2004, to take effect
Jan. 1, 2005; amended June 30, 2008, to take effect Jan. 1,
2009; amended June 20, 2011, to take effect Jan. 1, 2012.)
Sec. 13-31. —Use of Depositions in Court
Proceedings
(a) Use of Depositions.
At the trial of a civil action, probate proceeding
or administrative appeal, or upon the hearing of
a motion or an interlocutory proceeding, any part
or all of a deposition, so far as admissible under
the rules of evidence applied as though the wit-
ness were there present and testifying, may be
used against any party who was present or repre-
sented at the taking of the deposition or who had
reasonable notice thereof, in accordance with any
of the following provisions:
(1) Any deposition may be used by any party
for the purpose of contradicting or impeaching the
testimony of the deponent as a witness.
(2) The deposition of any physician, psycholo-
gist, chiropractor, natureopathic physician, osteo-
pathic physician or dentist licensed under the
provisions of the General Statutes may be
received in evidence in lieu of the appearance of
such witness at the trial or hearing whether or not
the person is available to testify in person at the
trial or hearing.
(3) The deposition of a party or of anyone who
at the time of the taking of the deposition was an
officer, director, or managing agent or employee
or a person designated under Section 13-27 (h) to
testify on behalf of a public or private corporation,
partnership or association or governmental
agency which is a party may be used by an
adverse party for any purpose.
(4) The deposition of a witness other than a
person falling within the scope of subdivision (2)
hereof, whether or not a party, may be used by
any party for any purpose if the judicial authority
finds: (A) that the witness is dead; (B) that the
witness is at a greater distance than thirty miles
from the place of trial or hearing, or is out of the
state and will not return before the termination
of the trial or hearing, unless it appears that the
absence of the witness was procured by the party
offering the deposition; (C) that the witness is
unable to attend or testify because of age, illness,
infirmity, or imprisonment; (D) that the party offer-
ing the deposition has been unable to procure the
attendance of the witness by subpoena; (E) that
the parties have agreed that the deposition may
be so used; (F) upon application and notice, that
such exceptional circumstances exist as to make
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 13-31
it desirable, in the interest of justice and with due
regard to the importance of presenting the testi-
mony of witnesses orally in open court, to allow
the deposition to be used.
(5) If only part of a deposition is offered in evi-
dence by a party, an adverse party may require
the party to introduce any other part which ought in
fairness to be considered with the part introduced,
and any party may introduce any other parts.
(6) Substitution of parties does not affect the
right to use depositions previously taken; and
when an action in any court of the United States
or of any state has been dismissed and another
action involving the same subject matter is after-
ward brought between the same parties or their
representatives or successors in interest, all
depositions lawfully taken and duly filed in the
former action may be used in the latter as if origi-
nally taken therefor.
(b) Objections to Admissibility.
Subject to the provisions of subsection (c) of
this section, objection may be made at the trial or
hearing to receiving in evidence any deposition
or part thereof for any reason which would require
the exclusion of the evidence if the witness were
then present and testifying.
(c) Effect of Errors and Irregularities in
Depositions.
(1) As to notice: All errors and irregularities in
the notice for taking a deposition are waived
unless written objection is promptly served upon
the party giving the notice.
(2) As to disqualification of officer: Objection to
taking a deposition because of disqualification of
the officer before whom it is to be taken is waived
unless made before the taking of the deposition
begins or as soon thereafter as the disqualification
becomes known or could be discovered with rea-
sonable diligence.
(3) As to taking of deposition: (A) Objections to
the competency of a witness or to the compe-
tency, relevancy or materiality of testimony are
not waived by failure to make them before or dur-
ing the taking of the deposition, unless the ground
of the objection is one which might have been
obviated or removed if presented at that time.
(B) Errors and irregularities occurring at the oral
examination in the manner of taking the deposi-
tion, in the form of the questions or answers, in
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the oath or affirmation, or in the conduct of parties,
and errors of any kind which might be obviated,
removed, or cured if promptly presented, are
waived unless seasonable objection thereto is
made at the taking of the deposition.
(4) As to completion and return of deposition:
Errors and irregularities in the manner in which
the testimony is transcribed or the deposition is
prepared, signed, certified, sealed, endorsed,
transmitted, filed or otherwise dealt with by the
officer are waived unless a motion to suppress
the deposition or some part thereof is made with
reasonable promptness after such defect is, or
with due diligence might have been, ascertained.
(P.B. 1978-1997, Sec. 248.)
Sec. 13-32. Stipulations regarding Discov-
ery and Deposition Procedure
Unless the court orders otherwise, the parties
may by written stipulation (1) provide that deposi-
tions may be taken before any person, at any time
or place, upon any notice, and in any manner,
and when so taken may be used as other deposi-
tions, and (2) modify the procedures provided by
this chapter for other methods of discovery.
(P.B. 1978-1997, Sec. 249.)
Sec. 13-33. Claim of Privilege or Protection
after Production
(a) If papers, books, documents or electroni-
cally stored information produced in discovery are
subject to a claim of privilege or of protection as
trial preparation material, the party making the
claim may notify any party that received the infor-
mation of the claim and the basis for the claim.
(b) After being notified of a claim of privilege or
of protection under subsection (a), a party shall
immediately sequester the specified information
and any copies it has and: (1) return or destroy
the information and all copies and not use or dis-
close the information until the claim is resolved; or
(2) present the information to the judicial authority
under seal for a determination of the claim and
not otherwise use or disclose the information until
the claim is resolved.
(c) If a party that received notice under subsec-
tion (b) disclosed the information subject to the
notice before being notified, the party shall take
reasonable steps to retrieve the information.
(Adopted June 20, 2011, to take effect Jan. 1, 2012.)
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 14-4
CHAPTER 14
DOCKETS, TRIAL LISTS, PRETRIALS AND ASSIGNMENT LISTS
Sec. Sec.
14-1. Claim for Statutory Exemption or Stay by Reason
of Bankruptcy
14-2. Claim for Exemption from Docket Management
Program by Reason of Bankruptcy
14-3. Dismissal for Lack of Diligence
14-4. Maintenance of Case Records
14-5. Definition of Administrative Appeals
14-6. Administrative Appeals Are Civil Actions
14-7. Administrative Appeals; Exceptions
14-7A. —Administrative Appeals Brought Pursuant to
General Statutes § 4-183 et seq.; Appearances;
Records, Briefs and Scheduling
14-7B. Administrative Appeals from Municipal Land Use,
Historic and Resource Protection Agencies;
Records, Briefs and Scheduling; Withdrawal or
Settlement
14-8. Certifying That Pleadings Are Closed
14-9. Privileged Cases in Assignment 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
Stay by Reason of Bankruptcy
When a claim for a statutory exemption or stay
by reason of bankruptcy is filed, it shall be accom-
panied by an affidavit setting forth the date the
bankruptcy petition was filed, the district of the
bankruptcy court in which it was filed and the
address, the name of the bankruptcy debtor and
the number of the bankruptcy case.
When the stay has been relieved or terminated,
the plaintiff, the person filing the petition, or any
other interested party shall file with the court a
copy of the relief or termination of stay issued by
the bankruptcy court.
(P.B. 1978-1997, Sec. 250A.) (Amended June 21, 2004,
to take effect Jan. 1, 2005.)
Sec. 14-2. Claim for Exemption from Docket
Management Program by Reason of Bank-
ruptcy
(Amended June 24, 2002, to take effect Jan. 1, 2003.)
When a claim for an exemption from the docket
management program by reason of bankruptcy is
filed, it shall be accompanied by an affidavit set-
ting forth the date the bankruptcy petition was
filed, the district of the bankruptcy court in which
it was filed and the address, the name of the
bankruptcy debtor and the number of the bank-
ruptcy case and shall be sworn to by the party
claiming the exemption or that party’s attorney.
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14-10. Claims for Jury
14-11. Pretrial; Assignment for Pretrial
14-12. —When Case Not Disposed of at Pretrial
14-13. —Pretrial Procedure
14-14. —Orders at Pretrial
14-15. Assignments for Trial in General
14-16. Methods of Assigning Cases for Trial
14-17. Immediate Trial
14-18. Cases Reached for Trial
14-19. Cases Marked Settled
14-20. Order of Trial
14-21. Clerk to Communicate with Counsel in Cases
Assigned for Week Certain
14-22. Assignment for Trial on Motion of Garnishee
14-23. Motions to Continue or Postpone Case Assigned
for Trial
14-24. Motion to Postpone; Absent Witness; Missing
Evidence
14-25. Availability of Counsel for Trial
An updated affidavit shall be filed every six months
by that claimant.
(P.B. 1978-1997, Sec. 250B.) (Amended June 24, 2002,
to take effect Jan. 1, 2003.)
Sec. 14-3. Dismissal for Lack of Diligence
(a) If a party shall fail to prosecute an action
with reasonable diligence, the judicial authority
may, after hearing, on motion by any party to the
action pursuant to Section 11-1, or on its own
motion, render a judgment dismissing the action
with costs. At least two weeks’ notice shall be
required except in cases appearing on an assign-
ment list for final adjudication. Judgment files shall
not be drawn except where an appeal is taken or
where any party so requests.
(b) If a case appears on a docket management
calendar pursuant to the docket management pro-
gram administered under the direction of the chief
court administrator, and a motion for default for
failure to plead is filed pursuant to Section 10-18,
only those papers which close the pleadings by
joining issues, or raise a special defense, may be
filed by any party, unless the judicial authority
otherwise orders.
(P.B. 1978-1997, Sec. 251.) (Amended June 24, 2002, to
take effect Jan. 1, 2003; amended June 20, 2011, to take
effect Jan. 1, 2012.)
Sec. 14-4. Maintenance of Case Records
The clerk in each judicial district and geographi-
cal area shall maintain and have available for
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 14-4
inspection during office hours a record concerning
each civil case and administrative appeal. Such
record shall designate whether the pleadings are
closed and shall distinguish those cases in which
the amount, legal interest or property in demand,
is less than $15,000, exclusive of interest and
costs, from cases in which the amount, legal inter-
est or property in demand, is $15,000 or more,
exclusive of interest and costs.
(P.B. 1978-1997, Sec. 254.)
Sec. 14-5. Definition of Administrative
Appeals
For the purposes of these rules, administrative
appeals are those appeals taken pursuant to stat-
ute from decisions of officers, boards, commis-
sions or agencies of the state or of any political
subdivision of the state, and include specifically
appeals taken pursuant to:
(1) chapter 54 of the General Statutes;
(2) chapters 124 through 134 of the General
Statutes; or
(3) other enabling legislation.
(P.B. 1978-1997, Sec. 255.)
Sec. 14-6. Administrative Appeals Are Civil
Actions
For purposes of these rules, administrative
appeals are civil actions subject to the provisions
and exclusions of General Statutes § 4-183 et
seq. and the Practice Book. Whenever these rules
refer to civil actions, actions, civil causes, causes
or cases, the reference shall include administra-
tive appeals except that an administrative appeal
shall not be deemed an action for purposes of
Section 10-8 of these rules or for General Statutes
§§ 52-48, 52-591, 52-592 or 52-593.
(P.B. 1978-1997, Sec. 256.) (Amended June 20, 2011, to
take effect Jan. 1, 2012; amended June 14, 2013, to take
effect Jan. 1, 2014.)
Sec. 14-7. Administrative Appeals; Excep-
tions
(Amended June 14, 2013, to take effect Jan. 1, 2014.)
(a) Appeals from the employment security
board of review shall follow the procedure set forth
in chapter 22 of these rules.
(b) Workers’ compensation appeals taken to
the appellate court shall follow the procedure set
forth in the Rules of Appellate Procedure.
(c) Appeals in which the parties are entitled to
a trial de novo, including but not limited to: (1)
appeals from municipal boards of tax review or
boards of assessment appeals taken pursuant to
General Statutes §§ 12-117a and 12-119; (2)
appeals from municipal assessors taken pursuant
to General Statutes § 12-103; (3) appeals from
the commissioner of revenue services; and (4)
appeals from the insurance commissioner taken
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pursuant to General Statutes § 38a-139, are
excluded from the procedures prescribed in Sec-
tion 14-7A and 14-7B, and shall, subsequent to
the filing of the appeal, follow the same course of
pleading as that followed in ordinary civil actions.
(d) Administrative appeals are not subject to
the pretrial rules, except as otherwise provided in
Sections 14-7A and 14-7B.
(P.B. 1978-1997, Sec. 257.) (Amended June 21, 2004, to
take effect Jan. 1, 2005; amended June 20, 2011, to take
effect Jan. 1, 2012; amended June 14, 2013, to take effect
Jan. 1, 2014.)
Sec. 14-7A. —Administrative Appeals
Brought Pursuant to General Statutes § 4-
183 et seq.; Appearances; Records, Briefs
and Scheduling
(Amended June 14, 2013, to take effect Jan. 1, 2014.)
(a) Administrative appeals brought pursuant to
General Statutes § 4-183 et seq. shall be served
in accordance with applicable law either by certi-
fied or registered mail of the appeal, and a notice
of filing on a form substantially in compliance with
Form JD-CV-137 or by personal service of the
appeal, and a citation on a form substantially in
compliance with Form JD-CV-138. The appeal
shall be filed with the court in accordance with
General Statutes § 4-183 (c).
(b) In administrative appeals brought pursuant
to General Statutes § 4-183 et seq., the defendant
shall file an appearance within thirty days of ser-
vice made pursuant to General Statutes § 4-183
(c). Within thirty days of the filing of the defend-
ant’s appearance, or if a motion to dismiss is filed,
within forty-five days of the denial of a motion to
dismiss, the agency shall file with the court and
transmit to all parties a certified list of the papers
in the record as set forth in General Statutes § 4-
183 (g), and, unless otherwise excluded by law
or subject to a pending motion by either party,
shall make the existing listed papers available for
inspection by the parties.
(c) Except as provided in Section 14-7, or
except as otherwise permitted by the judicial
authority in its discretion, in an administrative
appeal brought pursuant to General Statutes § 4-
183 et seq., the record shall be transmitted and
filed in accordance with this section. For the pur-
poses of this section, the term ‘‘papers’’ shall
include any and all documents, transcripts, exhib-
its, plans, minutes, agendas, correspondence, or
other materials, regardless of format, which are
part of the entire record of the proceeding
appealed from described in General Statutes
§§ 4-183 (g) and 4-177 (d), including additions
to the record pursuant to General Statutes § 4-
183 (h).
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 14-7B
(d) No less than thirty days after the filing of
the certified list of papers in the record under sub-
section (b), the court and the parties will set up a
conference to establish which of the contents of
the record are to be transmitted and will set up a
scheduling order, including dates for the filing of
the designated contents of the record, for the filing
of appropriate pleading and briefs, and for con-
ducting appropriate conferences and hearings.
No brief shall exceed thirty-five pages without per-
mission of the judicial authority. At the conference,
the court shall also determine which, if any, of
the designated contents of the record shall be
transmitted to the parties and/or the court in paper
format because such papers are either difficult to
reproduce electronically or difficult to review in
electronic format.
(e) The agency shall transmit to the court certi-
fied copies of the designated contents of the
record established in accordance with subsec-
tion (d).
(f) If any party seeks to include in such party’s
brief or appendices, papers the party deems
material to its claim or position, which were not
part of the designated contents of the record
determined under subsection (d), but were on the
certified list filed in accordance with subsection
(b), such party shall file an amendment to the
record as of right attaching such papers. In the
event such an amendment to the record as of
right is filed, the scheduling order may be adjusted
to provide either party with additional time to file
a brief or reply brief.
(g) No party shall include in such party’s brief
or appendices, papers that were neither part of
the designated contents of the record under sub-
section (d), nor on the certified list filed in accord-
ance with subsection (b), unless the court requires
or permits subsequent corrections of additions to
the record under General Statutes § 4-183 (g) or
unless an application for leave to present addi-
tional evidence is filed and granted under General
Statutes § 4-183 (h) or (i).
(h) Disputes about the contents of the record
or other motion, application or objection will be
heard as otherwise scheduled by the court.
(i) If a party is not in compliance with the sched-
uling order, the judicial authority may, on its own
motion or on motion of one of the parties, and after
hearing, make such order, including sanctions, as
the ends of justice require.
(j) Any hearings to consider the taxation of costs
in accordance with General Statutes § 4-183 (g)
shall be conducted after the court renders its deci-
sion on the appeal.
(Adopted June 26, 2006, to take effect Jan. 1, 2007;
amended June 14, 2013, to take effect Jan. 1, 2014; amended
June 24, 2016, to take effect Jan. 1, 2017.)
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Sec. 14-7B. Administrative Appeals from
Municipal Land Use, Historic and Resource
Protection Agencies; Records, Briefs and
Scheduling; Withdrawal or Settlement
(Amended June 14, 2013, to take effect Jan. 1, 2014.)
(a) Except as provided in Sections 14-7 or 14-
7A, for appeals from municipal land use, historic,
and resource protection agencies, the board or
agency shall transmit and file the record in accord-
ance with this section. For the purposes of this
Section 14-7B, the term ‘‘papers’’ shall include
any and all documents, transcripts, exhibits,
plans, minutes, agendas, correspondence, or
other materials, regardless of format, which are
part of the return of record described in General
Statutes § 8-8 (i), including additions to the record
per § 8-8 (k).
(b) Within thirty days of the return date, the
board or agency shall transmit a certified list of
the papers in the record to all parties and shall
make the existing listed papers available for
inspection by the parties.
(c) The first time that the appeal appears on
the administrative appeals calendar, the court and
the parties will establish, or will set up a confer-
ence to establish, which of the contents of the
record are to be transmitted, and will set up a
scheduling order, which will include dates for the
filing of the designated contents of the record, for
the filing of appropriate pleading and briefs, and
for conducting appropriate conferences and hear-
ings. No brief shall exceed thirty-five pages with-
out permission of the judicial authority. At the
conference, the court shall also determine which,
if any, of the designated contents of the record
shall be transmitted to the parties and/or the court
in paper format because such papers are either
difficult to reproduce electronically or difficult to
review in electronic format.
(d) The board or agency shall transmit to the
court and all parties: (1) the certified list of papers
in the record that was transmitted to the parties
under subsection (b) of this section; and (2) certi-
fied copies of the designated contents of the
record established in accordance with subsec-
tion (c).
(e) If any party seeks to include in such party’s
brief or appendices papers the party deems mate-
rial to its claim or position, which were not part of
the designated contents of the record determined
under subsection (c) but were on the certified list
filed in accordance with subsection (b), such party
shall file an amendment to the record as of right
attaching such papers. In the event such an
amendment to the record as of right is filed, the
scheduling order may be adjusted to provide
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 14-7B
either party with additional time to file a brief or
reply brief.
(f) No party shall include in such party’s brief
or appendices, papers that were neither part of
the designated contents of the record under sub-
section (c), nor on the certified list filed in accord-
ance with subsection (b), unless the court grants
permission to supplement the records with such
papers pursuant to General Statutes § 8-8 (k).
(g) Disputes about the contents of the records
or other motions, applications or objections will
be heard on the administrative appeals calendar
or as otherwise scheduled by the court.
(h) If a party is not in compliance with the sched-
uling order, the judicial authority may, on its own
motion or on motion of one of the parties, and after
hearing, make such order, including sanctions, as
the ends of justice require.
(i) Any hearings to consider taxation of costs in
accordance with General Statutes § 8-8 (i) shall
be conducted after the court renders its decision
on the appeal.
(j) No appeal under General Statutes §§ 8-8
or 22a-43 shall be withdrawn and no settlement
between the parties to any such appeal shall be
effective unless and until a hearing has been held
before the superior court and such court has
approved such proposed withdrawal or settle-
ment. No decision that is appealed under General
Statutes §§ 8-8 or 22a-43 shall be modified by
settlement or stipulated judgment unless the
terms of the settlement or stipulated judgment
have been approved at a public meeting of the
municipal agency that issued the decision. The
proposed settlement shall be identified on the
agenda of such meeting, which agenda shall be
posted in accordance with the applicable require-
ments of General Statutes § 1-210 et seq., and
the reasons for such approval shall be stated on
the record during such public meeting of such
agency and before the court. The court may
inquire about the procedure followed by the
agency, inquire of the parties whether settlement
was reached by coercion or intimidation, and con-
sider any other factors that the court deems
appropriate. No notice of the court proceeding
other than normal publication of the calendar and
notice to the parties is required unless otherwise
ordered by the court.
(Adopted June 20, 2011, to take effect Jan. 1, 2012;
amended June 14, 2013, to take effect Jan. 1, 2014.)
Sec. 14-8. Certifying That Pleadings Are
Closed
(a) A case may be scheduled for trial at any
time by order of the court. When the pleadings
are closed on the issue or issues in the case
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as to all parties, an accurate certificate of closed
pleadings shall be filed within ten days. Any party
may file the certificate. Upon the filing of the certifi-
cate of closed pleadings, the case shall be sched-
uled for a trial as soon as the court’s docket
permits if it has not already been scheduled for
a trial.
(b) If the case is claimed as privileged, the
ground of privilege as defined in Section 14-9
shall be stated. If the privilege claimed arises from
some other statute or rule giving a matter prece-
dence for trial, the applicable provisions shall be
cited with specificity.
(c) An administrative appeal may be placed on
the administrative appeal trial list at the direction
of the judicial authority, pursuant to Section 14-
7A or 14-7B or in accordance with subsections
(a) and (b) of this section.
(d) This section shall not apply to summary pro-
cess matters.
(P.B. 1978-1997, Sec. 258.) (Amended June 14, 2013, to
take effect Jan. 1, 2014.)
Sec. 14-9. Privileged Cases in Assignment
for Trial
The following classes of cases shall be privi-
leged in respect to assignment for trial: (1) hear-
ings under the fair employment practices act and
the labor relations act; (2) all actions, except
actions upon probate bonds, brought by or on
behalf of the state, including informations on the
relation of a private individual; (3) appeals from
the employment security board of review; (4)
appeals from probate and from the doings of com-
missioners appointed by courts of probate; (5)
actions brought by receivers of insolvent corpora-
tions by order of court; (6) actions by or against
any person sixty-five years of age or older or who
reaches such age during the pendency of the
action; (7) appeals from findings, orders or other
actions of the public utilities control authority; (8)
equitable actions tried to the court wherein the
essential claim asserted is for a permanent injunc-
tion and any claim for damages or other relief,
legal or equitable, is merely in lieu of, or supple-
mental to, the claim for injunction; (9) habeas cor-
pus proceedings; (10) motions to dissolve
temporary injunctions; (11) motions for temporary
injunctions; (12) writs of ne exeat, prohibition and
mandamus; (13) applications for appointment of
receivers; (14) disclosures by garnishees; (15)
actions by or against executors, administrators,
or trustees in bankruptcy or insolvency; (16) hear-
ings to the court in damages on default or cases
where there is an issue as to damages after the
judicial authority has granted a summary judg-
ment on the issue of liability; (17) cases remanded
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 14-14
by the supreme and appellate courts for a new
trial and cases in which a verdict has been set
aside, a new trial granted or a mistrial declared;
(18) any other actions given precedence by stat-
ute or rule.
(P.B. 1978-1997, Sec. 259.)
Sec. 14-10. Claims for Jury
All claims of cases for the jury shall be made
in writing, served on all other parties and filed
with the clerk within the time allowed by General
Statutes § 52-215. The jury claim fee shall be paid
at the time the jury claim is filed.
(P.B. 1978-1997, Sec. 260.)
Sec. 14-11. Pretrial; Assignment for Pretrial
(a) Cases in which the pleadings are closed
may be assigned by the caseflow coordinator or
clerk in consultation with the presiding judge for
pretrial.
(b) If there are reasons why a case scheduled
for pretrial cannot be pretried effectively, for exam-
ple in cases in which the extent of the injuries are
unknown or discovery has not been completed,
then the judicial authority shall continue the case
to a date certain for pretrial and may limit the time
for the completion of discovery.
(P.B. 1978-1997, Sec. 263.)
Sec. 14-12. —When Case Not Disposed of
at Pretrial
If the pretrial does not result in the disposition
of the case by settlement, judgment by stipulation,
or withdrawal, then the judicial authority may (1)
continue the matter for a reasonable period if the
parties agree to participate in any form of alterna-
tive dispute resolution, (2) enter appropriate
orders to assure that the case is readied for trial,
(3) order the case assigned for trial on a date
certain or a week certain in the future or, (4) assign
the case to a specific judge for trial on a date
certain. The date designated for trial shall, if possi-
ble, be agreeable to the parties.
(P.B. 1978-1997, Sec. 264.)
Sec. 14-13. —Pretrial Procedure
The chief court administrator or the presiding
judge with the consent of the chief court adminis-
trator may designate one or more available judges
or judge trial referees to hold pretrial sessions.
Parties and their attorneys shall attend the pretrial
session; provided, that when a party against
whom a claim is made is insured, an insurance
adjuster for such insurance company shall be
available by telephone at the time of such pretrial
session unless the judge or judge referee, in his
or her discretion, requires the attendance of the
adjuster at the pretrial. If any person fails to attend
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or to be available by telephone pursuant to this
rule, the judicial authority may make such order
as the ends of justice require, which may include
the entry of a nonsuit or default against the party
failing to comply and an award to the complying
party of reasonable attorney’s fees. Each party
claiming damages or seeking relief of any kind,
or such party’s attorney, shall obtain from the court
clerk a pretrial memo form, shall complete the
form before the pretrial session and shall, at the
commencement of the pretrial session, distribute
copies of the completed form to the judge and to
each other party. Such pretrial memoranda shall
not be placed in the court file unless otherwise
ordered by the judicial authority who conducted
the pretrial.
The following matters shall be considered at
the pretrial session:
(1) A discussion of the possibility of settlement.
(2) Simplification of the issues.
(3) Amendments to pleadings.
(4) Admissions of fact, including stipulations of
the parties concerning any material matter and
admissibility of evidence, particularly photo-
graphs, maps, drawings and documents, in order
to minimize the time required for trial.
(5) The limitation of number of expert witnesses.
(6) Inspection of hospital records and x-ray
films.
(7) Exchange of all medical reports, bills and
evidences of special damage which have come
into possession of the parties or of counsel since
compliance with previous motions for disclosure
and production for inspection.
(8) Scheduling of a trial management confer-
ence and issuance of a trial management order
by the judicial authority with reference thereto.
(9) Consideration of alternative dispute resolu-
tion options to trial.
(10) Such other procedures as may aid in the
disposition of the case, including the exchange of
medical reports, and the like, which come into
possession of counsel subsequent to the pre-
trial session.
(P.B. 1978-1997, Sec. 265.) (Amended June 20, 2005, to
take effect Jan. 1, 2006.)
Sec. 14-14. —Orders at Pretrial
The judicial authority may make any appro-
priate order at pretrial, including the issuance of
a trial management order, and such order shall
control the subsequent conduct of the case unless
modified at the trial to prevent manifest injustice.
If any party fails to abide by any such order the
judicial authority may make such order as the
ends of justice require, which may include the
entry of a nonsuit or default against the offending
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 14-14
party and an award to a complying party of rea-
sonable attorney’s fees.
(P.B. 1978-1997, Sec. 268.)
Sec. 14-15. Assignments for Trial in General
Each week a sufficient number of cases shall
be assigned to provide business for each trial day
of that week. Cases may be assigned for different
days and different times of the same day. In
determining the number of cases to be assigned,
the caseflow coordinator or clerk, in consultation
with the presiding judge, will schedule only the
number of cases that can reasonably be expected
to be tried that week. Cases not reached for trial
on the day certain or during the week certain to
which they were assigned shall be assigned with
priority to a new date, which shall, if possible, be
agreeable to the parties.
(P.B. 1978-1997, Sec. 270.)
Sec. 14-16. Methods of Assigning Cases
for Trial
(a) In each court location the presiding judge,
subject to the approval of the chief court adminis-
trator, shall assign to trial judges for trial those
cases not resolved at pretrial in accordance with
Section 14-12.
(b) The presiding judge may, if circumstances
require, assign for trial a case that has not
been pretried.
(c) Upon request of a party and for good cause
shown, the presiding judge may postpone a case
or reassign it to another judge.
(P.B. 1978-1997, Sec. 271.)
Sec. 14-17. Immediate Trial
The judicial authority may, on its own motion
or on the motion of a party and upon a showing
of extraordinary circumstances, order a case to
be assigned for immediate trial.
(P.B. 1978-1997, Sec. 273.)
Sec. 14-18. Cases Reached for Trial
When a case is reached on a day or week
certain it shall be tried, defaulted, dismissed pur-
suant to Section 17-19 or nonsuited, unless for
good cause shown the judicial authority may
assign it for trial on a future date. Such reschedul-
ing shall not displace cases already assigned
for trial.
(P.B. 1978-1997, Sec. 274.)
Sec. 14-19. Cases Marked Settled
Any case that does not proceed to trial because
it has been reported to the judicial authority as
having been settled shall be withdrawn within
thirty days or shall be dismissed thereafter unless
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the judicial authority, for good cause shown,
extends the time for a withdrawal.
(P.B. 1978-1997, Sec. 274A.)
Sec. 14-20. Order of Trial
Parties and counsel shall be present and ready
to proceed to trial on the day and time specified
by the judicial authority. The day specified shall
be during the week certain selected by counsel.
(P.B. 1978-1997, Sec. 276.)
Sec. 14-21. Clerk to Communicate with
Counsel in Cases Assigned for Week
Certain
The caseflow coordinator or clerk, at the direc-
tion of the presiding judge, shall communicate
with counsel for the parties in the cases assigned
for each week certain for trial to keep the court
provided with sufficient business for each day the
court is in session. Cases shall not be assigned
for trial prior to the week certain that has been
assigned unless the parties consent.
(P.B. 1978-1997, Sec. 277.)
Sec. 14-22. Assignment for Trial on Motion
of Garnishee
When, in an action commenced by process of
foreign attachment, the defendant does not
appear, if the plaintiff does not take a default in
such action within four months after the day on
which the process is returnable to such court, the
judicial authority may, at any time thereafter, upon
motion of any garnishee in such action, assign
the same for trial.
(P.B. 1978-1997, Sec. 278.)
Sec. 14-23. Motions to Continue or Post-
pone Case Assigned for Trial
Whenever a motion for a postponement or con-
tinuance of a case assigned for trial is made by
either party and such motion is granted, the court
may require the party making the same to pay to
the adverse party such sum by way of indemnity
as it deems reasonable. (See General Statutes
§ 52-196.)
(P.B. 1978-1997, Sec. 279.)
Sec. 14-24. Motion to Postpone; Absent Wit-
ness; Missing Evidence
(a) Whenever a motion is made for the post-
ponement or continuance of a cause assigned
for trial on account of the absence of a material
witness, such motion, if the adverse party or the
judicial authority requires it, shall be supported by
an affidavit stating the name of the absent witness,
if known, and the particular facts which, it is
believed, may be proved by him or her, with the
grounds of such belief. The judicial authority may
refuse to continue such cause if there is no good
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 14-25
reason why the party making the request did not
make proper preparation to have the witness pres-
ent or if the adverse party will admit that the absent
witness would, if present, testify to the facts stated
in the affidavit, and will agree that the same shall
be received as evidence on the trial, in like manner
as if the witness were present and had testified
thereto. Such agreement shall be made in writing
at the foot of the affidavit and signed by the party
or attorney.
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(b) The same rule shall apply where the motion
is grounded on the want of any material document
or other evidence that might be used on the trial.
(P.B. 1978-1997, Sec. 280.)
Sec. 14-25. Availability of Counsel for Trial
Whenever an attorney has cases assigned
simultaneously before the court and jury, the jury
assignment shall take precedence over the court
assignment unless the attorney is actually
engaged in the court trial.
(P.B. 1978-1997, Sec. 281.) (Amended June 24, 2002, to
take effect Jan. 1, 2003.)
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 15-1
CHAPTER 15
TRIALS IN GENERAL; ARGUMENT BY COUNSEL
Sec. Sec.
15-1. Order of Trial
15-2. Separate Trials
15-3. Motion in Limine
15-4. Medical Evidence
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
In all cases, whether entered upon the docket
as jury cases or court cases, the judicial authority
may order that one or more of the issues joined
be tried before the others. Where the pleadings
in an action present issues both of law and of fact,
the issues of law must be tried first, unless the
judicial authority otherwise directs. If some, but
not all, of the issues in a cause are put to the jury,
the remaining issue or issues shall be tried first,
unless the judicial authority otherwise directs.
(See General Statutes § 52-205 and annotations.)
(P.B. 1978-1997, Sec. 283.)
Sec. 15-2. Separate Trials
The judicial authority may, upon motion, for
good cause shown, order a separate trial between
any parties.
(P.B. 1978-1997, Sec. 284.)
Sec. 15-3. Motion in Limine
The judicial authority to whom a case has been
assigned for trial may in its discretion entertain a
motion in limine made by any party regarding the
admission or exclusion of anticipated evidence. If
a case has not yet been assigned for trial, a judicial
authority may, for good cause shown, entertain
the motion. Such motion shall be in writing and
shall describe the anticipated evidence and the
prejudice which may result therefrom. All inter-
ested parties shall be afforded an opportunity to
be heard regarding the motion and the relief
requested. The judicial authority may grant the
relief sought in the motion or such other relief as
it may deem appropriate, may deny the motion
with or without prejudice to its later renewal, or
may reserve decision thereon until a later time in
the proceeding.
(P.B. 1978-1997, Sec. 284A.)
Sec. 15-4. Medical Evidence
A party who plans to offer a hospital record in
evidence shall have the record in the clerk’s office
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15-6. Opening Argument
15-7. Time Limit on Argument
15-8. Dismissal in Court Cases for Failure to Make Out a
Prima Facie Case
twenty-four hours prior to trial. The judge holding
the civil jury shall, at the opening session, order
that all such records be available for inspection
in the clerk’s office to any counsel of record under
the supervision of the clerk. Counsel must recog-
nize their responsibility to have medical testimony
available when needed and shall, when neces-
sary, subpoena medical witnesses to that end.
(P.B. 1978-1997, Sec. 290.)
Sec. 15-5. Order of Parties Proceeding at
Trial
(a) Unless the judicial authority for cause per-
mits otherwise, the parties shall proceed with the
trial and argument in the following order:
(1) The plaintiff shall present a case in chief.
(2) The defendant may present a case in chief.
(3) The plaintiff and the defendant may present
rebuttal evidence in successive rebuttals, as
required. The judicial authority for cause may per-
mit a party to present evidence not of a rebuttal
nature, and if the plaintiff is permitted to present
further evidence in chief, the defendant may
respond with further evidence in chief.
(4) The plaintiff shall be entitled to make the
opening and final closing arguments.
(5) The defendant may make a single closing
argument following the opening argument of the
plaintiff.
(b) If there are two or more plaintiffs or two or
more defendants and they do not agree as to their
order of proceeding, the judicial authority shall
determine their order.
(P.B. 1978-1997, Sec. 295.)
Sec. 15-6. Opening Argument
Instead of reading the pleadings, counsel for
any party shall be permitted to make a brief open-
ing statement to the jury in jury cases, or in a
court case at the discretion of the presiding judge,
to apprise the trier in general terms as to the
nature of the case being presented for trial. The
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 15-8
presiding judge shall have discretion as to the
latitude of the statements of counsel.
(P.B. 1978-1997, Sec. 296.)
Sec. 15-7. Time Limit on Argument
The argument on behalf of any party shall not
occupy more than one hour, unless the judicial
authority, on motion for special cause, before the
commencement of such argument, allows a
longer time. (See General Statutes § 52-209
and annotations.)
(P.B. 1978-1997, Sec. 297.)
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Sec. 15-8. Dismissal in Court Cases for Fail-
ure to Make Out a Prima Facie Case
If, on the trial of any issue of fact in a civil
matter tried to the court, the plaintiff has produced
evidence and rested, a defendant may move for
judgment of dismissal, and the judicial authority
may grant such motion if the plaintiff has failed to
make out a prima facie case. The defendant may
offer evidence in the event the motion is not
granted, without having reserved the right to do
so and to the same extent as if the motion had
not been made.
(P.B. 1978-1997, Sec. 302.) (Amended June 30, 2008, to
take effect Jan. 1, 2009.)
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 16-1
CHAPTER 16
JURY TRIALS
Sec. Sec.
16-1. Deaf or Hearing Impaired Jurors
16-2. Challenge to Array
16-3. Preliminary Proceedings in Jury Selection
16-4. Disqualification of Jurors and Selection of Panel
16-5. Peremptory Challenges
16-6. Voir Dire Examination
16-7. Juror Questions and Note Taking
16-8. Oath and Admonitions to Trial Jurors
16-9. Questions of Law and Fact
16-10. Order by Judicial Authority for Jury Trial of Factual
Issues in Equitable Actions
16-11. Cases Presenting Both Legal and Equitable Issues
16-12. View by Jury of Place or Thing Involved in Case
16-13. Judgment of the Court
16-14. Communications between Parties and Jurors
16-15. Materials to Be Submitted to Jury
16-16. Jury Deliberations
16-17. Jury Returned for Reconsideration
16-18. Interrogatories to the Jury
16-19. Reading of Statement of Amount in Demand or
Statement of Claim; Arguing Amount Recov-
erable
16-20. Requests to Charge and Exceptions; Necessity for
For previous Histories and Commentaries see the editions of the Practice Book
corresponding to the years of the previous amendments.
Sec. 16-1. Deaf or Hearing Impaired Jurors
At the request of a deaf or hearing impaired
juror or the judicial authority, an interpreter or
interpreters provided by the Commission on the
Deaf and Hearing Impaired and qualified under
General Statutes § 46a-33a shall assist such juror
during the juror orientation program and all subse-
quent proceedings, and when the jury assembles
for deliberation.
(P.B. 1978-1997, Sec. 303A.)
Sec. 16-2. Challenge to Array
Any party may challenge an array on the ground
that there has been a material departure from the
requirements of law governing the selection and
summoning of an array. Such challenge shall be
made within five days after notification of the hear-
ing or trial date, unless the defect claimed has
arisen subsequent to the time required to make
such motion.
(P.B. 1998.)
Sec. 16-3. Preliminary Proceedings in Jury
Selection
The judicial authority shall cause prospective
jurors to be sworn or affirmed in accordance with
General Statutes §§ 1-23 and 1-25. The judicial
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16-21. —Requests to Charge on Specific Claims
16-22. —Filing Requests
16-23. —Form and Contents of Requests to Charge
16-24. —Charge Conference
16-25. Modification of Instructions for Correction or Clarifi-
cation
16-26. Other Instructions after Additional Instructions
16-27. Jury Request for Review of Testimony
16-28. Jury Request for Additional Instructions
16-29. Deadlocked Jury
16-30. Verdict; Return of Verdict
16-31. —Acceptance of Verdict
16-32. —Poll of Jury after Verdict
16-33. —Discharge of Jury
16-34. —Impeachment of Verdict
16-35. Motions after Verdict: Motions in Arrest of Judg-
ment, to Set Aside Verdict, for Additur or Remitti-
tur, for New Trial, or for Collateral Source
Reduction
16-36. Motions to Reduce Verdict [Repealed] (Transferred
to Section 17-2A.)
16-37. Reservation of Decision on Motion for Directed
Verdict
16-38. Memorandum on Setting Verdict Aside
authority shall require counsel to make a prelimi-
nary statement as to the names of other counsel
with whom he or she is affiliated and other relevant
facts, and shall require counsel to disclose the
names, and if ordered by the judicial authority,
the addresses of all witnesses counsel intends to
call at trial. The judicial authority may excuse any
prospective juror for cause.
(See Sec. 303C, P.B. 1978-1997.)(P.B. 1998.)
Sec. 16-4. Disqualification of Jurors and
Selection of Panel
(a) A person shall be disqualified to serve as a
juror if such person is found by the judicial author-
ity to exhibit any quality which will impair this per-
son’s capacity to serve as a juror, except that
no person shall be disqualified on the basis of
deafness or hearing impairment.
(b) The clerks shall keep a list of all persons
disqualified under this section and shall send a
copy of that list to the jury administrator at such
time as the jury administrator may direct.
(c) The clerk of the court, in impaneling the jury
for the trial of each cause, shall, when more jurors
are in attendance than are required of the panel,
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 16-11
designate by lot those who shall compose the
panel.
(P.B. 1978-1997, Sec. 303, 304.)
Sec. 16-5. Peremptory Challenges
Each party may challenge peremptorily the
number of jurors which each is entitled to chal-
lenge by law. Where the judicial authority deter-
mines a unity of interests exists, several plaintiffs
or several defendants may be considered as a
single party for the purpose of making challenges,
or the judicial authority may allow additional
peremptory challenges and permit them to be
exercised separately or jointly. For the purposes
of this section, a ‘‘unity of interest’’ means that
the interests of the several plaintiffs or the several
defendants are substantially similar. A unity of
interest shall be found to exist among parties who
are represented by the same attorney or law firm.
In addition, there shall be a presumption that a
unity of interest exists among parties where no
cross claims or apportionment complaints have
been filed against one another. In all civil actions,
the total number of peremptory challenges
allowed to the plaintiff or plaintiffs shall not exceed
twice the number of peremptory challenges
allowed to the defendant or defendants, and the
total number of peremptory challenges allowed to
the defendant or defendants shall not exceed
twice the number of peremptory challenges
allowed to the plaintiff or plaintiffs.
(P.B. 1998.) (Amended June 21, 2004, to take effect Jan.
1, 2005.)
Sec. 16-6. Voir Dire Examination
Each party shall have the right to examine, per-
sonally or by counsel, each juror outside the pres-
ence of other prospective jurors as to
qualifications to sit as a juror in the action, or as
to the person’s interest, if any, in the subject mat-
ter of the action, or as to the person’s relations
with the parties thereto. If the judicial authority
before whom such examination is held is of the
opinion from such examination that any juror
would be unable to render a fair and impartial
verdict, such juror shall be excused by the judicial
authority from any further service upon the panel,
or in such action, as the judicial authority deter-
mines. The right of such examination shall not be
abridged by requiring questions to be put to any
juror in writing and submitted in advance of the
commencement of the trial.
(P.B. 1978-1997, Sec. 305.)
Sec. 16-7. Juror Questions and Note Taking
The members of the jury may, in the discretion
of the judicial authority, take notes and submit
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questions to be asked of witnesses during the trial
of a civil action.
(P.B. 1978-1997, Sec. 305A.)
Sec. 16-8. Oath and Admonitions to Trial
Jurors
(a) The judicial authority shall cause the jurors
selected for the trial to be sworn or affirmed in
accordance with General Statutes §§ 1-23 and 1-
25. The judicial authority shall admonish the jurors
not to read, listen to or view news reports of the
case or to discuss with each other or with any
person not a member of the jury the cause under
consideration, except that after the case has been
submitted to the jury for deliberation the jurors
shall discuss it among themselves in the jury
room.
(b) In the presence of the jury, the judicial
authority shall instruct any interpreter for a deaf
or hearing impaired juror to refrain from participat-
ing in any manner in the deliberations of the jury
and to refrain from having any communications,
oral or visual, with any member of the jury except
for the literal translation of jurors’ remarks made
during deliberations.
(P.B. 1998.)
Sec. 16-9. Questions of Law and Fact
The judicial authority shall decide all issues of
law and all questions of law arising in the trial of
any issue of fact, and, in committing the cause to
the jury, shall direct it to find accordingly, and shall
submit all questions of fact to the jury, with such
observations on the evidence, for the jury’s infor-
mation, as it thinks proper, without any direction
how the jury shall find the facts. After the cause
has been committed to the jury, no pleas, argu-
ments or evidence shall be received before the
verdict is returned into court and recorded. (See
General Statutes § 52-216 and annotations.)
(P.B. 1978-1997, Sec. 306.)
Sec. 16-10. Order by Judicial Authority for
Jury Trial of Factual Issues in Equitable
Actions
No issues of fact in an equitable action shall be
tried to the jury except upon order of the judicial
authority. Upon the application of any party, the
judicial authority may order any issue or issues
of fact in any action demanding equitable relief to
be tried by a jury, and such application shall be
deemed to be a request for a jury of six. (See
General Statutes § 52-218 and annotations.)
(P.B. 1978-1997, Sec. 307.)
Sec. 16-11. Cases Presenting Both Legal
and Equitable Issues
A case presenting issues both in equity and law
may be claimed for the jury list, but, unless the
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 16-11
judicial authority otherwise orders, only the issues
at law shall be assigned for trial by the jury. When-
ever such an action has been placed upon the
docket as a jury case, no determination of the
equitable issues raised by the pleadings shall pre-
vent a jury trial of the claim for damages, unless
both parties agree in writing to waive a jury, or
unless the determination of the equitable issues
has necessarily adjudicated all the facts upon
which the claim for damages rests. (See General
Statutes § 52-219 and annotations.)
(P.B. 1978-1997, Sec. 308.)
Sec. 16-12. View by Jury of Place or Thing
Involved in Case
When the judicial authority is of the opinion that
a viewing by the jury of the place or thing involved
in the case will be helpful to the jury in determining
any material factual issue, it may in its discretion,
at any time before the closing arguments, order
that the jury be conducted to such place or location
of such thing. During the viewing, the jury must
be kept together under the supervision of a proper
officer appointed by the judicial authority. The judi-
cial authority and a court reporter must be present,
and, with the judicial authority’s permission, any
other person may be present. Counsel and self-
represented parties may as a matter of right be
present, but the right may be waived. The purpose
of viewing shall be solely to permit visual observa-
tion by the jury of the place or thing in question
and to permit a brief description of the site or thing
being viewed by the judicial authority or by any
witness or witnesses as allowed by the judicial
authority. Any proceedings at the location, includ-
ing examination of witnesses, shall be at the dis-
cretion of the judicial authority. Neither the parties
nor counsel nor the jurors while viewing the place
or thing may engage in discussion of the signifi-
cance or the implications of anything under obser-
vation or of any issue in the case.
(See Sec. 844, P.B. 1978-1997.)(P.B.1998.)
Sec. 16-13. Judgment of the Court
(a) Where a complaint embracing matters call-
ing for both legal and equitable relief is by order
of the judicial authority tried to the jury, the judicial
authority may render judgment, either for legal
or equitable relief or both, not inconsistent with
the verdict.
(b) When an issue or issues of fact are deter-
mined by the verdict, the judge presiding at the
trial shall, if possible, upon the evidence produced
and after hearing the claims and arguments of
counsel, determine the other issues in the case
and render final judgment at the session at which
the verdict is rendered.
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(c) If additional evidence is required, the judge
presiding at the trial shall, if possible, hear this
and render final judgment at said session.
(P.B. 1978-1997, Sec. 309.)
Sec. 16-14. Communications between Par-
ties and Jurors
No party, and no attorney, employee, represen-
tative or agent of any party or attorney, shall con-
tact, communicate with or interview any juror or
alternate juror, or any relative, friend or associate
of any juror or alternate juror concerning the delib-
erations or verdict of the jury or of any individual
juror or alternate juror in any action during trial
until the jury has returned a verdict and/or the
jury has been dismissed by the judicial authority,
except upon leave of the judicial authority, which
shall be granted only upon the showing of good
cause. A violation of this section may be treated
as a contempt of court, and may be punished
accordingly.
(P.B. 1978-1997, Sec. 309A.)
Sec. 16-15. Materials to Be Submitted to
Jury
(a) The judicial authority shall submit to the jury
all exhibits received in evidence.
(b) The judicial authority may, in its discretion,
submit to the jury:
(1) The complaint, counterclaim and cross com-
plaint, and responsive pleadings thereto;
(2) A copy or audio recording of the judicial
authority’s instructions to the jury;
(3) In response to an inquiry by the jury, a copy
or audio recording of an appropriate portion of the
judicial authority’s instructions to the jury.
(P.B. 1978-1997, Sec. 309B.) (Amended June 20, 2011,
to take effect Jan. 1, 2012; amended June 24, 2016, to take
effect Jan. 1, 2017.)
Sec. 16-16. Jury Deliberations
After the case has been submitted to the jury,
the jurors shall be in the custody of an officer who
shall permit no person to be present with them or
to speak to them when assembled for delibera-
tions except a qualified interpreter assisting a deaf
or hearing impaired juror. The jurors shall be kept
together for deliberations as the judicial authority
reasonably directs. If the judicial authority permits
the jury to recess its deliberations, the judicial
authority shall admonish the jurors not to discuss
the case until they reconvene in the jury room.
The judicial authority shall direct the jurors to
select one of their members to preside over the
deliberations and to deliver any verdict agreed
upon, and the judicial authority shall admonish
the jurors that until they are discharged in the case
they may communicate upon subjects connected
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 16-24
with the trial only while they are convened in the
jury room. If written forms of verdict are submitted
to the jury, the member of the jury selected to
deliver the verdict shall sign any verdict agreed
upon.
(See Sec. 856, P.B. 1978-1997.)(P.B. 1998.)
Sec. 16-17. Jury Returned for Reconsid-
eration
The judicial authority may, if it determines that
the jury has mistaken the evidence in the cause
and has brought in a verdict contrary to it, or has
brought in a verdict contrary to the direction of
the judicial authority in a matter of law, return the
jury to a second consideration, and for like reason
may return it to a third consideration, and no more.
(See General Statutes § 52-223 and annotations.)
(P.B. 1978-1997, Sec. 311.)
Sec. 16-18. Interrogatories to the Jury
The judicial authority may submit to the jury
written interrogatories for the purpose of
explaining or limiting a general verdict, which shall
be answered and delivered to the clerk as a part
of the verdict. The clerk will take the verdict and
then the answers to the several interrogatories,
and thereafter the clerk will take the judicial
authority’s acceptance of the verdict returned and
the questions as answered, and proceed
according to the usual practice. The judicial
authority will not accept a verdict until the interrog-
atories which are essential to the verdict have
been answered.
(P.B. 1978-1997, Sec. 312.)
Sec. 16-19. Reading of Statement of Amount
in Demand or Statement of Claim; Arguing
Amount Recoverable
In any action seeking damages for injury to the
person, the amount demanded in the complaint
shall not be disclosed to the jury. In the event that
the jury shall return a verdict which exceeds the
amount demanded, the judicial authority shall
reduce the award to, and render judgment in, the
amount demanded. Counsel for any party to the
action may articulate to the jury during closing
argument a lump sum or mathematical formula
as to damages claimed to be recoverable. The
judicial authority shall issue cautionary instruc-
tions pursuant to General Statutes § 52-216b.
(P.B. 1978-1997, Sec. 313.)
Sec. 16-20. Requests to Charge and Excep-
tions; Necessity for
An appellate court shall not be bound to con-
sider error as to the giving of, or the failure to
give, an instruction unless the matter is covered
by a written request to charge or exception has
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been taken by the party appealing immediately
after the charge is delivered. Counsel taking the
exception shall state distinctly the matter objected
to and the ground of objection. The exception shall
be taken out of the hearing of the jury.
(P.B. 1978-1997, Sec. 315.)
Sec. 16-21. —Requests to Charge on Spe-
cific Claims
Any party intending to claim the benefit of the
doctrines of supervening negligence, superseding
cause, intervening cause, assumption of risk, or
the provisions of any specific statute shall file a
written request to charge on the legal principle
involved.
(P.B. 1978-1997, Sec. 316.)
Sec. 16-22. —Filing Requests
Written requests to charge the jury and written
requests for jury interrogatories must be filed with
the clerk before the beginning of arguments or at
such an earlier time as the judicial authority
directs, and the clerk shall file them and forthwith
hand one copy to the judicial authority and one
to opposing counsel. A party’s request to charge
may be amended in writing as a matter of right
at any time prior to the beginning of the charge
conference.
(P.B. 1978-1997, Sec. 317.)
Sec. 16-23. —Form and Contents of Re-
quests to Charge
(a) When there are several requests, they shall
be in separate and numbered paragraphs, each
containing a single proposition of law clearly and
concisely stated with the citation of authority upon
which it is based, and the evidence to which the
proposition would apply. Requests to charge
should not exceed fifteen in number unless, for
good cause shown, the judicial authority permits
the filing of an additional number. If the request
is granted, the judicial authority shall apply the
proposition of law to the facts of the case.
(b) A principle of law should be stated in but
one request and in but one way. Requests
attempting to state in different forms the same
principle of law as applied to a single issue are
improper.
(P.B. 1978-1997, Sec. 318.)
Sec. 16-24. —Charge Conference
After the close of evidence but before argu-
ments to the jury, the judicial authority shall, if
requested, inform counsel out of the presence of
the jury of the substance of its proposed
instructions.
(P.B. 1978-1997, Sec. 318A.)
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 16-25
Sec. 16-25. Modification of Instructions for
Correction or Clarification
The judicial authority, after exceptions to the
charge, or upon its own motion, may recall the
jury to the courtroom and give it additional instruc-
tions in order to:
(1) Correct or withdraw an erroneous in-
struction;
(2) Clarify an ambiguous instruction; or
(3) Instruct the jury on any matter which should
have been covered in the original instructions.
(P.B. 1998; see Sec. 860.)
Sec. 16-26. Other Instructions after Addi-
tional Instructions
If the judicial authority gives additional instruc-
tions, it also may give or repeat other instructions
in order to avoid undue emphasis on the additional
instructions. Additional instructions shall be gov-
erned by the procedures set forth in Section 16-
25 concerning exceptions.
(See Sec. 861, P.B. 1978-1997.)(P.B. 1998.)
Sec. 16-27. Jury Request for Review of Tes-
timony
If the jury after retiring for deliberations requests
a review of certain testimony, the jury shall be
conducted to the courtroom. Whenever the jury’s
request is reasonable, the judicial authority, after
notice to and consultation with counsel, shall have
the requested parts of the testimony read to the
jury.
(See Sec. 863, P.B. 1978-1997.)(P.B. 1998.)
Sec. 16-28. Jury Request for Additional
Instructions
If the jury, after retiring for deliberations,
requests additional instructions, the judicial
authority, after providing notice to the parties and
an opportunity for suggestions by counsel, shall
recall the jury to the courtroom and give additional
instructions necessary to respond properly to the
request or to direct the jury’s attention to a portion
of the original instructions.
(See Sec. 864, P.B. 1978-1997.)(P.B. 1998.)
Sec. 16-29. Deadlocked Jury
If it appears to the judicial authority that the jury
has been unable to agree, it may require the jury
to continue its deliberations. The judicial authority
shall not require or threaten to require the jury to
deliberate for an unreasonable length of time or
for unreasonable intervals. It may also instruct
the jury as to disagreements in accordance with
the law.
(See Sec. 865, P.B. 1978-1997.)(P.B. 1998.)
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Sec. 16-30. Verdict; Return of Verdict
The verdict shall be unanimous and shall be
announced by the jury in open court.
(See Sec. 867, P.B. 1978-1997.)(P.B. 1998.)
Sec. 16-31. —Acceptance of Verdict
Subject to the provisions of Section 16-17, the
judicial authority shall, if the verdict is in order and
is technically correct, accept it without comment.
(See Sec. 868, P.B. 1978-1997.)(P.B. 1998; amended June
29, 1998, to take effect Jan.1, 1999.)
Sec. 16-32. —Poll of Jury after Verdict
Subject to the provisions of Section 16-17, after
a verdict has been returned and before the jury
has been discharged, the jury shall be polled at
the request of any party or upon the judicial
authority’s own motion. The poll shall be con-
ducted by the clerk of the court by asking each
juror individually whether the verdict announced
is such juror’s verdict. If upon the poll there is not
unanimous concurrence, the jury may be directed
to retire for further deliberations or it may be dis-
charged.
(See Sec. 869, P.B. 1978-1997.)(P.B. 1998; amended June
29, 1998, to take effect Jan. 1, 1999.)
Sec. 16-33. —Discharge of Jury
Subject to the provisions of Section 16-17, the
judicial authority shall discharge the jury after it
has rendered its verdict or after a mistrial has
been declared.
(See Sec. 870, P.B. 1978-1997.)(P.B. 1998; amended June
29, 1998, to take effect Jan. 1, 1999.)
Sec. 16-34. —Impeachment of Verdict
Upon an inquiry into the validity of a verdict, no
evidence shall be received to show the effect of
any statement, conduct, event or condition upon
the mind of a juror nor any evidence concerning
mental processes by which the verdict was deter-
mined. Subject to these limitations, a juror’s testi-
mony or affidavit shall be received when it
concerns any misconduct which by law permits a
jury to be impeached.
(See Sec. 871, P.B. 1978-1997.)(P.B. 1998.)
Sec. 16-35. Motions after Verdict: Motions in
Arrest of Judgment, to Set Aside Verdict,
for Additur or Remittitur, for New Trial, or
for Collateral Source Reduction
Motions in arrest of judgment, whether for
extrinsic causes or causes apparent on the
record, motions to set aside a verdict, motions for
remittitur, motions for additur, motions for new
trials, unless brought by petition served on the
adverse party or parties, and motions pursuant to
General Statutes § 52-225a for reduction of the
verdict due to collateral source payments must
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 16-38
be filed with the clerk within ten days after the day
the verdict is accepted; provided that for good
cause the judicial authority may extend this time.
The clerk shall notify the trial judge of such filing.
Such motions shall state the specific grounds
upon which counsel relies.
(P.B. 1978-1997, Sec. 320.)
Sec. 16-36. Motions to Reduce Verdict
[Transferred as of Jan. 1, 2012, to Section 17-2A.]
Sec. 16-37. Reservation of Decision on
Motion for Directed Verdict
Whenever a motion for a directed verdict made
at any time after the close of the plaintiff’s case
in chief is denied or for any reason is not granted,
the judicial authority is deemed to have submitted
the action to the jury subject to a later determina-
tion of the legal questions raised by the motion.
The defendant may offer evidence in the event
the motion is not granted, without having reserved
the right to do so and to the same extent as if the
motion had not been made. After the acceptance
of a verdict and within the time stated in Section
16-35 for filing a motion to set a verdict aside, a
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party who has moved for a directed verdict may
move to have the verdict and any judgment ren-
dered thereon set aside and have judgment ren-
dered in accordance with his or her motion for a
directed verdict; or if a verdict was not returned
such party may move for judgment in accordance
with his or her motion for a directed verdict within
the aforesaid time after the jury has been dis-
charged from consideration of the case. If a verdict
was returned, the judicial authority may allow the
judgment to stand or may set the verdict aside
and either order a new trial or direct the entry of
judgment as if the requested verdict had been
directed. If no verdict was returned, the judicial
authority may direct the entry of judgment as if
the requested verdict had been directed or may
order a new trial.
(P.B. 1978-1997, Sec. 321.)
Sec. 16-38. Memorandum on Setting Ver-
dict Aside
When the judicial authority grants a motion to
set a verdict aside, it shall file a memorandum
stating the grounds of its decision.
(P.B. 1978-1997, Sec. 322.)
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 17-1
CHAPTER 17
JUDGMENTS
Sec. Sec.
17-1. Judgments in General
17-2. Judgment on Verdict and Otherwise
17-2A. Motions to Reduce Verdict
17-3. Remittitur where Judgment Too Large
17-4. Setting Aside or Opening Judgments
17-4A. Motions for New Trial
17-5. Record of Proceeding; Facts Supporting Judgment
to Appear on Record
17-6. Form of Finding
17-7. Special Finding; Request
17-8. —Functions of Special Finding
17-9. —Form and Contents of Special Finding
17-10. Modifying Judgment after Appeal
17-11. Offer of Compromise by Defendant; How Made
17-12. —Acceptance of Defendant’s Offer
17-13. —Defendant’s Offer Not Accepted
17-14. Offer of Compromise by Plaintiff; How Made
17-14A. —Alleged Negligence of Health Care Provider
17-15. —Acceptance of Plaintiff’s Offer
17-16. —Plaintiff’s Offer Not Accepted
17-17. —Offer of Compromise and Acceptance Included
in Record
17-18. —Judgment where Plaintiff Recovers an Amount
Equal to or Greater than Offer
17-19. Procedure where Party Fails to Comply with Order
of Judicial Authority or to Appear for Trial
17-20. Motion for Default and Nonsuit for Failure to Appear
17-21. Defaults under Servicemembers Civil Relief Act
17-22. Notice of Judgments of Nonsuit and Default for
Failure to Enter an Appearance
17-23. Contract Actions to Pay a Definite Sum where There
Is a Default for Failure to Appear; Limitations
17-24. —Promise to Pay Liquidated Sum
17-25. —Motion for Default and Judgment; Affidavit of
Debt; Military Affidavit; Bill of Costs; Debt
Instrument
17-26. —Order for Weekly Payments
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
In all actions, whether the relief sought be legal
or equitable in its nature, judgment may be given
for or against one or more of several plaintiffs,
and for or against one or more of several defend-
ants; and the judicial authority may grant to a
defendant any affirmative relief to which the
defendant may be entitled, and may determine
the rights of the parties on each side as between
themselves insofar as a consideration of the
issues between them is necessary to a full adjudi-
cation as regards the claim stated in the com-
plaint. (See General Statutes § 52-227.)
(P.B. 1978-1997, Sec. 323.)
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17-27. —Entry of Judgment
17-28. —Enforcement of Judgment
17-29. —Default Motion Not on Short Calendar
17-30. Summary Process; Default and Judgment for Fail-
ure to Appear or Plead
17-31. Procedure where Party Is in Default
17-32. Where Defendant Is in Default for Failure to Plead
17-33. When Judgment May Be Rendered after a Default
17-33A. Motions for Judgment of Foreclosure
17-34. Hearings in Damages; Notice of Defenses
17-35. —Requirements of Notice; Time
17-36. —Notice by Clerk
17-37. —Notice of Defense to Be Specific
17-38. —Amending Notice of Defense
17-39. —No Reply Allowed
17-40. —Evidence to Reduce Damages
17-41. Relief Permissible on Default
17-42. Opening Defaults where Judgment Has Not
Been Rendered
17-43. Opening Judgment upon Default or Nonsuit
17-44. Summary Judgments; Scope of Remedy
17-45. —Proceedings upon Motion for Summary Judg-
ment; Request for Extension of Time to Respond
17-46. —Form of Affidavits
17-47. —When Appropriate Documents Are Unavailable
17-48. —Affidavits Made in Bad Faith
17-49. —Judgment
17-50. —Triable Issue as to Damages Only
17-51. —Judgment for Part of Claim
17-52. Executions
17-53. Summary Process Executions
17-54. Declaratory Judgment; Scope
17-55. —Conditions for Declaratory Judgment
17-56. —Procedure for Declaratory Judgment
17-57. —Costs in Declaratory Judgment
17-58. —Declaratory Judgment Appealable
17-59. —Order of Priorities in Declaratory Judgment
Sec. 17-2. Judgment on Verdict and
Otherwise
The judicial authority shall render judgment on
all verdicts of the jury, according to the jury’s find-
ing, subject to statutory adjustments, with costs,
unless the verdict is set aside; and in all cases
where judgment is rendered otherwise than on a
verdict, in favor of the plaintiff, the court shall
assess the damages which the plaintiff shall
recover. If no motions under Sections 16-35 or
16-36 are filed, upon the expiration of the time
provided for the filing of such motions, judgment
on the verdict shall be rendered in accordance
with the verdict, and the date of the judgment shall
be the date the verdict was accepted. If motions
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 17-6
are filed pursuant to Sections 16-35 or 16-36,
judgment shall be rendered at the time of and in
accordance with the decision on such motions.
Whenever a judgment is rendered in a civil jury
case, the clerk shall send notice of such judgment
to all attorneys and self-represented parties of
record. (See General Statutes § 52-225 and
annotations.)
(P.B. 1978-1997, Sec. 324.)
Sec. 17-2A. Motions to Reduce Verdict
Motions to reduce the amount of a verdict or
award pursuant to General Statutes §§ 52-225a
or 52-216a shall be filed within ten days after the
day the verdict or award is accepted and shall be
heard by the judge who conducted the trial. In
matters referred to an arbitrator under the provi-
sions of Section 23-61, motions to reduce the
amount of an award shall be filed within ten days
after the decision of the arbitrator becomes a judg-
ment of the court pursuant to subsection (a) of
Section 23-66.
(P.B. 1978-1997, Sec. 320A.) (Amended June 28, 1999,
on an interim basis pursuant to the provisions of Sec. 1-9 (c)
to take effect Jan. 1, 2000, and amendment adopted June 26,
2000, to take effect Jan. 1, 2001; transferred June 20, 2011,
to take effect Jan. 1, 2012.)
Sec. 17-3. Remittitur where Judgment Too
Large
If any judgment is rendered, by mistake or cleri-
cal error, for a larger sum than is due, the excess
may be remitted by the party recovering the judg-
ment, at any time, reasonable notice being first
given to the adverse party or that party’s attorney;
and the judicial authority may thereupon order
the record of such judgment to be corrected, and
affirm the same for the amount to which it has
been remitted. (See General Statutes § 52-228
and annotations.)
(P.B. 1978-1997, Sec. 325.)
Sec. 17-4. Setting Aside or Opening
Judgments
(a) Unless otherwise provided by law and
except in such cases in which the court has contin-
uing jurisdiction, any civil judgment or decree ren-
dered in the superior court may not be opened or
set aside unless a motion to open or set aside is
filed within four months succeeding the date on
which notice was sent. The parties may waive the
provisions of this subsection or otherwise submit
to the jurisdiction of the court.
(b) Upon the filing of a motion to open or set
aside a civil judgment, except a judgment in a
juvenile matter, the moving party shall pay to the
clerk the filing fee prescribed by statute unless
such fee has been waived by the judicial authority.
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(c) The expedited procedures set forth in this
subsection may be followed with regard to a
motion to open a judgment of foreclosure filed by
a plaintiff in which the filing fee has been paid,
the motion has been filed prior to the vesting of
title or the sale date, the plaintiff states in the
motion that the committee and appraisal fees
have been paid or will be paid within thirty days
of court approval, and the motion has been served
on each party as provided by Sections 10-12
through 10-17 and with proof of service
endorsed thereon.
(1) Parties shall have five days from the filing
of the motion to file an objection with the court.
Unless otherwise ordered by the judicial authority,
the motion shall be heard not less than seven
days after the date the motion was filed. If the
plaintiff states in the motion that all appearing
parties have received actual notice of the motion
and are in agreement with it, the judicial authority
may grant the motion without a hearing.
(2) When a motion to open judgment is filed
pursuant to this subsection, the court will retain
jurisdiction over the action to award committee
fees and expenses and appraisal fees, if neces-
sary. If judgment is not entered or the case has not
been withdrawn within 120 days of the granting
of the motion, the judicial authority shall forthwith
enter a judgment of dismissal.
(P.B. 1978-1997, Sec. 326.) (Amended June 22, 2009, to
take effect Jan. 1, 2010; amended June 21, 2010, to take
effect Jan. 1, 2011.)
Sec. 17-4A. Motions for New Trial
Motions for new trials in cases tried to the court,
unless brought by petition served on the adverse
party or parties, must be filed with the clerk within
ten days after the day the judgment is rendered;
provided that for good cause the judicial authority
may extend this time. The clerk shall notify the
trial judge of such filing. Such motions shall state
the specific grounds upon which counsel relies.
(Adopted June 26, 2000, to take effect Jan. 1, 2001.)
Sec. 17-5. Record of Proceeding; Facts Sup-
porting Judgment to Appear on Record
Each judicial authority shall keep a record of its
proceedings and cause the facts on which it found
its final judgments and decrees to appear on the
record; and any such finding if requested by any
party shall specially set forth such facts. (See
General Statutes § 52-231 and annotations.)
(P.B. 1978-1997, Sec. 327.)
Sec. 17-6. Form of Finding
When all the material allegations put in issue
in any action, whether brought for legal or for
equitable relief, are found for either plaintiff or
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 17-6
defendant, the finding of the issue or issues for
the plaintiff or defendant, as the case may be, will
be deemed equivalent to a finding that all material
allegations which were put in issue are true, and
will be a sufficient compliance with Section 17-5.
Where only a part of the material allegations put in
issue by the pleadings are found for the prevailing
party the judgment must indicate the particular
facts that are found.
(P.B. 1978-1997, Sec. 328.)
Sec. 17-7. Special Finding; Request
A request for a special finding of facts under
General Statutes § 52-226, shall be by written
motion filed within fourteen days after the entry
of judgment.
(P.B. 1978-1997, Sec. 332.) (Amended June 20, 2011, to
take effect Jan. 1, 2012.)
Sec. 17-8. —Functions of Special Finding
A special finding of facts under Section 17-5
should rarely be requested or made but when
made it becomes a part of the record with the
same effect as though the facts were included in
the judgment and claims of error may be based
upon it as appearing of record. If the special find-
ing is insufficient to support the judgment, the
error is one upon the record. The purpose of a
special finding is to place upon the record the
material facts upon which the judgment is based;
other matters have no place in it and can only be
presented in a finding made for the purpose of
an appeal. A special finding is an incident to the
judgment, and interlocutory rulings should not be
included in it. The rules as to seeking corrections
in a finding for an appeal have no application to
a special finding.
(P.B. 1978-1997, Sec. 333.)
Sec. 17-9. —Form and Contents of Special
Finding
The special findings of fact required by Section
17-5 to be made, if requested, as an incident to
the judgment should ordinarily form a part of the
judgment file. It should contain only facts material
to the issues tried. When any fact upon which final
judgment is founded is simply a bare conclusion
of law from more detailed and subordinate facts,
as, for instance, in cases of constructive fraud,
the finding, if a special one be requested, must
specially set forth the subordinate facts from
which, as such conclusion of law, the judicial
authority finds the principal fact. In such cases
the finding should be such as distinctly to show
any conclusion of law thus drawn. When a mate-
rial fact is found from more detailed or subordinate
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facts, not as a conclusion of law but as a conclu-
sion of fact, only the main or resulting fact should
be set forth in the finding.
(P.B. 1978-1997, Sec. 334.)
Sec. 17-10. Modifying Judgment after
Appeal
If a judgment fixing a set time for the perfor-
mance of an act is affirmed on appeal by the
supreme court and such time has elapsed pend-
ing the appeal, the judicial authority which ren-
dered the judgment appealed from may, on
motion and after due notice, modify it by extending
the time.
(P.B. 1978-1997, Sec. 340.)
Sec. 17-11. Offer of Compromise by Defend-
ant; How Made
(Amended June 26, 2006, to take effect Jan. 1, 2007.)
In any action on contract, or seeking the recov-
ery of money damages, whether or not other relief
is sought, the defendant may not later than thirty
days before the commencement of jury selection
in a jury trial or before the commencement of
evidence in a court trial file with the clerk of the
court a written offer of compromise signed by the
defendant or the defendant’s attorney, directed to
the plaintiff or the plaintiff’s attorney, offering to
settle the claim underlying the action for a sum
certain. (See General Statutes § 52-193 and
annotations.)
(P.B. 1978-1997, Sec. 342.) (Amended June 24, 2002, to
take effect Jan. 1, 2003; amended June 26, 2006, to take
effect Jan. 1, 2007.)
Sec. 17-12. —Acceptance of Defendant’s
Offer
The plaintiff may, within sixty days after being
notified by the defendant of the filing of an offer
of compromise, file with the clerk of the court a
written acceptance of the offer signed by the plain-
tiff or the plaintiff’s attorney agreeing to settle the
underlying action for the sum certain specified in
the defendant’s offer of compromise. Upon the
filing of the written acceptance and receipt by the
plaintiff of such sum certain, the plaintiff shall file
a withdrawal of the action with the clerk of the
court and the clerk shall record the withdrawal of
the action against the defendant accordingly. No
trial shall be postponed because the period within
which the plaintiff may accept such offer has not
expired, except at the discretion of the judicial
authority. (See General Statutes § 52-194 and
annotations.)
(P.B. 1978-1997, Sec. 343.) (Amended June 26, 2006, to
take effect Jan. 1, 2007.)
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 17-18
Sec. 17-13. —Defendant’s Offer Not
Accepted
If the plaintiff does not, within the time allowed
for acceptance of the offer of compromise and
before any evidence is offered at the trial, file the
plaintiff’s notice of acceptance, the offer shall be
deemed to be withdrawn and shall not be given
in evidence; and the plaintiff, unless recovering
more than the sum specified in the offer, with
interest from its date, shall recover no costs accru-
ing after the plaintiff received notice of the filing
of such offer, but shall pay the defendant’s costs
accruing after said time. Such costs may include
reasonable attorney’s fees in an amount not to
exceed $350. Nothing in this section shall be inter-
preted to abrogate the contractual rights of any
party concerning the recovery of attorney’s fees
in accordance with the provisions of any written
contract between the parties to the action. The
provisions of this section shall not apply to cases
in which nominal damages have been assessed
upon a hearing after a default or after a motion
to strike has been denied. (See General Statutes
§ 52-195 and annotations.)
(P.B. 1978-1997, Sec. 344.) (Amended June 26, 2006, to
take effect Jan. 1, 2007.)
Sec. 17-14. Offer of Compromise by Plain-
tiff; How Made
(Amended June 26, 2006, to take effect Jan. 1, 2007.)
After commencement of any civil action based
upon contract or seeking the recovery of money
damages, whether or not other relief is sought,
the plaintiff may, not earlier than one hundred
eighty days after service of process is made upon
the defendant in such action but not later than
thirty days before the commencement of jury
selection in a jury trial or the commencement of
evidence in a court trial, file with the clerk of the
court a written offer of compromise signed by the
plaintiff or the plaintiff’s attorney, directed to the
defendant or the defendant’s attorney, offering to
settle the claim underlying the action for a sum
certain. For the purposes of this section, such
plaintiff includes a counterclaim plaintiff under
General Statutes § 8-132. The plaintiff shall give
notice of such offer of compromise to the defend-
ant’s attorney, or if the defendant is not repre-
sented by an attorney, to the defendant.
(P.B. 1978-1997, Sec. 346.) (Amended June 24, 2002, to
take effect Jan. 1, 2003; amended June 26, 2006, to take
effect Jan. 1, 2007; amended June 30, 2008, to take effect
Jan. 1, 2009.)
Sec. 17-14A. —Alleged Negligence of Health
Care Provider
In the case of any action to recover damages
resulting from personal injury or wrongful death,
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whether in tort or in contract, in which it is alleged
that such injury or death resulted from the negli-
gence of a health care provider, an offer of com-
promise pursuant to Section 17-14 may be filed
not earlier than 365 days after service of process
is made on the defendant in such action and, if
the offer of compromise is not accepted within
sixty days and prior to the rendering of a verdict
by the jury or an award by the court, the offer of
compromise shall be considered rejected and not
subject to acceptance unless refiled.
(Adopted June 26, 2006, to take effect Jan. 1, 2007;
amended June 15, 2012, to take effect Jan. 1, 2013.)
Sec. 17-15. —Acceptance of Plaintiff’s Offer
Within thirty days after being notified of the filing
of such offer of compromise and prior to the ren-
dering of a verdict by the jury or an award by the
judicial authority, the defendant or the defendant’s
attorney may file with the clerk of the court a writ-
ten acceptance of the offer of compromise agree-
ing to settle the claim underlying the action for
the sum certain specified in the plaintiff’s offer.
Upon such filing and the receipt by the plaintiff of
such sum certain, the plaintiff shall file a with-
drawal of the action with the clerk and the clerk
shall record the withdrawal of the action against
the defendant accordingly.
(P.B. 1978-1997, Sec. 347.) (Amended June 24, 2002, to
take effect Jan. 1, 2003; amended June 26, 2006, to take
effect Jan. 1, 2007.)
Sec. 17-16. —Plaintiff’s Offer Not Accepted
If such offer of compromise is not accepted
within thirty days and prior to the rendering of a
verdict by the jury or an award by the judicial
authority, such offer of compromise shall be con-
sidered rejected and not subject to acceptance
unless refiled.
(P.B. 1978-1997, Sec. 348.) (Amended June 24, 2002, to
take effect Jan. 1, 2003; amended June 26, 2006, to take
effect, Jan. 1, 2007.)
Sec. 17-17. —Offer of Compromise and
Acceptance Included in Record
(Amended June 26, 2006, to take effect Jan. 1, 2007.)
Any such offer of compromise and any accep-
tance of the offer of compromise shall be included
by the clerk in the record of the case.
(P.B. 1978-1997, Sec. 349.) (Amended June 26, 2006, to
take effect Jan. 1, 2007.)
Sec. 17-18. —Judgment where Plaintiff
Recovers an Amount Equal to or Greater
than Offer
After trial the judicial authority shall examine
the record to determine whether the plaintiff made
an offer of compromise which the defendant failed
to accept. If the judicial authority ascertains from
the record that the plaintiff has recovered an
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 17-18
amount equal to or greater than the sum certain
specified in that plaintiff’s offer of compromise,
the judicial authority shall add to the amount so
recovered 8 percent annual interest on said
amount. In the case of a counterclaim plaintiff
under General Statutes § 8-132, the judicial
authority shall add to the amount so recovered 8
percent annual interest on the difference between
the amount so recovered and the sum certain
specified in the counterclaim plaintiff’s offer of
compromise. Any such interest shall be computed
as provided in General Statutes § 52-192a. The
judicial authority may award reasonable attor-
ney’s fees in an amount not to exceed $350 and
shall render judgment accordingly. Nothing in this
section shall be interpreted to abrogate the con-
tractual rights of any party concerning the recov-
ery of attorney’s fees in accordance with the
provisions of any written contract between the
parties to the action.
(P.B. 1978-1997, Sec. 350.) (Amended June 26, 2006, to
take effect Jan. 1, 2007; amended June 30, 2008, to take
effect Jan. 1, 2009.)
Sec. 17-19. Procedure where Party Fails to
Comply with Order of Judicial Authority or
to Appear for Trial
If a party fails to comply with an order of a
judicial authority or a citation to appear or fails
without proper excuse to appear in person or by
counsel for trial, the party may be nonsuited or
defaulted by the judicial authority.
(P.B. 1978-1997, Sec. 351.)
Sec. 17-20. Motion for Default and Nonsuit
for Failure to Appear
(a) Except as provided in subsection (b), if no
appearance has been entered for any party to any
action on or before the second day following the
return day, any other party to the action may make
a motion that a nonsuit or default be entered for
failure to appear.
(b) In an action commenced by a mortgagee
prior to July 1, 2014, for the foreclosure of (1) a
mortgage on residential real property consisting
of a one to four-family dwelling occupied as the
primary residence of the mortgagor, with a return
date on or after July 1, 2008, or (2) a mortgage
on real property owned by a religious organization
with a return date during the period from October
1, 2011, to June 30, 2014, inclusive, if no appear-
ance has been entered for the mortgagor on or
before the fifteenth day after the return day or,
if the court has extended the time for filing an
appearance and no appearance has been entered
on or before the date ordered by the court, any
other party to the action may make a motion that
a default be entered for failure to appear.
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(c) It shall be the responsibility of counsel filing
a motion for default for failure to appear to serve
the defaulting party with a copy of the motion.
Service and proof thereof may be made in accord-
ance with Sections 10-12, 10-13 and 10-14. Upon
good cause shown, the judicial authority may dis-
pense with this requirement when judgment is
rendered.
(d) Except as provided in Sections 17-23
through 17-30, motions for default for failure to
appear shall be acted on by the clerk not less
than seven days from the filing of the motion and
shall not be printed on the short calendar. The
motion shall be granted by the clerk if the party
who is the subject of the motion has not filed an
appearance. The provisions of Section 17-21 shall
not apply to such motions, but such provisions
shall be complied with before a judgment may be
entered after default. If the defaulted party files
an appearance in the action prior to the entry of
judgment after default, the default shall automati-
cally be set aside by operation of law. A claim for
a hearing in damages shall not be filed before the
expiration of fifteen days from the entry of a default
under this subsection, except as provided in Sec-
tions 17-23 through 17-30.
(e) A motion for nonsuit for failure to appear
shall be placed on the short calendar. If it is proper
to grant the motion, the judicial authority shall
grant it without the need for the moving party to
appear at the short calendar.
(f) The granting of a motion for nonsuit for failure
to appear or a motion for judgment after default
for failure to appear shall be subject to the provi-
sions of Sections 9-1 and 17-21. Such motion
shall contain either (1) a statement that a military
affidavit is attached thereto or (2) a statement,
with reasons therefor, that it is not necessary to
attach a military affidavit to the motion.
(P.B. 1978-1997, Sec. 352.) (Amended June 21, 2004, to
take effect Jan. 1, 2005; amended June 22, 2009, to take
effect Jan. 1, 2010; amended June 21, 2010, to take effect
Jan. 1, 2011; amended June 20, 2011, to take effect Jan. 1,
2012; amended June 15, 2012, to take effect Jan. 1, 2013.)
Sec. 17-21. Defaults under Servicemembers
Civil Relief Act
(a) An affidavit must be filed in every case in
which there is a nonappearing defendant, either
(1) stating that such defendant is in military ser-
vice, within the meaning of the Servicemembers
Civil Relief Act, or that the plaintiff is unable to
determine whether or not such defendant is in
such service, or (2) setting forth facts showing
that such defendant is not in such service.
(b) If it appears that the defendant is in such
service the judicial authority shall, and if it is unde-
termined whether the defendant is in such service
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 17-24
or not the judicial authority may, appoint an attor-
ney to represent such defendant before judgment
is rendered. No such attorney shall have the
power to waive any right of the person for whom
he or she is appointed or to bind such person by
his or her acts.
(c) Unless it appears that the defendant is not
in such service, the judicial authority may require
as a condition before judgment is rendered that
the plaintiff file a bond approved by the judicial
authority conditioned to indemnify the defendant,
if in military service, against any loss or damage
that such defendant may suffer by reason of any
judgment should the judgment be thereafter set
aside in whole or in part.
(d) If it appears that the defendant is in military
service, the judicial authority shall grant a stay of
proceedings for a minimum period of ninety days
upon application of counsel or on the judicial
authority’s own motion, if the judicial authority
determines that: (1) there may be a defense to
the action which cannot be presented without the
defendant’s presence, or (2) counsel has been
unable to contact the defendant or otherwise
determine if a meritorious defense exists.
(e) If the defendant is in military service or is
within ninety days after termination of or release
from such service and has received notice of the
proceedings, the following provisions apply. At
any stage before final judgment the judicial
authority may on its own motion and shall, upon
application by the defendant, stay the action for
a period of not less than ninety days if the applica-
tion includes (1) a letter or other communication
containing facts stating how current military duty
requirements materially affect the defendant’s
ability to appear and stating a date when the
defendant will be able to appear, and (2) a letter
or other communication from the defendant’s
commanding officer stating that current military
duty prevents appearance and that military leave
is not authorized at the time of the letter.
(f) (1) A defendant who is granted a stay under
subsection (e) may apply for an additional stay
based on the continuing material effect of military
duty on the defendant’s ability to appear. The
application may be made at the time of the initial
application or when it appears that the defendant
is unable to appear to defend the action. The
application shall include the same information
required under subparagraphs (1) and (2) of sub-
section (e).
(2) If the judicial authority denies the application
for an additional stay, the judicial authority shall
appoint counsel to represent the defendant.
(g) The findings made under the six preceding
subsections shall be recited in the judgment.
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(h) An application for a stay under this section
does not constitute an appearance for jurisdic-
tional purposes and does not constitute a waiver
of any substantive or procedural defense.
(P.B. 1978-1997, Sec. 353.) (Amended June 20, 2005, to
take effect Jan. 1, 2006.)
Sec. 17-22. Notice of Judgments of Nonsuit
and Default for Failure to Enter an
Appearance
A notice of every nonsuit for failure to enter an
appearance or judgment after default for failure
to enter an appearance, which notice includes the
terms of the judgment, shall be sent by mail or
electronic delivery within ten days of the entry of
judgment by counsel of the prevailing party to the
party against whom it is directed and a copy of
such notice shall be filed with the clerk’s office.
Proof of service shall be in accordance with Sec-
tion 10-14.
(P.B. 1978-1997, Sec. 354.) (Amended June 20, 2011, to
take effect Jan. 1, 2012.)
Sec. 17-23. Contract Actions to Pay a Defi-
nite Sum where There Is a Default for Failure
to Appear; Limitations
Sections 17-24 through 17-27 shall not be appli-
cable to: (1) any action wherein any defendant
against whom judgment is sought is in the military
or naval service of the United States when judg-
ment is rendered; or (2) any action brought under
the small claims rules.
(P.B. 1978-1997, Sec. 356.)
Sec. 17-24. —Promise to Pay Liquidated
Sum
(a) In any action based upon an express or
implied promise to pay a definite sum and claiming
only liquidated damages, which may include inter-
est, a reasonable attorney’s fee and other lawful
charges, the procedure set forth in Section 17-
20 and in Sections 17-25 through 17-28 shall be
followed, if there is a default of appearance. A
certificate of closed pleadings shall not be filed in
matters which fall within the scope of these rules
because such matters shall not proceed on the
inventory of pending cases requiring a hearing
in damages.
(b) When moving for default and judgment pur-
suant to Sections 17-25 through 17-28, a party
shall move for default and judgment on forms pre-
scribed by the office of the chief court adminis-
trator.
(P.B. 1978-1997, Sec. 357.) (Amended June 29, 1998, to
take effect Jan. 1, 1999.)
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 17-25
Sec. 17-25. —Motion for Default and Judg-
ment; Affidavit of Debt; Military Affidavit;
Bill of Costs; Debt Instrument
(a) The plaintiff shall file a motion for default for
failure to appear and judgment, a bill of costs, a
proposed judgment and notice to all parties and,
if applicable, a request for an order of weekly
payments pursuant to Section 17-26.
(b) The motion shall have attached to it the
following affidavits:
(1) An affidavit of debt signed by the plaintiff or
by an authorized representative of the plaintiff who
is not the plaintiff’s attorney. The affidavit shall
state the amount due or the principal owed and
contain an itemization of interest, attorney’s fees
and other lawful charges claimed. The affidavit
shall contain a statement that any documents
attached to it are true copies of the originals. Any
plaintiff claiming interest shall separately state the
interest and shall specify the dates from which
and to which interest is computed, the rate of
interest, the manner in which it was calculated
and the authority upon which the claim for interest
is based.
(A) If the instrument on which the contract is
based is a negotiable instrument or assigned con-
tract, the affidavit shall state that the instrument
or contract is now owned by the plaintiff, and a
copy of the executed instrument or contract shall
be attached to the affidavit. If the plaintiff is not
the original party with whom the instrument or
contract was made, the plaintiff shall either (i)
attach all bills of sale back to the original creditor
and swear to its purchase of the debt from the last
owner in its affidavit of debt or (ii) in the affidavit
of debt, recite the names of all prior owners of
the debt with the date of each prior sale and also
include the most recent bill of sale from the plain-
tiff’s seller and swear to its purchase of the debt
from its seller in the affidavit of debt.
(B) If the plaintiff claims any lawful fees or
charges other than interest, including a reason-
able attorney’s fee, the plaintiff shall attach to the
affidavit of debt a copy of the portion of the con-
tract containing the terms of the contract providing
for such fees or charges and the amount claimed.
(C) If a claim for a reasonable attorney’s fee is
made, the plaintiff shall include in the affidavit of
debt the reasons for the specific amount
requested in order that the judicial authority may
determine the relationship between the fee
requested and the actual and reasonable costs
which are incurred by counsel.
(2) A military affidavit as required by Section
17-21.
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(c) Nothing contained in this section shall pre-
vent the judicial authority from requiring the sub-
mission of additional written documentation or the
presence of the plaintiff, the authorized represen-
tative of the plaintiff or other affiants, as well as
counsel, before the court prior to rendering judg-
ment if it appears to the judicial authority that
additional information or evidence is required in
order to enter judgment.
(P.B. 1978-1997, Sec. 358.) (Amended June 20, 2011, to
take effect Jan. 1, 2012; amended June 14, 2013, to take
effect Jan. 1, 2014.)
Sec. 17-26. —Order for Weekly Payments
If the moving party seeks and is entitled to an
order for payments under the General Statutes in
excess of a nominal amount, the judicial authority
may make, as part of the judgment, an order for
weekly payment of such sums as shall appear to
the judicial authority to be reasonable. If such
order is sought, the proposed notice and form of
judgment shall contain substantially the following
language: It is further adjudged that the defendant
make weekly payments of $ on this judgment
to commencing on .
(P.B. 1978-1997, Sec. 359.)
Sec. 17-27. —Entry of Judgment
Not less than seven days from receipt of the
motion and affidavits, the clerk shall bring the
motion and affidavits to the attention of the judicial
authority. If the judicial authority orders judgment
entered, the clerk shall complete the proposed
judgment and notice to all parties in accordance
with the terms of the judgment. The clerk shall
immediately mail or electronically deliver one copy
of the judgment and notice to all parties to the
plaintiff or plaintiff’s attorney.
(P.B. 1978-1997, Sec. 360.) (Amended June 20, 2011, to
take effect Jan. 1, 2012.)
Sec. 17-28. —Enforcement of Judgment
Execution upon such judgment shall be stayed
until twenty days after the clerk receives from the
plaintiff, or plaintiff’s attorney, one copy of the
judgment and notice to all parties, with a certifica-
tion that one copy thereof was served upon each
judgment debtor. Service and proof thereof must
be made in accordance with Sections 10-12
through 10-14.
(P.B. 1978-1997, Sec. 361.)
Sec. 17-29. —Default Motion Not on Short
Calendar
No motion for default and judgment filed under
Sections 17-24 through 17-28 shall be placed on
the short calendar, unless the judicial authority
shall so order. No short calendar claim shall be
filed with this motion. Other than as provided for
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 17-33
in those sections and in Section 17-20 no notice
of a default or of a judgment after default shall be
required in connection with any such motion.
(P.B. 1978-1997, Sec. 362.) (Amended June 20, 2011, to
take effect Jan. 1, 2012.)
Sec. 17-30. Summary Process; Default and
Judgment for Failure to Appear or Plead
(Amended June 26, 2000, to take effect Jan. 1, 2001.)
(a) If the defendant in a summary process action
does not appear within two days after the return
day and a motion for judgment for failure to appear
and the notice to quit signed by the plaintiff or
plaintiff’s attorney and endorsed, with his or her
doings thereon, by the proper officer or indifferent
person who served such notice to quit is filed with
the clerk, the judicial authority shall, not later than
the first court day after the filing of such motion,
enter judgment that the plaintiff recover posses-
sion or occupancy of the premises with costs, and
execution shall issue subject to the statutory pro-
visions.
(b) If the defendant in a summary process action
appears but does not plead within two days after
the return day or within three days after the filing
of the preceding pleading or motion, the plaintiff
may file a motion for judgment for failure to plead,
served in accordance with Sections 10-12 through
10-17. If the defendant fails to plead within three
days after receipt of such motion by the clerk, the
judicial authority shall forthwith enter judgment
that the plaintiff recover possession or occupancy
with costs.
(c) In summary process actions, a motion for
judgment by default that is sent to the court either
electronically or is hand-delivered to the court
shall be deemed to be filed on the third business
day following such delivery unless the party filing
the motion for judgment by default certifies that
the motion has also been sent electronically or
hand-delivered on the same day to all opposing
parties or their counsel.
(P.B. 1978-1997, Sec. 362A.) (Amended June 26, 2000,
to take effect Jan. 1, 2001; amended June 20, 2005, to take
effect Jan. 1, 2006; amended June 12, 2015, to take effect
Jan. 1, 2016.)
Sec. 17-31. Procedure where Party Is in
Default
Where either party is in default by reason of
failure to comply with Sections 10-8, 10-35, 13-6
through 13-8, 13-9 through 13-11, the adverse
party may file a written motion for a nonsuit or
default or, where applicable, an order pursuant to
Section 13-14. Except as otherwise provided in
Sections 17-30 and 17-32, any such motion, after
service upon each adverse party as provided by
Sections 10-12 through 10-17 and with proof of
service endorsed thereon, shall be filed with the
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clerk of the court in which the action is pending,
and, unless the pleading in default be filed or the
disclosure be made within ten days thereafter, the
clerk shall, upon the filing of a short calendar claim
by the moving party, place the motion on the next
available short calendar list.
(P.B. 1978-1997, Sec. 363.)
Sec. 17-32. Where Defendant Is in Default
for Failure to Plead
(a) Where a defendant is in default for failure
to plead pursuant to Section 10-8, the plaintiff may
file a written motion for default which shall be
acted on by the clerk not less than seven days
from the filing of the motion, without placement
on the short calendar.
(b) If a party who has been defaulted under this
section files an answer before a judgment after
default has been rendered by the judicial author-
ity, the default shall automatically be set aside by
operation of law unless a claim for a hearing in
damages or a motion for judgment has been filed.
If a claim for a hearing in damages or a motion
for judgment has been filed, the default may be
set aside only by the judicial authority. A claim for
a hearing in damages or motion for judgment shall
not be filed before the expiration of fifteen days
from the date of notice of issuance of the default
under this subsection.
(P.B. 1978-1997, Sec. 363A.) (Amended June 21, 2010,
to take effect Jan. 1, 2011; amended on an interim basis
pursuant to Section 1-9 (c) on June 12, 2015, to take effect
Aug. 1, 2015; amended June 24, 2016, to take effect Jan.
1, 2017.)
Sec. 17-33. When Judgment May Be Ren-
dered after a Default
(a) If a defendant is defaulted for failure to
appear for trial, evidence may be introduced and
judgment rendered without notice to the
defendant.
(b) Since the effect of a default is to preclude
the defendant from making any further defense
in the case so far as liability is concerned, the
judicial authority, at or after the time it renders the
default, notwithstanding Section 17-32 (b), may
also render judgment in foreclosure cases, in
actions similar thereto and in summary process
actions, provided the plaintiff has also made a
motion for judgment and provided further that any
necessary affidavits of debt or accounts or state-
ments verified by oath, in proper form, are submit-
ted to the judicial authority. The judicial authority
may render judgment in any contract action where
the damages are liquidated provided that the
plaintiff has made a motion for judgment and sub-
mitted the affidavits and attachments specified in
Section 17-25 (b) (1).
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 17-33
(c) If the taking of testimony is required, the
procedures in Section 17-34 shall be followed
before judgment is rendered.
(P.B. 1978-1997, Sec. 364.) (Amended June 24, 2002, to
take effect Jan. 1, 2003; amended June 14, 2013, to take
effect Jan. 1, 2014.)
Sec. 17-33A. Motions for Judgment of Fore-
closure
In all foreclosure actions, motions for judgment
shall not be filed prior to the expiration of 30 days
after the return date.
(Adopted June 22, 2009, to take effect Jan. 1, 2010.)
Sec. 17-34. Hearings in Damages; Notice
of Defenses
(a) In any hearing in damages upon default, the
defendant shall not be permitted to offer evidence
to contradict any allegations in the plaintiff’s com-
plaint, except such as relate to the amount of
damages, unless notice has been given to the
plaintiff of the intention to contradict such allega-
tions and of the subject matter which the defend-
ant intends to contradict, nor shall the defendant
be permitted to deny the right of the plaintiff to
maintain such action, nor shall the defendant be
permitted to prove any matter of defense, unless
written notice has been given to the plaintiff of the
intention to deny such right or to prove such matter
of defense.
(b) This notice shall apply to defaults entered
on all claims, counterclaims, cross claims, and
other claims for affirmative relief. (See General
Statutes § 52-221 and annotations.)
(P.B. 1978-1997, Sec. 367.)
Sec. 17-35. —Requirements of Notice; Time
(a) The notices required by Section 17-34 shall
be given in the manner provided in Sections 10-
12 through 10-14, the original with proof of service
being filed with the clerk.
(b) In all actions in which there may be a hearing
in damages, notice of defenses must be filed
within ten days after notice from the clerk to the
defendant that a default has been entered.
(P.B. 1978-1997, Sec. 368.)
Sec. 17-36. —Notice by Clerk
The clerk shall give notice of entry of a default,
in the case of a defendant who has filed an
appearance, in person to the defendant or the
defendant’s attorney, by mail, or by electronic
notice, and in the case of a nonappearing defend-
ant, by mailing such notice to the defendant at
his or her last known address. The clerk shall
enter on the docket the date when the clerk gives,
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mails or sends the notice, and said period of ten
days shall run from said date.
(P.B. 1978-1997, Sec. 369.) (Amended June 29, 1998, to
take effect Jan. 1, 1999.)
Sec. 17-37. —Notice of Defense to Be
Specific
The notice shall not contain a general denial,
but shall specify which, if any, of the allegations,
or parts thereof, of the complaint will be contro-
verted; and only those allegations should be spec-
ified which it is intended to controvert by proof.
The denial of the right of the plaintiff to maintain
the action must go to the plaintiff’s right to maintain
it in the capacity in which the plaintiff sues, and
not otherwise controvert the right of action. Any
new matter by way of confession and avoidance
must be specified. The defense of contributory
negligence must be specified and the grounds
stated. Partial defenses must be specified in the
same manner as complete defenses.
(P.B. 1978-1997, Sec. 371.)
Sec. 17-38. —Amending Notice of Defense
The judicial authority may, for cause shown,
and upon such terms as it may impose, permit
such notice to be filed or amended at any time.
(P.B. 1978-1997, Sec. 372.)
Sec. 17-39. —No Reply Allowed
The plaintiff shall file no pleading to such notice,
but may meet the facts set up therein by any
proper evidence.
(P.B. 1978-1997, Sec. 373.)
Sec. 17-40. —Evidence to Reduce Damages
The defendant may, without notice, offer evi-
dence to reduce the amount of damages claimed.
(P.B. 1978-1997, Sec. 374.)
Sec. 17-41. Relief Permissible on Default
Upon a default, the plaintiff can have no greater
relief than that demanded in the complaint; but in
any other case the judicial authority may, upon a
proper amendment, grant the plaintiff any other
relief consistent with the case made on the trial
and embraced within the issues.
(P.B. 1978-1997, Sec. 375.)
Sec. 17-42. Opening Defaults where Judg-
ment Has Not Been Rendered
A motion to set aside a default where no judg-
ment has been rendered may be granted by the
judicial authority for good cause shown upon such
terms as it may impose. As part of its order, the
judicial authority may extend the time for filing
pleadings or disclosure in favor of a party who
has not been negligent. Certain defaults may be
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 17-47
set aside by the clerk pursuant to Sections 17-20
and 17-32.
(P.B. 1978-1997, Sec. 376.)
Sec. 17-43. Opening Judgment upon Default
or Nonsuit
(a) Any judgment rendered or decree passed
upon a default or nonsuit may be set aside within
four months succeeding the date on which notice
was sent, and the case reinstated on the docket
on such terms in respect to costs as the judicial
authority deems reasonable, upon the written
motion of any party or person prejudiced thereby,
showing reasonable cause, or that a good cause
of action or defense in whole or in part existed at
the time of the rendition of such judgment or the
passage of such decree, and that the plaintiff or
the defendant was prevented by mistake, accident
or other reasonable cause from prosecuting or
appearing to make the same. Such written motion
shall be verified by the oath of the complainant or
the complainant’s attorney, shall state in general
terms the nature of the claim or defense and shall
particularly set forth the reason why the plaintiff
or the defendant failed to appear. The judicial
authority shall order reasonable notice of the pen-
dency of such written motion to be given to the
adverse party, and may enjoin that party against
enforcing such judgment or decree until the deci-
sion upon such written motion.
(b) If the judicial authority opens a nonsuit
entered pursuant to Section 17-31, the judicial
authority as part of its order may extend the time
for filing pleadings or disclosure. (See General
Statutes § 52-212.)
(P.B. 1978-1997, Sec. 377.)
Sec. 17-44. Summary Judgments; Scope of
Remedy
In any action, including administrative appeals
which are enumerated in Section 14-7 (c), any
party may move for a summary judgment as to
any claim or defense as a matter of right at any
time if no scheduling order exists and the case
has not been assigned for trial. If a scheduling
order has been entered by the court, either party
may move for summary judgment as to any claim
or defense as a matter of right by the time speci-
fied in the scheduling order. If no scheduling order
exists but the case has been assigned for trial, a
party must move for permission of the judicial
authority to file a motion for summary judgment.
These rules shall be applicable to counterclaims
and cross complaints, so that any party may move
for summary judgment upon any counterclaim or
cross complaint as if it were an independent
action. The pendency of a motion for summary
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judgment shall delay trial only at the discretion of
the trial judge.
(P.B. 1978-1997, Sec. 379.) (Amended June 14, 2013, to
take effect Jan. 1, 2014; amended June 23, 2017, to take
effect Jan. 1, 2018.)
HISTORY—2018: In 2018, ‘‘(c)’’ was added following ‘‘Sec-
tion 14-7.’’
COMMENTARY—2018: The change to this section clarifies
that the type of administrative appeals in which motions for
summary judgment are appropriate are those in which parties
are entitled to a trial de novo.
Sec. 17-45. —Proceedings upon Motion for
Summary Judgment; Request for Extension
of Time to Respond
(Amended June 30, 2003, to take effect Jan. 1, 2004.)
(a) A motion for summary judgment shall be
supported by appropriate documents, including
but not limited to affidavits, certified transcripts of
testimony under oath, disclosures, written admis-
sions and other supporting documents.
(b) Unless otherwise ordered by the judicial
authority, any adverse party shall file and serve
a response to the motion for summary judgment
within forty-five days of the filing of the motion,
including opposing affidavits and other available
documentary evidence.
(c) Unless otherwise ordered by the judicial
authority, the moving party shall not claim the
motion for summary judgment to the short calen-
dar less than forty-five days after the filing of the
motion for summary judgment.
(P.B. 1978-1997, Sec. 380.) (Amended June 26, 2000, to
take effect Jan. 1, 2001; amended June 30, 2003, to take
effect Jan. 1, 2004; amended June 21, 2004, to take effect
Jan. 1, 2005; amended June 24, 2016, to take effect Jan.
1, 2017.)
Sec. 17-46. —Form of Affidavits
Supporting and opposing affidavits shall be
made on personal knowledge, shall set forth such
facts as would be admissible in evidence, and
shall show affirmatively that the affiant is compe-
tent to testify to the matters stated therein. Sworn
or certified copies of all papers or parts thereof
referred to in an affidavit shall be attached thereto.
(P.B. 1978-1997, Sec. 381.)
Sec. 17-47. —When Appropriate Documents
Are Unavailable
Should it appear from the affidavits of a party
opposing the motion that such party cannot, for
reasons stated, present facts essential to justify
opposition, the judicial authority may deny the
motion for judgment or may order a continuance
to permit affidavits to be obtained or discovery to
be had or may make such other order as is just.
(P.B. 1978-1997, Sec. 382.)
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 17-48
Sec. 17-48. —Affidavits Made in Bad Faith
Should it appear to the satisfaction of the judicial
authority at any time that any affidavit is made or
presented in bad faith or solely for the purpose
of delay, the judicial authority shall forthwith order
the offending party to pay to the other party the
reasonable expenses which the filing of the affida-
vit caused that party to incur, including attorney’s
fees. Any offending party or attorney may be
adjudged guilty of contempt, and any offending
attorney may also be disciplined by the judicial
authority.
(P.B. 1978-1997, Sec. 383.)
Sec. 17-49. —Judgment
The judgment sought shall be rendered forth-
with if the pleadings, affidavits and any other proof
submitted show that there is no genuine issue as
to any material fact and that the moving party is
entitled to judgment as a matter of law.
(P.B. 1978-1997, Sec. 384.)
Sec. 17-50. —Triable Issue as to Damages
Only
A summary judgment, interlocutory in charac-
ter, may be rendered on the issue of liability alone,
although there is a genuine issue as to damages.
In such case the judicial authority shall order an
immediate hearing before a judge trial referee,
before the court, or before a jury, whichever may
be proper, to determine the amount of the dam-
ages. If the determination is by a jury, the usual
procedure for setting aside the verdict shall be
applicable. Upon the conclusion of these proceed-
ings, the judicial authority shall forthwith render
the appropriate summary judgment.
(P.B. 1978-1997, Sec. 385.)
Sec. 17-51. —Judgment for Part of Claim
If it appears that the defense applies to only
part of the claim, or that any part is admitted, the
moving party may have final judgment forthwith
for so much of the claim as the defense does not
apply to, or as is admitted, on such terms as may
be just; and the action may be severed and pro-
ceeded with as respects the remainder of the
claim.
(P.B. 1978-1997, Sec. 386.)
Sec. 17-52. Executions
Pursuant to the General Statutes, the judgment
creditor or the attorney for the judgment creditor
may file a written application with the court for an
execution to collect an unsatisfied money
judgment.
(P.B. 1978-1997, Sec. 387.)
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Sec. 17-53. Summary Process Executions
Whenever a summary process execution is
requested because of a violation of a term in a
judgment by stipulation or a judgment with a stay
of execution beyond the statutory stay, a hearing
shall be required. If the violation consists of non-
payment of a sum certain, an affidavit with service
certified in accordance with Sections 10-12
through 10-17 shall be accepted in lieu of a hear-
ing unless an objection to the execution is filed
by the defendant prior to the issuance of the exe-
cution. The execution shall issue on the third busi-
ness day after the filing of the affidavit.
An affidavit asserting nonpayment of a sum cer-
tain that is sent to the court either electronically
or is hand-delivered to the court shall be deemed
to be filed on the third business day following such
delivery unless the party filing the affidavit certifies
that the affidavit has also been sent electronically
or hand-delivered on the same day to all opposing
parties or their counsel.
(P.B. 1978-1997, Sec. 387A.) (Amended June 26, 2000,
to take effect Jan. 1, 2001; amended June 25, 2001, to take
effect Jan. 1, 2002; amended June 12, 2015, to take effect
Jan. 1, 2016.)
Sec. 17-54. Declaratory Judgment; Scope
The judicial authority will, in cases not herein
excepted, render declaratory judgments as to the
existence or nonexistence (1) of any right, power,
privilege or immunity; or (2) of any fact upon which
the existence or nonexistence of such right,
power, privilege or immunity does or may depend,
whether such right, power, privilege or immunity
now exists or will arise in the future.
(P.B. 1978-1997, Sec. 389.)
Sec. 17-55. —Conditions for Declaratory
Judgment
A declaratory judgment action may be main-
tained if all of the following conditions have
been met:
(1) The party seeking the declaratory judgment
has an interest, legal or equitable, by reason of
danger of loss or of uncertainty as to the party’s
rights or other jural relations;
(2) There is an actual bona fide and substantial
question or issue in dispute or substantial uncer-
tainty of legal relations which requires settlement
between the parties; and
(3) In the event that there is another form of
proceeding that can provide the party seeking the
declaratory judgment immediate redress, the
court is of the opinion that such party should be
allowed to proceed with the claim for declaratory
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 17-59
judgment despite the existence of such alter-
nate procedure.
(P.B. 1978-1997, Sec. 390.) (Amended June 28, 1999, to
take effect Jan. 1, 2000.)
Sec. 17-56. —Procedure for Declaratory
Judgment
(a) Procedure in actions seeking a declaratory
judgment shall be as follows:
(1) The form and practice prescribed for civil
actions shall be followed.
(2) The prayer for relief shall state with precision
the declaratory judgment desired and no claim for
consequential relief need be made.
(3) Actions claiming coercive relief may also be
accompanied by a claim for a declaratory judg-
ment, either as an alternative remedy or as an
independent remedy.
(4) Subject to the provisions of Sections 10-21
through 10-24, causes of action for other relief
may be joined in complaints seeking declara-
tory judgments.
(5) The defendant in any appropriate action may
seek a declaratory judgment by a counterclaim.
(6) Issues of fact necessary to the determination
of the cause may be submitted to the jury as in
other actions.
(b) All persons who have an interest in the sub-
ject matter of the requested declaratory judgment
that is direct, immediate and adverse to the inter-
est of one or more of the plaintiffs or defendants
in the action shall be made parties to the action
or shall be given reasonable notice thereof. If the
proceeding involves the validity of a municipal
ordinance, persons interested in the subject mat-
ter of the declaratory judgment shall include such
municipality, and if the proceeding involves the
validity of a state statute, such persons shall
include the attorney general.
The party seeking the declaratory judgment
shall append to its complaint or counterclaim a
certificate stating that all such interested persons
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have been joined as parties to the action or have
been given reasonable notice thereof. If notice
was given, the certificate shall list the names, if
known, of all such persons, the nature of their
interest and the manner of notice.
(c) Except as provided in Sections 10-39 and
10-44, no declaratory judgment action shall be
defeated by the nonjoinder of parties or the failure
to give notice to interested persons. The exclusive
remedy for nonjoinder or failure to give notice
to interested persons is by motion to strike as
provided in Sections 10-39 and 10-44.
(d) Except as otherwise provided by law, no
declaration shall be binding against any persons
not joined as parties. If it appears to the court that
the rights of nonparties will be prejudiced by its
declaration, it shall order entry of judgment in such
form as to affect only the parties to the action.
(P.B. 1978-1997, Sec. 391.) (Amended June 28, 1999, to
take effect Jan. 1, 2000.)
Sec. 17-57. —Costs in Declaratory Judg-
ment
Costs shall be discretionary and may be
granted to or against any party to the action.
(P.B. 1978-1997, Sec. 392.)
Sec. 17-58. —Declaratory Judgment Ap-
pealable
The decision of the judicial authority shall be
final between the parties to the action as to the
question or issue determined, and shall be subject
to review by appeal as in other causes.
(P.B. 1978-1997, Sec. 393.)
Sec. 17-59. —Order of Priorities in Declara-
tory Judgment
In any action in which order of priorities could
be determined under scire facias proceedings,
such order of priorities may be determined by
declaratory judgment proceedings. (See General
Statutes § 52-235a.)
(P.B. 1978-1997, Sec. 394.)
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 18-1
CHAPTER 18
FEES AND COSTS
Sec. Sec.
18-1. Vouchers for Court Expenses
18-2. Costs on Appeal from Commissioners
18-3. Costs on Creditor’s Appeal
18-4. Eminent Domain; Clerk’s Fees
18-5. Taxation of Costs; Appeal
18-6. Costs on Writ of Error
18-7. Costs on Interlocutory Proceedings
18-8. Jury Fee where More than One Trial
18-9. Nonresident Witnesses; Fees
18-10. Witness Fees in Several Suits
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
No costs shall be taxed for court expenses
unless each item of payment of over $50 shall be
accompanied by a proper voucher. No part of the
clerk’s bill or fees shall be included for taxation in
the state marshal’s bill, or in any bill of a commu-
nity correctional center.
(P.B. 1978-1997, Sec. 407.) (Amended June 25, 2001, to
take effect Jan. 1, 2002.)
Sec. 18-2. Costs on Appeal from Commis-
sioners
If an executor, administrator or trustee upon an
estate shall appeal from the report of the commis-
sioners in allowing a claim to a creditor and such
claim is disallowed upon the appeal, or if a creditor
shall appeal from the disallowance of claim in
whole or in part and shall recover no more than
was allowed by the commissioners, judgment for
costs shall be rendered against the creditor. If
upon an appeal by an executor, administrator or
trustee the creditor shall recover as large a sum
as, or a larger sum than, was allowed to the credi-
tor by the commissioners, or if upon the creditor’s
own appeal from the disallowance of claim in
whole or in part, a creditor shall recover a greater
sum than was allowed by the commissioners,
costs will be taxed in the creditor’s favor against
the estate. In any other case, costs shall be discre-
tionary with the judicial authority.
(P.B. 1978-1997, Sec. 409.)
Sec. 18-3. Costs on Creditor’s Appeal
If any creditor of such an estate shall appeal
from the doings or report of the commissioners in
allowing the claim of any other creditor, costs, at
the discretion of the judicial authority, may be
taxed in favor of the prevailing party against the
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18-11. Witness Not Called; Fees
18-12. Costs where Several Issues
18-13. Several Defendants; Costs
18-14. Fees and Costs where Plaintiffs Join or Actions
Are Consolidated
18-15. Costs where Both Legal and Equitable Issues
18-16. Costs on Complaint and Counterclaim
18-17. Costs on Counterclaim
18-18. Costs for Exhibits
18-19. Proceedings before Judge; No Costs
other. No costs shall be allowed against the
estate.
(P.B. 1978-1997, Sec. 410.)
Sec. 18-4. Eminent Domain; Clerk’s Fees
If, by the provisions of the charter of any railroad
company, canal company, bridge company, or the
like, it shall be made the duty of the judicial author-
ity to appoint appraisers, assessors, commission-
ers, etc., the clerk’s fees must be paid as in
other causes.
(P.B. 1978-1997, Sec. 411.)
Sec. 18-5. Taxation of Costs; Appeal
(a) Except as otherwise provided in this section,
costs may be taxed by the clerk in civil cases
fourteen days after the filing of a written bill of
costs provided that no objection is filed. If a written
objection is filed within the fourteen day period,
notice shall be given by the clerk to all appearing
parties of record of the date and time of the clerk’s
taxation. The parties may appear at such taxation
and have the right to be heard by the clerk.
(b) Either party may move the judicial authority
for a review of the taxation by the clerk by filing
a motion for review of taxation of costs within
twenty days of the issuance of the notice of taxa-
tion by the clerk.
(c) Notwithstanding the provisions of subsec-
tion (a), the costs paid as an application fee for any
execution on a money judgment shall be taxed
by the clerk upon the issuance of the execution.
(P.B. 1978-1997, Sec. 412.) (Amended June 20, 2005, to
take effect Jan. 1, 2006.)
Sec. 18-6. Costs on Writ of Error
No copy of a record upon which a writ of error
shall be pending shall be taxed in the bill of costs
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 18-16
on such writ, unless such copy shall become nec-
essary by reason of a defense of nul tiel record.
(P.B. 1978-1997, Sec. 413.)
Sec. 18-7. Costs on Interlocutory Pro-
ceedings
Costs taxed on any interlocutory proceedings
must be paid before any further pleading may be
filed or other step taken in the cause by the party
against whom they were awarded, unless the judi-
cial authority specially directs otherwise or the
written consent of the adverse party is given.
(P.B. 1978-1997, Sec. 414.)
Sec. 18-8. Jury Fee where More than One
Trial
If more than one trial to the jury of a case is
had, no more than one jury fee shall be required
to be paid.
(P.B. 1978-1997, Sec. 415.)
Sec. 18-9. Nonresident Witnesses; Fees
The mileage or travel of witnesses residing out
of the state will be computed and taxed from the
state line, on the usual course of travel.
(P.B. 1978-1997, Sec. 416.)
Sec. 18-10. Witness Fees in Several Suits
If a witness be in attendance in more cases
than one, between the same parties, at the same
time, and on behalf of the same party, the fees
of the witness for travel and attendance will be
taxed for one case only.
(P.B. 1978-1997, Sec. 417.)
Sec. 18-11. Witness Not Called; Fees
If witnesses, having been duly summoned,
attend as witnesses, but are not called to testify,
their fees shall be taxed in the bill of costs, if it
appears to the judicial authority that they were
summoned in good faith and with the expectation
of using them, and if their testimony would have
been admissible.
(P.B. 1978-1997, Sec. 418.)
Sec. 18-12. Costs where Several Issues
(a) Whenever in any action there shall be two
or more issues joined on material allegations, and
a part of such issues shall be found for the defend-
ant and the remainder for the plaintiff, the defend-
ant shall recover such costs as were incurred
upon the issues found in defendant’s favor, includ-
ing fees of witnesses and the expense of sum-
moning them. If several distinct claims shall be
made under one count, and the plaintiff shall
recover upon some and not upon others, plaintiff
shall not recover costs incurred in attempting to
support the claims which plaintiff shall fail to
establish.
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(b) When costs are awarded to both parties,
the judicial authority upon motion of either party
may order a setoff of the same, and execution
will then issue only for the balance.
(P.B. 1978-1997, Sec. 419.)
Sec. 18-13. Several Defendants; Costs
In all cases where there are several defendants,
the judicial authority may make such order as it
may deem just to prevent any defendant from
being embarrassed or put to expense by being
required to attend upon any proceedings in the
action in which such defendant may have no inter-
est; and no costs shall be taxed against any
defendant with which that defendant is not
justly chargeable.
(P.B. 1978-1997, Sec. 420.)
Sec. 18-14. Fees and Costs where Plaintiffs
Join or Actions Are Consolidated
(a) Where plaintiffs join under Section 9-4, or
actions are consolidated, and the case is claimed
for the jury, there shall be but one jury fee, except
that if separate jury trials are ordered, a jury fee
shall be paid for each such trial.
(b) Each party who prevails shall be entitled to
recover from the losing party or parties indemnity,
trial and witness fees to the same extent as though
the plaintiffs who have several rights had brought
separate actions.
(P.B. 1978-1997, Sec. 421.)
Sec. 18-15. Costs where Both Legal and
Equitable Issues
Where legal and equitable matters or claims
for relief arising out of the same transaction or
transactions connected with the same subject of
action are joined in the same complaint, or where
any pleading setting forth a matter which, before
January 1, 1980, would have been cognizable
only at law is met by setting up some equitable
matter, either by itself or in connection with a legal
defense, the costs upon the whole case shall be
at the discretion of the judicial authority; but where
legal and equitable causes of action which are
wholly unconnected with each other are joined in
the same complaint, the costs upon the judgment
on the equitable causes of action only shall be dis-
cretionary.
(P.B. 1978-1997, Sec. 422.)
Sec. 18-16. Costs on Complaint and Coun-
terclaim
When judgment shall be for the defendant on
the complaint and for the plaintiff on a counter-
claim, costs shall be taxed for the defendant as
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 18-16
the prevailing party under General Statutes § 52-
257, unless the judicial authority shall direct
otherwise.
(P.B. 1978-1997, Sec. 423.)
Sec. 18-17. Costs on Counterclaim
No costs shall be taxed in favor of a defendant
recovering judgment on a counterclaim or setoff,
which were incurred before the same was filed.
(P.B. 1978-1997, Sec. 424.)
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Sec. 18-18. Costs for Exhibits
The sum to be taxed to the prevailing party
under General Statutes § 52-257, for maps, plans,
mechanical drawings, and photographs shall be
determined by the judicial authority.
(P.B. 1978-1997, Sec. 425.)
Sec. 18-19. Proceedings before Judge; No
Costs
In proceedings before a judge no costs shall
be taxed in favor of either party unless otherwise
provided by statute.
(P.B. 1978-1997, Sec. 427.)
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 19-3A
CHAPTER 19
REFERENCES
Sec. Sec.
19-1. Application of Chapter
19-2. Reference to Committee
19-2A. Reference to Attorney Trial Referee
19-3. Reference to Judge Trial Referee
19-3A. Reference to Special Assignment Probate Judge
19-4. Attorney Trial Referees and Special Assignment
Probate Judges; Time to File Report
19-5. Appointment of Committee or Referee
19-6. Effect of Reference
19-7. Pleadings
19-8. Report
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
The provisions of this chapter shall govern the
procedure in matters, except dissolution of mar-
riage or civil union, legal separation, annulment,
and juvenile matters, referred to committees, state
referees and senior judges, attorney trial referees,
special assignment probate judges, and, so far
as applicable, to auditors, appraisers or other per-
sons designated to make reports to the court.
(P.B. 1978-1997, Sec. 428.) (Amended June 28, 1999, to
take effect Jan. 1, 2000; amended June 26, 2006, to take
effect Jan. 1, 2007; amended June 20, 2011, to take effect
Jan. 1, 2012.)
Sec. 19-2. Reference to Committee
The court or any judge thereof may send to a
committee for a finding of facts any case wherein
the parties are not, as a matter of right, entitled to
a trial by jury. A committee shall not be appointed
without the consent of all parties appearing,
unless the court, after a hearing upon motion for
appointment of a committee, is of the opinion that
the questions involved are such as clearly ought
to be sent to a committee.
(P.B. 1978-1997, Sec. 429.)
Sec. 19-2A. Reference to Attorney Trial
Referee
The court or judicial authority may refer to an
attorney trial referee any civil nonjury case in
which the issues have been closed, provided that
the appearing parties or their counsel consent to
the referral.
(Adopted June 28, 1999, to take effect Jan. 1, 2000.)
Sec. 19-3. Reference to Judge Trial Referee
(Amended June 28, 1999, to take effect Jan. 1, 2000.)
The clerk shall give notice to each referee of a
reference and note in the court file the date of
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19-9. Request for Finding
19-10. Alternative Report
19-11. Amending Report
19-12. Motion to Correct [Repealed]
19-13. Exceptions to Report or Finding [Repealed]
19-14. Objections to Acceptance of Report
19-15. Time to File Objections
19-16. Judgment on the Report
19-17. Function of the Court
19-18. Extensions of Time
19-19. Reference to Accountant
the issuance of the notice. In addition to matters
required to be referred to a judge trial referee, the
judicial authority may refer any civil nonjury case
or, with the written consent of the parties or their
attorneys, any civil jury case, pending before such
court, in which the issues have been closed, to a
judge trial referee, who shall have and exercise
the powers of the superior court in respect to trial,
judgment and appeal in such case, and any pro-
ceeding resulting from a demand for a trial de
novo pursuant to subsection (e) of General Stat-
utes § 52-549z, may be referred without the con-
sent of the parties to a judge trial referee who has
been specifically designated to hear such pro-
ceedings pursuant to subsection (b) of General
Statutes § 52-434. Any case referred to a judge
trial referee shall be deemed to have been
referred for all further proceedings and judgment,
including matters pertaining to any appeal there-
from, unless otherwise ordered before or after the
reference. The court may also refer to a judge
trial referee any motion for summary judgment
and any other pretrial matter in any civil nonjury
or civil jury case.
(P.B. 1978-1997, Sec. 430.) (Amended June 24, 2002, to
take effect Jan. 1, 2003.)
Sec. 19-3A. Reference to Special Assign-
ment Probate Judge
The court may refer any appeal filed under Gen-
eral Statutes § 45a-186, except those matters
described in subdivision (h) (3) of that statute, to
a special assignment probate judge appointed in
accordance with General Statutes § 45a-79b who
is assigned by the Probate Court Administrator
for the purposes of such appeal, except that such
appeal shall be heard by the court if any party
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 19-3A
files a demand for such hearing in writing with the
court not later than twenty days after service of
the appeal.
(Adopted June 20, 2011, to take effect Jan. 1, 2012.)
Sec. 19-4. Attorney Trial Referees and Spe-
cial Assignment Probate Judges; Time to
File Report
(Amended June 20, 2011, to take effect Jan. 1, 2012.)
An attorney trial referee or special assignment
probate judge to whom a case has been referred
shall file a report with the clerk of the court, with
sufficient copies for all counsel, within one hun-
dred and twenty days of the completion of the
trial before such referee or special assignment
probate judge.
(P.B. 1978-1997, Sec. 430A.) (Amended June 20, 2011,
to take effect Jan. 1, 2012.)
Sec. 19-5. Appointment of Committee or
Referee
It is the function of the court or judge to deter-
mine and appoint the person or persons who shall
constitute a committee, or the referee to whom
a case shall be referred. Recommendations by
counsel shall be made only at the request of the
court or judge. If more than one person shall con-
stitute the committee, the first person named by
the court shall be the chair of the committee.
(P.B. 1978-1997, Sec. 431.)
Sec. 19-6. Effect of Reference
(a) When any case shall be referred, no trial
will be had by the court unless the reference be
revoked upon stipulation of the parties or order
of the court. Any reference shall continue in force
until the duties thereunder have been performed
or the order revoked.
(b) In making a reference in any eminent
domain proceeding, the court shall fix a date not
more than sixty days thereafter, unless for good
cause shown a longer period is required, on which
the parties shall exchange copies of their
appraisal reports. Such reports shall set forth the
valuation placed upon the property in issue and
the details of the items of, or the basis for, such
valuation. The court may, in its discretion and
under such conditions as it deems proper, and
after notice and hearing, grant a further extension
of time, beyond that originally fixed, to any party
confronted with unusual and special circum-
stances requiring additional time for the exchange
of appraisal reports.
(P.B. 1978-1997, Sec. 432.) (Amended June 28, 1999, to
take effect Jan. 1, 2000.)
Sec. 19-7. Pleadings
No case shall be referred to a committee, attor-
ney trial referee or special assignment probate
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judge until the issues are closed and a certification
to that effect has been filed pursuant to Section
14-8. Thereafter no pleadings may be filed except
by agreement of all parties or order of the court
or the attorney trial referee or special assignment
probate judge. Such pleadings shall be filed with
the clerk and a copy filed with the committee, the
attorney trial referee or the special assignment
probate judge.
(P.B. 1978-1997, Sec. 433.) (Amended June 29, 1998, to
take effect Jan. 1, 1999; amended June 28, 1999, to take
effect Jan. 1, 2000; amended June 20, 2011, to take effect
Jan. 1, 2012.)
Sec. 19-8. Report
(a) The report of a committee, attorney trial ref-
eree or special assignment probate judge shall
state, in separate and consecutively numbered
paragraphs, the facts found and the conclusions
drawn therefrom. It should not contain statements
of evidence or excerpts from the evidence. The
report should ordinarily state only the ultimate
facts found; but if the committee, attorney trial
referee or special assignment probate judge has
reason to believe that the conclusions as to such
facts from subordinate facts will be questioned, it
may also state the subordinate facts found
proven; and any committee, attorney trial referee
or special assignment probate judge having rea-
son to believe that the rulings will be questioned
may state them with a brief summary of such
facts as are necessary to explain them; and the
committee, attorney trial referee or special assign-
ment probate judge should state such claims as
were made by the parties and which either party
requests be stated.
(b) The committee, attorney trial referee or spe-
cial assignment probate judge may accompany
the report with a memorandum of decision includ-
ing such matters as it may deem helpful in the
decision of the case, and, in any case in which
appraisal fees may be awarded by the court, shall
make a finding and recommendation as to such
appraisal fees as it deems reasonable.
(P.B. 1978-1997, Sec. 434.) (Amended June 28, 1999, to
take effect Jan. 1, 2000; amended June 20, 2011, to take
effect Jan. 1, 2012.)
Sec. 19-9. Request for Finding
Either party may request a committee, attorney
trial referee or special assignment probate judge
to make a finding of subordinate facts or of its
rulings, and of the claims made, and shall include
in or annex to such request a statement of the
facts, or rulings, or claims, the party desires the
committee, attorney trial referee or special assign-
ment probate judge to incorporate in the report.
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 19-19
(P.B. 1978-1997, Sec. 435.) (Amended June 28, 1999, to
take effect Jan. 1, 2000; amended June 20, 2011, to take
effect Jan. 1, 2012.)
Sec. 19-10. Alternative Report
If alternative claims are made before the com-
mittee, attorney trial referee or special assignment
probate judge, or the committee, attorney trial ref-
eree or special assignment probate judge deems
it advisable, it may report all the facts bearing
upon such claims and make its conclusions in
the alternative, so that the judgment rendered will
depend upon which of the alternative conclusions
the facts are found legally to support.
(P.B. 1978-1997, Sec. 436.) (Amended June 28, 1999, to
take effect Jan. 1, 2000; amended June 20, 2011, to take
effect Jan. 1, 2011.)
Sec. 19-11. Amending Report
A committee, attorney trial referee or special
assignment probate judge may, at any time before
a report is accepted, file an amendment to it or
an amended report.
(P.B. 1978-1997, Sec. 437.) (Amended June 28, 1999, to
take effect Jan. 1, 2000; amended June 20, 2011, to take
effect Jan. 1, 2012.)
Sec. 19-12. Motion to Correct
[Repealed as of Jan. 1, 2000.]
Sec. 19-13. Exceptions to Report or Finding
[Repealed as of Jan. 1, 2000.]
Sec. 19-14. Objections to Acceptance of
Report
A party may file objections to the acceptance
of a report on the ground that conclusions of fact
stated in it were not properly reached on the basis
of the subordinate facts found, or that the commit-
tee, attorney trial referee or special assignment
probate judge erred in rulings on evidence or other
rulings or that there are other reasons why the
report should not be accepted. A party objecting
on these grounds must file with the party’s objec-
tions a transcript of the evidence taken before the
committee, except such portions as the parties
may stipulate to omit.
(P.B. 1978-1997, Sec. 440.) (Amended June 28, 1999, to
take effect Jan. 1, 2000; amended June 26, 2000, to take
effect Jan. 1, 2001; amended June 20, 2011, to take effect
Jan. 1, 2012.)
Sec. 19-15. Time to File Objections
Objections to the acceptance of a report shall
be filed within twenty-one days after the mailing
or electronic delivery of the report to the parties
or their counsel by the clerk.
(P.B. 1978-1997, Sec. 441.) (Amended June 28, 1999, to
take effect Jan. 1, 2000; amended June 20, 2011, to take
effect Jan. 1, 2012.)
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Sec. 19-16. Judgment on the Report
After the expiration of twenty-one days from the
mailing or electronic delivery of the report, either
party may, without written motion, claim the case
for the short calendar for judgment on the report
of the committee, attorney trial referee or special
assignment probate judge, provided, if the parties
file a stipulation that no objections will be filed,
the case may be so claimed at any time thereafter.
The court may, on its own motion and with
notice thereof, schedule the matter for judgment
on the report and/or hearing on any objections
thereto, anytime after the expiration of twenty-one
days from the mailing or electronic delivery of the
report to the parties or their counsel by the clerk.
(P.B. 1978-1997, Sec. 442.) (Amended June 28, 1999, to
take effect Jan. 1, 2000; amended June 20, 2011, to take
effect, Jan. 1, 2012.)
Sec. 19-17. Function of the Court
(a) The court shall render such judgment as the
law requires upon the facts in the report. If the
court finds that the committee, attorney trial ref-
eree or special assignment probate judge has
materially erred in its rulings or that there are other
sufficient reasons why the report should not be
accepted, the court shall reject the report and
refer the matter to the same or another committee,
attorney trial referee or special assignment pro-
bate judge, as the case may be, for a new trial or
revoke the reference and leave the case to be
disposed of in court.
(b) The court may correct a report at any time
before judgment upon the written stipulation of
the parties or it may upon its own motion add a
fact which is admitted or undisputed or strike out
a fact improperly found.
(P.B. 1978-1997, Sec. 443.) (Amended June 28, 1999, to
take effect Jan. 1, 2000; amended June 20, 2011, to take
effect Jan. 1, 2012.)
Sec. 19-18. Extensions of Time
Any judge of the court in which the report is
filed may for good cause shown allow extensions
of time for taking any of the steps herein provided.
(P.B. 1978-1997, Sec. 444.) (Amended June 28, 1999, to
take effect Jan. 1, 2000.)
Sec. 19-19. Reference to Accountant
The court or any judge thereof may refer any
pending matter to an accountant for an examina-
tion of any account or books. The accountant shall
have authority to make such examination and
shall file a report with comments with the court or
judge. The fees and expenses of the accountant,
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 19-19
as fixed and allowed by the court or judge, shall
be paid by the estate or the parties, as the court
or judge may determine. The other provisions of
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this chapter shall not be applicable to reports by
accountants under this section.
(P.B. 1978-1997, Sec. 445.)
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 20-6
CHAPTER 20
HEARINGS IN CHAMBERS
Sec. Sec.
20-1. Procedure in Contested Matters
20-2. Certifying Proceedings to Court
20-3. Transfer of Hearings before Judges
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
Where any matter in a proceeding which has
or might have been made returnable to the court in
any judicial district is brought, pursuant to statute
before a judge, and is contested, and it may
become necessary to take oral testimony, the
judge may, at his or her discretion and by
agreement of the parties, repair to the courthouse,
open a special session of the court, certify such
proceedings to said court, and go forward with
the hearing as a court.
(P.B. 1978-1997, Sec. 446.)
Sec. 20-2. Certifying Proceedings to Court
Each application or petition made to any judge
in connection with any cause then pending in or
returnable to any court and the proceedings
thereon shall be certified to the said court by said
judge. (See General Statutes § 52-504.)
(P.B. 1978-1997, Sec. 447.) (Amended June 25, 2001, to
take effect Jan. 1, 2002.)
Sec. 20-3. Transfer of Hearings before
Judges
When, upon any application, petition or matter
presented to any judge of the court for a hearing
by him or her as a judge, notice to the adverse
party of the hearing thereon is required, either by
statute or in the discretion of the judge, the judge
to whom such application, petition or matter has
been presented may, in the order of notice issued
by the judge, designate any other judge of the
court to hear the same, the consent thereto of
such other judge having first been obtained, and
when any application, petition or matter is pending
before any judge of the court, such application,
petition or matter may be by the judge transferred
to any other judge of the court, upon like consent
first obtained; and in either case such other judge
shall thereupon proceed with such application,
petition or matter with the same authority as
though the same had originally been presented
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20-4. Trial before Judge; Lodging File and Papers
20-5. Lodging Papers in Cause Affecting Land
20-6. Clerk Designated by Judge to Take Papers
to such judge or had theretofore been pending
before him or her. (See General Statutes § 51-
189.)
(P.B. 1978-1997, Sec. 448.)
Sec. 20-4. Trial before Judge; Lodging File
and Papers
In all trials of causes before a judge that might
have been brought to the court, the judge, when
a decision has been reached, shall lodge the file
and papers in such cause, and a memorandum
of the judge’s decision, with the clerk of the court
who would have been the custodian thereof had
the cause been tried by the court in such judicial
district, and such clerk shall thereupon become
their lawful custodian. (See General Statutes
§ 51-190a.)
(P.B. 1978-1997, Sec. 449.)
Sec. 20-5. Lodging Papers in Cause Affect-
ing Land
In all causes relating to an interest in land, tried
by a judge, the judge shall lodge the file and
papers in the cause, with a memorandum of the
judge’s decision, with a clerk of the court in the
judicial district in which the land affected is
located, who shall thereupon become their law-
ful custodian.
(P.B. 1978-1997, Sec. 450.)
Sec. 20-6. Clerk Designated by Judge to
Take Papers
When a cause other than one mentioned in
Sections 20-4 and 20-5 is tried by a judge, and it
is not otherwise provided by law where the file
and papers shall be lodged, the judge, when a
decision has been reached, shall designate a
clerk of the superior court with whom the same
shall be lodged, and shall thereupon lodge the
same with such clerk with a memorandum of the
judge’s decision, and such clerk shall thereupon
become the lawful custodian thereof.
(P.B. 1978-1997, Sec. 451.)
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 21-1
CHAPTER 21
RECEIVERS
Sec. Sec.
21-1. Appointment of Temporary Receiver in Chambers
21-2. Permanent Receiver
21-3. Appointments by Court
21-4. Receiver to Give Bond
21-5. Inventory
21-6. Insolvent Estates to Be Liquidated
21-7. Presentation and Allowance of Claims; Presen-
tation
21-8. —Allowance; Hearing
21-9. —Extensions of Time
21-10. —Hearing before Action on Allowance
21-11. Continuance of Business
21-12. Reports where Business Continued
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-
ceiver in Chambers
All applications for the appointment of a receiver
shall be made in a civil action, and at any time
after the writ and complaint has been signed. As
ancillary thereto, an application may be made,
when the court before which such action is pend-
ing is not in actual session, to a judge in chambers
for the appointment of a temporary receiver, after
notice to the parties in interest, unless the exigen-
cies of the case require otherwise; and said judge
may appoint a temporary receiver, and upon such
appointment shall fix a time for a hearing upon
the confirmation of such temporary receiver and
the appointment of appraisers, and cause not less
than six days’ notice thereof to be given to all
parties in interest by mail and otherwise if deemed
necessary. Upon such hearing or an adjournment
thereof, the judge may appoint two or more
appraisers and either confirm the temporary
receiver or make a new appointment of a tempo-
rary receiver. The appointment of a temporary
receiver shall continue until a permanent receiver
shall be appointed or until the further order of
the court.
(P.B. 1978-1997, Sec. 485.)
Sec. 21-2. Permanent Receiver
The temporary receiver shall cause the case to
be duly assigned for trial in the court at the earliest
practicable day after the return day of the action,
for the appointment of a permanent receiver, and
in cases where the day for such hearing has not
been fixed before the opening of the session of
the court to which said proceeding is returnable,
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21-13. Semiannual Summary of Orders
21-14. Semiannual Accounts
21-15. Orders in Chambers
21-16. Duty of Clerks
21-17. Removal of Receivers
21-18. Ancillary Receivers
21-19. Receiver of Rents; Applicability of Previous
Sections
21-20. —Appointment
21-21. —Bond
21-22. —Discharge
21-23. —Orders
21-24. —Reports
the temporary receiver, on or before such open-
ing, shall make and place upon the short calendar
list an application therefor.
(P.B. 1978-1997, Sec. 486.)
Sec. 21-3. Appointments by Court
(a) All appointments of receivers shall be tem-
porary appointments, unless made by the court
after the return day of the action, and upon full
notice and opportunity to be heard to all con-
cerned. If made after the return day the appoint-
ment shall be upon written motion addressed to
the court. If made before the return day the party
desiring the appointment shall file a written appli-
cation as is required where the appointment is by
a judge in chambers.
(b) In either case the court making a temporary
appointment shall forthwith make an order for a
hearing upon the confirmation of such temporary
appointment and the appointment of two or more
appraisers, and direct the temporary receiver to
give notice of such hearing and of the time and
place thereof to all parties concerned by public
advertisement if it seems advisable and by caus-
ing a written or printed notice thereof to be mailed,
postpaid, to all known creditors and to all stock-
holders of record of the corporation, if the defend-
ant be a corporation, at least six days before
such hearing.
(c) At said hearing, if after the return day, the
court may appoint a permanent receiver, who may
be either the temporary receiver or a new appoin-
tee. If said hearing is before the return day, then
such appointment shall be temporary only, and
such temporary receiver shall cause the matter
of his or her confirmation as permanent receiver
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 21-12
or the appointment of some other person as per-
manent receiver to be brought before the court
as provided in the case of temporary receivers
appointed by a judge in chambers.
(P.B. 1978-1997, Sec. 487.)
Sec. 21-4. Receiver to Give Bond
Every receiver, temporary or permanent, before
assuming to act as such, shall file with the clerk
of the court by which, or by a judge of which, he
or she was appointed, a bond with such surety or
sureties, and for such an amount as such court
or judge may order and approve, payable to the
state and conditioned for the faithful performance
of the receiver’s official duties. (See General Stat-
utes § 52-506 and annotations.)
(P.B. 1978-1997, Sec. 488.) (Amended June 25, 2001, to
take effect Jan. 1, 2002.)
Sec. 21-5. Inventory
Every receiver, upon confirmation or permanent
appointment, shall forthwith, and without any
order therefor, prepare and file a sworn inventory
of the assets of the estate, which shall contain
an appraisal of each item therein, made by the
appraisers appointed for such purpose. Every
temporary receiver, upon original appointment,
shall make an inventory, unless otherwise
ordered.
(P.B. 1978-1997, Sec. 489.)
Sec. 21-6. Insolvent Estates to Be Liq-
uidated
At the time of the appointment or of the confir-
mation of a temporary receiver or the appointment
of a permanent receiver, such inquiry as is practi-
cable shall be made by the judge or court relative
to the solvency of the estate. When, upon such
inquiry or thereafter, it appears to the judge or
court that the estate is insolvent, the estate shall
be promptly liquidated and no further continuance
of the business, except for the purpose of liq-
uidation, shall be permitted, unless, because of
exceptional circumstances, it shall be otherwise
ordered.
(P.B. 1978-1997, Sec. 490.)
Sec. 21-7. Presentation and Allowance of
Claims; Presentation
The court shall, in the judgment appointing a
permanent receiver, limit a time for the presenta-
tion of claims against the estate and direct that
the receiver forthwith give notice thereof, and that
all claims not exhibited within said time will be
barred, to all known creditors, by mailing a written
or printed copy of such order. The court may pro-
vide for further notice if it deems the same
advisable.
(P.B. 1978-1997, Sec. 492.)
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Sec. 21-8. —Allowance; Hearing
(a) The receiver shall, within two weeks after
the order of notice, make a return of compliance
with it, and within a like time after the expiration
of the limitation file a list of claims presented,
separately stating those in which a preference is
claimed, and make application for an order of the
court thereon.
(b) The court shall thereupon by its order allow
or disallow, in whole or in part, the claims so
returned and any preferences claimed and order
the receiver forthwith to give written notice to each
claimant whose claim has been disallowed in
whole or in part that unless the claimant shall
within two weeks from the giving of such notice
by the receiver bring an application to the court
for the allowance of the claim, the same shall be
barred; and any such application shall be speedily
heard and the decision thereon shall, subject to
appeal, be final. Any creditor may intervene in
the proceeding.
(P.B. 1978-1997, Sec. 493.)
Sec. 21-9. —Extensions of Time
The court, for good cause shown, may extend
the time for presenting a claim or claims to the
receiver, and may extend the time for making
application for the allowance of a claim or claims
disallowed in whole or in part.
(P.B. 1978-1997, Sec. 494.)
Sec. 21-10. —Hearing before Action on
Allowance
The court may, upon due notice to a claimant,
hear the claimant’s claim before allowing or disal-
lowing the same and, subject to appeal, the deci-
sion thereon shall be final.
(P.B. 1978-1997, Sec. 495.)
Sec. 21-11. Continuance of Business
No order for the continuance of a business shall
be made for a greater period of time than four
months, except for special cause shown. For
cause shown, such orders may be renewed from
time to time, as the exigencies of the case may
require.
(P.B. 1978-1997, Sec. 496.)
Sec. 21-12. Reports where Business Con-
tinued
When a receiver is continuing business under
the order of a judge or the court, the receiver shall,
during the first ten days of each month, file a report
showing the results of operating the business dur-
ing the preceding month. The receiver shall fur-
nish supplemental schedules and information if
required by the court.
(P.B. 1978-1997, Sec. 497.) (Amended June 25, 2001, to
take effect Jan. 1, 2002.)
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 21-13
Sec. 21-13. Semiannual Summary of Orders
Every receiver shall, on the first Tuesdays of
April and October of each year, file a summary
statement of all orders made in said cause during
the six months preceding, and the doings thereun-
der. The clerk shall refer the statement to the
judge holding the term or session then pending,
or held next thereafter, who shall, upon examina-
tion of the same, make such further orders in said
cause as are deemed necessary, and may direct
that the cause be placed on the short calendar
for an order approving the statement.
(P.B. 1978-1997, Sec. 498.) (Amended June 20, 2011, to
take effect Jan. 1, 2012.)
Sec. 21-14. Semiannual Accounts
Every receiver upon an estate which has been
in process of settlement more than four months
(except receivers of state banks and trust compa-
nies) shall during the first week of April and Octo-
ber of each year sign, swear to and file with the
court a full and detailed account of the condition
and prospects of the estate as of the close of the
next preceding month, including therein a state-
ment of realization and liquidation. The receiver
shall furnish supplemental schedules and infor-
mation if required by the court. The receiver shall
cause a motion for the approval of the report to
be placed on the short calendar.
(P.B. 1978-1997, Sec. 499.) (Amended June 25, 2001, to
take effect Jan. 1, 2002.)
Sec. 21-15. Orders in Chambers
Whenever any judge shall have appointed a
receiver in chambers, all applications for orders
in said proceeding made out of court shall, except
in the case of such judge’s absence from the state,
the judge’s disability or a request in writing to the
contrary, be made to such judge.
(P.B. 1978-1997, Sec. 500.)
Sec. 21-16. Duty of Clerks
The clerks shall see that these rules are
enforced and shall promptly report any violations
thereof to the court.
(P.B. 1978-1997, Sec. 501.)
Sec. 21-17. Removal of Receivers
Receivers may be removed at any time, at the
pleasure of the court by which they were
appointed or, if such court is not in session, by a
judge thereof; and, if any receiver is removed or
declines to act or dies, the court that appointed
the receiver, or, if such court is not in session, a
judge thereof, may fill the vacancy. (See General
Statutes § 52-513 and annotations.)
(P.B. 1978-1997, Sec. 502.)
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Sec. 21-18. Ancillary Receivers
These rules, so far as applicable, shall govern
the appointment and duties of ancillary receivers.
(P.B. 1978-1997, Sec. 503.)
Sec. 21-19. Receiver of Rents; Applicability
of Previous Sections
Sections 21-1 through 21-15 shall not apply to
receivers of rents.
(P.B. 1978-1997, Sec. 505.)
Sec. 21-20. —Appointment
Every application for the appointment of a
receiver of rents shall be made in or ancillary to
a civil action and may be made either to the court
before which such action is pending or, when the
court is not in actual session, to a judge in cham-
bers. The court or judge may examine the plaintiff
or plaintiff’s attorney and may thereupon appoint
a receiver of rents. Notice of the hearing should
be given when practical but such appointment
may be made without notice if sufficient cause
appears.
(P.B. 1978-1997, Sec. 506.)
Sec. 21-21. —Bond
No such appointment shall become effective
until the receiver shall have filed a bond in such
amount as shall have been fixed at the time of
appointment or until said bond shall have been
approved by the judge or clerk of the court in
which the action is pending; provided that no bond
need be required of a bank or trust company.
The condition of bonds of such receivers shall be
substantially in the following form:
The condition of this obligation is such that,
whereas the above named A has by (court or
judge) been appointed, in an action brought by X
against Y, to be receiver of rents of property
located in the town of
and described as (describe generally, e.g., No.
93 Maple Street):
Now, therefore, if said A shall well and truly
perform his or her duties under such appointment,
then this obligation shall be void, otherwise in full
force and effect.
(P.B. 1978-1997, Sec. 507.)
Sec. 21-22. —Discharge
Any party in interest may at any time move for
the discharge of the receiver.
(P.B. 1978-1997, Sec. 508.)
Sec. 21-23. —Orders
The court in which the action is pending, or the
appointing judge, may make such orders for the
governance of the receiver as circumstances
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 21-24
require. The judge shall certify any order passed
by the judge in chambers to the court in which
the action may be pending.
(P.B. 1978-1997, Sec. 509.)
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Sec. 21-24. —Reports
Such receivers shall file written reports quar-
terly and at such other times as may be required.
(P.B. 1978-1997, Sec. 510.)
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 22-1
CHAPTER 22
UNEMPLOYMENT COMPENSATION
Sec. Sec.
22-1. Appeal
22-2. Assignment for Hearing
22-3. Finding
22-4. Correction of Finding; Motion to Correct Finding
22-5. —Evidence to Be Filed by Appellee
For previous Histories and Commentaries see the editions of the Practice Book
corresponding to the years of the previous amendments.
Sec. 22-1. Appeal
(a) A decision of the employment security board
of review may be appealed, within the time limited
by statute, to the superior court for the judicial
district of Hartford or for the judicial district wherein
the appellant resides. The appeal shall be in the
form of a petition which shall state the grounds
on which a review is sought. The appellant shall
file the original and five copies of the petition in
the office of the employment security board of
review. The chair of the board shall, within the
third business day after such filing, cause the origi-
nal petition or petitions to be mailed to the clerk
of the superior court and, copy or copies thereof
to be mailed to the administrator and to each other
party to the proceeding in which the appeal was
taken. The clerk shall docket the appeal as
returned to the next return day after the receipt
of the petition or petitions. No appeal bond shall
be required.
(b) At the time the petition is mailed to the clerk,
or as soon thereafter as practicable, the chair of
the board shall cause to be mailed to the clerk a
certified copy of the record, which shall consist of
the notice of appeal to the referee and the board,
the notices of hearing before them, the referee’s
findings of fact and decision, the findings and deci-
sion of the board, all documents admitted into
evidence before the referee and the board or both,
and all other evidentiary material accepted by
them.
(c) The judicial authority may, on request of a
party to the action or on its own motion, order the
board to prepare and verify to the court a transcript
of the hearing before the referee in cases in which
the board’s decision was rendered on the record
of such hearing, or a transcript of the hearing
before the board in cases in which the board’s
decision was rendered on the record of its own
evidentiary hearing.
(P.B. 1978-1997, Sec. 511A.) (Amended June 29, 1998,
to take effect Sept. 1, 1998; amended June 25, 2001, to take
effect Jan. 1, 2002.)
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22-6. —Motion to Correct by Appellee
22-7. —Duty of Board on Motion to Correct
22-8. —Claiming Error on Board’s Decision on Motion to
Correct
22-9. Function of the Court
Sec. 22-2. Assignment for Hearing
(a) Appeals from decisions of the employment
security board of review are privileged with
respect to their assignment for trial, but they shall
be claimed for the short calendar. The judicial
authority, however, may order the appeal placed
on the administrative appeal trial list.
(b) In any appeal in which one of the parties is
not represented by counsel and in which the party
taking the appeal does not claim the case for the
short calendar or trial within a reasonable time
after the return day, the judicial authority may of
its own motion dismiss the appeal, or the party
ready to proceed may move for nonsuit or default
as appropriate.
(P.B. 1978-1997, Sec. 511B.)
Sec. 22-3. Finding
The finding of the board should contain only the
ultimate, relevant and material facts essential to
the case in hand and found by it, together with a
statement of its conclusions and the claims of law
made by the parties. It should not contain excerpts
from evidence or merely evidential facts, nor the
opinions or beliefs of the board, nor the reasons
for its conclusions. The opinions, beliefs, reasons
and argument of the board should be expressed
in the memorandum of decision, if any be filed,
so far as they may be helpful in the decision of
the case.
(P.B. 1978-1997, Sec. 514.)
Sec. 22-4. Correction of Finding; Motion to
Correct Finding
If the appellant desires to have the finding of
the board corrected, he or she must, within two
weeks after the record has been filed in the supe-
rior court, unless the time is extended for cause
by the board, file with the board a motion for the
correction of the finding and with it such portions
of the evidence as he or she deems relevant and
material to the corrections asked for, certified by
the stenographer who took it; but if the appellant
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 22-9
claims that substantially all the evidence is rele-
vant and material to the corrections sought, he or
she may file all of it, so certified, indicating in the
motion so far as possible the portion applicable to
each correction sought. The board shall forthwith
upon the filing of the motion and of the transcript
of the evidence, give notice to the adverse party
or parties.
(P.B. 1978-1997, Sec. 515A.)
Sec. 22-5. —Evidence to Be Filed by Ap-
pellee
The appellee should, if he or she deems that
additional evidence is relevant and material to
the motion to correct, within one week after the
appellant has filed the transcript of evidence, so
notify the board, and, at the earliest time, he or
she can procure it file with the board such addi-
tional evidence.
(P.B. 1978-1997, Sec. 516.)
Sec. 22-6. —Motion to Correct by Appellee
If the appellee desires to file a motion to correct,
the procedure to be followed shall be the same
as that set forth in Sections 22-4 and 22-5 above.
(P.B. 1978-1997, Sec. 516A.)
Sec. 22-7. —Duty of Board on Motion to
Correct
The board shall file with the court, within a rea-
sonable time, such motions to correct together
with its decision thereon. If the motions are denied
in whole or in part and such denial is made a
ground of appeal to the court, the board shall,
within a reasonable time thereafter, file in the court
the transcripts of evidence filed by the appellant
and the appellee, together with such additional
evidence as may have been taken before the
board in the form of testimony, or taken by it in
other ways, and deemed by it relevant and mate-
rial to these corrections.
(P.B. 1978-1997, Sec. 518.)
Sec. 22-8. —Claiming Error on Board’s Deci-
sion on Motion to Correct
(a) Any party to the appeal may file claims of
error concerning the board’s decision on a motion
to correct the finding. Such claims shall be filed
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with the court within two weeks from the date the
board’s decision on the motion to correct was
mailed to the party making the claim, and shall
contain a certification that a copy thereof has been
served on the board and on each other party to the
appeal in accordance with Sections 10-12 through
10-17.
(b) The appellant shall include his or her claims
of error in the appeal petition unless they are filed
subsequent to the filing of that petition, in which
case they shall be set forth in an amended petition.
(P.B. 1978-1997, Sec. 518A.)
Sec. 22-9. Function of the Court
(a) Such appeals are heard by the court upon
the certified copy of the record filed by the board.
The court does not retry the facts or hear evi-
dence. It considers no evidence other than that
certified to it by the board, and then for the limited
purpose of determining whether the finding should
be corrected, or whether there was any evidence
to support in law the conclusions reached. It can-
not review the conclusions of the board when
these depend upon the weight of the evidence
and the credibility of witnesses. In addition to ren-
dering judgment on the appeal, the court may
order the board to remand the case to a referee
for any further proceedings deemed necessary by
the court. The court may remand the case to the
board for proceedings de novo, or for further pro-
ceedings on the record, or for such limited pur-
poses as the court may prescribe. The court may
retain jurisdiction by ordering a return to the court
of the proceedings conducted in accordance with
the order of the court, or may order final disposi-
tion. A party aggrieved by a final disposition made
in compliance with an order of the superior court
may, by the filing of an appropriate motion,
request the court to review the disposition of
the case.
(b) Corrections by the court of the board’s find-
ing will only be made upon the refusal to find a
material fact which was an admitted or undisputed
fact, upon the finding of a fact in language of
doubtful meaning so that its real significance may
not clearly appear, or upon the finding of a material
fact without evidence.
(P.B. 1978-1997, Sec. 519.)
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 23-1
CHAPTER 23
MISCELLANEOUS REMEDIES AND PROCEDURES
Sec. Sec.
23-1. Arbitration; Confirming, Correcting or Vacating
Award
23-2. Expedited Process Cases [Repealed]
23-3. —Placement on the Expedited Process Track
[Repealed]
23-4. —Pleadings Allowed in Expedited Process Track
Cases [Repealed]
23-5. —Motions Allowed [Repealed]
23-6. —Discovery Allowed [Repealed]
23-7. —Discovery Procedure for Expedited Process
Cases [Repealed]
23-8. —Certification That Pleadings Are Closed
[Repealed]
23-9. —Case Management Conference for Expedited
Process Track Cases [Repealed]
23-10. —Transfer to Regular Docket [Repealed]
23-11. —Offers of Judgment [Repealed]
23-12. —Trial of Cases on Expedited Process Track
[Repealed]
23-13. Granting of Complex Litigation Status and
Assignment
23-14. —Powers of Judge Assigned in Complex Litiga-
tion Cases
23-15. —Request for Complex Litigation Status
23-16. Foreclosure of Mortgages
23-17. —Listing of Law Days
23-18. —Proof of Debt in Foreclosures
23-19. —Motion for Deficiency Judgment
23-20. Review of Civil Contempt
23-21. Habeas Corpus
23-22. —The Petition
23-23. —Return of Noncomplying Petition
23-24. —Preliminary Consideration of Judicial Authority
23-25. —Waiver of Filing Fees and Costs of Service
23-26. —Appointment of Counsel
23-27. —Venue for Habeas Corpus
23-28. —Transfer of Habeas Corpus
23-29. —Dismissal
23-30. —The Return
23-31. —Reply to the Return
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-
ing or Vacating Award
In proceedings brought for confirming, vacating
or correcting an arbitration award under General
Statutes §§ 52-417, 52-418 or 52-419, the court
or judge to whom the application is made shall
cause to be issued a citation directing the adverse
party or parties in the arbitration proceeding to
appear on a day certain and show cause, if any
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23-32. —Amendments
23-33. —Request for a More Specific Statement
23-34. —Summary Procedures for Habeas Corpus
Petitions
23-35. —Schedule for Filing Pleadings
23-36. —The Expanded Record
23-37. —Summary Judgment in Habeas Corpus
23-38. —Discovery in Habeas Corpus
23-39. —Depositions in Habeas Corpus
23-40. —Court Appearance in Habeas Corpus
23-41. —Motion for Leave to Withdraw Appearance of
Appointed Counsel
23-42. —Judicial Action on Motion for Permission to With-
draw Appearance
23-43. Interpleader; Pleadings
23-44. —Procedure in Interpleader
23-45. Mandamus; Parties Plaintiff; Complaint
23-46. —Mandamus Complaint [Repealed]
23-47. —Mandamus Order in a Pending Action
23-48. —Temporary Order of Mandamus
23-49. —Pleadings in Mandamus
23-50. Writs of Error
23-51. Petition to Open Parking or Citation Assessment
23-52. Fact-Finding; Approval of Fact Finders
23-53. —Referral of Cases to Fact Finders
23-54. —Selection of Fact Finders; Disqualification
23-55. —Hearing in Fact-Finding
23-56. —Finding of Facts
23-57. —Objections to Acceptance of Finding of Facts
23-58. —Action by Judicial Authority
23-59. —Failure to Appear at Hearing
23-60. Arbitration; Approval of Arbitrators
23-61. —Referral of Cases to Arbitrators
23-62. —Selection of Arbitrators; Disqualification
23-63. —Hearing in Arbitration
23-64. —Decision of Arbitrator
23-65. —Failure to Appear at Hearing before Arbitrator
23-66. —Claim for Trial De Novo in Arbitration; Judgment
23-67. Alternative Dispute Resolution
23-68. Where Presence of Person May Be by Means of
an Interactive Audiovisual Device
there be, why the application should not be
granted.
(P.B. 1978-1997, Sec. 525.)
Sec. 23-2. Expedited Process Cases
[Repealed as of Jan. 1, 2015.]
Sec. 23-3. —Placement on the Expedited
Process Track
[Repealed as of Jan. 1, 2015.]
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 23-17
Sec. 23-4. —Pleadings Allowed in Expedited
Process Track Cases
[Repealed as of Jan. 1, 2015.]
Sec. 23-5. —Motions Allowed
[Repealed as of Jan. 1, 2015.]
Sec. 23-6. —Discovery Allowed
[Repealed as of Jan. 1, 2015.]
Sec. 23-7. —Discovery Procedure for Expe-
dited Process Cases
[Repealed as of Jan. 1, 2015.]
Sec. 23-8. —Certification That Pleadings
Are Closed
[Repealed as of Jan. 1, 2015.]
Sec. 23-9. —Case Management Conference
for Expedited Process Track Cases
[Repealed as of Jan. 1, 2015.]
Sec. 23-10. —Transfer to Regular Docket
[Repealed as of Jan. 1, 2015.]
Sec. 23-11. —Offers of Judgment
[Repealed as of Jan. 1, 2015.]
Sec. 23-12. —Trial of Cases on Expedited
Process Track
[Repealed as of Jan. 1, 2015.]
Sec. 23-13. Granting of Complex Litigation
Status and Assignment
The chief court administrator or the chief admin-
istrative judge of the civil division may designate
a group of cases that have many parties and com-
mon questions of law or fact as complex litigation
cases and assign the cases to a single judge
for pretrial, trial, or both and, if appropriate, may
assign the cases to another judge or court officer
for settlement or mediation discussions.
(P.B. 1998.)
Sec. 23-14. —Powers of Judge Assigned in
Complex Litigation Cases
The judge to whom complex litigation cases
have been assigned may stay any or all further
proceedings in the cases, may transfer any or all
further proceedings in the cases to the judicial
district where the judge is sitting, may hear all
pretrial motions, and may enter any appropriate
order which facilitates the management of the
complex litigation cases.
(P.B. 1998.)
Sec. 23-15. —Request for Complex Litiga-
tion Status
An attorney or judge may request the chief court
administrator to make an assignment pursuant to
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Section 23-13. The request shall be submitted in
writing to the chief court administrator and the
chief administrative judge of the civil division.
When an attorney makes such a request, the
attorney shall serve a copy of the request on other
parties pursuant to Sections 10-12 through 10-
17. Should the chief court administrator deem it
appropriate to do so, the chief court administrator
may solicit comments on the request by causing
a notice to be published in the Connecticut Law
Journal.
(P.B. 1998.)
Sec. 23-16. Foreclosure of Mortgages
At the time the plaintiff files a motion for judg-
ment of foreclosure, the plaintiff shall serve on
each appearing defendant, in accordance with
Sections 10-12 through 10-17, a copy of the
appraisal report of the property being foreclosed.
The motion for judgment shall contain a certifica-
tion that such service was made.
(P.B. 1978-1997, Sec. 526.)
Sec. 23-17. —Listing of Law Days
(a) In any action to foreclose a mortgage or lien,
any party seeking a judgment of strict foreclosure
shall file, with the motion for judgment, a list indi-
cating the order in which law days should be
assigned to the parties to the action. The order
of the law days so indicated shall reflect the infor-
mation contained in the plaintiff’s complaint, as
that information may have been modified by the
pleadings. Objections to the order of law days
indicated on said list shall only be considered in
the context of a motion for determination of priorit-
ies, which motion must be filed prior to the entry
of judgment.
(b) Unless otherwise ordered by the judicial
authority at the time it renders the judgment of
strict foreclosure, the following provisions shall be
deemed to be part of every such judgment:
(1) That, upon the payment of all of the sums
found by the judicial authority to be due the plain-
tiff, including all costs as allowed by the judicial
authority and taxed by the clerk, by any defendant,
after all subsequent parties in interest have been
foreclosed, the title to the premises shall vest
absolutely in the defendant making such payment,
subject to such unpaid encumbrances, if any, as
precede the interest of the redeeming defendant.
(2) That the defendants, and all persons claim-
ing possession of the premises through any of the
defendants under any conveyance or instrument
executed or recorded subsequent to the date of
the lis pendens or whose interest shall have been
thereafter obtained by descent or otherwise,
deliver up possession of the premises to the plain-
tiff or the defendant redeeming in accordance with
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 23-17
this decree, with stay of execution of ejectment
in favor of the redeeming defendant until one day
after the time herein limited to redeem, and if all
parties fail to redeem, then until the day following
the last assigned law day.
(P.B. 1978-1997, Sec. 526A.)
Sec. 23-18. —Proof of Debt in Foreclosures
(a) In any action to foreclose a mortgage where
no defense as to the amount of the mortgage
debt is interposed, such debt may be proved by
presenting to the judicial authority the original note
and mortgage, together with the affidavit of the
plaintiff or other person familiar with the indebted-
ness, stating what amount, including interest to
the date of the hearing, is due, and that there is
no setoff or counterclaim thereto.
(b) No less than five days before the hearing
on the motion for judgment of foreclosure, the
plaintiff shall file with the clerk of the court and
serve on each appearing party, in accordance
with Sections 10-12 through 10-17, a preliminary
statement of the plaintiff’s monetary claim.
(P.B. 1978-1997, Sec. 527.)
Sec. 23-19. —Motion for Deficiency Judg-
ment
(a) Whenever a deficiency judgment is claimed
in a foreclosure action, the party claiming such
judgment shall file with the clerk of the court within
the time limited by statute a written motion setting
forth the facts relied on as the basis for the judg-
ment, which motion shall be placed on the short
calendar for an evidentiary hearing. Such hearing
shall be held not less than fifteen days following
the filing of the motion, except as the judicial
authority may otherwise order. At such hearing
the judicial authority shall hear the evidence,
establish a valuation for the mortgaged property
and shall render judgment for the plaintiff for the
difference, if any, between such valuation and the
plaintiff’s claim. The plaintiff in any further action
upon the debt, note or obligation, shall recover
only the amount of such judgment.
(b) Upon the motion of any party and for good
cause shown, the court may refer such motion to
a judge trial referee for hearing and judgment.
(c) Not less than fifteen days prior to the hearing
on the motion for deficiency judgment, the party
claiming the deficiency judgment shall file with the
clerk of the court and serve on each appearing
party, in accordance with Sections 10-12 through
10-17, a preliminary computation of the debt, the
name of any expert on whose opinion the party
will rely to prove the value of the property on the
date of vesting, and a statement of the party’s
claims as to the value. If any party intends to offer
evidence contradicting the debt or the valuation
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of the property, such party shall file an objection
five days before the hearing on the motion and
shall disclose the name of any person who will
testify as to the value of the property.
(P.B. 1978-1997, Sec. 528.)
Sec. 23-20. Review of Civil Contempt
No person shall continue to be detained in a
correctional facility pursuant to an order of civil
contempt for longer than thirty days, unless at
the expiration of such thirty days such person is
presented to the judicial authority. On each such
presentment, the contemnor shall be given an
opportunity to purge himself or herself of the con-
tempt by compliance with the order of the judicial
authority. If the contemnor does not so act, the
judicial authority may direct that the contemnor
remain in custody under the terms of the order of
the judicial authority then in effect, or may modify
the order if the interests of justice so dictate.
(P.B. 1978-1997, Sec. 528A.)
Sec. 23-21. Habeas Corpus
Except as otherwise provided herein, the proce-
dures set forth in Sections 23-22 through 23-42
shall apply to any petition for a writ of habeas
corpus which sets forth a claim of illegal confine-
ment. Such procedures shall not apply to any peti-
tion for a writ of habeas corpus brought to
determine the custody and visitation of children
or brought by or on behalf of a person confined
in a hospital for mental illness.
(P.B. 1978-1997, Sec. 529.)
Sec. 23-22. —The Petition
A petition for a writ of habeas corpus shall be
under oath and shall state:
(1) the specific facts upon which each specific
claim of illegal confinement is based and the
relief requested;
(2) any previous petitions for the writ of habeas
corpus challenging the same confinement and the
dispositions taken thereon; and
(3) whether the legal grounds upon which the
petition is based were previously asserted at the
criminal trial, on direct appeal or in any previous
petition.
(P.B. 1978-1997, Sec. 529A.) (Amended June 25, 2001,
to take effect Jan. 1, 2002.)
Sec. 23-23. —Return of Noncomplying
Petition
The court may return any petition not in sub-
stantial compliance with the requirements of Sec-
tion 23-22 with a description of how the petition
fails to comply with filing requirements and a state-
ment indicating that a corrected petition may be
resubmitted.
(P.B. 1978-1997, Sec. 529B.)
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 23-33
Sec. 23-24. —Preliminary Consideration of
Judicial Authority
(a) The judicial authority shall promptly review
any petition for a writ of habeas corpus to deter-
mine whether the writ should issue. The judicial
authority shall issue the writ unless it appears that:
(1) the court lacks jurisdiction;
(2) the petition is wholly frivolous on its face; or
(3) the relief sought is not available.
(b) The judicial authority shall notify the peti-
tioner if it declines to issue the writ pursuant to
this rule.
(P.B. 1978-1997, Sec. 529C.)
Sec. 23-25. —Waiver of Filing Fees and
Costs of Service
The judicial authority may waive the filing fee
and costs of service in accordance with Section
8-2.
(P.B. 1978-1997, Sec. 529D.)
Sec. 23-26. —Appointment of Counsel
In petitions arising from criminal matters, extra-
dition proceedings or delinquency matters, if the
petitioner has requested counsel, the judicial
authority shall refer the matter to the public
defender for an investigation of indigence. If, after
such investigation, the judicial authority deter-
mines that the petitioner is eligible for public
defender services, the judicial authority shall
appoint counsel in accordance with the provisions
of General Statutes § 51-296.
(P.B. 1978-1997, Sec. 529E.)
Sec. 23-27. —Venue for Habeas Corpus
The venue for habeas corpus matters shall be
in accordance with the general statutes. Transfer
or removal of the subject of the petition to another
location shall not affect venue, provided that the
subject of the petition remains in the custody of
the respondent.
(P.B. 1978-1997, Sec. 529F.)
Sec. 23-28. —Transfer of Habeas Corpus
The petition may be transferred to another judi-
cial district for good cause shown.
(P.B. 1978-1997, Sec. 529G.)
Sec. 23-29. —Dismissal
The judicial authority may, at any time, upon its
own motion or upon motion of the respondent,
dismiss the petition, or any count thereof, if it
determines that:
(1) the court lacks jurisdiction;
(2) the petition, or a count thereof, fails to state
a claim upon which habeas corpus relief can be
granted;
(3) the petition presents the same ground as a
prior petition previously denied and fails to state
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new facts or to proffer new evidence not reason-
ably available at the time of the prior petition;
(4) the claims asserted in the petition are moot
or premature;
(5) any other legally sufficient ground for dis-
missal of the petition exists.
(P.B. 1978-1997, Sec. 529H.)
Sec. 23-30. —The Return
(a) The respondent shall file a return to the
petition setting forth the facts claimed to justify
the detention and attaching any commitment
order upon which custody is based.
(b) The return shall respond to the allegations
of the petition and shall allege any facts in support
of any claim of procedural default, abuse of the
writ, or any other claim that the petitioner is not
entitled to relief.
(P.B. 1978-1997, Sec. 529I.)
Sec. 23-31. —Reply to the Return
(a) If the return alleges any defense or claim
that the petitioner is not entitled to relief, and such
allegations are not put in dispute by the petition,
the petitioner shall file a reply.
(b) The reply shall admit or deny any allegations
that the petitioner is not entitled to relief.
(c) The reply shall allege any facts and assert
any cause and prejudice claimed to permit review
of any issue despite any claimed procedural
default. The reply shall not restate the claims of
the petition.
(P.B. 1978-1997, Sec. 529J.)
Sec. 23-32. —Amendments
The petitioner may amend the petition at any
time prior to the filing of the return. Following the
return, any pleading may be amended with leave
of the judicial authority for good cause shown.
(P.B. 1978-1997, Sec. 529K.)
Sec. 23-33. —Request for a More Specific
Statement
Any party may request a more specific state-
ment regarding a preceding pleading to obtain a
more complete and particular statement of the
facts supporting each legal claim or to obtain any
other appropriate correction in the preceding
pleading. Such request shall be deemed to have
been granted by the judicial authority on the date
of the filing and shall be complied with by the party
to whom it is directed within thirty days of filing,
unless within thirty days of filing the party to whom
it is directed objects, setting forth, in concise fash-
ion, the basis for the objection. A request for a
more specific statement, and objection, may be
ruled upon by the judicial authority without oral
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 23-33
argument, unless the judicial authority determines
that oral argument is necessary.
(P.B. 1978-1997, Sec. 529L.)
Sec. 23-34. —Summary Procedures for
Habeas Corpus Petitions
The judicial authority may establish such addi-
tional procedures as it determines will aid in the
fair and summary disposition of habeas corpus
petitions, including, but not limited to, schedul-
ing orders.
(P.B. 1978-1997, Sec. 529M.)
Sec. 23-35. —Schedule for Filing Pleadings
Unless the judicial authority issues specific
scheduling orders, the following schedule shall
apply:
(a) Amended Petition.
(1) Transcript Necessary. If a transcript of prior
proceedings is necessary to pursue the petition,
within thirty days after notice that the writ has
issued, or notice of appointment of counsel,
whichever is later, the petitioner shall file a state-
ment describing any transcript(s) ordered. Upon
receipt of the transcript(s), the petitioner shall file
a notice of transcript receipt. Within sixty days of
receipt of the transcript(s), the petitioner shall file
an amended petition, or notice that the petition
will not be amended.
(2) Transcript not Necessary. If a transcript is
not necessary to pursue the petition, within thirty
days after notice that the writ has issued, or notice
of appointment of counsel, whichever is later, the
petitioner shall file an amended petition or a notice
that the petition will not be amended.
(b) Return or Responsive Pleading. The return
or responsive pleading shall be filed within thirty
days of the filing of the amended petition or the
notice that the petition will not be amended.
(c) Reply. Any reply to the return shall be filed
within thirty days after the filing of the return.
(d) The judicial authority may alter the time for
filing any pleading.
(P.B. 1978-1997, Sec. 529N.)
Sec. 23-36. —The Expanded Record
A party may, consistent with the rules of evi-
dence, offer as an exhibit, or the habeas court
may take judicial notice of, the transcript and any
portion of the superior court, appellate court or
supreme court record or clerk’s file from the peti-
tioner’s criminal matter which is the subject of the
habeas proceeding.
(P.B. 1978-1997, Sec. 529O.) (Amended June 12, 2015,
to take effect Jan. 1, 2016.)
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Sec. 23-37. —Summary Judgment in
Habeas Corpus
At any time after the pleadings are closed, any
party may move for summary judgment, which
shall be rendered if the pleadings, affidavits and
any other evidence submitted show that there is
no genuine issue of material fact between the
parties requiring a trial and the moving party is
entitled to judgment as a matter of law.
(P.B. 1978-1997, Sec. 529P.)
Sec. 23-38. —Discovery in Habeas Corpus
(a) Discovery, as of right, is limited to:
(1) A list of witnesses;
(2) A statement of the subject matter upon
which any expert witness is expected to testify;
(3) A statement of the opinions the expert is
expected to render and the ground for each
opinion.
(b) The parties may cooperatively engage in
informal discovery. The provisions of chapter 13,
Discovery and Depositions of the rules of practice,
do not apply to habeas corpus proceedings.
(c) Upon motion, the judicial authority may order
such other limited discovery as the judicial author-
ity determines will enhance the fair and summary
disposal of the case.
(P.B. 1978-1997, Sec. 529Q.)
Sec. 23-39. —Depositions in Habeas Corpus
(a) Upon leave of the judicial authority, the testi-
mony of any person may be taken by deposition
if the testimony will be required at an evidentiary
hearing and it appears:
(1) the testimony may not be available at the
required evidentiary hearing because of physical
or mental illness or infirmity of the witness; or
(2) the witness resides out of this state and
cannot be compelled to attend and give testi-
mony; or
(3) the witness may otherwise be unavailable
to testify at the required evidentiary hearing.
(b) The admissibility of deposition testimony
shall be governed by the rules of evidence.
(P.B. 1978-1997, Sec. 529R.)
Sec. 23-40. —Court Appearance in Habeas
Corpus
(a) The petitioner and, if they are not the same,
the subject of the petition, shall have the right to
be present at any evidentiary hearing and at any
hearing or oral argument on a question of law
which may be dispositive of the case, unless the
petitioner, or the subject of the petition, as the
case may be, waives such right or is excused by
the judicial authority for good cause shown. If the
petitioner is represented by counsel, the judicial
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 23-47
authority may, but is not required to, permit the
petitioner to be present at any other proceeding.
(b) Notwithstanding any other provision of these
rules, in a petition arising from a claim regarding
conditions of confinement the physical appear-
ance in court of the petitioner or the subject of
the petition may, in the discretion of the judicial
authority, be made by means of an interactive
audiovisual device. Such audiovisual device must
operate so that the petitioner, or the subject of
the petition, his or her attorney, if any, and the
judicial authority can see and communicate with
each other simultaneously. In addition, a proce-
dure by which the petitioner and his or her attorney
can confer in private must be provided.
(P.B. 1978-1997, Sec. 529S.) (Amended June 28, 1999,
to take effect Jan. 1, 2000.)
Sec. 23-41. —Motion for Leave to Withdraw
Appearance of Appointed Counsel
(a) When counsel has been appointed pursuant
to Section 23-26, and counsel, after conscientious
investigation and examination of the case, con-
cludes that the case is wholly frivolous, counsel
shall so advise the judicial authority by filing a
motion for leave to withdraw from the case.
(b) At the time such motion is filed, counsel for
the petitioner shall also file all relevant portions
of the record of the criminal case, direct appeal
and any postconviction proceedings not already
filed together with a memorandum of law outlining:
(1) the claims raised by the petitioner and any
other potential claims apparent in the case;
(2) the efforts undertaken to investigate the fac-
tual basis and legal merit of each claim;
(3) the factual and legal basis for the conclusion
that the case is wholly frivolous.
(c) Any motion for leave to withdraw and sup-
porting memorandum of law shall be filed under
seal and provided to the petitioner. Counsel shall
serve opposing counsel with notice that a motion
for leave to withdraw has been filed but shall not
serve opposing counsel with a copy of the motion
or any supporting memorandum of law. The peti-
tioner shall have thirty days from the date the
motion and supporting memorandum are filed to
file a response with the court.
(P.B. 1978-1997, Sec. 529T.) (Amended June 22, 2009, to
take effect Jan. 1, 2010.)
Sec. 23-42. —Judicial Action on Motion for
Permission to Withdraw Appearance
(a) The presiding judge shall fully examine the
memoranda of law filed by counsel and the peti-
tioner, together with any relevant portions of the
records of prior trial court, appellate and postcon-
viction proceedings. If, after such examination, the
presiding judge concludes that the submissions
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establish that the petitioner’s case is wholly frivo-
lous, such judge shall grant counsel’s motion to
withdraw and permit the petitioner to proceed as
a self-represented party. A memorandum shall be
filed setting forth the basis for granting any motion
under Section 23-41.
(b) If, after the examination required in subsec-
tion (a), the presiding judge does not conclude
that the petitioner’s case is wholly frivolous, such
judge may deny the motion to withdraw, may
appoint substitute counsel for further proceedings
under Section 23-41, or may allow the withdrawal
on other grounds and appoint new counsel to rep-
resent the petitioner.
(P.B. 1978-1997, Sec. 529U.) (Amended June 22, 2009,
to take effect Jan. 1, 2010.)
Sec. 23-43. Interpleader; Pleadings
The complaint in an interpleader action shall
allege only such facts as show that there are
adverse claims to the fund or property.
(P.B. 1978-1997, Sec. 538.)
Sec. 23-44. —Procedure in Interpleader
No trial on the merits of an interpleader action
shall be had until (1) an interlocutory judgment of
interpleader shall have been entered; and (2) all
defendants shall have filed statements of claim,
been defaulted or filed waivers. Issues shall be
closed on the claims as in other cases.
(P.B. 1978-1997, Sec. 539.) (Amended June 25, 2001, to
take effect Jan. 1, 2002.)
Sec. 23-45. Mandamus; Parties Plaintiff;
Complaint
(Amended June 24, 2016, to take effect Jan. 1, 2017.)
(a) An action of mandamus may be brought
in an individual right by any person who claims
entitlement to that remedy to enforce a private
duty owed to that person, or by any state’s attor-
ney to enforce a public duty.
(b) The plaintiff shall commence the action by
serving and filing a writ and complaint that con-
forms to the requirements of Section 8-1 of these
rules. The prayer for relief shall include asking
that an order in the nature of a mandamus be
granted. No affidavit to the truth of the allegation
of the complaint is required.
(P.B. 1978-1997, Sec. 541.) (Amended June 24, 2016, to
take effect Jan. 1, 2017.)
Sec. 23-46. —Mandamus Complaint
[Repealed as of Jan. 1, 2017.]
Sec. 23-47. —Mandamus Order in a Pend-
ing Action
(Amended June 24, 2016, to take effect Jan. 1, 2017.)
Any party may move for an order in the nature
of a mandamus in a pending action. Any person
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 23-47
claimed to be charged with the duty of performing
the act in question may be summoned before the
court by the service upon that person of a rule to
show cause.
(P.B. 1978-1997, Sec. 543.) (Amended June 24, 2016, to
take effect Jan. 1, 2017.)
Sec. 23-48. —Temporary Order of Manda-
mus
The plaintiff may attach to the complaint or sub-
sequently file a motion under oath for a temporary
order of mandamus to be effective until the final
disposition of the cause. Such a motion shall be
addressed to the court to which the action is
returnable. The judicial authority may, if it appears
upon hearing that the plaintiff will otherwise suffer
irreparable injury, forthwith issue such an order
or it may issue a rule to show cause why it should
not be issued; but no such temporary order shall
issue in any case, except where the state’s attor-
ney is the plaintiff, until the plaintiff has given to
the opposing party a bond with surety, approved
by the judicial authority, that the plaintiff will
answer all damages should the plaintiff fail to pros-
ecute the action to effect, unless the judicial
authority shall find that the giving of such bond is
unnecessary. Any party may at any time make a
motion to the court that any such temporary order
be dissolved.
(P.B. 1978-1997, Sec. 544.)
Sec. 23-49. —Pleadings in Mandamus
The defendant may file any proper motion
directed to the allegations of the complaint, or,
desiring to attack their legal sufficiency in law, a
motion to strike, or a return in the form of an
answer, and further pleadings shall continue as
in civil actions until issues are joined, provided
that, where an application for an order is made in
a pending action, the extent to which and the time
in which the respondent may plead shall be as
directed by the judicial authority.
(P.B. 1978-1997, Sec. 545.)
Sec. 23-50. Writs of Error
In every writ of error there must be a special
assignment of errors, in which the precise matters
of error in the proceedings in the superior court
relied upon as grounds of relief must be set forth.
No others will be heard or considered by the judi-
cial authority.
(P.B. 1978-1997, Sec. 546.)
Sec. 23-51. Petition to Open Parking or Cita-
tion Assessment
(a) Any aggrieved person who wishes to appeal
a parking or citation assessment issued by a town,
city, borough or other municipality shall file with
the clerk of the court within the time limited by
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statute a petition to open assessment with a copy
of the notice of assessment annexed thereto. A
copy of the petition with the notice of assessment
annexed shall be sent by the petitioner by certified
mail to the town, city, borough or municipality
involved.
(b) Upon receipt of the petition, the clerk of the
court, after consultation with the presiding judge,
shall set a hearing date on the petition and shall
notify the parties thereof. There shall be no plead-
ings subsequent to the petition.
(c) The hearing on the petition shall be de novo.
There shall be no right to a hearing before a jury.
(P.B. 1978-1997, Sec. 546A.)
Sec. 23-52. Fact-Finding; Approval of Fact
Finders
(a) Upon publication of notice requesting appli-
cations, any commissioner of the superior court
admitted to practice in this state for at least five
years may submit his or her name to the office of
the chief court administrator for approval to be
placed on a list of fact finders for one or more
judicial districts.
(b) The chief court administrator shall have the
power to designate fact finders for such term as
the chief court administrator may fix and, in his
or her discretion, to revoke such designation at
any time.
(c) Applicants and fact finders must satisfacto-
rily complete such training programs as may be
required by the chief court administrator.
(P.B. 1978-1997, Sec. 546C.)
Sec. 23-53. —Referral of Cases to Fact
Finders
The court, on its own motion, may refer to a fact
finder any contract action pending in the superior
court, except claims under insurance contracts for
uninsured and or underinsured motorist coverage,
in which money damages only are claimed, which
is based upon an express or implied promise to
pay a definite sum, and in which the amount, legal
interest or property in controversy is less than
$50,000, exclusive of interest and costs. Such
cases may be referred to a fact finder only after
the pleadings have been closed, a certificate of
closed pleadings has been filed, and the time pre-
scribed for filing a jury trial claim has expired.
(P.B. 1978-1997, Sec. 546D.) (Amended June 29, 1998,
to take effect Jan. 1, 1999.)
Sec. 23-54. —Selection of Fact Finders; Dis-
qualification
(a) The fact finder shall be selected by the pre-
siding civil judge for the court location where the
case is pending.
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 23-60
(b) A fact finder may disqualify himself or herself
upon his or her own application or upon applica-
tion of a party. Should a party object to a fact
finder’s refusal to disqualify himself or herself for
cause, such party may file an application for dis-
qualification with the presiding civil judge in the
court location where the case is pending.
(c) Should a fact finder disqualify himself or
herself, the fact finder shall inform in writing the
presiding civil judge in the court location where
the case is pending.
(P.B. 1978-1997, Sec. 546E.)
Sec. 23-55. —Hearing in Fact-Finding
In matters submitted to fact-finding a record
shall be made of the proceedings and the civil
rules of evidence shall apply.
(P.B. 1978-1997, Sec. 546F.)
Sec. 23-56. —Finding of Facts
(a) The findings of facts shall be in writing, and
in accordance with Section 19-8. The fact finder
shall include in the finding of facts the number of
days on which hearings concerning that case
were held. It shall be signed by the fact finder and
should include an award of damages, if
applicable.
(b) The fact finder may accompany the finding
of facts with a memorandum of decision including
such matters as the fact finder may deem helpful
in the decision of the case.
(c) Within 120 days of the completion of the fact
finder’s hearing the fact finder shall file the finding
of facts with the clerk of the court with sufficient
copies for all counsel.
(P.B. 1978-1997, Sec. 546G.)
Sec. 23-57. —Objections to Acceptance of
Finding of Facts
(a) A party may file objections to the acceptance
of a finding of facts on the ground that conclusions
of fact stated in it were not properly reached on
the basis of the subordinate facts found, or that
the fact finder erred in rulings on evidence or in
other rulings, or that there are other reasons why
the finding of facts should not be accepted.
(b) Objections must be filed within fourteen days
after the filing of the finding of facts.
(P.B. 1978-1997, Sec. 546H.)
Sec. 23-58. —Action by Judicial Authority
(a) After review of the finding of facts and hear-
ing on any objections thereto, the judicial authority
may take the following action: (1) render judgment
in accordance with the finding of facts; (2) reject
the finding of facts and remand the case to the
fact finder who originally heard the matter for a
rehearing on all or part of the finding of facts; (3)
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reject the finding of facts and remand the matter
to another fact finder for rehearing; (4) reject the
finding of facts and revoke the reference; (5)
remand the case to the fact finder who originally
heard the matter for a finding on an issue raised
in an objection which was not addressed in the
original finding of facts; or (6) take any other action
the judicial authority may deem appropriate.
(b) The judicial authority may correct a finding
of facts at any time before accepting it, upon the
written stipulation of the parties.
(c) The fact finder shall not be called as a wit-
ness, nor shall the decision of the fact finder be
admitted into evidence at another proceeding
ordered by a judicial authority.
(P.B. 1978-1997, Sec. 546J.)
Sec. 23-59. —Failure to Appear at Hearing
(a) Where a party fails to appear at the hearing,
the fact finder shall nonetheless proceed with the
hearing and shall make a finding of facts, as may
be just and proper under the facts and circum-
stances of the action, which shall be filed with the
clerk of the court pursuant to Section 23-56 for
consideration by the judicial authority pursuant to
Section 23-58. If, pursuant to Section 23-57, the
party who failed to appear files an objection to
the acceptance of the finding of facts and the
objection is sustained by the judicial authority, the
judicial authority may require that party to pay to
the court an amount not greater than the total
fees then payable to the fact finder for services
in the case.
(b) If all parties fail to appear at the hearing,
the fact finder shall file a request with the court
to dismiss the action. If the judicial authority does
not dismiss the action it may be heard by the fact
finder upon further order of the judicial authority.
Such order may provide for the payment by any
party to the court of an amount not greater than
$100.
(P.B. 1978-1997, Sec. 546K.)
Sec. 23-60. Arbitration; Approval of Arbi-
trators
(a) Upon publication of notice requesting appli-
cations, any commissioner of the superior court
admitted to practice in this state for at least five
years, and who possesses civil litigation experi-
ence may submit his or her name to the office of
the chief court administrator for approval to be
placed on a list of arbitrators for one or more
judicial districts.
(b) The chief court administrator shall have the
power to designate arbitrators for such term as
the chief court administrator may fix and, in his
or her discretion, to revoke such designation at
any time.
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 23-60
(c) Applicants and arbitrators must satisfactorily
complete such training programs as may be
required by the chief court administrator.
(P.B. 1978-1997, Sec. 546M.) (Amended June 29, 1998,
to take effect Jan. 1, 1999.)
Sec. 23-61. —Referral of Cases to Arbi-
trators
The court, on its own motion, may refer to an
arbitrator any civil action in which, in the discretion
of the court, the reasonable expectation of a judg-
ment is less than $50,000, exclusive of interest
and costs and in which a claim for a trial by jury
and a certificate of closed pleadings have been
filed. An award under this section shall not exceed
$50,000, exclusive of legal interest and costs. Any
party may petition the court to participate in the
arbitration process hereunder.
(P.B. 1978-1997, Sec. 546N.) (Amended June 29, 1998,
to take effect Jan. 1, 1999.)
Sec. 23-62. —Selection of Arbitrators; Dis-
qualification
(a) The arbitrator shall be selected by the pre-
siding civil judge for the court location in which
the case is pending.
(b) An arbitrator may disqualify himself or her-
self upon his or her own application or upon appli-
cation of a party. Should a party object to an
arbitrator’s refusal to disqualify himself or herself
for cause, such party may file an application for
disqualification with the presiding civil judge in the
court location where the case is pending.
(c) Should an arbitrator disqualify himself or
herself, the arbitrator shall inform in writing the
presiding civil judge in the court location where
the case is pending.
(P.B. 1978-1997, Sec. 546O.)
Sec. 23-63. —Hearing in Arbitration
In matters submitted to arbitration no record
shall be made of the proceedings and the strict
adherence to the civil rules of evidence shall not
be required.
(P.B. 1978-1997, Sec. 546P.) (Amended June 29, 1998,
to take effect Jan. 1, 1999.)
Sec. 23-64. —Decision of Arbitrator
(a) The arbitrator shall state in writing the deci-
sion on the issues in the case and the factual
basis of the decision. The arbitrator shall include
in the decision the number of days on which hear-
ings concerning that case were held.
(b) Within 120 days of the completion of the
arbitration hearing the arbitrator shall file the deci-
sion with the clerk of the court together with suffi-
cient copies for all counsel.
(P.B. 1978-1997, Sec. 546Q.)
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Sec. 23-65. —Failure to Appear at Hearing
before Arbitrator
(a) Where a party fails to appear at the hearing,
the arbitrator shall nonetheless proceed with the
hearing and shall render a decision, which shall
be rendered as a judgment by the court. Such
judgment may not be opened or set aside unless
a motion to open or set aside is filed within four
months succeeding the date on which notice was
sent. If the judicial authority opens or sets aside
the judgment, it may resubmit the action to the
arbitrator. Any order opening or setting aside the
judgment may be upon condition that the moving
party pay to the court an amount not greater than
the total fees then payable to the arbitrator for
services in the case.
(b) If all parties fail to appear at the hearing,
the arbitrator shall file a request with the court to
dismiss the action. If the judicial authority does
not dismiss the action, it may be heard by the
arbitrator upon further order of the judicial author-
ity. Such order may provide for the payment by
any party to the court of an amount not greater
than $100.
(P.B. 1978-1997, Sec. 546R.) (Amended June 29, 1998,
to take effect Jan. 1, 1999.)
Sec. 23-66. —Claim for Trial De Novo in Arbi-
tration; Judgment
(a) A decision of the arbitrator shall become a
judgment of the court if no claim for a trial de novo
is filed in accordance with subsection (c).
(b) A decision of the arbitrator shall become
null and void if a claim for a trial de novo is filed
in accordance with subsection (c).
(c) A claim for a trial de novo must be filed with
the court clerk within twenty days after the deposit
of the arbitrator’s decision in the United States
mail, as evidenced by the postmark. Thirty days
after the filing of a timely claim for a trial de novo
the court may, in its discretion, schedule the mat-
ter for a trial within thirty days thereafter. Only a
party who appeared at the arbitration hearing may
file a claim for a trial de novo. The decision of the
arbitrator shall not be admissible in any proceed-
ing resulting after a claim for a trial de novo pursu-
ant to this section or from a setting aside of an
award pursuant to General Statutes § 52-549aa.
(d) The judicial authority may refer any proceed-
ing resulting from the filing of a demand for a trial
de novo under subsection (c) of this section to a
judge trial referee without the consent of the par-
ties, and said judge trial referee shall have and
exercise the powers of the superior court in
respect to trial, judgment and appeal in the case,
including a judgment of $50,000 or more.
(P.B. 1978-1997, Sec. 546S.) (Amended June 29, 1998,
to take effect Jan. 1, 1999; subsection (c) was amended June
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 23-68
29, 1998, on an interim basis, pursuant to the provisions of
Section 1-9 (c), to take effect Jan. 1, 1999; amended June
28, 1999, to take effect Jan. 1, 2000; amended June 24, 2002,
to take effect Jan. 1, 2003.)
Sec. 23-67. Alternative Dispute Resolution
The judicial authority may, upon stipulation of
the parties, refer a civil action to a program of
alternative dispute resolution agreed to by the par-
ties. The judicial authority shall set a time limit on
the duration of the referral, which shall not exceed
ninety days. The referral of an action to such a
program will stay the time periods within which
all further pleadings, motions, requests, discovery
and other procedures must be filed or undertaken
until such time as the alternative dispute resolu-
tion process is completed or the time period set
by the judicial authority has elapsed, whichever
occurs sooner. Such referred action shall be
exempt from the docket management program
during the time of the referral.
(P.B. 1978-1997, Sec. 546T.) (Amended June 24, 2002, to
take effect Jan. 1, 2003.)
Sec. 23-68. Where Presence of Person May
Be by Means of an Interactive Audiovisual
Device
(a) Upon motion of any party, and at the discre-
tion of the judicial authority, any party or counsel
may appear by means of an interactive audiovi-
sual device at any proceeding in any civil matter,
including all proceedings within the jurisdiction of
the small claims section, or any family matter,
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including all proceedings within the jurisdiction of
the family support magistrate division.
(b) Upon order of the judicial authority, an incar-
cerated individual may be required to appear by
means of an interactive audiovisual device in any
civil or family matter.
(c) For purposes of this section, an interactive
audiovisual device must operate so that any party
and his or her counsel, if any, and the judicial
authority can see and communicate with each
other simultaneously. In addition, a procedure by
which an incarcerated individual and his or her
counsel can confer in private must be provided.
(d) Unless otherwise required by law or unless
otherwise ordered by the judicial authority, prior
to any proceeding in which a person appears by
means of an interactive audiovisual device, copies
of all documents which may be offered at the
proceeding shall be provided to all counsel and
self-represented parties in advance of the pro-
ceeding.
(e) Nothing contained in this section shall be
construed to limit the discretion of the judicial
authority to deny a request to appear by means
of an interactive audiovisual device where, in the
judicial authority’s judgment, the interest of justice
or the presentation of the case require that the
party or counsel appear in person.
(f) For purposes of this section, judicial authority
includes family support magistrates and magis-
trates appointed by the chief court administrator
pursuant to General Statutes § 51-193l.
(Adopted Dec. 19, 2006, to take effect March 12, 2007;
amended June 24, 2016, to take effect Jan. 1, 2017.)
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 24-1
CHAPTER 24
SMALL CLAIMS
Sec. Sec.
24-1. In General
24-2. Allowable Actions
24-3. Institution of Actions; Electronic Filing
24-4. Where Claims Shall Be Filed
24-5. Venue
24-6. Definition of ‘‘Plaintiff’’ and ‘‘Representative’’
24-7. What Constitutes File
24-8. Institution of Small Claims Actions; Beginning of
Action
24-9. —Preparation of Writ
24-10. —Service of Small Claims Writ and Notice of Suit
24-11. —Further Service of Claim [Repealed]
24-12. —Answer Date
24-13. —Alternative Method of Commencing Action
[Repealed]
24-14. —Notice of Time and Place of Hearing
24-15. —Scheduling of Hearings; Continuances
24-16. Answers; Requests for Time to Pay
24-17. —Prohibition of Certain Filings
24-18. —Plaintiff to Inquire as to Answer Filed [Repealed]
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
(a) The general purpose of these rules is to
secure the prompt and inexpensive hearing and
determination of small claims by simplified proce-
dure designed to allow the public maximum
access to and use of the court in connection with
such claims. Any comments as to the operation
of the small claims court should be directed to the
office of the chief court administrator.
(b) All proceedings shall be simple and informal.
The services of an attorney at law are permissible
but not obligatory. Notice to the representative for
a party shall be equivalent to notice to such party.
(P.B. 1978-1997, Sec. 547.) (Amended June 26, 2000, to
take effect Jan. 1, 2001.)
Sec. 24-2. Allowable Actions
(Amended June 26, 2000, to take effect Jan. 1, 2001.)
These rules shall apply to actions claiming
money damages only, including actions against
a nonresident defendant if he or she owns real or
personal property in this state and actions against
in-state and out-of-state corporations. Actions of
libel and slander are not permitted under these
rules. In no case shall the damages claimed
exceed the jurisdictional monetary limit fixed by
statute, including attorney’s fees and other costs
of collection, but exclusive of interest and costs.
(P.B. 1978-1997, Sec. 548.) (Amended June 26, 2000, to
take effect Jan. 1, 2001.)
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24-19. —Claim of Setoff or Counterclaim
24-20. —Amendment of Claim or Answer, Setoff or Coun-
terclaim; Motion to Dismiss
24-20A. —Request for Documents; Depositions
24-21. Transfer to Regular Docket
24-22. Hearings in Small Claims Actions; Subpoenas
24-23. —Procedure
24-24. Judgments in Small Claims; When Presence of the
Plaintiff or Representative is Not Required for
Entry of Judgment
24-25. —Failure of the Defendant to Answer
24-26. —Failure of a Party to Appear before the Court
when Required
24-27. —Dismissal for Failure to Obtain Judgment
24-28. —Finality of Judgments and Decisions
24-29. —Decision in Small Claims; Time Limit
24-30. —Satisfying Judgment
24-31. —Opening Judgment; Costs
24-32. Execution in Small Claims Actions
24-33. Costs in Small Claims
Sec. 24-3. Institution of Actions; Electronic
Filing
(Amended June 21, 2010, to take effect Jan. 1, 2011.)
Actions may be instituted at the option of the
claimant by the procedure herein provided for, or
by writ and complaint returnable to the regular
civil docket of the superior court. Actions may also
be instituted and papers filed, signed or verified
by electronic means in the manner prescribed in
Section 4-4.
(P.B. 1978-1997, Sec. 549.) (Amended June 21, 2010, to
take effect Jan. 1, 2011.)
Sec. 24-4. Where Claims Shall Be Filed
Claims shall be filed in the clerk’s office serving
the small claims area designated by the chief court
administrator where venue exists, as set forth in
General Statutes §§ 51-345, 51-346 and 51-347,
except that claims concerning housing matters,
as defined by General Statutes § 47a-68, which
are filed in a judicial district in which a housing
session has been established, shall be filed with
the clerk of the housing session for that judicial
district. Claims may be filed electronically pursu-
ant to Section 24-3. The plaintiff shall include in
the statement of the claim a statement of facts
that provides the basis for venue in accordance
with General Statutes §§ 51-345 (d), 51-345 (g)
and such other statutes as are applicable.
(P.B. 1978-1997, Sec. 550.) (Amended June 29, 1998, to
take effect Jan. 1, 1999; amended June 21, 2010, to take
effect Jan. 1, 2011.)
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 24-10
Sec. 24-5. Venue
The venue for small claims shall be in accord-
ance with the General Statutes.
(P.B. 1978-1997, Sec. 551.)
Sec. 24-6. Definition of ‘‘Plaintiff’’ and ‘‘Rep-
resentative’’
(Amended June 21, 2010, to take effect Jan. 1, 2011.)
(a) Except as hereinafter limited, the word ‘‘rep-
resentative’’ as used in this chapter shall mean:
an attorney at law; one of a number of partners;
one of a number of joint plaintiffs acting for all; an
officer, manager or local manager of a corpora-
tion; an employee of an unincorporated business
which is not a partnership; the commissioner of
administrative services or his or her authorized
representative while acting in an official capacity;
the chief court administrator or his or her author-
ized representative while acting in an official
capacity. The word ‘‘representative’’ shall not
mean a consumer collection agency as defined
in chapter 669 of the General Statutes or an indi-
vidual acting pursuant to a power of attorney.
(b) The word ‘‘plaintiff’’ as used in this chapter
shall include ‘‘representative’’ as defined in sub-
section (a), except where otherwise indicated.
(c) It is prohibited for one who is not an attorney
at law to receive a fee for the representation of
any party.
(P.B. 1978-1997, Sec. 552.) (Amended June 26, 2000, to
take effect Jan. 1, 2001; amended June 21, 2010, to take
effect Jan. 1, 2011.)
Sec. 24-7. What Constitutes File
(Amended June 26, 2000, to take effect Jan. 1, 2001.)
The file shall consist of the small claims writ and
notice of suit, documents relating to the service
of the writ, allowable pleadings and motions, and
documents relating to postjudgment proceedings.
All continuances granted pursuant to Section 24-
15 shall be documented.
(P.B. 1978-1997, Sec. 553.) (Amended June 26, 2000, to
take effect Jan. 1, 2001.)
Sec. 24-8. Institution of Small Claims
Actions; Beginning of Action
The signature by the plaintiff, or representative,
on the small claims writ and notice of suit, and
the filing of the writ with the clerk, together with
the payment of all required fees, shall be deemed
the beginning of the action. Any plaintiff or repre-
sentative who wishes to obtain a judgment pursu-
ant to the provisions of Section 24-24 shall also
file the affidavits required by that section.
(P.B. 1978-1997, Sec. 556.) (Amended June 26, 2000, to
take effect Jan. 1, 2001.)
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Sec. 24-9. —Preparation of Writ
The small claims writ and notice of suit shall be
on a form prescribed by the office of the chief
court administrator. The plaintiff, or representa-
tive, shall state the nature and amount of the claim
on the writ in concise, untechnical form and, if the
claim seeks collection of a consumer debt, shall
state the basis upon which the plaintiff claims that
the statute of limitations has not expired. The writ
is to be signed by either the plaintiff, or representa-
tive, under oath. The oath shall provide that the
signer has read the claim, and that to the best
of the signer’s knowledge, information and belief
there is good ground to support it. If the claim is
more than a convenient length for entry on the
writ in full, the plaintiff, or representative, shall
attach additional pages as needed. The plaintiff,
or representative, shall also state on the writ the
plaintiff’s and the defendant’s place of residence
or other address. At the time of filing any writ, the
plaintiff, or attorney shall verify the defendant’s
address. Such verification shall include confirma-
tion by at least one of the following methods made
during the six months prior to the filing of the writ:
(1) municipal record verification (e.g., from a street
list or tax records); (2) verification from the depart-
ment of motor vehicles; (3) receipt of correspon-
dence from the defendant with that return
address; (4) other verification, specifically
described by the plaintiff, from the defendant that
the address is current; (5) the mailing by first class
mail, at least four weeks prior to the filing of the
small claims action, of a letter to the defendant
at such address, which letter has not been
returned by the United States Postal Service. The
plaintiff shall state under oath in the writ which
method of verification was employed within the
last six months, the date of verification, and that
the method confirmed the accuracy of the address
submitted. No default judgment shall enter in the
absence of such verification or if it is apparent
that the defendant did not reside at the address
at the time of service.
(P.B. 1978-1997, Sec. 557.) (Amended June 26, 2000, to
take effect Jan. 1, 2001; amended June 21, 2010, to take
effect Jan. 1, 2011.)
Sec. 24-10. —Service of Small Claims Writ
and Notice of Suit
(Amended June 26, 2000, to take effect Jan. 1, 2001.)
(a) The plaintiff, or representative, shall cause
service of the writ and notice of suit separately
on each defendant by priority mail with delivery
confirmation, by certified mail with return receipt
requested or with electronic delivery confirmation,
by a nationally recognized courier service provid-
ing delivery confirmation, or by a proper officer in
the manner in which a writ of summons is served
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 24-10
in a civil action. The plaintiff, or representative,
shall include any information required by the office
of the chief court administrator. A statement of
how service has been made, together with the
delivery confirmation or return receipt or electronic
delivery confirmation and the original writ and
notice of suit shall be filed with the clerk. The writ
and notice of suit and the statement of service
shall be returned to the court not later than one
month after the date of service.
(b) For each defendant which is an out-of-state
business entity, the plaintiff shall cause service
of the writ and notice of suit and answer form to
be made in accordance with the General Statutes.
The officer lawfully empowered to make service
shall make return of service to the court. The clerk
shall document the return of service.
(c) Upon receipt of the writ and accompanying
documents, the clerk shall set an answer date
and send notice to all plaintiffs or their representa-
tives of the docket number and answer date. The
clerk will send an answer form that includes the
docket number and answer date to each defend-
ant at the address provided by the plaintiff.
(P.B. 1978-1997, Sec. 559.) (Amended June 26, 2000, to
take effect Jan. 1, 2001; amended June 29, 2007, to take
effect Jan. 1, 2008; amended June 21, 2010, to take effect
Jan. 1, 2011; amended June 14, 2013, to take effect Jan.
1, 2014.)
Sec. 24-11. —Further Service of Claim
[Repealed as of Jan. 1, 2011.]
Sec. 24-12. —Answer Date
The answer date shall not be less than fifteen
nor more than forty-five days after the writ and
accompanying documents are filed in the court.
(P.B. 1978-1997, Sec. 562.) (Amended June 21, 2010, to
take effect Jan. 1, 2011.)
Sec. 24-13. —Alternative Method of Com-
mencing Action
[Repealed as of Jan. 1, 2011.]
Sec. 24-14. —Notice of Time and Place of
Hearing
Whenever a hearing is scheduled, the clerk
shall send to each party or representative a notice
of the time and place set for hearing. This shall
include the street address of the court, a tele-
phone number for inquiries, and the room number
or other information sufficient to describe the
place where the hearing will be held.
(P.B. 1978-1997, Sec. 564.) (Amended June 26, 2000, to
take effect Jan. 1, 2001; amended June 21, 2010, to take
effect Jan. 1, 2011.)
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Sec. 24-15. —Scheduling of Hearings; Con-
tinuances
(a) A hearing shall be scheduled not less than
six and not more than forty-five days after the
answer date.
(b) Continuances
(1) In any case where the plaintiff claims preju-
dice because of an unexpected defense or coun-
terclaim or where either party shows good cause
therefor, the judicial authority may postpone the
hearing of any claim upon such terms as the judi-
cial authority may order.
(2) A new hearing shall be scheduled within
ninety days of the date set for the hearing which
was postponed.
(3) Requests for continuances shall be made
in writing to the clerk and shall state the reasons
therefor. The party requesting the continuance
shall first attempt to notify the other party of the
request and shall include in the request when
such notice was given and whether the other party
agreed to the request. Requests for a continuance
made prior to the scheduled hearing date shall be
decided by the clerk. Requests for a continuance
made on the scheduled date shall be decided by
the judicial authority. All requests shall be acted
on as soon as possible. Oral requests for continu-
ance shall be permitted by the clerk only in
extraordinary circumstances.
(4) The clerk shall notify all parties of the deci-
sion on any request for continuance and of the
new hearing date.
(P.B. 1978-1997, Sec. 565.) (Amended June 26, 2000, to
take effect Jan. 1, 2001.)
Sec. 24-16. Answers; Requests for Time to
Pay
(Amended June 26, 2000, to take effect Jan. 1, 2001.)
(a) A defendant, unless the judicial authority
shall otherwise order, shall be defaulted and judg-
ment shall enter in accordance with the provisions
of Section 24-24, unless such defendant shall,
personally or by representative, not later than the
answer date, file an answer or file a motion to
transfer pursuant to Section 24-21. The answer
should state fully and specifically, but in concise
and untechnical form, such parts of the claim as
are contested, and the grounds thereof, provided
that an answer of general denial shall be sufficient
for purposes of this section. Each defendant shall
send a copy of the answer to each plaintiff and
shall certify on the answer form that the defendant
has done so, including the address(es) to which
a copy has been mailed. Upon the filing of an
answer, the clerk shall set the matter down for
hearing by the judicial authority.
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 24-21
(b) A defendant who admits the claim but
desires time in which to pay may state that fact
in the answer, with reasons to support this
request, on or before the time set for answering,
and may suggest a method of payment which he
or she can afford. The request for a proposed
method of payment shall be considered by the
judicial authority in determining whether there
shall be a stay of execution to permit deferred
payment or an order of payment. The judicial
authority in its discretion may require that a hear-
ing be held concerning such request.
(P.B. 1978-1997, Sec. 567.) (Amended June 26, 2000, to
take effect Jan. 1, 2001; amended June 21, 2010, to take
effect Jan. 1, 2011.)
Sec. 24-17. —Prohibition of Certain Filings
(Amended June 21, 2010, to take effect Jan. 1, 2011.)
No filings other than those provided for in this
chapter shall be permitted without permission of
the judicial authority.
(P.B. 1978-1997, Sec. 568.) (Amended June 26, 2000, to
take effect Jan. 1, 2001; amended June 21, 2010, to take
effect Jan. 1, 2011.)
Sec. 24-18. —Plaintiff to Inquire as to
Answer Filed
[Repealed as of Jan. 1, 2001.]
Sec. 24-19. —Claim of Setoff or Coun-
terclaim
The defendant, or representative may claim any
setoff or counterclaim within the jurisdiction of the
small claims court. Such written setoff or counter-
claim may be filed at any time on or before the
answer date or upon the granting of a motion
to open. Upon the making of such claim by the
defendant, the clerk shall give notice to the plaintiff
by first class mail, of the setoff or counterclaim
and shall notify the parties of the new answer
date. The defendant’s claim shall be answered
within the time and in the manner provided by
Section 24-16. The original claim, and the claim of
setoff or counterclaim, shall be deemed one case.
(P.B. 1978-1997, Sec. 570.) (Amended June 26, 2000, to
take effect Jan. 1, 2001.)
Sec. 24-20. —Amendment of Claim or
Answer, Setoff or Counterclaim; Motion to
Dismiss
(Amended June 26, 2000, to take effect Jan. 1, 2001.)
The judicial authority may at any time allow
any claim or answer, setoff or counterclaim to be
amended. A party may challenge jurisdiction by
way of a motion to dismiss.
(P.B. 1978-1997, Sec. 571.) (Amended June 26, 2000, to
take effect Jan. 1, 2001.)
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Sec. 24-20A. —Request for Documents;
Depositions
A party may request from the opposing party
documents, or copies thereof, that are necessary
or desirable for the full presentation of the case.
The party requesting such documents, or copies
thereof, shall make the request directly to the
opposing party or the party’s representative.
When a party refuses to honor such request, the
requesting party may bring the request to the judi-
cial authority’s attention, either orally or in writing,
for a decision. No deposition shall be taken except
by order of the judicial authority.
(Adopted June 26, 2000, to take effect Jan. 1, 2001;
amended June 21, 2010, to take effect Jan. 1, 2011.)
Sec. 24-21. Transfer to Regular Docket
(a) A case duly entered on the small claims
docket of a small claims area or housing session
court location shall be transferred to the regular
docket of the superior court or to the regular hous-
ing docket, respectively, if the following conditions
are met:
(1) The defendant, or the plaintiff if the defend-
ant has filed a counterclaim, shall file a motion to
transfer the case to the regular docket. This
motion must be filed on or before the answer date
with certification of service pursuant to Section
10-12 et seq. If a motion to open claiming lack of
actual notice is granted, the motion to transfer
with accompanying documents and fees must be
filed within fifteen days after the notice granting
the motion to open was sent.
(2) The motion to transfer must be accompanied
by (A) a counterclaim in an amount greater than
the jurisdiction of the small claims court; or (B) an
affidavit stating that a good defense exists to the
claim and setting forth with specificity the nature
of the defense, or stating that the case has been
properly claimed for trial by jury.
(3) The moving party shall pay all necessary
statutory fees at the time the motion to transfer
is filed, including any jury fees if a claim for trial
by jury is filed.
(b) When a defendant or plaintiff on a counter-
claim has satisfied one of the conditions of sub-
section (a) (2) herein, the motion to transfer to
the regular docket shall be granted by the judicial
authority, without the need for a hearing.
(c) A case which has been properly transferred
shall be transferred to the docket of the judicial
district which corresponds to the venue of the
small claims matter, except that a housing case
properly transferred shall remain in or be trans-
ferred to the housing session and be placed upon
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 24-21
the regular housing docket. A case may be consol-
idated with a case pending in any other clerk’s
office of the superior court.
(d) When a case is transferred from the small
claims docket to the regular docket of the superior
court or to the regular housing docket, the appear-
ance entered in the small claims case of an attor-
ney at law and of a self-represented party as an
individual shall be entered on the appropriate
docket of the superior court. Unless otherwise
ordered, when a case is transferred from the small
claims docket to the regular docket of the superior
court or to the regular housing docket, the appear-
ance of any representative that was recognized
in the small claims case, other than an attorney
at law or a self-represented party as an individual,
shall be entered on the appropriate docket of the
superior court for notice purposes only and not
as a representative of any party in the case.
(P.B. 1978-1997, Sec. 572.) (Amended June 29, 1998, to
take effect Jan. 1, 1999; amended June 26, 2000, to take
effect Jan. 1, 2001; amended June 21, 2010, to take effect
Jan. 1, 2011; amended June 24, 2016, to take effect Jan.
1, 2017.)
Sec. 24-22. Hearings in Small Claims
Actions; Subpoenas
Subpoenas, if requested, shall be issued by the
clerk without fee, and may be issued upon the
clerk’s own motion or by order of the judicial
authority. The party requesting the subpoena shall
pay the fees for service and witness fees. An
application for issuance of subpoena shall not be
required in small claims matters.
(P.B. 1978-1997, Sec. 574.) (Amended June 26, 2000, to
take effect Jan. 1, 2001.)
Sec. 24-23. —Procedure
Witnesses shall be sworn; but the judicial
authority shall conduct the hearing in such order
and form and with such methods of proof as it
deems best suited to discover the facts and to
determine the justice of the case in accordance
with substantive law.
(P.B. 1978-1997, Sec. 575.)
Sec. 24-24. Judgments in Small Claims;
When Presence of the Plaintiff or Represen-
tative is Not Required for Entry of Judgment
(a) In any action based on an express or implied
promise to pay a definite sum and claiming only
liquidated damages, which may include interest
and reasonable attorney’s fees, if the defendant
has not filed an answer by the answer date and the
judicial authority has not required that a hearing
be held concerning any request by the defendant
for more time to pay, the judicial authority may
render judgment in favor of the plaintiff without
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requiring the presence of the plaintiff or represen-
tative before the court, provided the plaintiff has
complied with the provisions of this section and
Section 24-8. Nothing contained in this section
shall prevent the judicial authority from requiring
the presence of the plaintiff or representative
before the court prior to rendering any such default
and judgment if it appears to the judicial authority
that additional information or evidence is required
prior to the entry of judgment.
(b) In order for the judicial authority to render
any judgment pursuant to this section at the time
set for entering a judgment whether by default,
stipulation or other method, the following affidavits
must have been filed by the plaintiff:
(1) An affidavit of debt signed by the plaintiff or
representative who is not the plaintiff’s attorney.
A small claims writ and notice of suit signed and
sworn to by the plaintiff or representative who is
not the plaintiff’s attorney shall be considered an
affidavit of debt for purposes of this section only
if it sets forth either the amount due or the principal
owed as of the date of the writ and contains an
itemization of interest, attorney’s fees and other
lawful charges. Any plaintiff claiming interest shall
separately state the interest and shall specify the
dates from which and to which interest is com-
puted, the rate of interest, the manner in which it
was calculated and the authority upon which the
claim for interest is based. In those matters involv-
ing the collection of credit card and other debt
owed to a financial institution and subject to fed-
eral requirements for the charging off of accounts,
the federally recognized charge-off balance may
be treated as the ‘‘principal’’ for purposes of this
section and itemization regarding such debt is
required only from the date of the charge-off bal-
ance. Nothing in this section shall prohibit a mag-
istrate from requiring further documentation.
(A) If the instrument on which the contract is
based is a negotiable instrument or assigned con-
tract, the affidavit shall state that the instrument
or contract is now owned by the plaintiff and a
copy of the executed instrument shall be attached
to the affidavit. If the plaintiff is not the original
party with whom the instrument or contract was
made, the plaintiff shall either (i) attach all bills of
sale back to the original creditor and swear to its
purchase of the debt from the last owner in its
affidavit of debt while also referencing the
attached chain of title in the affidavit of debt or (ii)
in the affidavit of debt, recite the names of all prior
owners of the debt with the date of each prior
sale, and also include the most recent bill of sale
from the plaintiff’s seller and swear to its purchase
of the debt from its seller in the affidavit of debt.
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 24-30
If applicable, the allegations shall comply with
General Statutes § 52-118.
(B) The affidavit shall simply state the basis
upon which the plaintiff claims the statute of limita-
tions has not expired.
(C) If the plaintiff has claimed any lawful fees
or charges based on a provision of the contract,
the plaintiff shall attach to the affidavit of debt a
copy of a portion of the contract containing the
terms of the contract providing for such fees or
charges and the amount claimed.
(D) If a claim for a reasonable fee for an attorney
at law is made, the plaintiff shall include in the
affidavit the reasons for the specific amount
requested. Any claim for reasonable fees for an
attorney at law must be referred to the judicial
authority for approval prior to its inclusion in any
default judgment.
(2) A military affidavit as required by Section
17-21.
(P.B. 1978-1997, Sec. 577.) (Amended June 26, 2000, to
take effect Jan. 1, 2001; amended June 21, 2010, to take
effect Jan. 1, 2011; amended June 13, 2014, to take effect
Jan. 1, 2015.)
Sec. 24-25. —Failure of the Defendant to
Answer
If the defendant does not file an answer by the
answer date, a notice of default shall be sent to
all parties or their representatives and if the case
does not come within the purview of Section 24-
24, the clerk shall set a date for hearing, and the
judicial authority shall require the presence of the
plaintiff or representative. Notice of the hearing
shall be sent to all parties or their representatives.
If a defendant files an answer at any time before
a default judgment has been entered, including
at the time of a scheduled hearing in damages,
the default shall be vacated automatically. If the
answer is filed at the time of a hearing in damages,
the judicial authority shall allow the plaintiff a con-
tinuance if requested by the plaintiff, or represen-
tative.
(P.B. 1978-1997, Sec. 578.) (Amended June 21, 2010, to
take effect Jan. 1, 2011.)
Sec. 24-26. —Failure of a Party to Appear
before the Court when Required
(a) If the plaintiff or representative fails to
appear before the court on the hearing date, the
judicial authority may dismiss the claim for want
of prosecution, render a finding on the merits for
the defendant or make such other disposition as
may be proper.
(b) If the defendant fails to appear before the
court at any time set for hearing, the judicial
authority may render judgment in favor of the
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plaintiff based on such proofs as it deems neces-
sary to establish the amount due under the claim,
or make such other disposition as may be proper,
provided that the plaintiff has appeared at the
hearing.
(P.B. 1978-1997, Sec. 579.)
Sec. 24-27. —Dismissal for Failure to
Obtain Judgment
During the months of January and July of each
year, small claims cases which, within one year
from the date of the institution of the action, have
not gone to judgment may be dismissed upon the
order of the chief court administrator.
(P.B. 1978-1997, Sec. 580.) (Amended June 26, 2000, to
take effect Jan. 1, 2001; amended June 21, 2010, to take
effect Jan. 1, 2011.)
Sec. 24-28. —Finality of Judgments and
Decisions
Except as provided in Section 24-31, the judg-
ments and decisions rendered in the small claims
session are final and conclusive. (See General
Statutes § 51-197a.)
(P.B. 1978-1997, Sec. 581.)
Sec. 24-29. —Decision in Small Claims;
Time Limit
(Amended June 26, 2000, to take effect Jan. 1, 2001.)
(a) A written decision stating the reasons for
the decision shall be required in matters in which
a contested hearing is held, in which a counter-
claim is filed or in which a judgment is entered in
an amount other than the amount claimed. Noth-
ing in this section precludes the judicial authority
from filing a written decision in any matter when
such judicial authority deems it appropriate.
(b) Judgments shall be rendered no later than
forty-five days from the completion of the proceed-
ings unless such time limit is waived in writing by
the parties or their representatives. The judgment
of the judicial authority shall be recorded by the
clerk and notice of the judgment and written deci-
sion shall be sent by mail or electronic delivery
to each party or representative, if any.
(P.B. 1978-1997, Sec. 582.) (Amended June 26, 2000, to
take effect Jan. 1, 2001; amended June 21, 2010, to take
effect Jan. 1, 2011; amended June 20, 2011, to take effect
Jan. 1, 2012.)
Sec. 24-30. —Satisfying Judgment
(a) The judicial authority may order that the
judgment shall be paid to the prevailing party at
a certain date or by specified installments. Unless
otherwise ordered, the issue of execution and
other supplementary process shall be stayed dur-
ing compliance with such order. Such stay may
be modified and vacated at any time for good
cause. The stay is automatically lifted by a default
SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 24-30
in postjudgment court-ordered payments by the
judgment debtor.
(b) When the judgment is satisfied in a small
claims action, the party recovering the judgment
shall file a written notice thereof within ninety days
with the clerk who shall record the judgment as
satisfied, identifying the name of the party and the
date. An execution returned fully satisfied shall
be deemed a satisfaction of judgment and the
notice required in this section shall not be filed.
The judicial authority may, upon motion, make a
determination that the judgment has been sat-
isfied.
(P.B. 1978-1997, Sec. 583.) (Amended June 26, 2000, to
take effect Jan. 1, 2001; amended June 25, 2001, to take
effect Jan. 1, 2002; amended June 30, 2003, to take effect
Jan. 1, 2004; amended June 21, 2010, to take effect Jan.
1, 2011.)
Sec. 24-31. —Opening Judgment; Costs
(a) The judicial authority may, upon motion, and
after such notice by mail, or otherwise as it may
order, open any judgment rendered under this
procedure for lack of actual notice to a party, or,
within four months from the date thereof, for any
other cause that the judicial authority may deem
sufficient, and may stay and supersede execution;
except that the judicial authority may, for the rea-
sons indicated above, open any judgment ren-
dered by default at any time within four months
succeeding the date upon which an execution was
levied. The judicial authority may also order the
repayment of any sum collected under such judg-
ment and may render judgment and issue execu-
tion therefor. Costs in an amount fixed by the
judicial authority and not exceeding $100 may be
awarded, in the discretion of the judicial authority,
for or against either party to a motion to open the
judgment, and judgment may be rendered and
execution may be issued therefor; and any action
by the judicial authority may be conditioned upon
the payment of such costs or the performance of
any proper condition.
(b) When a judgment has been rendered after
a contested hearing on the merits, a motion to
open shall be scheduled for hearing only upon
order of the judicial authority.
(P.B. 1978-1997, Sec. 584.) (Amended June 26, 2000, to
take effect Jan. 1, 2001; amended June 21, 2010, to take
effect Jan. 1, 2011.)
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Sec. 24-32. Execution in Small Claims
Actions
(a) Pursuant to the General Statutes, the judg-
ment creditor or the representative of the judg-
ment creditor may file with the court a written
application on forms prescribed by the office of
the chief court administrator for an execution to
collect an unsatisfied money judgment.
(b) Service of an initial set of interrogatories,
on forms prescribed by the office of the chief court
administrator relevant to obtaining satisfaction of
a small claims money judgment shall be made by
sending the interrogatories by certified mail, with
return receipt requested or with electronic delivery
confirmation, to the person from whom discovery
is sought.
(P.B. 1978-1997, Sec. 585.) (Amended June 26, 2000, to
take effect Jan. 1, 2001; amended June 24, 2002, to take
effect Jan. 1, 2003; amended June 14, 2013, to take effect
Jan. 1, 2014.)
Sec. 24-33. Costs in Small Claims
The actual legal disbursements of the prevailing
party for entry fee, witness’ fees, fees for copies,
officers’ fees, and costs for service shall be
allowed as costs, including any statutory costs.
The recording fee paid for filing a judgment lien
shall also be added to the judgment amount. The
costs paid as an application fee for any execution
on a money judgment shall be taxed by the clerk
upon the issuance of an execution. No other costs
shall be allowed either party except by special
order of the judicial authority. The judicial authority
shall have power in its discretion to award costs, in
a sum fixed by the judicial authority, not exceeding
$100 (exclusive of such cash disbursements, or
in addition thereto) against any party, whether the
prevailing party or not, who has set up a frivolous
or vexatious claim, defense or counterclaim, or
has made an unfair, insufficient or misleading
answer, or has negligently failed to be ready for
trial, or has otherwise sought to hamper a party
or the judicial authority in securing a speedy deter-
mination of the claim upon its merits, and it may
render judgment and issue execution therefor, or
set off such costs against damages or costs, as
justice may require. In no case shall costs exceed
the amount of the judgment.
(P.B. 1978-1997, Sec. 590.) (Amended June 26, 2000, to
take effect Jan. 1, 2001; amended June 21, 2010, to take
effect Jan. 1, 2011.)
SUPERIOR COURT—PROCEDURE IN FAMILY MATTERS Sec. 25-1
SUPERIOR COURT—PROCEDURE IN FAMILY MATTERS
CHAPTER 25
GENERAL PROVISIONS
Sec. Sec.
25-1. Definitions Applicable to Proceedings on Family
Matters
25-2. Complaints for Dissolution of Marriage or Civil
Union, Legal Separation, or Annulment
25-2A. Premarital and Postnuptial Agreements
25-3. Action for Custody of Minor Child
25-4. Action for Visitation of Minor Child
25-5. Automatic Orders upon Service of Complaint or
Application
25-5A. Automatic Orders upon Service of Petition for
Child Support
25-5B. Automatic Orders upon Filing of Joint Petition—
Nonadversarial Divorce
25-6. Parties and Appearances
25-7. Pleadings in General; Amendments to Complaint
or Application
25-8. —Amendment; New Ground for Dissolution of
Marriage or Civil Union
25-9. —Answer, Cross Complaint, Claims for Relief
by Defendant
25-10. —Answer to Cross Complaint
25-11. —Order of Pleadings
25-12. Motion to Dismiss
25-13. —Grounds on Motion to Dismiss
25-14. —Waiver and Subject Matter Jurisdiction
25-15. —Further Pleading by Defendant
25-16. Motion to Strike; In General
25-17. —Date for Hearing
25-18. —Reasons
25-19. —Memorandum of Law
25-20. —When Memorandum of Decision Required
25-21. —Substitute Pleading; Judgment
25-22. —Stricken Pleading Part of Another Cause or
Defense
25-23. Motions, Requests, Orders of Notice, and Short
Calendar
25-24. Motions
25-25. Motion for Exclusive Possession
25-26. Modification of Custody, Alimony or Support
25-27. Motion for Contempt
25-28. Order of Notice
25-29. Notice of Orders for Support or Alimony
25-30. Statements to Be Filed
25-31. Discovery and Depositions
25-32. Mandatory Disclosure and Production
25-32A. Discovery Noncompliance
25-32B. Discovery—Special Master
25-33. Judicial Appointment of Expert Witnesses
25-34. Procedure for Short Calendar
25-35. Disclosure of Conference Recommendation
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-
ceedings on Family Matters
The following shall be ‘‘family matters’’ within
the scope of these rules: Any actions brought pur-
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25-36. Motion for Decree Finally Dissolving Marriage or
Civil Union after Decree of Legal Separation
25-37. —Notice and Hearing
25-38. Judgment Files
25-39. Miscellaneous Rules
25-40. Habeas Corpus in Family Matters; the Petition
25-41. —Preliminary Consideration
25-42. —Dismissal
25-43. —The Return
25-44. —Reply to the Return
25-45. —Schedule for Filing Pleadings
25-46. —Summary Judgment as to Writ of Habeas
Corpus
25-47. —Discovery
25-48. Dockets, Pretrials and Assignment for Disposition
25-49. Definitions
25-50. Case Management
25-51. When Motion for Default for Failure to Appear
Does Not Apply
25-52. Failure to Appear for Scheduled Disposition
25-53. Reference of Family Matters
25-54. Order of Trial; Argument by Counsel
25-55. Medical Evidence
25-56. Production of Documents at Hearing or Trial
25-57. Affidavit concerning Children
25-58. Reports of Dissolution of Marriage or Civil Union
and Annulment
25-59. Closure of Courtroom in Family Matters
25-59A. Sealing Files or Limiting Disclosure of Documents
in Family Matters
25-59B. —Documents Containing Personal Identifying
Information
25-60. Evaluations, Studies, Family Services Mediation
Reports and Family Services Conflict Resolu-
tion Reports
25-60A. Court-Ordered Private Evaluations
25-61. Family Division
25-61A. Standing Committee on Guardians Ad Litem and
Attorneys for the Minor Child in Family Matters
25-62. Appointment of Guardian Ad Litem
25-62A. Appointment of Attorney for a Minor Child
25-63. Right to Counsel in Family Civil Contempt Pro-
ceedings
25-64. —Waiver
25-65. Family Support Magistrates; Procedure
[Repealed]
25-66. Appeal from Decision of Family Support Magis-
trate [Repealed]
25-67. Support Enforcement Services [Repealed]
25-68. Right to Counsel in State Initiated Paternity
Actions
25-69. Social Services; Additional Duties
suant to General Statutes § 46b-1, including, but
not limited to, dissolution of marriage or civil union,
legal separation, dissolution of marriage or civil
union after legal separation, annulment of mar-
SUPERIOR COURT—PROCEDURE IN FAMILY MATTERSSec. 25-1
riage or civil union, alimony, support, custody, and
change of name incident to dissolution of marriage
or civil union, habeas corpus and other proceed-
ings to determine the custody and visitation of
children except those which are properly filed in
the superior court as juvenile matters, the estab-
lishing of paternity, enforcement of foreign matri-
monial or civil union judgments, actions related
to prenuptial or pre-civil union and separation
agreements and to matrimonial or civil union
decrees of a foreign jurisdiction, actions brought
pursuant to General Statutes § 46b-15, custody
proceedings brought under the provisions of the
Uniform Child Custody Jurisdiction and Enforce-
ment Act and proceedings for enforcement of sup-
port brought under the provisions of the Uniform
Interstate Family Support Act.
(P.B. 1998.) (Amended June 28, 1999, to take effect Jan.
1, 2000; amended June 26, 2006, to take effect Jan. 1, 2007;
amended June 12, 2015, to take effect Jan. 1, 2016.)
Sec. 25-2. Complaints for Dissolution of
Marriage or Civil Union, Legal Separation,
or Annulment
(Amended June 26, 2006, to take effect Jan. 1, 2007.)
(a) Every complaint in a dissolution of marriage
or civil union, legal separation or annulment action
shall state the date and place, including the city
or town, of the marriage or civil union and the
facts necessary to give the court jurisdiction.
(b) Every such complaint shall also state
whether there are minor children issue of the mar-
riage or minor children of the civil union and
whether there are any other minor children born
to the wife since the date of marriage of the par-
ties, or born to a party to the civil union since the
date of the civil union, the name and date of birth
of each, and the name of any individual or agency
presently responsible by virtue of judicial award
for the custody or support of any child. These
requirements shall be met whether a child is issue
of the marriage or not, whether a child is born to
a party of the civil union or not, and whether cus-
tody of children is sought in the action or not. In
every case in which the state of Connecticut or
any town thereof is contributing or has contributed
to the support or maintenance of a party or child
of said party, such fact shall be stated in the com-
plaint and a copy thereof served on the attorney
general or town clerk in accordance with the provi-
sions of Sections 10-12 through 10-17. Although
the attorney general or town clerk shall be a party
to such cases, he or she need not be named in
the writ of summons or summoned to appear.
(c) The complaint shall also set forth the plain-
tiff’s demand for relief and the automatic orders
as required by Section 25-5.
(P.B. 1978-1997, Sec. 453.) (Amended June 25, 2001, to
take effect Jan. 1, 2002; amended June 26, 2006, to take
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effect Jan. 1, 2007; amended June 29, 2007, to take effect
Jan. 1, 2008; amended June 30, 2008, to take effect Jan.
1, 2009.)
Sec. 25-2A. Premarital and Postnuptial
Agreements
(a) If a party seeks enforcement of a premarital
agreement or postnuptial agreement, he or she
shall specifically demand the enforcement of that
agreement, including its date, within the party’s
claim for relief. The defendant shall file said claim
for relief within sixty days of the return date unless
otherwise permitted by the court.
(b) If a party seeks to avoid the premarital
agreement or postnuptial agreement claimed by
the other party, he or she shall, within sixty days of
the claim seeking enforcement of the agreement,
unless otherwise permitted by the court, file a
reply specifically demanding avoidance of the
agreement and stating the grounds thereof.
(Adopted June 20, 2011, to take effect Aug. 15, 2011.)
Sec. 25-3. Action for Custody of Minor Child
Every application in an action for custody of a
minor child, other than actions for dissolution of
marriage or civil union, legal separation or annul-
ment, shall state the name and date of birth of
such minor child or children, the names of the
parents and legal guardian of such minor child or
children, and the facts necessary to give the court
jurisdiction. The application shall comply with Sec-
tion 25-5. Such application shall be commenced
by an order to show cause. Upon presentation of
the application and an affidavit concerning chil-
dren, the judicial authority shall cause an order
to be issued requiring the adverse party or parties
to appear on a day certain and show cause, if any
there be, why the relief requested in the applica-
tion should not be granted. The application, order
and affidavit shall be served on the adverse party
not less than twelve days before the date of the
hearing, which shall not be held more than thirty
days from the filing of the application.
(P.B. 1998.) (Amended June 28, 1999, to take effect Jan.
1, 2000; amended June 26, 2000, to take effect Jan. 1, 2001;
amended June 26, 2006, to take effect Jan. 1, 2007.)
Sec. 25-4. Action for Visitation of Minor
Child
Every application or verified petition in an action
for visitation of a minor child, other than actions
for dissolution of marriage or civil union, legal sep-
aration or annulment, shall state the name and
date of birth of such minor child or children, the
names of the parents and legal guardian of such
minor child or children, and the facts necessary to
give the court jurisdiction. An application brought
under this section shall comply with Section 25-
5. Any application or verified petition brought
SUPERIOR COURT—PROCEDURE IN FAMILY MATTERS Sec. 25-5
under this Section shall be commenced by an
order to show cause. Upon presentation of the
application or verified petition and an affidavit con-
cerning children, the judicial authority shall cause
an order to be issued requiring the adverse party
or parties to appear on a day certain and show
cause, if any there be, why the relief requested
in the application or verified petition should not
be granted. The application or verified petition,
order and affidavit shall be served on the adverse
party not less than twelve days before the date
of the hearing, which shall not be held more than
thirty days from the filing of the application or
verified petition.
(P.B. 1998.) (Amended June 28, 1999, to take effect Jan.
1, 2000; amended June 26, 2000, to take effect Jan. 1, 2001;
amended June 26, 2006, to take effect Jan. 1, 2007; amended
June 13, 2014, to take effect Jan. 1, 2015.)
Sec. 25-5. Automatic Orders upon Service
of Complaint or Application
(Amended June 28, 1999, to take effect Jan. 1, 2000.)
The following automatic orders shall apply to
both parties, with service of the automatic orders
to be made with service of process of a complaint
for dissolution of marriage or civil union, legal sep-
aration, or annulment, or of an application for cus-
tody or visitation. An automatic order shall not
apply if there is a prior, contradictory order of a
judicial authority. The automatic orders shall be
effective with regard to the plaintiff or the applicant
upon the signing of the complaint or the applica-
tion and with regard to the defendant or the
respondent upon service and shall remain in place
during the pendency of the action, unless termi-
nated, modified, or amended by further order of
a judicial authority upon motion of either of the
parties:
(a) In all cases involving a child or children,
whether or not the parties are married or in a
civil union:
(1) Neither party shall permanently remove the
minor child or children from the state of Connecti-
cut, without written consent of the other or order
of a judicial authority.
(2) A party vacating the family residence shall
notify the other party or the other party’s attorney,
in writing, within forty-eight hours of such move, of
an address where the relocated party can receive
communication. This provision shall not apply if
and to the extent there is a prior, contradictory
order of a judicial authority.
(3) If the parents of minor children live apart
during this proceeding, they shall assist their chil-
dren in having contact with both parties, which is
consistent with the habits of the family, personally,
by telephone, and in writing. This provision shall
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not apply if and to the extent there is a prior,
contradictory order of a judicial authority.
(4) Neither party shall cause the children of the
marriage or the civil union to be removed from any
medical, hospital and dental insurance coverage,
and each party shall maintain the existing medical,
hospital and dental insurance coverage in full
force and effect.
(5) The parties shall participate in the parenting
education program within sixty days of the return
day or within sixty days from the filing of the appli-
cation.
(6) These orders do not change or replace any
existing court orders, including criminal protective
and civil restraining orders.
(b) In all cases involving a marriage or civil
union, whether or not there are children:
(1) Neither party shall sell, transfer, exchange,
assign, remove, or in any way dispose of, without
the consent of the other party in writing, or an
order of a judicial authority, any property, except
in the usual course of business or for customary
and usual household expenses or for reasonable
attorney’s fees in connection with this action.
(2) Neither party shall conceal any property.
(3) Neither party shall encumber (except for the
filing of a lis pendens) without the consent of the
other party, in writing, or an order of a judicial
authority, any property except in the usual course
of business or for customary and usual household
expenses or for reasonable attorney’s fees in con-
nection with this action.
(4) Neither party shall cause any asset, or por-
tion thereof, co-owned or held in joint name, to
become held in his or her name solely without the
consent of the other party, in writing, or an order
of the judicial authority.
(5) Neither party shall incur unreasonable debts
hereafter, including, but not limited to, further bor-
rowing against any credit line secured by the fam-
ily residence, further encumbrancing any assets,
or unreasonably using credit cards or cash
advances against credit cards.
(6) Neither party shall cause the other party to
be removed from any medical, hospital and dental
insurance coverage, and each party shall main-
tain the existing medical, hospital and dental
insurance coverage in full force and effect.
(7) Neither party shall change the beneficiaries
of any existing life insurance policies, and each
party shall maintain the existing life insurance,
automobile insurance, homeowners or renters
insurance policies in full force and effect.
(8) If the parties are living together on the date
of service of these orders, neither party may deny
the other party use of the current primary resi-
dence of the parties, whether it be owned or rented
SUPERIOR COURT—PROCEDURE IN FAMILY MATTERSSec. 25-5
property, without order of a judicial authority. This
provision shall not apply if there is a prior, contra-
dictory order of a judicial authority.
(c) In all cases:
(1) The parties shall each complete and
exchange sworn financial statements substan-
tially in accordance with a form prescribed by the
chief court administrator within thirty days of the
return day. The parties may thereafter enter and
submit to the court a stipulated interim order allo-
cating income and expenses, including, if applica-
ble, proposed orders in accordance with the
uniform child support guidelines.
(2) The case management date for this case
is . The parties shall comply with
Section 25-50 to determine if their actual presence
at the court is required on that date.
(d) The automatic orders of a judicial authority
as enumerated above shall be set forth immedi-
ately following the party’s requested relief in any
complaint for dissolution of marriage or civil union,
legal separation, or annulment, or in any applica-
tion for custody or visitation, and shall set forth
the following language in bold letters:
Failure to obey these orders may be punish-
able by contempt of court. If you object to or
seek modification of these orders during the
pendency of the action, you have the right to
a hearing before a judge within a reasonable
time.
The clerk shall not accept for filing any com-
plaint for dissolution of marriage or civil union,
legal separation, or annulment, or any application
for custody or visitation, that does not comply with
this subsection.
(P.B. 1998.) (Amended June 29, 1998, to take effect Jan.
1, 1999; subdivision (a) (1) was amended on an interim basis,
pursuant to the provisions of Section 1-9 (c), to take effect
Jan. 1, 1999; amended June 28, 1999, to take effect Jan. 1,
2000; amended August 22, 2001, to take effect Jan. 1, 2002;
amended June 26, 2006, to take effect Jan. 1, 2007; amended
June 29, 2007, to take effect Jan. 1, 2008; amended June 20,
2011, to take effect Jan. 1, 2012.)
Sec. 25-5A. Automatic Orders upon Service
of Petition for Child Support
(a) The following automatic orders shall apply
to both parties, with service of the automatic
orders to be made with service of process of a
petition for child support. An automatic order shall
not apply if there is a prior, contradictory order of
a judicial authority. The automatic orders shall
be effective with regard to the petitioner or the
applicant upon the signing of the document initiat-
ing the action (whether it be complaint, petition or
application), and with regard to the respondent,
upon service and shall remain in place during
the pendency of the action, unless terminated,
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modified, or amended by further order of a judicial
authority upon motion of either of the parties:
Neither party shall cause the other party or the
children who are the subject of the complaint,
application or petition to be removed from any
medical, hospital and dental insurance coverage,
and each party shall maintain the existing medical,
hospital and dental insurance coverage in full
force and effect.
(b) The automatic orders of a judicial authority
as enumerated in subsection (a) shall be set forth
immediately following the party’s requested relief
in any complaint, petition or application, and shall
set forth the following language in bold letters: If
you do not follow or obey these orders, you
may be punished by contempt of court. If you
object to these orders or would like to have
them changed or modified while your case is
pending, you have the right to a hearing by a
judicial authority within a reasonable time. The
clerk shall not accept for filing any complaint, peti-
tion or application that does not comply with
this subsection.
(Adopted June 20, 2011, to take effect Jan. 1, 2012.)
Sec. 25-5B. Automatic Orders upon Filing of
Joint Petition—Nonadversarial Divorce
(a) The following automatic orders shall apply
to both petitioners, upon the filing of the joint peti-
tion for nonadversarial divorce. An automatic
order shall not apply if there is a prior, contradic-
tory order of a judicial authority. The automatic
orders shall be effective with regard to the petition-
ers upon filing of the joint petition and shall remain
in place until further order of a judicial authority:
(1) Neither petitioner shall sell, transfer,
exchange, assign, remove, or in any way dispose
of, without the consent of the other petitioner in
writing, or an order of a judicial authority, any
property, except in the usual course of business
or for customary and usual household expenses
or for reasonable attorney’s fees in connection
with this action.
(2) Neither petitioner shall conceal any
property.
(3) Neither petitioner shall encumber without
the consent of the other petitioner, in writing, or
an order of a judicial authority, any property except
in the usual course of business or for customary
and usual household expenses or for reasonable
attorney’s fees in connection with this action.
(4) Neither petitioner shall cause any asset, or
portion thereof, co-owned or held in joint name,
to become held in his or her name solely without
the consent of the other petitioner, in writing, or
an order of the judicial authority.
SUPERIOR COURT—PROCEDURE IN FAMILY MATTERS Sec. 25-9
(5) Neither petitioner shall incur unreasonable
debts hereafter, including, but not limited to, fur-
ther encumbrancing any assets, or unreasonably
using credit cards or cash advances against
credit cards.
(6) Neither petitioner shall cause the other peti-
tioner to be removed from any medical, hospital
and dental insurance coverage, and each peti-
tioner shall maintain the existing medical, hospital
and dental insurance coverage in full force and
effect.
(7) Neither petitioner shall change the benefici-
aries of any existing life insurance policies, and
each petitioner shall maintain the existing life
insurance, automobile insurance, or renters insur-
ance policies in full force and effect.
(8) If the petitioners are living together on the
date of these orders, neither petitioner may deny
the other petitioner use of the current primary resi-
dence of the petitioners, without order of a judicial
authority. This provision shall not apply if there is
a prior, contradictory order of a judicial authority.
(9) The petitioners shall each complete and
exchange sworn financial statements substan-
tially in accordance with a form prescribed by the
chief court administrator and file the financial
statement with the joint petition. The petitioners
may thereafter enter and submit to the court a
stipulated interim order allocating income and
expenses.
(b) The automatic orders of a judicial authority
as enumerated above shall be attached immedi-
ately following the petitioners’ joint petition for
nonadversarial divorce and shall set forth the fol-
lowing language in bold letters:
Failure to obey these orders may be punish-
able by contempt of court. If you object to or
seek modification of these orders during the
pendency of the action, you have the right to
a hearing before a judge within a reasonable
time.
The clerk shall not accept for filing any joint
petition for nonadversarial divorce that does not
comply with this subsection.
(Adopted June 24, 2016, to take effect Jan. 1, 2017.)
Sec. 25-6. Parties and Appearances
The provisions of Sections 8-1, 8-2, 9-1, 9-3
through 9-6, inclusive, 9-18, 9-19, 9-22, 9-24 and
10-12 through 10-17 of the rules of practice shall
apply to family matters as defined in Section 25-1.
(P.B. 1998.)
Sec. 25-7. Pleadings in General; Amend-
ments to Complaint or Application
(Amended June 28, 1999, to take effect Jan. 1, 2000.)
If Sections 25-2, 25-3 or 25-4 are not complied
with, the judicial authority, whenever its attention
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is called to the matter, shall order that the com-
plaint or the application, as the case may be, be
amended upon such terms and conditions as it
may direct. Where an amendment is filed concern-
ing support or maintenance contributed by the
state of Connecticut, no further action shall be
taken by the judicial authority until such amend-
ment shall be served upon the attorney general
and opportunity given him or her to be heard upon
the matter. Nothing in this section shall be con-
strued to affect the automatic orders in Section
25-5 above.
(P.B. 1978-1997, Sec. 454.) (Amended June 28, 1999, to
take effect Jan. 1, 2000.)
Sec. 25-8. —Amendment; New Ground for
Dissolution of Marriage or Civil Union
(Amended June 26, 2006, to take effect Jan. 1, 2007.)
(a) In any action for a dissolution of marriage or
civil union an amendment to the complaint which
states a ground for dissolution of marriage or civil
union alleged to have arisen since the commence-
ment of the action may be filed with permission
of the judicial authority.
(b) The provisions of Sections 10-59, 10-60 and
10-61 of the rules of practice shall apply to family
matters as defined in Section 25-1.
(P.B. 1978-1997, Sec. 455.) (Amended June 26, 2006, to
take effect Jan. 1, 2007.)
Sec. 25-9. —Answer, Cross Complaint,
Claims for Relief by Defendant
The defendant in a dissolution of marriage or
civil union, legal separation, or annulment matter
may file, in addition to the above mentioned plead-
ings, one of the following pleadings which shall
comply with Sections 10-1, 10-3, 10-5, 10-7, 10-
8 and 10-12 through 10-17, 10-18 and 10-19
inclusive:
(1) An answer may be filed which denies or
admits the allegations of the complaint, or which
states that the defendant has insufficient informa-
tion to form a belief and leaves the pleader to his or
her proof, and which may set forth the defendant’s
claims for relief.
(2) An answer and cross complaint may be filed
which denies or admits the allegations of the com-
plaint, or which states that the defendant has
insufficient information to form a belief and leaves
the pleader to his or her proof, and which alleges
the grounds upon which a dissolution, legal sepa-
ration or annulment is sought by the defendant
and specifies therein the claims for relief.
(P.B. 1978-1997, Sec. 456.) (Amended June 28, 1999, to
take effect Jan. 1, 2000; amended June 26, 2006, to take
effect Jan. 1, 2007.)
SUPERIOR COURT—PROCEDURE IN FAMILY MATTERSSec. 25-10
Sec. 25-10. —Answer to Cross Complaint
A plaintiff in a dissolution of marriage or civil
union, legal separation, or annulment matter
seeking to contest the grounds of a cross com-
plaint shall file an answer admitting or denying
the allegations of such cross complaint or leaving
the pleader to his or her proof. If a decree is
rendered on the cross complaint, the judicial
authority may award to the plaintiff such relief as
is claimed in the complaint.
(P.B. 1978-1997, Sec. 457.) (Amended June 28, 1999, to
take effect Jan. 1, 2000; amended June 26, 2006, to take
effect Jan. 1, 2007.)
Sec. 25-11. —Order of Pleadings
The order of pleadings shall be:
(1) the plaintiff’s complaint;
(2) the defendant’s motion to dismiss the com-
plaint;
(3) the defendant’s motion to strike the com-
plaint or claims for relief;
(4) the defendant’s answer, cross complaint
and claims for relief;
(5) the plaintiff’s motion to strike the defendant’s
answer, cross complaint, or claims for relief;
(6) the plaintiff’s answer.
(P.B. 1998.)
Sec. 25-12. Motion to Dismiss
(a) Any defendant, wishing to assert grounds
to dismiss the action under Section 25-13 (a) (2),
(3) or (4) must do so by filing a motion to dismiss
within thirty days of the filing of an appearance.
(b) Any claim based on Section 25-13 (a) (2),
(3) or (4) is waived if not raised by a motion to
dismiss filed in the sequence provided in Section
25-11, within the time provided in this section.
(P.B. 1998.) (Amended June 23, 2017, to take effect Jan.
1, 2018.)
HISTORY—2018: Prior to 2018, this section read: ‘‘(a) Any
defendant, wishing to assert grounds to dismiss the action
under Section 25-13 (2), (3), (4) or (5) must do so by filing a
motion to dismiss within thirty days of the filing of an
appearance.
‘‘(b) Any claim based on Section 25-13 (2), (3), (4) or (5)
is waived if not raised by a motion to dismiss filed in the
sequence provided in Section 25-11, within the time provided
in this section.’’
COMMENTARY—2018: General Statutes § 51-351, which
became effective July 1, 1978, provides that ‘‘[n]o cause shall
fail on the ground that it has been made returnable to an
improper location.’’ Since that statute became effective, the
courts have found that the appropriate remedy for improper
venue is the transfer of the case to the proper venue by the
court upon its own motion, or upon motion or agreement of
the parties. The revision to this section, therefore, makes it
clear that improper venue is not waivable because it is not a
ground for filing a motion to dismiss.
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Sec. 25-13. —Grounds on Motion to Dismiss
(a) The motion to dismiss shall be used to assert
(1) lack of jurisdiction over the subject matter, (2)
lack of jurisdiction over the person, (3) insuffi-
ciency of process and (4) insufficiency of service
of process. This motion shall always be filed with
a supporting memorandum of law and, where
appropriate, with supporting affidavits as to facts
not apparent on the record.
(b) If an adverse party objects to this motion he
or she shall, at least five days before the motion
is to be considered on the short calendar, file and
serve in accordance with Sections 10-12 through
10-17 a memorandum of law and, where appro-
priate, supporting affidavits as to facts not appar-
ent on the record.
(P.B. 1998.) (Amended June 23, 2017, to take effect Jan.
1, 2018.)
HISTORY—2018: What had been subsection (a) (3),
‘‘improper venue,’’ was deleted and what had been subdivi-
sions (4) and (5) were renumbered subdivisions (3) and (4),
respectively.
COMMENTARY—2018: General Statutes § 51-351, which
became effective July 1, 1978, provides that ‘‘[n]o cause shall
fail on the ground that it has been made returnable to an
improper location.’’ Since that statute became effective, the
courts have found that the appropriate remedy for improper
venue is the transfer of the case to the proper venue by the
court upon its own motion, or upon motion or agreement of
the parties. The revision to this section, therefore, removes
improper venue as a ground for filing a motion to dismiss.
Sec. 25-14. —Waiver and Subject Matter
Jurisdiction
Any claim of lack of jurisdiction over the subject
matter cannot be waived; and whenever it is found
after suggestion of the parties or otherwise that
the court lacks jurisdiction of the subject matter,
the judicial authority shall dismiss the action.
(P.B. 1998.)
Sec. 25-15. —Further Pleading by Defend-
ant
If any motion to dismiss is denied with respect to
any jurisdictional issue, the defendant may plead
further without waiving his or her right to contest
jurisdiction further.
(P.B. 1998.)
Sec. 25-16. Motion to Strike; In General
(a) Whenever any party wishes to contest (1)
the legal sufficiency of the allegations of any com-
plaint or cross complaint, or of any one or more
counts thereof, to state a claim upon which relief
can be granted, or (2) the legal sufficiency of any
claim for relief in any such complaint or cross
complaint, or (3) the legal sufficiency of any such
complaint or cross complaint, or any count
thereof, because of the absence of any necessary
party, or (4) the joining of two or more causes of
SUPERIOR COURT—PROCEDURE IN FAMILY MATTERS Sec. 25-25
action which cannot properly be united in one
complaint or cross complaint, whether the same
be stated in one or more counts, or (5) the legal
sufficiency of any answer to any complaint or
cross complaint, or any part of that answer con-
tained therein, that party may do so by filing a
motion to strike the contested pleading or part
thereof.
(b) A motion to strike on the ground of the non-
joinder of a necessary party must give the name
and residence of the missing party or such infor-
mation as the moving party has as to his or her
identity and residence and must state his or her
interest in the cause of action.
(P.B. 1998.)
Sec. 25-17. —Date for Hearing
The motion shall be placed on the short calen-
dar to be held not less than fifteen days following
the filing of the motion, unless the judicial authority
otherwise directs.
(P.B. 1998.)
Sec. 25-18. —Reasons
Each motion to strike raising any of the claims
of legal insufficiency enumerated in Sections 25-
12, 25-13 and 25-16 shall separately set forth
each such claim of insufficiency and shall dis-
tinctly specify the reason or reasons for each such
claimed insufficiency.
(P.B. 1998.)
Sec. 25-19. —Memorandum of Law
(a) Each motion to strike must be accompanied
by an appropriate memorandum of law citing the
legal authorities upon which the motion relies.
(b) If an adverse party objects to this motion
such party shall, at least five days before the date
the motion is to be considered on the short calen-
dar, file and serve in accordance with Sections
10-12 through 10-17 a memorandum of law.
(P.B. 1998.)
Sec. 25-20. —When Memorandum of Deci-
sion Required
Whenever a motion to strike is filed and more
than one ground of decision is set up therein,
the judicial authority, in rendering the decision
thereon, shall specify in writing the grounds upon
which that decision is based.
(P.B. 1998.)
Sec. 25-21. —Substitute Pleading; Judg-
ment
Within fifteen days after the granting of any
motion to strike, the party whose pleading has
been stricken may file a new pleading; provided
that in those instances where an entire complaint
or cross complaint has been stricken, and the
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party whose pleading has been so stricken fails
to file a new pleading within that fifteen day period,
the judicial authority may upon motion enter judg-
ment against said party on said stricken complaint
or cross complaint.
(P.B. 1998.)
Sec. 25-22. —Stricken Pleading Part of
Another Cause or Defense
Whenever the judicial authority grants a motion
to strike the whole or any portion of any pleading
or count which purports to state an entire cause
of action, and such pleading or portion thereof
states or constitutes a part of another cause of
action, the granting of that motion shall remove
from the case only the cause of action which was
the subject of the granting of that motion, and it
shall not remove such pleading or count or any
portion thereof so far as the same is applicable
to any other cause of action.
(P.B. 1998.)
Sec. 25-23. Motions, Requests, Orders of
Notice, and Short Calendar
The provisions of Sections 11-1, 11-2, 11-4, 11-
5, 11-6, 11-8, 11-10, 11-11, 11-12, 11-19, 12-1,
12-2, and 12-3 of the rules of practice shall apply
to family matters as defined in Section 25-1.
(P.B. 1998.) (Amended May 14, 2003, to take effect July
1, 2003.)
Sec. 25-24. Motions
(a) Any appropriate party may move for ali-
mony, child support, custody, visitation, appoint-
ment or removal of counsel for the minor child,
appointment or removal of a guardian ad litem for
the minor child, counsel fees, or for an order with
respect to the maintenance of the family or for
any other equitable relief.
(b) Each such motion shall state clearly, in the
caption of the motion, whether it is a pendente
lite or a postjudgment motion.
(P.B. 1998.) (Amended June 12, 2015, to take effect Jan.
1, 2016.)
Sec. 25-25. Motion for Exclusive Pos-
session
Each motion for exclusive possession shall
state the nature of the property, whether it is rental
property or owned by the parties or one of them,
the length of tenancy or ownership of each party,
the current family members residing therein and
the grounds upon which the moving party seeks
exclusive possession.
(P.B. 1998.)
SUPERIOR COURT—PROCEDURE IN FAMILY MATTERSSec. 25-26
Sec. 25-26. Modification of Custody, Ali-
mony or Support
(a) Upon an application for a modification of an
award of alimony pendente lite, alimony or support
of minor children, filed by a person who is then
in arrears under the terms of such award, the
judicial authority shall, upon hearing, ascertain
whether such arrearage has accrued without suffi-
cient excuse so as to constitute a contempt of
court, and, in its discretion, may determine
whether any modification of current alimony and
support shall be ordered prior to the payment, in
whole or in part as the judicial authority may order,
of any arrearage found to exist.
(b) Either parent or both parents of minor chil-
dren may be cited or summoned by any party to
the action to appear and show cause, if any they
have, why orders of custody, visitation, support
or alimony should not be entered or modified.
(c) If any applicant is proceeding without the
assistance of counsel and citation of any other
party is necessary, the applicant shall sign the
application and present the application, proposed
order and summons to the clerk; the clerk shall
review the proposed order and summons and,
unless it is defective as to form, shall sign the
proposed order and summons and shall assign a
date for a hearing on the application.
(d) Each motion for modification of custody, visi-
tation, alimony or child support shall state clearly
in the caption of the motion whether it is a pen-
dente lite or a postjudgment motion.
(e) Each motion for modification shall state the
specific factual and legal basis for the claimed
modification and shall include the outstanding
order and date thereof to which the motion for
modification is addressed.
(f) On motions addressed to financial issues,
the provisions of Section 25-30 shall be followed.
(g) Upon or after entry of judgment of a dissolu-
tion of marriage, dissolution of civil union, legal
separation or annulment, or upon or after entry
of a judgment or final order of custody and/or
visitation for a petition or petitions filed pursuant
to Section 25-3 and/or Section 25-4, the judicial
authority may order that any further motion for
modification of a final custody or visitation order
shall be appended with a request for leave to file
such motion and shall conform to the require-
ments of subsection (e) of this section. The spe-
cific factual and legal basis for the claimed
modification shall be sworn to by the moving party
or other person having personal knowledge of the
facts recited therein. If no objection to the request
has been filed by any party within ten days of the
date of service of such request on the other party,
the request for leave may be determined by the
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judicial authority with or without hearing. If an
objection is filed, the request shall be placed on
the next short calendar, unless the judicial author-
ity otherwise directs. At such hearing, the moving
party must demonstrate probable cause that
grounds exist for the motion to be granted. If the
judicial authority grants the request for leave, at
any time during the pendency of such a motion
to modify, the judicial authority may determine
whether discovery or a study or evaluation pursu-
ant to Section 25-60 shall be permitted.
(P.B. 1978-1997, Sec. 464.) (Amended June 20, 2005, to
take effect Jan. 1, 2006; amended June 29, 2007, to take
effect Oct. 1, 2007.)
Sec. 25-27. Motion for Contempt
(a) Each motion for contempt must state (1) the
date and specific language of the order of the
judicial authority on which the motion is based;
(2) the specific acts alleged to constitute the con-
tempt of that order, including the amount of any
arrears claimed due as of the date of the motion
or a date specifically identified in the motion; (3)
the movant’s claims for relief for the contempt.
(b) Each motion for contempt must state clearly
in the caption of the motion whether it is a pen-
dente lite or a postjudgment motion, and the sub-
ject matter and the type of order alleged to have
been violated.
(P.B. 1998.) (Amended June 28, 1999, to take effect Jan.
1, 2000.)
Sec. 25-28. Order of Notice
(a) On a complaint for dissolution of marriage
or civil union, legal separation, or annulment, or
on an application for custody or visitation, when
the adverse party resides out of or is absent from
the state or the whereabouts of the adverse party
are unknown to the plaintiff or the applicant, any
judge or clerk of the court may make such order
of notice as he or she deems reasonable. If such
notice is by publication, it shall not include the
automatic orders set forth in Section 25-5, but
shall instead include a statement that automatic
orders have issued in the case pursuant to Section
25-5 and that such orders are set forth in the
complaint or the application on file with the court.
Such notice having been given and proved, the
judicial authority may hear the complaint or the
application if it finds that the adverse party has
actually received notice that the complaint or the
application is pending. If actual notice is not
proved, the judicial authority in its discretion may
hear the case or continue it for compliance with
such further order of notice as it may direct.
(b) With regard to any postjudgment motion for
modification or for contempt or any other motion
requiring an order of notice, where the adverse
SUPERIOR COURT—PROCEDURE IN FAMILY MATTERS Sec. 25-32
party resides out of or is absent from the state
any judge or clerk of the court may make such
order of notice as he or she deems reasonable.
Such notice having been given and proved, the
court may hear the motion if it finds that the
adverse party has actually received notice that
the motion is pending.
(P.B. 1978-1997, Sec. 461.) (Amended June 28, 1999, to
take effect Jan. 1, 2000; amended June 26, 2006, to take
effect Jan. 1, 2007.)
Sec. 25-29. Notice of Orders for Support or
Alimony
In all dissolution of marriage or civil union, legal
separation, annulment, custody or visitation
actions, such notice as the judicial authority shall
direct shall be given to nonappearing parties of
any orders for support or alimony. No such order
shall be effective until the order of notice shall
have been complied with or the nonappearing
party has actually received notice of such orders.
(P.B. 1978-1997, Sec. 462.) (Amended June 26, 2006, to
take effect Jan. 1, 2007.)
Sec. 25-30. Statements to Be Filed
(a) At least five days before the hearing date
of a motion or order to show cause concerning
alimony, support, or counsel fees, or at the time
a dissolution of marriage or civil union, legal sepa-
ration or annulment action or action for custody
or visitation is scheduled for a hearing, each party
shall file, where applicable, a sworn statement
substantially in accordance with a form prescribed
by the chief court administrator, of current income,
expenses, assets and liabilities. When the attor-
ney general has appeared as a party in interest,
a copy of the sworn statements shall be served
upon him or her in accordance with Sections 10-
12 through 10-17. Unless otherwise ordered by
the judicial authority, all appearing parties shall
file sworn statements within thirty days prior to
the date of the decree. Notwithstanding the above,
the court may render pendente lite and permanent
orders, including judgment, in the absence of the
opposing party’s sworn statement.
(b) At least ten days before the scheduled family
special masters session, alternative dispute reso-
lution session, or judicial pretrial, the parties shall
serve on each appearing party, but not file with
the court, written proposed orders, and, at least
ten days prior to the date of the final limited con-
tested or contested hearing, the parties shall file
with the court and serve on each appearing party
written proposed orders.
(c) The written proposed orders shall be com-
prehensive and shall set forth the party’s
requested relief including, where applicable, the
following:
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(1) a parenting plan;
(2) alimony;
(3) child support;
(4) property division;
(5) counsel fees;
(6) life insurance;
(7) medical insurance; and
(8) division of liabilities.
(d) The proposed orders shall be neither factual
nor argumentative but shall, instead, only set forth
the party’s claims.
(e) Where there is a minor child who requires
support, the parties shall file a completed child
support and arrearage guidelines worksheet at
the time of any court hearing concerning child
support; or at the time of a final hearing in an
action for dissolution of marriage or civil union,
legal separation, annulment, custody or visitation.
(f) At the time of any hearing, including pen-
dente lite and postjudgment proceedings, in which
a moving party seeks a determination, modifica-
tion, or enforcement of any alimony or child sup-
port order, a party shall submit an Advisement of
Rights Re: Wage Withholding Form (JD-FM-71).
(P.B. 1978-1997, Sec. 463.) (Amended June 24, 2002, to
take effect Jan. 1, 2003; amended June 26, 2006, to take
effect Jan. 1, 2007.)
Sec. 25-31. Discovery and Depositions
Except as otherwise provided in Section 25-
33, the provisions of Sections 13-1 through 13-
10 inclusive, 13-13 through 13-16 inclusive, and
13-17 through 13-32 of the rules of practice inclu-
sive, shall apply to family matters as defined in
Section 25-1.
(P.B. 1998.) (Amended June 20, 2011, to take effect Aug.
1, 2011; amended June 13, 2014, to take effect Jan. 1, 2015.)
Sec. 25-32. Mandatory Disclosure and Pro-
duction
(a) Unless otherwise ordered by the judicial
authority for good cause shown, upon request by
a party involved in an action for dissolution of
marriage or civil union, legal separation, annul-
ment or support, or a postjudgment motion for
modification of alimony or support, opposing par-
ties shall exchange the following documents
within thirty days of such request:
(1) all federal and state income tax returns filed
within the last three years, including personal
returns and returns filed on behalf of any partner-
ship or closely-held corporation of which a party
is a partner or shareholder;
(2) IRS forms W-2, 1099 and K-1 within the last
three years including those for the past year if the
income tax returns for that year have not been
prepared;
SUPERIOR COURT—PROCEDURE IN FAMILY MATTERSSec. 25-32
(3) copies of all pay stubs or other evidence of
income for the current year and the last pay stub
from the past year;
(4) statements for all accounts maintained with
any financial institution, including banks, brokers
and financial managers, for the past 24 months;
(5) the most recent statement showing any
interest in any Keogh, IRA, profit sharing plan,
deferred compensation plan, pension plan, or
retirement account;
(6) the most recent statement regarding any
insurance on the life of any party;
(7) a summary furnished by the employer of the
party’s medical insurance policy, coverage, cost
of coverage, spousal benefits, and COBRA costs
following dissolution;
(8) any written appraisal concerning any asset
owned by either party.
(b) Such duty to disclose shall continue during
the pendency of the action should a party appear.
This section shall not preclude discovery under
any other provisions of these rules.
(P.B. 1998.) (Amended June 29, 1998, to take effect Jan.
1, 1999; amended June 26, 2006, to take effect Jan. 1, 2007.)
Sec. 25-32A. Discovery Noncompliance
If a party fails to comply with a discovery request
or a discovery order in any manner set forth in
Section 13-14 (a), the party who requested such
discovery or in whose favor the discovery order
was made may move to compel compliance with
the request or order. The moving party shall spec-
ify in a memorandum in support of his or her
motion, the discovery sought and the remedy
sought. The party to whom the discovery request
or order was directed shall, in a memorandum,
specify why the discovery has not been provided
or why such party has not complied with the dis-
covery order. If the party to whom the discovery
request or order was directed claims that the dis-
covery has been provided or order has been com-
plied with, he or she shall detail with specificity
what discovery was provided and how compliance
with the discovery order was made.
(Adopted June 20, 2011, to take effect Aug. 15, 2011.)
Sec. 25-32B. Discovery—Special Master
The judicial authority may appoint a discovery
special master to assist in the resolution of discov-
ery disputes. When such an appointment is made,
the judicial authority shall specify the duties,
authority and compensation of the discovery spe-
cial master and how that compensation shall be
allocated between the parties.
(Adopted June 20, 2011, to take effect Aug. 15, 2011.)
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Sec. 25-33. Judicial Appointment of Expert
Witnesses
Whenever the judicial authority deems it neces-
sary, it may appoint any expert witnesses of its
own selection. The judicial authority shall give
notice of its intention to appoint such expert, and
give the parties an opportunity to be heard con-
cerning such appointment. An expert witness shall
not be appointed by the judicial authority unless
the expert consents to act. An expert witness so
appointed shall be informed of his or her duties
by the judicial authority in writing, a copy of which
shall be filed with the clerk, or the witness shall
be informed of his or her duties at a conference
in which the parties shall have an opportunity to
participate. Such expert witness shall advise the
parties of his or her findings, if any, and may
thereafter be called to testify by the judicial author-
ity or by any party and shall be subject to cross-
examination by each party. The judicial authority
may determine the reasonable compensation for
such witness and direct payment out of such funds
as may be provided by law or by the parties or
any of them as the judicial authority may direct.
Nothing in this section shall prohibit the parties
from retaining their own expert witnesses.
(P.B. 1998.) (Amended June 13, 2014, to take effect Jan.
1, 2015.)
Sec. 25-34. Procedure for Short Calendar
(a) With the exception of matters governed by
Chapter 13 or a motion to waive the statutory time
period in an uncontested dissolution of marriage
or legal separation case under General Statutes
§ 46b-67 (b), oral argument on any motion or the
presentation of testimony thereon shall be allowed
if the appearing parties have followed administra-
tive policies for marking the motion ready and for
screening with family services. Oral argument and
the presentation of testimony on motions made
under Chapter 13 are at the discretion of the judi-
cial authority.
(b) Any such motion filed to waive the statutory
time period in an uncontested dissolution of mar-
riage or legal separation case will not be placed
on the short calendar. The clerk shall bring the
motion as soon as practicable to either the judicial
authority assigned to hear the case, or, if a judicial
authority has not yet been assigned, to the presid-
ing judicial authority for a ruling on the papers.
If granted, the uncontested dissolution or legal
separation is to be scheduled in accordance with
the request of the parties to the degree that such
request can be accommodated, including sched-
uling the matter on the same day that the motion
is granted.
SUPERIOR COURT—PROCEDURE IN FAMILY MATTERS Sec. 25-41
(c) If the judicial authority has determined that
oral argument or the presentation of testimony is
necessary on a motion made under Chapter 13,
the judicial authority shall set the matter for oral
argument or testimony on a short calendar date or
other date as determined by the judicial authority.
(d) If the judicial authority has determined that
oral argument or the presentation of testimony is
necessary on a motion made under Chapter 13
and has not set it down on a hearing date, the
movant may reclaim the motion within thirty days
of the date the motion appeared on the calendar.
(e) If the matter will require more than one hour
of court time, it may be specifically assigned for
a date certain.
(f) Failure to appear and present argument on
the date set by the judicial authority shall consti-
tute a waiver of the right to argue unless the judi-
cial authority orders otherwise. Unless for good
cause shown, no motion may be reclaimed after
a period of three months from the date of filing.
This subsection shall not apply to those motions
where counsel appeared on the date set by the
judicial authority and entered into a scheduling
order for discovery, depositions and a date certain
for hearing.
(P.B. 1998.) (Amended June 20, 2011, to take effect Aug.
15, 2011; amended June 24, 2016, to take effect Jan. 1, 2017.)
TECHNICAL CHANGE: In subsection (a), ‘‘(Supp. 2016)’’
was deleted.
Sec. 25-35. Disclosure of Conference Rec-
ommendation
In the event the parties or their counsel confer
with a family relations counselor on finances con-
cerning alimony and child support in connection
with either a pendente lite, postjudgment or disso-
lution hearing, the recommendations of the family
relations counselor concerning alimony and child
support shall not be reported to the judicial author-
ity by the parties or their counsel or the family
relations counselor unless, before such confer-
ence, the parties or their counsel have stipulated
that the recommendation of the family relations
counselor may be made known to the judicial
authority.
(P.B. 1978-1997, Sec. 464A.)
Sec. 25-36. Motion for Decree Finally Dis-
solving Marriage or Civil Union after Decree
of Legal Separation
(Amended June 30, 2008, to take effect Jan. 1, 2009.)
Every motion for a decree finally dissolving and
terminating the marriage or civil union, after a
decree of legal separation, shall state the number
of the case in which the separation was granted,
the date of the decree of legal separation and
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whether the parties have resumed relations relat-
ing to the marriage or civil union since the entry
of the decree, and it shall be accompanied by an
application for an order of notice to the adverse
party.
(P.B. 1978-1997, Sec. 472.) (Amended June 30, 2008, to
take effect Jan. 1, 2009.)
Sec. 25-37. —Notice and Hearing
Upon presentation of such motion to the judicial
authority it shall fix a time for hearing the same
and make an order of notice, by personal service
if the adverse party is within the state and that
party’s place of residence is known, otherwise in
such manner as it shall deem reasonable.
(P.B. 1978-1997, Sec. 473.)
Sec. 25-38. Judgment Files
The provisions of Sections 17-4, 17-9 and 17-
43 shall apply to family matters as defined in Sec-
tion 25-1. The provisions of Section 3-9 concern-
ing withdrawal of appearance of an attorney 180
days after the entry of judgment shall not apply
to family matters actions until the provisions of
this section concerning the filing of judgment files
have been satisfied.
(P.B. 1998.)
Sec. 25-39. Miscellaneous Rules
Except as otherwise provided in Section 25-51,
the provisions of Sections 7-19, 17-20, 18-5, 18-
9, 20-1, 20-3, 23-67 and 23-68 of the rules of
practice shall apply to family matters as defined
in Section 25-1.
(P.B. 1998.) (Amended Dec. 19, 2006, to take effect March
12, 2007.)
Sec. 25-40. Habeas Corpus in Family Mat-
ters; the Petition
A petition for a writ of habeas corpus shall be
under oath and shall state:
(1) the specific facts upon which each claim of
custody or visitation is based such that the judicial
authority would immediately order the child or chil-
dren to be brought before the court;
(2) any previous petitions for the writ of habeas
corpus, and any existing custody or visitation
orders, involving the same child or children and
the dispositions taken thereon; and
(3) the specific facts upon which the court
has jurisdiction.
(P.B. 1998.)
Sec. 25-41. —Preliminary Consideration
(a) The judicial authority shall promptly review
any petition for a writ of habeas corpus to deter-
mine whether the writ should issue. The judicial
authority shall issue the writ if it appears that:
(1) the court has jurisdiction;
SUPERIOR COURT—PROCEDURE IN FAMILY MATTERSSec. 25-41
(2) the petition is meritorious; and
(3) another proceeding is not more appropriate.
(b) The judicial authority shall notify the peti-
tioner if it declines to issue the writ pursuant to
this section.
(P.B. 1998.)
Sec. 25-42. —Dismissal
The judicial authority may, at any time, upon its
own motion or upon motion of the respondent,
dismiss the petition, or any count thereof, if it
determines that:
(1) the court lacks jurisdiction;
(2) the petition, or a count thereof, fails to state
a claim upon which habeas corpus relief can be
granted;
(3) the petition presents the same ground as a
prior petition previously denied and fails to state
new facts or proffer new evidence not reasonably
available at the time of the prior petition;
(4) the claims asserted in the petition are moot
or premature;
(5) any other legally sufficient ground for dis-
missal of the petition exists.
(P.B. 1998.)
Sec. 25-43. —The Return
The return shall respond to the allegations of
the petition and shall allege any facts in support
of any claim of procedural default, abuse of the
writ, or any other claim that the petitioner is not
entitled to relief.
(P.B. 1998.)
Sec. 25-44. —Reply to the Return
(a) If the return alleges any defense or claim
that the petitioner is not entitled to relief, and such
allegations are put in dispute by the petition, the
petitioner shall file a reply.
(b) The reply shall admit or deny any allegations
that the petitioner is not entitled to relief.
(P.B. 1998.)
Sec. 25-45. —Schedule for Filing Pleadings
The return or responsive pleading and any reply
to the return shall be filed as the judicial authority
may order.
(P.B. 1998.)
Sec. 25-46. —Summary Judgment as to Writ
of Habeas Corpus
At any time after the pleadings are closed, any
party may move for summary judgment, which
shall be rendered if the pleadings, affidavits and
any other evidence submitted, show that there is
no genuine issue of material fact between the
parties requiring a trial and the moving party is
entitled to judgment as a matter of law.
(P.B. 1998.)
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Sec. 25-47. —Discovery
Discovery shall be as in all other family matters.
(P.B. 1998.)
Sec. 25-48. Dockets, Pretrials and Assign-
ment for Disposition
The provisions of Sections 14-2, 14-3, 14-23,
and 14-25 of the rules of practice shall apply to
family matters as defined in Section 25-1.
(P.B. 1998.)
Sec. 25-49. Definitions
For purposes of these rules the following defini-
tions shall apply:
(1) ‘‘Uncontested matter’’ means a case in
which both parties are appearing and no aspect
of the matter is in dispute.
(2) ‘‘Financial Disputes’’ means a case in which
monetary awards, real property or personal prop-
erty are in dispute.
(3) ‘‘Parenting Disputes’’ means a case in which
child custody, visitation rights, also called parent-
ing time or access, paternity or the grounds for
the action are in dispute.
A case may contain both financial and parent-
ing disputes.
(P.B. 1998.) (Amended June 12, 2015, to take effect Jan.
1, 2016.)
Sec. 25-50. Case Management
(a) The presiding judge or a designee shall
determine by the case management date which
track each case shall take and assign each case
for disposition. That date shall be set on a sched-
ule approved by the presiding judge.
(b) In all cases, unless the party or parties
appear and the case proceeds to judgment under
subsections (c) or (d) on the case management
date, the party or parties shall file on or before
the case management date:
(1) a case management agreement (JD-FM-
163);
(2) sworn financial affidavits;
(3) a proposed parenting plan, if there are
minor children.
If the parties or counsel have not filed these
documents on or before the case management
date, or in a case with parenting disputes where
counsel or self-represented parties have not come
to court on the case management date, the case
may be dismissed or other sanctions may be
imposed.
(c) If the defendant has not filed an appearance
by the case management date, the plaintiff may
appear and proceed to judgment on the case man-
agement date without further notice to the defend-
ant, provided the plaintiff has complied with the
SUPERIOR COURT—PROCEDURE IN FAMILY MATTERS Sec. 25-56
provisions of Section 25-30. Otherwise, the plain-
tiff must file, on or before the case management
date, the documents listed in subsection (b) and
the clerk shall assign the matter to a date certain
for disposition.
(d) If the matter is uncontested, the parties may
appear and proceed to judgment on the case man-
agement date, provided the plaintiff has complied
with the provisions of Section 25-30. Otherwise,
the parties must file, on or before the case man-
agement date, the documents listed in subsection
(b) and the clerk shall assign the matter to a date
certain for disposition.
(e) In cases where there are financial disputes,
the parties do not have to come to court on the
case management date, but must file on or before
the case management date the documents listed
in subsection (b). Thereafter, the matter may be
directed to any alternative dispute resolution
mechanism, private or court-annexed, including,
but not limited to, family special masters and judi-
cial pretrial. If not resolved, the matter will be
assigned a date certain for trial.
(f) In cases where there are parenting disputes,
the parties and counsel must appear for a case
management conference on the case manage-
ment date. If parenting disputes require judicial
intervention, the appointment of counsel or a
guardian ad litem for the minor child, or case study
or evaluation by family services or by a private
provider of services, a target date shall be
assigned for completion of such study and the
final conjoint thereon and, thereafter, a date cer-
tain shall be assigned for disposition.
(g) With respect to subsections (e) and (f), if a
trial is required, such order may include a date
certain for a trial management conference
between counsel or self-represented parties for
the purpose of premarking exhibits and complying
with other orders of the judicial authority to expe-
dite the trial process.
(P.B. 1998.) (Amended June 28, 1999, to take effect Jan.
1, 2000; amended June 12, 2015, to take effect Jan. 1, 2016.)
Sec. 25-51. When Motion for Default for Fail-
ure to Appear Does Not Apply
(a) If, in any case involving a dissolution of mar-
riage or civil union, legal separation, or annulment,
the defendant has not filed an appearance by the
case management date, the plaintiff may proceed
to judgment on the case management date with-
out further notice to such defendant. Section 17-
20 concerning motions for default shall not apply
to such cases.
(b) If the defendant files an appearance by the
case management date, the presiding judge or a
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designee shall determine which track the case
shall take pursuant to Section 25-50.
(P.B. 1998.) (Amended June 26, 2006, to take effect Jan.
1, 2007; amended June 12, 2015, to take effect Jan. 1, 2016.)
Sec. 25-52. Failure to Appear for Sched-
uled Disposition
If a party fails to appear in person or by counsel
for a scheduled disposition, the opposing party
may introduce evidence and the case may pro-
ceed to judgment without further notice to such
party who failed to appear.
(P.B. 1998.)
Sec. 25-53. Reference of Family Matters
In any family matter the court may, upon its
own motion or upon motion of a party, refer any
contested, limited contested, or uncontested mat-
ter for hearing and decision to a judge trial referee
who shall have been a judge of the referring court.
Such matters shall be deemed to have been
referred for all further proceedings and judgment,
including matters pertaining to any appeal there-
from, except that the referring court may retain
jurisdiction to hear and decide any pendente lite
or contempt matters.
(P.B. 1978-1997, Sec. 458.)
Sec. 25-54. Order of Trial; Argument by
Counsel
The provisions of Sections 15-5, 15-6 and 15-
7, shall apply to family matters as defined in Sec-
tion 25-1.
(P.B. 1998.)
Sec. 25-55. Medical Evidence
A party who plans to offer a hospital record in
evidence shall have the record in the clerk’s office
twenty-four hours prior to trial. The judge shall
order that all such records be available for inspec-
tion in the clerk’s office to any counsel of record
under the supervision of the clerk. Counsel must
recognize their responsibility to have medical tes-
timony available when needed and shall, when
necessary, subpoena medical witnesses to that
end. Such records shall be submitted in accord-
ance with the provisions of Section 7-18.
(P.B. 1998.) (Amended June 28, 1999, to take effect Jan.
1, 2000.)
Sec. 25-56. Production of Documents at
Hearing or Trial
(a) At the trial management conference prior to
the commencement of an evidentiary hearing or
trial, but in no event later than five days before the
scheduled hearing date, either party may serve
on the other a request for production of documents
and tangible things, in a manner consistent with
Sections 13-9 through 13-11. Service may be
SUPERIOR COURT—PROCEDURE IN FAMILY MATTERSSec. 25-56
made in the same manner as a subpoena or con-
sistent with Sections 10-12 through 10-14.
(b) If a party fails to produce the requested
documents and items, the party filing the request
shall be permitted to introduce into evidence such
copies as that party might have, without having
to authenticate the copies offered.
(c) If a party fails to produce the requested doc-
uments and items and the requesting party does
not have copies to offer into evidence, the judicial
authority may impose such sanctions on the non-
producing party as the judicial authority deems
appropriate pursuant to Section 13-14 and as are
available to the judicial authority for the enforce-
ment of subpoenas.
(P.B. 1998.)
Sec. 25-57. Affidavit concerning Children
Before the judicial authority renders any order in
any matter pending before it involving the custody,
visitation or support of a minor child or children,
an affidavit shall be filed with the judicial authority
averring (1) whether any of the parties is believed
to be pregnant; (2) the name and date of birth of
any minor child born since the date of the filing
of the complaint or the application; (3) information
which meets the requirements of the Uniform
Child Custody Jurisdiction and Enforcement Act,
General Statutes § 46b-115 et seq.; (4) that there
is no other proceeding in which either party has
participated as a party, witness, or otherwise, con-
cerning custody of the child in any state; and (5)
that no person not a party has physical custody
or claims custody or visitation rights with respect
to the child. This section shall not apply to modifi-
cations of existing support orders or in situations
involving allegations of contempt of support
orders.
(P.B. 1978-1997, Sec. 476.) (Amended June 28, 1999, to
take effect Jan. 1, 2000; amended August 24, 2001, to take
effect Jan. 1, 2002; amended June 12, 2015, to take effect
Jan. 1, 2016.)
Sec. 25-58. Reports of Dissolution of Mar-
riage or Civil Union and Annulment
(Amended June 26, 2006, to take effect Jan. 1, 2007.)
Before a hearing is commenced for a dissolu-
tion of marriage or civil union or annulment of
marriage or civil union, the parties concerned, or
their attorneys, shall provide, on forms prescribed
by the chief court administrator and furnished by
the clerk, such information as is required by the
judges of the superior court.
(P.B. 1978-1997, Sec. 477.) (Amended June 28, 1999, to
take effect Jan. 1, 2000; amended June 26, 2006, to take
effect Jan. 1, 2007.)
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Sec. 25-59. Closure of Courtroom in Fam-
ily Matters
(Amended May 14, 2003, to take effect July 1, 2003.)
(a) Except as otherwise provided by law, there
shall be a presumption that courtroom proceed-
ings shall be open to the public.
(b) Except as provided in this section and
except as otherwise provided by law, the judicial
authority shall not order that the public be
excluded from any portion of a courtroom pro-
ceeding.
(c) Upon motion of any party, or upon its own
motion, the judicial authority may order that the
public be excluded from any portion of a court-
room proceeding only if the judicial authority con-
cludes that such order is necessary to preserve
an interest which is determined to override the
public’s interest in attending such proceeding. The
judicial authority shall first consider reasonable
alternatives to any such order and any such order
shall be no broader than necessary to protect
such overriding interest. An agreement of the par-
ties to close the courtroom shall not constitute a
sufficient basis for the issuance of such an order.
(d) In connection with any order issued pursuant
to subsection (c) of this section, the judicial
authority shall articulate the overriding interest
being protected and shall specify its findings
underlying such order. If any findings would reveal
information entitled to remain confidential, those
findings may be set forth in a sealed portion of
the record. The time, date and scope of any such
order shall be set forth in a writing signed by the
judicial authority which upon issuance the court
clerk shall immediately enter in the court file. The
judicial authority shall order that a transcript of
its decision be included in the file or prepare a
memorandum setting forth the reasons for its
order.
(e) A motion to close a courtroom proceeding
shall be filed not less than fourteen days before
the proceeding is scheduled to be heard. Such
motion shall be placed on the short calendar so
that notice to the public is given of the time and
place of the hearing on the motion and to afford
the public an opportunity to be heard on the motion
under consideration. The motion itself may be filed
under seal, where appropriate, by leave of the
judicial authority. When placed on a short calen-
dar, motions filed under this rule shall be listed in
a separate section titled ‘‘Motions to Seal or
Close’’ and shall also be listed with the time, date
and place of the hearing on the Judicial Branch
website. A notice of such motion being placed on
the short calendar shall, upon issuance of the
SUPERIOR COURT—PROCEDURE IN FAMILY MATTERS Sec. 25-59A
short calendar, be posted on a bulletin board adja-
cent to the clerk’s office and accessible to the
public.
(P.B. 1978-1997, Sec. 478.) (Amended May 14, 2003, to
take effect July 1, 2003; amended June 21, 2004, to take
effect Jan. 1, 2005; amended June 20, 2011, to take effect
Jan. 1, 2012.)
HISTORY—2003: Prior to 2003, when both the title and
text were amended, Section 25-59 read: ‘‘Closed Hearings
and Records
‘‘Subject to the provision of Section 11-20, any family matter
may be heard in chambers or in a courtroom from which the
public and press have been excluded, and the records and
other papers in any family matter may be ordered by the court
to be kept confidential and not to be open to inspection except
under order of the court or a judge thereof.’’
COMMENTARY—2003: The public and press enjoy a right
of access to attend trials in civil as well as criminal cases.
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.
Superior Court, 457 U.S. 596, 606, 102 S. Ct. 2613, 73 L.
Ed. 2d 248 (1982); Westmoreland v. Columbia Broadcasting
System, Inc., 752 F.2d 16, 22 (2d Cir. 1984).
For a further discussion of court closure, see the Commen-
tary to Sections 11-20 and 42-49. It is intended that the above
rule also apply to family support magistrates.
HISTORY—2005: Prior to 2005, the third sentence of sub-
section (d) read: ‘‘The time, date and scope of any such order
shall be in writing and shall be signed by the judicial authority
and be entered by the court clerk in the court file.’’
COMMENTARY—2005: As used in subsection (a) above,
the words ‘‘Except as otherwise provided by law’’ are intended
to exempt from the operation of this rule all established proce-
dures for the closure of courtroom proceedings as required
or permitted by statute; e.g., General Statutes §§ 19a-583 (a)
(10) (D) (pertaining to court proceedings as to disclosure of
confidential HIV-related information), 36a-21 (b) (pertaining to
court proceedings at which certain records of the department
of banking are disclosed), 46b-11 (pertaining to hearings in
family relations matters), 54-86c (b) (pertaining to the disclo-
sure of exculpatory information or material), 54-86f (pertaining
to the admissibility of evidence of sexual conduct) and 54-86g
(pertaining to the testimony of a victim of child abuse); other
rules of practice; e.g., Practice Book Section 40-43; and/or
controlling state or federal case law.
The above amendment to subsection (d) establishes a
mechanism by which the public and the press, who are empow-
ered by this rule to object to pending motions to close the
courtroom in family matters, will receive timely notice of the
court’s disposition of such motions.
HISTORY—2012: Prior to 2012, the last sentence of sub-
section (e) read: ‘‘A copy of the short calendar page containing
the aforesaid section shall, upon issuance of the short calen-
dar, be posted on a bulletin board adjacent to the clerk’s office
and accessible to the public.’’
COMMENTARY—2012: The above amendment is
intended to provide for the electronic filing and processing of
documents and orders, and the maintenance of court records,
where the present terminology, filing requirements or pro-
cesses that are applicable in a paper environment result in
confusion or redundancy when applied to an electronic envi-
ronment.
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Sec. 25-59A. Sealing Files or Limiting Dis-
closure of Documents in Family Matters
(a) Except as otherwise provided by law, there
shall be a presumption that documents filed with
the court shall be available to the public.
(b) Except as provided in this section and
except as otherwise provided by law, including
Section 13-5, the judicial authority shall not order
that any files, affidavits, documents, or other
materials on file with the court or filed in connec-
tion with a court proceeding be sealed or their
disclosure limited.
(c) Upon written motion of any party, or upon
its own motion, the judicial authority may order
that files, affidavits, documents, or other materials
on file or lodged with the court or in connection
with a court proceeding be sealed or their disclo-
sure limited only if the judicial authority concludes
that such order is necessary to preserve an inter-
est which is determined to override the public’s
interest in viewing such materials. The judicial
authority shall first consider reasonable alterna-
tives to any such order and any such order shall
be no broader than necessary to protect such
overriding interest. An agreement of the parties
to seal or limit the disclosure of documents on file
with the court or filed in connection with a court
proceeding shall not constitute a sufficient basis
for the issuance of such an order.
(d) In connection with any order issued pursuant
to subsection (c) of this section, the judicial
authority shall articulate the overriding interest
being protected and shall specify its findings
underlying such order and the duration of such
order. If any findings would reveal information
entitled to remain confidential, those findings may
be set forth in a sealed portion of the record. The
time, date, scope and duration of any such order
shall be set forth in a writing signed by the judicial
authority which upon issuance the court clerk shall
immediately enter in the court file. The judicial
authority shall order that a transcript of its decision
be included in the file or prepare a memorandum
setting forth the reasons for its order.
(e) Except as otherwise ordered by the judicial
authority, a motion to seal or limit the disclosure
of affidavits, documents, or other materials on file
or lodged with the court or filed in connection with
a court proceeding shall be calendared so that
notice to the public is given of the time and place
of the hearing on the motion and to afford the
public an opportunity to be heard on the motion
under consideration. The procedures set forth in
Sections 7-4B and 7-4C shall be followed in con-
nection with a motion to file affidavits, documents
or other materials under seal or to limit their dis-
closure.
SUPERIOR COURT—PROCEDURE IN FAMILY MATTERSSec. 25-59A
(f) (1) A motion to seal the contents of an entire
court file shall be placed on the short calendar to
be held not less than fifteen days following the
filing of the motion, unless the judicial authority
otherwise directs, so that notice to the public is
given of the time and place of the hearing on the
motion and to afford the public an opportunity to
be heard on the motion under consideration. The
procedures set forth in Sections 7-4B and 7-4C
shall be followed in connection with such motion.
(2) The judicial authority may issue an order
sealing the contents of an entire court file only
upon a finding that there is not available a more
narrowly tailored method of protecting the overrid-
ing interest, such as redaction or sealing a portion
of the file. The judicial authority shall state in its
decision or order each of the more narrowly tai-
lored methods that was considered and the rea-
son each such method was unavailable or
inadequate.
(g) The provisions of this section shall not apply
to settlement conferences or negotiations or to
documents submitted to the court in connection
with such conferences or negotiations. The provi-
sions of this section shall apply to settlement
agreements which have been filed with the court
or have been incorporated into a judgment of
the court.
(h) Sworn statements of current income,
expenses, assets and liabilities filed with the court
pursuant to Sections 25-30 and 25a-15 shall be
under seal and be disclosable only to the judicial
authority, to court personnel, to the parties to the
action and their attorneys, and to any guardians
ad litem and attorneys appointed for any minor
children involved in the matter, except as other-
wise ordered by the judicial authority. Any person
may file a motion to unseal these documents.
When such motion is filed, the provisions of para-
graphs (a) through (e) of this section shall apply
and the party who filed the documents shall have
the burden of proving that they should remain
sealed. The judicial authority shall order that the
automatic sealing pursuant to this paragraph shall
terminate with respect to all such sworn state-
ments then on file with the court when any hearing
is held at which financial issues are in dispute.
This shall not preclude a party from filing a motion
to seal or limit disclosure of such sworn state-
ments pursuant to this section.
(i) Any Income Withholding for Support form
(JD-FM-1) filed with the clerk’s office, after being
signed by the clerk, shall be returned to the filer
for service on the payer of income. A copy of the
signed form shall be retained for the court file
and shall be under seal. Any such copy shall be
disclosable only to the judicial authority, to court
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personnel, to the parties to the action and their
attorneys, and to any individual or entity under
cooperative agreement with the Title IV-D agency
requesting disclosure of such form in the adminis-
tration of the child support program. Any person
may file a motion to unseal this document. A copy
of the signed form with all social security numbers
and dates of birth redacted by the clerk shall be
retained in the court file and be available for pub-
lic inspection.
(j) When placed on a short calendar, motions
filed under this rule shall be listed in a separate
section titled "Motions to Seal or Close" and shall
also be listed with the time, date and place of the
hearing on the Judicial Branch website. A notice
of such motion being placed on the short calendar
shall, upon issuance of the short calendar, be
posted on a bulletin board adjacent to the clerk’s
office and accessible to the public.
(Adopted May 14, 2003, to take effect July 1, 2003;
amended June 21, 2004, to take effect Jan. 1, 2005; amended
June 20, 2011, to take effect Jan. 1, 2012; amended June 14,
2013, to take effect Jan. 1, 2014; amended June 12, 2015,
to take effect Jan. 1, 2016.)
COMMENTARY—2003: The public and press enjoy a right
of access to attend trials in civil as well as criminal cases. See
Nixon v. Warner Communications, Inc., 435 U.S. 589, 608,
98 S. Ct. 1306, 55 L. Ed. 2d 570 (1978). The guarantee of
open public proceedings in civil trials applies as well to the
sealing of court documents. See Publicker Industries, Inc. v.
Cohen, 733 F.2d 1059, 1070–71 (3d Cir. 1984).
See also the Commentary to Section 42-49A.
Subsection (h) is intended to minimize the potential for
abuse that can result when personal financial information is
made available to persons who engage in identity theft or
other illegal activities.
It is intended that subsection (h) not apply retroactively to
sworn statements that have been filed before the effective
date of this rule.
It is intended that the above rule also apply to family sup-
port magistrates.
It is intended that the use of pseudonyms in place of the
name of a party or parties not be permitted in family cases.
HISTORY—2005: Prior to 2005, the third sentence of sub-
section (d) read: ‘‘The time, date, scope and duration of any
such order shall forthwith be reduced to writing and be signed
by the judicial authority and entered by the court clerk in the
court file.’’ In 2005, in the first sentence of subsection (h), a
comma was substituted for ‘‘and’’ between ‘‘court personnel’’
and ‘‘to the parties’’ and the words ‘‘and to any guardians ad
litem and attorneys appointed for any minor children involved
in the matter,’’ were inserted.
COMMENTARY—2005: As used in subsection (a) above,
the words ‘‘Except as otherwise provided by law’’ are intended
to exempt from the operation of this rule all established proce-
dures for the sealing or ex parte filing, in camera inspection
and/or nondisclosure to the public of documents, records and
other materials, as required or permitted by statute; e.g., Gen-
eral Statutes §§ 12-242vv (pertaining to taxpayer information),
52-146c et seq. (pertaining to the disclosure of psychiatric
records) and 54-56g (pertaining to the pretrial alcohol educa-
tion program); other rules of practice; e.g., Practice Book Sec-
tions 7-18, 13-5 (6)–(8) and 40-13 (c); and/or controlling state
SUPERIOR COURT—PROCEDURE IN FAMILY MATTERS Sec. 25-60
or federal case law; e.g., Matza v. Matza, 226 Conn. 166,
627 A.2d 414 (1993) (establishing a procedure whereby an
attorney seeking to withdraw from a case due to his client’s
anticipated perjury at trial may support his motion to withdraw
by filing a sealed affidavit for the court’s review).
The above amendment to subsection (d) establishes a
mechanism by which the public and the press, who are empow-
ered by this rule to object to pending motions to seal files or
limit the disclosure of documents in family matters, will receive
timely notice of the court’s disposition of such motions.
The above change to subsection (h) adds to those catego-
ries of individuals to whom financial affidavits filed with the
court pursuant to Section 25-30 are disclosable the following:
guardians ad litem and attorneys appointed for the minor
children.
HISTORY—2012: Prior to 2012, the last sentence of sub-
section (i) read: ‘‘A copy of the short calendar page containing
the aforesaid section shall, upon issuance of the short calen-
dar, be posted on a bulletin board adjacent to the clerk’s office
and accessible to the public.’’
COMMENTARY—2012: The above amendment is
intended to provide for the electronic filing and processing of
documents and orders, and the maintenance of court records,
where the present terminology, filing requirements or pro-
cesses that are applicable in a paper environment result in
confusion or redundancy when applied to an electronic envi-
ronment.
HISTORY—2014: In 2014, ‘‘and 25a-15’’ was added to
the first sentence of subsection (h), following ‘‘25-30,’’ and
‘‘Section’’ was made plural, before ‘‘25-30 and 25a-15.’’
COMMENTARY—2014: The above change is made to
make clear that the provisions of Section 25-59A (h) apply to
sworn statements filed under Section 25a-15 (a).
HISTORY—2016: In 2016, what had been the second and
third sentences of subsection (h) were deleted. Prior to 2016,
the second and third sentences of subsection (h) read: ‘‘When
such sworn statements are filed, the clerk shall place them in
a sealed envelope clearly identified with the words ‘Financial
Affidavit.’ All such sworn statements that are filed in a case
may be placed in the same sealed envelope.’’
Also in 2016, what is now subsection (i) was added and
what had been subsection (i) was designated subsection (j).
COMMENTARY—2016: The language that has been
deleted in subsection (h) was applicable to a paper file. There
are, as of December 15, 2014, paperless family files for which
sealing financial affidavits in an envelope is not applicable.
A comparable electronic process ‘‘seals’’ those affidavits in
accordance with the other provisions of this section.
New subsection (i) concerns the Income Withholding for
Support form (JD-FM-1) which is a federally mandated form.
The social security number and dates of birth are required
fields, and there is currently no law that protects this informa-
tion from disclosure. Family files are now electronic and may
be viewed from any courthouse public access computer in the
state, allowing for greater access to these documents without
the need to go to a clerk’s office. Therefore, the most secure
way of protecting the social security number and other per-
sonal identifying information on this form is to seal the copy
of the form that is retained in the court file. A provision has
been included to allow any person to move to unseal the
document. A redacted copy of the signed form will be retained
in the court file for public inspection.
Sec. 25-59B. —Documents Containing Per-
sonal Identifying Information
(a) The requirements of Section 25-59A shall
not apply to ‘‘personal identifying information,’’ as
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defined in Section 4-7, that may be found in docu-
ments filed with the court, with the exception of
financial affidavits that are under seal. When a
financial affidavit is unsealed, this section shall
apply. If a document containing personal identi-
fying information is filed with the court, a party
or a person identified by the personal identifying
information may request that the document con-
taining the personal identifying information be
sealed. In response to such request, or on its own
motion, the court shall order that the document be
sealed and that the party who filed the document
submit a redacted copy of the document within
ten days of such order.
(b) If the party who filed the document fails to
submit a redacted copy of the document within
ten days of the order, the court may enter sanc-
tions, as appropriate, against said party for such
failure upon the expiration of the ten day period.
Upon the submission of a redacted copy of such
document, the original document containing the
personal identifying information shall be retained
as a sealed document in the court file, unless
otherwise ordered by the court.
(Adopted June 22, 2009, to take effect Jan. 1, 2010;
amended June 21, 2010, to take effect Jan. 1, 2011.)
Sec. 25-60. Evaluations, Studies, Family
Services Mediation Reports and Family Ser-
vices Conflict Resolution Reports
(Amended June 20, 2011, to take effect Aug. 15, 2011;
amended June 13, 2014, to take effect Jan. 1, 2015.)
(a) Whenever, in any family matter, an evalua-
tion or study has been ordered pursuant to Section
25-60A or Section 25-61, or the Court Support
Services Division Family Services Unit has been
ordered to conduct mediation or to hold a conflict
resolution conference pursuant to Section 25-61,
the case shall not be disposed of until the report
has been filed as hereinafter provided, and coun-
sel and the parties have had a reasonable oppor-
tunity to examine it prior to the time the case is
to be heard, unless the judicial authority orders
that the case be heard before the report is filed.
(b) Any report of an evaluation or study pursuant
to Section 25-60A or Section 25-61, or any media-
tion report or conflict resolution conference report
filed by the Family Services Unit as a result of a
referral of the matter to such unit, shall be filed
with the clerk, who will seal such report, and shall
be provided by the filer to counsel of record,
guardians ad litem and self-represented parties
unless otherwise ordered by the judicial authority.
Any such report shall be available for inspection
to counsel of record, guardians ad litem, and the
parties to the action, unless otherwise ordered by
the judicial authority.
SUPERIOR COURT—PROCEDURE IN FAMILY MATTERSSec. 25-60
(c) Any report of an evaluation or study pre-
pared pursuant to Section 25-60A or Section 25-
61 shall be admissible in evidence provided the
author of the report is available for cross-exami-
nation.
(d) The file compiled by the Family Services Unit
in the course of preparing any mediation report
or conflict resolution conference report shall not
be available for inspection or copying unless
otherwise ordered by the judicial authority. The
file compiled by the Family Services Unit in the
course of preparing an evaluation or study con-
ducted pursuant to Section 25-61 that has been
completed and filed with the clerk in accordance
with subsection (b) of this section shall be avail-
able for inspection only to counsel of record,
guardians ad litem, and the parties to the action
to the extent permitted by any applicable authori-
zation for release of information; and further
provided that copies of documents, notes, infor-
mation or other material in the file shall only be
provided to such individuals if they make the
request in writing and certify that it is requested
for legitimate purposes of trial preparation and/or
trial proceedings in the case in which the evalua-
tion or study was filed. For purposes of this sec-
tion, the word ‘‘file’’ shall include any documents,
notes, information or other material retained by
the Family Services Unit in any format.
(e) Any information or copies of the file dis-
closed pursuant to this section shall not be further
disclosed unless otherwise ordered by the judicial
authority or as otherwise authorized in this section
or as otherwise required by law.
(P.B. 1978-1997, Sec. 479.) (Amended June 20, 2011, to
take effect Aug. 15, 2011; amended June 13, 2014, to take
effect Jan. 1, 2015; amended June 23, 2017, to take effect
Jan. 1, 2018.)
HISTORY—2018: What are now subsections (d) and (e)
were added to this section.
COMMENTARY—2018: The changes to this section clarify
what information from Family Services files compiled in con-
nection with the reports, evaluations and studies under this
section are subject to inspection and copying and by whom,
to whom those copies can be provided, and for what purpose
can they be requested. The changes also provide that any
information or copies disclosed may not be further disclosed
except as otherwise ordered, authorized or required.
Sec. 25-60A. Court-Ordered Private Evalu-
ations
(Amended June 15, 2012, to take effect Jan. 1, 2013).
(a) If the court orders a private evaluation of
any party or any child in a family proceeding where
custody, visitation or parental access is at issue,
a state licensed mental health professional shall
conduct such evaluation.
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(b) Notice of any orders relating to the evalua-
tion ordered shall be communicated to the evalua-
tor by the guardian ad litem or, where there is no
guardian ad litem, by court personnel.
(c) Until a court-ordered evaluation is filed with
the clerk pursuant to Section 25-60 (b), counsel
for the parties shall not initiate contact with the
evaluator, unless otherwise ordered by the judi-
cial authority.
(d) The provisions of subsections (a) and (b) of
Section 25-60 shall apply to completed private
court-ordered evaluations.
(Adopted June 20, 2011, to take effect Aug. 15, 2011;
amended June 15, 2012, to take effect Jan. 1, 2013.)
Sec. 25-61. Family Division
The family services unit shall, at the request
of the judicial authority, provide assistance with
regard to issues concerning custody, visitation,
finances, mediation, case management and such
other matters as the judicial authority may direct,
including, but not limited to, an evaluation of any
party or any child in a family proceeding. If an
evaluation of a party or child is requested by the
judicial authority, counsel for the party or child
shall not initiate contact with the evaluator, unless
otherwise ordered by the judicial authority, until
the evaluation is filed with the clerk pursuant to
Section 25-60 (b).
(P.B. 1998.) (Amended June 14, 2013, to take effect Jan.
1, 2014.)
Sec. 25-61A. Standing Committee on Guard-
ians Ad Litem and Attorneys for the Minor
Child in Family Matters
(a) There shall be a standing committee on
guardians ad litem and attorneys for the minor
child in family matters. The membership shall con-
sist of nine individuals, appointed by the chief
court administrator. The members shall serve at
the pleasure of the chief court administrator, and
shall include:
(1) the chief public defender, or his or her
designee;
(2) a mental health professional, with experi-
ence in the fields of child and family matters;
(3) the commissioner of the department of pub-
lic health, or his or her designee;
(4) an attorney in good standing, licensed to
practice law in the State of Connecticut by the
judicial branch, who focuses his or her practice
in the area of family law, and who is not on the
list of individuals qualified to be appointed as a
guardian ad litem or an attorney for a minor child
in a family matter;
(5) two judges of the superior court with experi-
ence presiding over family matters, one of whom
SUPERIOR COURT—PROCEDURE IN FAMILY MATTERS Sec. 25-62A
shall be designated by the chief court administra-
tor to serve as chairperson;
(6) two members of the public; and
(7) a representative of a nonprofit legal services
organization who has experience in family law.
(b) In addition to any other powers and duties
set forth in this chapter, the standing committee
on guardians ad litem and attorneys for the minor
child in family matters shall:
(1) From time to time, establish additional quali-
fications, not inconsistent with Sections 25-62 and
25-62A, for an individual to be deemed eligible to
be appointed as a guardian ad litem or attorney
for the minor child in family matters;
(2) Approve the curriculum for the training
required by Sections 25-62 and 25-62A as
amended;
(3) Establish and administer a process by which
an individual may be removed from the list of
those deemed eligible for appointment as a guard-
ian ad litem or attorney for the minor child in fam-
ily matters;
(4) Annually review and approve a list of individ-
uals deemed eligible for appointment as a guard-
ian ad litem or attorney for the minor child in family
matters; and
(5) Adopt procedures to carry out its functions.
(c) The office of chief public defender shall col-
laborate with the standing committee on guard-
ians ad litem and attorneys for the minor child in
family matters to:
(1) Administer the training of guardians ad litem
and attorneys for the minor child in family matters;
(2) Promulgate and maintain an application for
individuals to be deemed eligible to be appointed
as a guardian ad litem or attorney for the minor
child in family matters; and
(3) Provide a list of qualified individuals to be
eligible for appointment as a guardian ad litem or
attorney for the minor child to the judicial branch
at least once per year.
(d) The office of chief public defender may pro-
mulgate and maintain an additional application
process for eligible individuals wishing to contract
with the office of chief public defender to serve
as a guardian ad litem or attorney for the minor
child at state rates.
(Adopted June 24, 2016, to take effect Jan. 1, 2017.)
Sec. 25-62. Appointment of Guardian Ad
Litem
(a) The judicial authority may appoint a guard-
ian ad litem for a minor involved in any family
matter. Unless the judicial authority orders that
another person be appointed guardian ad litem,
a family relations counselor shall be designated
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as guardian ad litem. The guardian ad litem is not
required to be an attorney.
(b) With the exception of family relations coun-
selors, no person may be appointed as guardian
ad litem unless he or she:
(1) Is an attorney in good standing, licensed to
practice law in the State of Connecticut by the
judicial branch, or is a mental health professional,
licensed by the Connecticut department of public
health and in good standing, in the areas of clinical
social work, marriage and family therapy, profes-
sional counseling, psychology or psychiatry;
(2) Provides proof that he or she does not have
a criminal record;
(3) Provides proof that he or she does not
appear on the department of children and families’
central registry of child abuse and neglect;
(4) Completes a minimum of twenty hours of
preservice training as determined by the standing
committee on guardians ad litem and attorneys
for the minor child in family matters;
(5) Meets any additional qualifications estab-
lished by the standing committee on guardians
ad litem and attorneys for the minor child in family
matters; and
(6) Applies, provides proof of the foregoing
items and is approved as eligible to serve as a
guardian ad litem by the standing committee on
guardians ad litem and attorneys for the minor
child in family matters.
(c) The status of all individuals deemed eligible
to be appointed as a guardian ad litem in family
matters shall be reviewed by the standing commit-
tee on guardians ad litem and attorneys for the
minor child in family matters every three years.
To maintain eligibility, individuals must:
(1) Certify that they have completed twelve
hours of relevant training within the past three
years, three hours of which must be in ethics;
(2) Disclose any changes to their criminal
history;
(3) Certify that they do not appear on the depart-
ment of children and families’ central registry of
child abuse and neglect; and
(4) Meet additional qualifications as determined
by the standing committee on guardians ad litem
and attorneys for the minor child in family matters.
(d) The judicial authority may order compensa-
tion for services rendered by a court-appointed
guardian ad litem.
(P.B. 1978-1997, Sec. 484.) (Amended June 20, 2011, to
take effect Jan. 1, 2012; amended June 24, 2016, to take
effect Jan. 1, 2017.)
Sec. 25-62A. Appointment of Attorney for a
Minor Child
(a) The judicial authority may appoint an attor-
ney for the minor child in any family matter.
SUPERIOR COURT—PROCEDURE IN FAMILY MATTERSSec. 25-62A
(b) No person may be appointed as an attorney
for the minor child unless he or she:
(1) Is an attorney in good standing, licensed to
practice law in the state of Connecticut.
(2) Provides proof that he or she does not have
a criminal record;
(3) Provides proof that he or she does not
appear on the department of children and families’
central registry of child abuse and neglect;
(4) Completes a minimum of twenty hours of
preservice training as determined by the standing
committee on guardians ad litem and attorneys
for the minor child in family matters;
(5) Meets any additional qualifications estab-
lished by the standing committee on guardians
ad litem and attorneys for the minor child in family
matters; and
(6) Applies, provides proof of the foregoing
items and is approved as eligible to serve as an
attorney for the minor child by the standing com-
mittee on guardians ad litem and attorneys for the
minor child in family matters.
(c) The status of all individuals deemed eligible
to be appointed as an attorney for the minor child
in family matters shall be reviewed by the standing
committee on guardians ad litem and attorneys for
the minor child in family matters every three years.
To maintain eligibility, individuals must:
(1) Certify that they have completed twelve
hours of relevant training within the past three
years, three hours of which must be in ethics;
(2) Disclose any changes to their criminal
history;
(3) Certify that they do not appear on the depart-
ment of children and families’ central registry of
child abuse and neglect; and
(4) Meet additional qualifications as determined
by the standing committee on guardians ad litem
and attorneys for the minor child in family matters.
(d) The judicial authority may order compensa-
tion for services rendered by a court-appointed
attorney for the minor child.
(Adopted June 20, 2011, to take effect Jan. 1, 2012;
amended June 24, 2016, to take effect Jan. 1, 2017.)
Sec. 25-63. Right to Counsel in Family Civil
Contempt Proceedings
(a) A person who is before the court in a civil
contempt proceeding involving the failure to com-
ply with the order of a judicial authority in a family
matter and who faces potential incarceration shall
be advised of his or her right to be represented
by counsel and his or her right to court appointed
counsel if he or she is indigent. If the person is
unable to obtain counsel by reason of his or her
indigency he or she shall have counsel appointed
to represent him or her unless:
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(1) He or she waives such appointment pursu-
ant to Section 25-64; or
(2) At the time of the application for the appoint-
ment of counsel, the judicial authority eliminates
incarceration as a possible result of the proceed-
ing and makes a statement to that effect on the
record.
(b) The person shall be further advised that no
person shall continue to be detained in a correc-
tional facility pursuant to an order of civil contempt
for longer than thirty days, unless at the expiration
of such thirty days he or she is presented to the
judicial authority. On each such presentment, the
contemnor shall be given an opportunity to purge
himself or herself of the contempt by compliance
with the order of the judicial authority. If the con-
temnor does not so act, the judicial authority may
direct that the contemnor remain in custody under
the terms of the order of the judicial authority then
in effect, or may modify the order if the interests
of justice so dictate.
(c) Any attorney appointed to represent the con-
temnor shall represent such contemnor only on
the contempt, and shall not be appointed for any
other purpose.
(P.B. 1978-1997, Sec. 484A.)
Sec. 25-64. —Waiver
A person shall be permitted to waive his or her
right to counsel and shall be permitted to repre-
sent himself or herself at any stage of the proceed-
ings, either prior to or following the appointment
of counsel. A waiver will be accepted only after
the judicial authority makes a thorough inquiry
and is satisfied that the person:
(1) Has been clearly advised of his or her right
to the assistance of counsel, including his or her
right to the assignment of counsel when he or she
is so entitled;
(2) Possesses the intelligence and capacity to
appreciate the consequences of the decision to
represent himself or herself;
(3) Comprehends the nature of the proceed-
ings, the range of permissible sanctions and any
additional facts essential to a broad understand-
ing of the case; and
(4) Has been made aware of the risks and dis-
advantages of self-representation.
(P.B. 1978-1997, Sec. 484B.)
Sec. 25-65. Family Support Magistrates;
Procedure
[Repealed as of Aug. 1, 2010.]
Sec. 25-66. Appeal from Decision of Family
Support Magistrate
[Repealed as of Aug. 1, 2010.]
Sec. 25-67. Support Enforcement Services
[Repealed as of Aug. 1, 2010.]
SUPERIOR COURT—PROCEDURE IN FAMILY MATTERS Sec. 25-69
Sec. 25-68. Right to Counsel in State Initi-
ated Paternity Actions
(a) A putative father named in a state initiated
paternity action shall be advised by the judicial
authority of his right to be represented by counsel
and his right to court appointed counsel if indigent.
If he is unable to obtain counsel by reason of
his indigency he shall have counsel appointed to
represent him unless he waives such appointment
pursuant to Section 25-64.
(b) In cases under this section a copy of the
paternity petition shall be served on the attorney
general in accordance with the provisions of Sec-
tions 10-12 through 10-17. The attorney general
shall be a party to such cases, but he or she
need not be named in the petition or summoned
to appear.
(P.B. 1978-1997, Sec. 484C.)
Sec. 25-69. Social Services; Additional
Duties
(a) Under the supervision and direction of the
judicial authority, a family relations counselor
shall, where there is a motion for change of cus-
tody of a child, or where his or her knowledge of
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the family situation causes him or her to believe
that the welfare of the child requires a hearing on
a change of custody, upon direction of the judicial
authority, be permitted to investigate the domestic
and financial situation of the parties and report
his or her findings. The judicial authority may
thereafter, on its own motion if necessary, hold a
hearing thereon after such notice to the parties
as it deems proper.
(b) Under the supervision and direction of the
judicial authority, the family relations counselor
shall conduct such investigations or mediation
conferences in domestic relations matters as may
be directed by the judicial authority.
(c) Under the supervision and direction of the
judicial authority, the family relations counselor
may, where necessary, bring an application to the
court for a rule requiring a party to appear before
the court to show cause why such party should
not be held in contempt for failure to comply with
an order of the judicial authority for visitation.
(d) Family relations caseworkers, family rela-
tions counselors and support enforcement officers
shall investigate all criminal matters involving fam-
ily relations cases referred to them by the prose-
cuting attorney or by the judicial authority.
(P.B. 1978-1997, Sec. 481A.)
SUPERIOR COURT—PROCEDURE IN FAMILY SUPPORT MAGISTRATE MATTERS25a-1
SUPERIOR COURT—PROCEDURE IN FAMILY SUPPORT
MAGISTRATE MATTERS
CHAPTER 25a
FAMILY SUPPORT MAGISTRATE MATTERS
Sec. Sec.
25a-1. Family Support Magistrate Matters; Procedure
25a-1A. Notice of Title IV-D Child Support
Enforcement Services
25a-2. Prompt Filing of Appearance
25a-3. Withdrawal of Appearance; Duration of
Appearance
25a-4. Telephonic Hearings
25a-5. Signing of Pleading
25a-6. Contents of Petition
25a-7. Automatic Orders upon Service of Petition
25a-8. Order of Notice
25a-9. Motions
25a-10. —Motion to Cite in New Parties
25a-11. Answer to Cross Petition
25a-12. Order of Pleadings
25a-13. Reclaims
25a-14. —Continuances when Counsel’s Presence or
Oral Argument Required
25a-15. Statements to Be Filed
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-
ters; Procedure
(a) In addition to the specific procedures set
out in this chapter, the following provisions shall
govern the practice and procedure in all family
support magistrate matters, whether heard by a
family support magistrate or any other judicial
authority. The term "judicial authority" and the
word "judge" as used in the rules referenced in this
section shall include family support magistrates
where applicable, unless specifically otherwise
designated. The word "complaint" as used in the
rules referenced in this section shall include peti-
tions and applications filed in family support mag-
istrate matters.
(1) General Provisions:
(A) Chapters 1, 2, 5, 6 and 7 in their entirety;
(B) Chapter 3, in its entirety except subsection
(b) of Section 3-2 and Section 3-9;
(C) Chapter 4, in its entirety except subsections
(a) and (b) of Section 4-2;
(2) Procedure in Civil Matters:
(A) Chapter 8, Sections 8-1 and 8-2;
(B) Chapter 9, Sections 9-1 and 9-18 through
9-20;
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25a-16. Opening Argument
25a-17. Motion to Open Judgment of Paternity by
Acknowledgment
25a-18. Modification of Alimony or Support
25a-19. Standard Disclosure and Production
25a-20. Medical Evidence
25a-21. Experts
25a-22. Interrogatories; In General
25a-23. Answers to Interrogatories
25a-24. Requests for Production, Inspection
and Examination; In General
25a-25. Order for Compliance; Failure to
Answer or Comply with Order
25a-26. Continuing Duty to Disclose
25a-27. Depositions; In General
25a-28. —Place of Deposition
25a-29. Appeal from Decision of Family Support
Magistrate
25a-30. Support Enforcement Services
(C) Chapter 10, Sections 10-1, 10-3 through
10-5, 10-7, 10-10, 10-12 through 10-14, 10-17,
10-26, 10-28, subsections (a) and (c) of Section
10-30, 10-31 through 10-34, subsection (b) of
Section 10-39, 10-40, 10-43 through 10-45 and
10-59 through 10-68;
(D) Chapter 11, Sections 11-1 through 11-8,
11-10 through 11-12 and 11-19;
(E) Chapter 12, in its entirety;
(F) Chapter 13, Sections 13-1 through 13-3, 13-
5, 13-8, 13-10 except subsection (c), 13-11A, 13-
21 except subdivision (13) of subsection (a), sub-
sections (a), (e), (f), (g) and (h) of Sections 13-
27, 13-28 and 13-30 through 13-32;
(G) Chapter 14, Sections 14-1 through 14-3,
14-9, 14-15, 14-17, 14-18, 14-24 and 14-25;
(H) Chapter 15, Sections 15-3, 15-5, 15-7 and
15-8;
(I) Chapter 17, Sections 17-1, 17-4, 17-5, 17-
19, 17-21, subsection (a) of Sections 17-33 and
17-41;
(J) Chapter 18, Section 18-19;
(K) Chapter 19, Section 19-19;
(L) Chapter 20, Sections 20-1 and 20-3;
SUPERIOR COURT—PROCEDURE IN FAMILY SUPPORT MAGISTRATE MATTERS Sec. 25a-3
(M) Chapter 23, Sections 23-20, 23-67 and
23-68.
(3) Procedure in Family Matters:
Chapter 25, Sections 25-1, 25-9, 25-12 through
25-22, 25-27, 25-33, 25-48, 25-54, 25-59, 25-59A,
25-61, 25-62 through 25-64 and 25-68.
(b) Any pleading or motion filed in a family sup-
port magistrate matter shall indicate, in the lower
right hand corner of the first page of the document,
that it is a family support magistrate matter.
(c) Family support magistrate matters shall be
placed on the family support magistrate matters
list for hearing and determination.
(d) Family support magistrate list matters shall
be assigned automatically by the clerk without the
necessity of a written claim. No such matters shall
be so assigned unless filed at least five days
before the opening of court on the day the list is
to be called.
(e) Family support magistrate list matters shall
not be continued except by order of a judicial
authority.
(Adopted June 21, 2010, to take effect Aug. 1, 2010;
amended June 14, 2013, to take effect Oct. 1, 2013; amended
June 23, 2017, to take effect Jan. 1, 2018.)
HISTORY—2018: In subsection (a) (1) (A), ‘‘7’’ was added
and ‘‘and’’ was moved to follow ‘‘6.’’ Also in subsection (a)
(1), subparagraph (D) was deleted. Prior to 2018, subsection
(a) (1) (D) read: ‘‘Chapter 7, Section 7-19.’’
COMMENTARY—2018: The change to this section makes
Chapter 7 of the Practice Book, in its entirety, applicable to
Family Support Magistrate matters.
Sec. 25a-1A. Notice of Title IV-D Child Sup-
port Enforcement Services
(a) In any Title IV-D support case as defined
by General Statutes § 46b-231, the Title IV-D
agency, or one of its cooperative agencies, shall
file a notice, on a form prescribed by the office of
the chief court administrator, that the parties or
child are receiving child support enforcement
services.
(b) Upon termination of child support enforce-
ment services, the Title IV-D agency, or one of
its cooperative agencies, shall file a notice, on a
form prescribed by the office of the chief court
administrator, that the Title IV-D support case is
closed.
(Adopted June 24, 2016, to take effect Jan. 1, 2017.)
Sec. 25a-2. Prompt Filing of Appearance
An appearance in Title IV-D child support mat-
ters should be filed promptly but may be filed at
any stage of the proceeding.
(Adopted June 21, 2010, to take effect Aug. 1, 2010.) (Sec.
25a-2 was temporarily assigned the number 25a-1A in the
Connecticut Law Journal of July 13, 2010.)
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Sec. 25a-3. Withdrawal of Appearance;
Duration of Appearance
(a) An attorney or party whose appearance has
been filed shall be deemed to have withdrawn
such appearance upon failure to file a written
objection within ten days after written notice has
been given or mailed to such attorney or party
that a new appearance has been filed in place
of the appearance of such attorney or party in
accordance with Section 3-8.
(b) An attorney may withdraw his or her appear-
ance for a party or parties in any action after the
appearance of other counsel representing the
same party or parties has been entered. An appli-
cation for withdrawal in accordance with this sub-
section shall state that such an appearance has
been entered and that such party or parties are
being represented by such other counsel at the
time of the application. Such an application may
be granted by the clerk as of course, if such an
appearance by other counsel has been entered.
(c) In addition to the grounds set forth in subsec-
tions (a), (b), and (d), a lawyer who represents a
party or parties on a limited basis in accordance
with Section 3-8 (b) and has completed his or her
representation as defined in the limited appear-
ance, shall file a certificate of completion of limited
appearance on Judicial Branch form JD-CL-122.
The certificate shall constitute a full withdrawal of
a limited appearance. Copies of the certificate
must be served in accordance with Sections 10-
12 through 10-17 on the client, and all attorneys
and self-represented parties of record.
(d) All appearances of counsel shall be deemed
to have been withdrawn 180 days after the entry
of judgment in any action seeking a dissolution
of marriage or civil union, annulment, or legal sep-
aration, provided no appeal shall have been
taken. In the event of an appeal or the filing of a
motion to open a judgment within such 180 days,
all appearances of counsel shall be deemed to
have been withdrawn after final judgment on such
appeal or motion or within 180 days after the entry
of the original judgment, whichever is later. Noth-
ing herein shall preclude or prevent any attorney
from filing a motion to withdraw with leave of the
court during that period subsequent to the entry of
judgment. In the absence of a specific withdrawal,
counsel will continue of record for all postjudg-
ment purposes until 180 days have elapsed from
the entry of judgment or, in the event an appeal
or a motion to open a judgment is filed within such
180 day period, until final judgment on that appeal
or determination of that motion, whichever is later.
(e) Except as provided in subsections (a), (b),
(c), and (d) no attorney shall withdraw his or her
SUPERIOR COURT—PROCEDURE IN FAMILY SUPPORT MAGISTRATE MATTERSSec. 25a-3
appearance after it has been entered upon the
record of the court without the leave of the court.
(f) All appearances entered on behalf of parties
for matters involving Title IV-D child support mat-
ters shall be deemed to be for those matters only.
(g) All appearances entered on behalf of parties
in the family division of the superior court shall
not be deemed appearances for any matter involv-
ing a Title IV-D child support matter unless specifi-
cally so designated.
(Adopted June 21, 2010, to take effect Aug. 1, 2010.) (Sec.
25a-3 was temporarily assigned the number 25a-2 in the Con-
necticut Law Journal of July 13, 2010; amended June 15,
2012, to take effect Jan. 1, 2013; amended June 14, 2013,
to take effect Oct. 1, 2013.)
Sec. 25a-4. Telephonic Hearings
(a) In any case where mandated by law, the
judicial authority shall upon written motion or on
its own motion permit an individual to testify by
telephone or other audio electronic means.
(b) In any case where permitted by law, the
judicial authority may, upon written motion or on
its own motion, permit an individual to testify by
telephone or other audio electronic means.
(c) Upon an order for a telephonic hearing, the
judicial authority shall set the date, time and place
for such hearing and shall issue an order in con-
nection therewith.
(Adopted June 21, 2010, to take effect Aug. 1, 2010.) (Sec.
25a-4 was temporarily assigned the number 25a-2A in the
Connecticut Law Journal of July 13, 2010.)
Sec. 25a-5. Signing of Pleading
(a) Every pleading and other paper of a party
represented by an attorney shall be signed by
at least one attorney of record in the attorney’s
individual name. A party who is not represented
by an attorney, and a support enforcement officer
where appropriate, shall sign the pleadings and
other papers. The name of the attorney, party
or support enforcement officer who signs such
document shall be legibly typed or printed beneath
the signature.
(b) The signing of any pleading, motion, objec-
tion or request shall constitute a certificate that
the signer has read such document, that to the
best of the signer’s knowledge, information and
belief there is good ground to support it, that it is
not interposed for delay, and that the signer has
complied with the requirements of Section 4-7
regarding personal identifying information. Each
pleading and every other court-filed document
shall set forth the signer’s telephone number and
mailing address.
(Adopted June 21, 2010, to take effect Aug. 1, 2010.) (Sec.
25a-5 was temporarily assigned the number 25a-2B in the
Connecticut Law Journal of July 13, 2010.)
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Sec. 25a-6. Contents of Petition
All petitions shall contain a concise statement
of the facts constituting the cause of action, a
demand for relief and the basis on which relief
is sought.
(Adopted June 21, 2010, to take effect Aug. 1, 2010.) (Sec.
25a-6 was temporarily assigned the number 25a-3 in the Con-
necticut Law Journal of July 13, 2010.)
Sec. 25a-7. Automatic Orders upon Service
of Petition
(a) The following automatic orders shall apply
to both parties, with service of the automatic
orders to be made with service of process of a
petition for child support. An automatic order shall
not apply if there is a prior, contradictory order of
a judicial authority. The automatic orders shall
be effective with regard to the petitioner or the
applicant upon the signing of the document initiat-
ing the action (whether it be complaint, petition or
application), and with regard to the respondent,
upon service and shall remain in place during
the pendency of the action, unless terminated,
modified, or amended by further order of a judicial
authority upon motion of either of the parties:
(1) Neither party shall cause the other party or
the children who are the subject of the complaint,
application or petition to be removed from any
medical, hospital and dental insurance coverage,
and each party shall maintain the existing medical,
hospital and dental insurance coverage in full
force and effect.
(b) The automatic orders of a judicial authority
as enumerated in subsection (a) shall be set forth
immediately following the party’s requested relief
in any complaint, petition or application, and shall
set forth the following language in bold letters: If
you do not follow or obey these orders you
may be punished by contempt of court. If you
object to these orders or would like to have
them changed or modified while your case is
pending, you have the right to a hearing by a
judicial authority within a reasonable time. The
clerk shall not accept for filing any complaint, peti-
tion or application that does not comply with
this subsection.
(Adopted June 21, 2010, to take effect Aug. 1, 2010.) (Sec.
25a-7 was temporarily assigned the number 25a-4 in the Con-
necticut Law Journal of July 13, 2010.)
Sec. 25a-8. Order of Notice
(a) On a petition for support or the establish-
ment of paternity when the adverse party resides
out of or is absent from the state or the where-
abouts of the adverse party are unknown to the
plaintiff or the applicant, any judicial authority or
clerk of the court may make such order of notice
as he or she deems reasonable. If such notice is
SUPERIOR COURT—PROCEDURE IN FAMILY SUPPORT MAGISTRATE MATTERS Sec. 25a-14
by publication, it shall not include the automatic
orders set forth in Section 25a-7, but shall,
instead, include a statement that automatic orders
have issued in the case pursuant to Section 25a-
7 and that such orders are set forth in the applica-
tion or petition on file with the court. Such notice
having been given and proved, the judicial author-
ity may hear the application or petition if it finds
that the adverse party has actually received notice
that the application or petition is pending. If actual
notice is not proved, the judicial authority in its
discretion may hear the case or continue it for
compliance with such further order of notice as it
may direct.
(b) With regard to any motion for modification
or for contempt or any other motion requiring an
order of notice, where the adverse party resides
out of or is absent from the state, any judicial
authority or clerk of the court may make such
order of notice as he or she deems reasonable.
Such notice having been given and proved, the
court may hear the motion if it finds that the
adverse party has actually received notice that
the motion is pending.
(Adopted June 21, 2010, to take effect Aug. 1, 2010.) (Sec.
25a-8 was temporarily assigned the number 25a-4A in the
Connecticut Law Journal of July 13, 2010.)
Sec. 25a-9. Motions
(a) Any appropriate party may move for child
support, appointment of counsel or guardian ad
litem for the minor child, counsel fees, or for an
order or enforcement of an order with respect to
the maintenance of the family or for any other
statutorily authorized relief.
(b) Each such motion shall state clearly, in the
caption of the motion, whether it is a pendente
lite or a postjudgment motion.
(Adopted June 21, 2010, to take effect Aug. 1, 2010.) (Sec.
25a-9 was temporarily assigned the number 25a-5 in the Con-
necticut Law Journal of July 13, 2010.)
Sec. 25a-10. —Motion to Cite in New Parties
Any motion to cite in or to admit new parties
must comply with Section 11-1 and state briefly
the grounds upon which it is made. In Title IV-D
child support matters, a motion to cite in or to
admit new parties is limited to a parent, legal cus-
todian or guardian.
(Adopted June 21, 2010, to take effect Aug. 1, 2010.) (Sec.
25a-10 was temporarily assigned the number 25a-5A in the
Connecticut Law Journal of July 13, 2010.)
Sec. 25a-11. Answer to Cross Petition
A plaintiff in a family support magistrate matter
seeking to contest the grounds of a cross petition
may file an answer admitting or denying the alle-
gations of such cross petition or leaving the
pleader to his or her proof. If a decree is rendered
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on the cross petition, the judicial authority may
award to the plaintiff such relief as is claimed in
the petition.
(Adopted June 21, 2010, to take effect Aug. 1, 2010.) (Sec.
25a-11 was temporarily assigned the number 25a-6 in the
Connecticut Law Journal of July 13, 2010.)
Sec. 25a-12. Order of Pleadings
The order of pleadings shall be:
(1) the petition for establishment of paternity
and/or a petition for support;
(2) the defendant’s motion to dismiss the
petition;
(3) the defendant’s motion to strike the petition
or claims for relief;
(4) the defendant’s answer, cross petition and
claims for relief;
(5) the plaintiff’s motion to strike the defendant’s
answer, cross petition, or claims for relief;
(6) the plaintiff’s answer.
(Adopted June 21, 2010, to take effect Aug. 1, 2010.) (Sec.
25a-12 was temporarily assigned the number 25a-7 in the
Connecticut Law Journal of July 13, 2010.)
Sec. 25a-13. Reclaims
If a motion has gone off the family support mag-
istrate calendar without being adjudicated, any
party may claim the motion for adjudication. If an
objection to a request has gone off the family
support magistrate calendar without being adjudi-
cated, the party who filed the request may claim
the objection to the request for adjudication. Any
party may claim for adjudication any motion or
request initiated by support enforcement services
that has gone off without being adjudicated and
a support enforcement officer may claim any
motion or request initiated by support enforce-
ment services that has gone off without being
adjudicated.
(Adopted June 21, 2010, to take effect Aug. 1, 2010.) (Sec.
25a-13 was temporarily assigned the number 25a-8 in the
Connecticut Law Journal of July 13, 2010.)
Sec. 25a-14. —Continuances when Coun-
sel’s Presence or Oral Argument Required
Matters upon the short calendar list requiring
oral argument or counsel’s presence shall not be
continued except for good cause shown; and no
such matter in which adverse parties are inter-
ested shall be continued unless the parties shall
agree thereto before the day of the short calendar
session and notify the clerk, who shall make note
thereof on the list of the judicial authority; in the
absence of such agreement, unless the judicial
authority shall otherwise order, any counsel
appearing may argue the matter and submit it for
decision or request that it be denied.
(Adopted June 21, 2010, to take effect Aug. 1, 2010.) (Sec.
25a-14 was temporarily assigned the number 25a-8A in the
Connecticut Law Journal of July 13, 2010.)
SUPERIOR COURT—PROCEDURE IN FAMILY SUPPORT MAGISTRATE MATTERSSec. 25a-15
Sec. 25a-15. Statements to Be Filed
(a) At least five days before the hearing date
of a motion or order to show cause concerning
alimony, support, or counsel fees, or at the time
a dissolution of marriage or civil union, legal sepa-
ration or annulment action or action for custody
or visitation is scheduled for a hearing, each party
shall file, where applicable, a sworn statement
substantially in accordance with a form prescribed
by the chief court administrator, of current income,
expenses, assets and liabilities. When the attor-
ney general has appeared as a party in interest,
a copy of the sworn statements shall be served
upon him or her in accordance with Sections 10-
12 through 10-14 and 10-17. Unless otherwise
ordered by the judicial authority, all appearing par-
ties shall file sworn statements within thirty days
prior to the date of the decree. Notwithstanding
the above, the court may render pendente lite
and permanent orders, including judgment, in the
absence of the opposing party’s sworn statement.
The provisions of Section 25-59A (h) shall apply
to sworn statements filed under this subsection.
(b) Where there is a minor child who requires
support, the parties shall file a completed child
support and arrearage guidelines worksheet at
the time of any court hearing concerning child
support.
(c) At the time of any hearing, including pen-
dente lite and postjudgment proceedings, in which
a moving party seeks a determination, modifica-
tion, or enforcement of any alimony or child sup-
port order, a party shall submit an Advisement of
Rights Re: Income Withholding form (JD-FM-71).
(Adopted June 21, 2010, to take effect Aug. 1, 2010;
amended June 14, 2013, to take effect Jan. 1, 2014.) (Sec.
25a-15 was temporarily assigned the number 25a-9 in the
Connecticut Law Journal of July 13, 2010.)
Sec. 25a-16. Opening Argument
Instead of reading the pleadings, any party shall
be permitted to make a brief opening statement
at the discretion of the judicial authority, to apprise
the trier in general terms as to the nature of the
case being presented for trial. The judicial author-
ity shall have discretion as to the latitude of the
statements of the parties.
(Adopted June 21, 2010, to take effect Aug. 1, 2010.) (Sec.
25a-16 was temporarily assigned the number 25a-10 in the
Connecticut Law Journal of July 13, 2010.)
Sec. 25a-17. Motion to Open Judgment of
Paternity by Acknowledgment
(a) Any mother or acknowledged father who
wishes to challenge an acknowledgment of pater-
nity pursuant to General Statutes § 46b-172 (a)
(2) shall file a motion to open judgment, which
shall state the statutory grounds upon which the
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motion is based and shall append a certified copy
of the document containing the acknowledgment
of paternity to such motion.
(b) Upon receipt of such motion to open and
accompanying document, the clerk shall cause
the matter to be docketed.
(c) Any action to challenge an acknowledgment
of paternity for which there is no other family court
file involving the same parties shall be com-
menced by an order to show cause accompanied
by the motion to open judgment and the document
containing the acknowledgment of paternity
required by subsection (a) of this section. Upon
presentation of the motion to open and the
acknowledgment of paternity, the judicial authority
shall cause an order to be issued requiring the
adverse party or parties to appear on a day certain
and show cause, if any there be, why the relief
requested by the moving party should not be
granted. The motion to open, acknowledgment of
paternity and order shall be served on the adverse
party not less than twelve days before the date
of the hearing, which shall not be held more than
thirty days from the filing of the challenge.
(d) Nothing in this section shall preclude an
individual from filing a special defense of a chal-
lenge to a paternity judgment, or a counterclaim
in response to a petition for support.
(Adopted June 21, 2010, to take effect Aug. 1, 2010.) (Sec.
25a-17 was temporarily assigned the number 25a-11 in the
Connecticut Law Journal of July 13, 2010.)
Sec. 25a-18. Modification of Alimony or
Support
(a) Upon an application for a modification of an
award of alimony or support of minor children,
filed by a person who is then in arrears under the
terms of such award, the judicial authority may,
upon hearing, ascertain whether such arrearage
has accrued without sufficient excuse so as to
constitute a contempt of court and, in its discre-
tion, may determine whether any modification of
current alimony and support shall be ordered prior
to the payment, in whole or in part as the judicial
authority may order, of any arrearage found to
exist.
(b) In Title IV-D matters, upon any motion to
modify support for minor children, where the
motion seeks to reduce the amount of support,
the judicial authority may, upon hearing, ascertain
whether such arrearage has accrued without suffi-
cient excuse so as to constitute a contempt of
court and, in its discretion, may determine whether
any modification of current alimony and support
shall be ordered prior to the payment, in whole or
in part as the judicial authority may order, of any
arrearage found to exist.
SUPERIOR COURT—PROCEDURE IN FAMILY SUPPORT MAGISTRATE MATTERS Sec. 25a-22
(c) Either parent or both parents of minor chil-
dren, or any individual receiving Title IV-D ser-
vices from the state of Connecticut may be cited
or summoned by any party to the action, or in Title
IV-D matters by support enforcement services of
the judicial branch, to appear and show cause
why orders of support or alimony should not be
entered or modified.
(d) In matters where the parties, or other individ-
uals pursuant to subsection (b) of this section,
to a child support order are receiving Title IV-D
services from the state of Connecticut, support
enforcement services of the judicial branch may
initiate a motion to modify an existing child support
order pursuant to General Statutes § 46b-231 (s)
(4) and, in connection with such motion, may issue
an order and summons and assign a date for a
hearing on such motion.
(e) If any applicant, other than support enforce-
ment services of the judicial branch, is proceeding
without the assistance of counsel and citation of
any other party is necessary, the applicant shall
sign the application and present the application,
proposed order and summons to the clerk; the
clerk shall review the proposed order and sum-
mons and, unless it is defective as to form, shall
sign the proposed order and summons and shall
assign a date for a hearing on the application.
(f) Each motion for modification shall state the
specific factual and statutory basis for the claimed
modification and shall include the outstanding
order and date thereof to which the motion for
modification is addressed.
(g) On motions addressed to financial issues,
the provisions of Section 25-30 (a), (e) and (f)
shall be followed.
(Adopted June 21, 2010, to take effect Aug. 1, 2010.) (Sec.
25a-18 was temporarily assigned the number 25a-12 in the
Connecticut Law Journal of July 13, 2010.)
Sec. 25a-19. Standard Disclosure and Pro-
duction
(a) Upon request by a party or as ordered by the
judicial authority, opposing parties shall exchange
the following documents within thirty days of such
request or such order:
(1) all federal and state income tax returns filed
within the last three years, including personal
returns and returns filed on behalf of any partner-
ship or closely held corporation of which a party
is a partner or shareholder;
(2) IRS forms W-2, 1099 and K-1 within the last
three years including those for the past year if the
income tax returns for that year have not been
prepared;
(3) copies of all pay stubs or other evidence of
income for the current year and the last pay stub
from the past year;
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(4) statements for all accounts maintained with
any financial institution, including banks, brokers
and financial managers, for the past twenty-four
months;
(5) the most recent statement showing any
interest in any Keogh, IRA, profit sharing plan,
deferred compensation plan, pension plan, or
retirement account;
(6) the most recent statement regarding any
insurance on the life of any party;
(7) a summary furnished by the employer of the
party’s medical insurance policy, coverage, cost
of coverage, spousal benefits, and COBRA costs
following dissolution;
(8) any written appraisal concerning any asset
owned by either party.
(b) Such duty to disclose shall continue during
the pendency of the action should a party appear.
This section shall not preclude discovery under
any other provisions of these rules.
(Adopted June 21, 2010, to take effect Aug. 1, 2010.) (Sec.
25a-19 was temporarily assigned the number 25a-13 in the
Connecticut Law Journal of July 13, 2010.)
Sec. 25a-20. Medical Evidence
A party who plans to offer a hospital record in
evidence shall have the record in the clerk’s office
twenty-four hours prior to trial. Counsel must rec-
ognize their responsibility to have medical testi-
mony available when needed and shall, when
necessary, subpoena medical witnesses to that
end.
(Adopted June 21, 2010, to take effect Aug. 1, 2010.) (Sec.
25a-20 was temporarily assigned the number 25a-14 in the
Connecticut Law Journal of July 13, 2010.)
Sec. 25a-21. Experts
As soon as is practicable, if a party, including
the state of Connecticut, is going to rely on in-
court expert testimony, that party shall provide
notice to all opposing parties, but said notice shall
not be provided less than fourteen days before the
hearing. Discovery, facts unknown, and opinions
held by experts may be ordered disclosed by the
judicial authority on such terms and conditions as
the judicial authority deems reasonable.
(Adopted June 21, 2010, to take effect Aug. 1, 2010.) (Sec.
25a-21 was temporarily assigned the number 25a-15 in the
Connecticut Law Journal of July 13, 2010.)
Sec. 25a-22. Interrogatories; In General
(a) In any action in the family support magistrate
division to establish, enforce or modify a child
support order, upon motion of any party and when
the judicial authority deems it necessary, any
party may be required to answer all or part of the
interrogatories set forth in Form 207 of the rules
of practice, which is printed in the Appendix of
Forms in this volume.
SUPERIOR COURT—PROCEDURE IN FAMILY SUPPORT MAGISTRATE MATTERSSec. 25a-22
(b) In any paternity action before the family sup-
port magistrate division, interrogatories may only
be served upon a party where the judicial authority
deems it necessary.
(c) For good cause shown, in postjudgment
matters, the judicial authority may upon motion
authorize further discovery.
(Adopted June 21, 2010, to take effect Aug. 1, 2010.) (Sec.
25a-22 was temporarily assigned the number 25a-15A in the
Connecticut Law Journal of July 13, 2010.)
Sec. 25a-23. Answers to Interrogatories
(a) Any such interrogatories shall be answered
under oath by the party to whom directed and
such answers shall not be filed with the court but
shall be served within sixty days after the date of
certification of service, in accordance with Sec-
tions 10-12, 10-14 and 10-17, of the interrogato-
ries or, if applicable, the notice of interrogatories
on the answering party, unless:
(1) Counsel file with the court a written stipula-
tion extending the time within which answers or
objections may be served; or
(2) The party to whom the interrogatories are
directed, after service in accordance with Sections
10-12, 10-14 and 10-17, files a request for exten-
sion of time, for not more than thirty days, within
the initial sixty day period. Such request shall con-
tain a certification by the requesting party that the
case has not been assigned for trial. Such request
shall be deemed to have been automatically
granted by the judicial authority on the date of
filing, unless within ten days of such filing the party
who has served the interrogatories or the notice
of interrogatories shall file objection thereto. A
party shall be entitled to one such request for each
set of interrogatories directed to that party; or
(3) Upon motion, the judicial authority allows a
longer time.
(b) The party answering interrogatories shall
attach a cover sheet to the answers. The cover
sheet shall comply with Sections 4-1 and 4-2 and
shall state that the party has answered all of the
interrogatories or shall set forth those interrogato-
ries to which the party objects and the reasons
for objection. The cover sheet and the answers
shall not be filed with the court unless the
responding party objects to one or more interroga-
tories, in which case only the cover sheet shall
be so filed.
(c) All answers to interrogatories shall repeat
immediately before each answer the interrogatory
being answered. Answers are to be signed by
the person making them. The party serving the
interrogatories or the notice of interrogatories may
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move for an order under Section 25a-25 with
respect to any failure to answer.
(Adopted June 21, 2010, to take effect Aug. 1, 2010.) (Sec.
25a-23 was temporarily assigned the number 25a-16 in the
Connecticut Law Journal of July 13, 2010.) (Amended June
23, 2017, to take effect Jan. 1, 2018.)
HISTORY—2018: In the first paragraph of subsection (a),
‘‘thirty’’ was deleted and ‘‘sixty’’ was added prior to ‘‘days.’’ In
addition, in the first sentence of (a) (2), ‘‘thirty’’ was deleted
and ‘‘sixty’’ was added prior to ‘‘day period.’’
COMMENTARY—2018: The change to this section
increases the time for responding to interrogatories from thirty
to sixty days consistent with the rules applicable to civil and
family matters and with Practice Book Form 207.
Sec. 25a-24. Requests for Production,
Inspection and Examination; In General
(a) Upon motion and by order of the judicial
authority, requests for production may be served
upon any party at any time after the return day.
(b) If data has been electronically stored, the
judicial authority may for good cause shown order
disclosure of the data in an alternative format pro-
vided the data is otherwise discoverable. When
the judicial authority considers a request for a
particular format, the judicial authority may con-
sider the cost of preparing the disclosure in the
requested format and may enter an order that one
or more parties shall pay the cost of preparing
the disclosure.
(c) The party serving such request or notice of
requests for production shall not file it with the
court.
(d) A party seeking the production of a written
authorization in compliance with the Health Insur-
ance Portability and Accountability Act to inspect
and make copies of protected health information,
or a written authorization in compliance with the
Public Health Service Act to inspect and make
copies of alcohol and drug records that are pro-
tected by that act, shall file a motion pursuant to
Section 13-11A.
(Adopted June 21, 2010, to take effect Aug. 1, 2010.) (Sec.
25a-24 was temporarily assigned the number 25a-17 in the
Connecticut Law Journal of July 13, 2010.)
Sec. 25a-25. Order for Compliance; Failure
to Answer or Comply with Order
(a) If any party has failed to answer interrogato-
ries or to answer them fairly, or has intentionally
answered them falsely or in a manner calculated
to mislead, or has failed to respond to requests
for production or has failed to comply with the
provisions of Section 25a-26, or has failed to
appear and to testify at a deposition duly noticed
pursuant to this chapter, or has failed otherwise
substantially to comply with any other discovery
order made pursuant to Sections 13-8, 13-10
except subsection (c), 25a-22, 25a-23 or 25a-24,
SUPERIOR COURT—PROCEDURE IN FAMILY SUPPORT MAGISTRATE MATTERS Sec. 25a-28
the judicial authority may make such order as
appropriate.
(b) Such orders may include the following:
(1) The entry of a nonsuit or default against the
party failing to comply;
(2) The award to the discovering party of the
costs of the motion, including a reasonable attor-
ney’s fee;
(3) The entry of an order that the matters
regarding which the discovery was sought or other
designated facts shall be taken to be established
for the purposes of the action in accordance with
the claim of the party obtaining the order;
(4) The entry of an order prohibiting the party
who has failed to comply from introducing desig-
nated matters in evidence;
(5) If the party failing to comply is the plaintiff,
the entry of a judgment of dismissal.
(Adopted June 21, 2010, to take effect Aug. 1, 2010.) (Sec.
25a-25 was temporarily assigned the number 25a-18 in the
Connecticut Law Journal of July 13, 2010.)
Sec. 25a-26. Continuing Duty to Disclose
If, subsequent to compliance with any request
or order for discovery at any time the matter is
before the court, a party discovers additional or
new material or information previously requested
and ordered subject to discovery or inspection or
discovers that the prior compliance was totally or
partially incorrect or, though correct when made,
is no longer true and the circumstances are such
that a failure to amend the compliance is in sub-
stance a knowing concealment, that party shall
promptly notify the other party, or the other party’s
attorney, and file and serve in accordance with
Sections 10-12, 10-14 and 10-17 a supplemental
or corrected compliance.
(Adopted June 21, 2010, to take effect Aug. 1, 2010.) (Sec.
25a-26 was temporarily assigned the number 25a-19 in the
Connecticut Law Journal of July 13, 2010.)
Sec. 25a-27. Depositions; In General
In addition to other provisions for discovery and
subject to the provisions of Sections 13-2, 13-3
and 13-5, any party who has appeared in any
Title IV-D matter or in any matter under General
Statutes §§ 46b-301 through 46b-425 where the
judicial authority finds it reasonably probable that
evidence outside the record will be required, may,
at any time after the commencement of the action
or proceeding, in accordance with the procedures
set forth in this chapter, take the testimony of any
person, including a party, by deposition upon oral
examination. The attendance of witnesses may
be compelled by subpoena as provided in Section
13-28. The attendance of a party deponent or of
an officer, director, or managing agent of a party
may be compelled by notice to the named person
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or such person’s attorney in accordance with the
requirements of Section 13-27 (a). The deposition
of a person confined in prison may be taken only
by leave of the judicial authority on such terms
as the judicial authority prescribes.
Leave of the court for such a deposition is
required. Motions for the taking of a deposition
shall include the proposed notice of the deposition
and the identification of such documents or other
tangible evidence as may be sought to be subpoe-
naed. Only those documents or other tangible evi-
dence approved by the judicial authority shall be
permitted to be subpoenaed from the deponent.
(Adopted June 21, 2010, to take effect Aug. 1, 2010.) (Sec.
25a-27 was temporarily assigned the number 25a-19A in the
Connecticut Law Journal of July 13, 2010.)
Sec. 25a-28. —Place of Deposition
(a) Any party who is a resident of this state may
be compelled by notice as provided in Section 13-
27 (a) to give a deposition at any place within the
county of such party’s residence, or within thirty
miles of such residence, or at such other place
as is fixed by order of the judicial authority. A
plaintiff who is a resident of this state may also
be compelled by like notice to give a deposition
at any place within the county where the action
is commenced or is pending.
(b) Except as otherwise required by law, a plain-
tiff who is not a resident of this state may be
compelled by notice under Section 13-27 (a) to
attend at the plaintiff’s expense an examination
in the county of this state where the action is
commenced or is pending or at any place within
thirty miles of the plaintiff’s residence or within the
county of his or her residence or in such other
place as is fixed by order of the judicial authority.
(c) Except as otherwise required by law, a
defendant who is not a resident of this state may
be compelled:
(1) By subpoena to give a deposition in any
county in this state in which the defendant is per-
sonally served, or
(2) By notice under Section 13-27 (a) to give a
deposition at any place within thirty miles of the
defendant’s residence or within the county of his
or her residence or at such other place as is fixed
by order of the judicial authority.
(d) A nonparty deponent may be compelled by
subpoena served within this state to give a deposi-
tion at a place within the county of his or her
residence or within thirty miles of the nonparty
deponent’s residence, or if a nonresident of this
state within any county in this state in which he
or she is personally served, or at such other place
as is fixed by order of the judicial authority.
SUPERIOR COURT—PROCEDURE IN FAMILY SUPPORT MAGISTRATE MATTERSSec. 25a-28
(e) In this section, the terms ‘‘plaintiff’’ and
‘‘defendant’’ include officers, directors and man-
aging agents of corporate plaintiffs and corporate
defendants or other persons designated under
Section 13-27 (h) as appropriate.
(f) If a deponent is an officer, director or manag-
ing agent of a corporate party, or other person
designated under Section 13-27 (h), the place of
examination shall be determined as if the resi-
dence of the deponent were the residence of
the party.
(Adopted June 21, 2010, to take effect Aug. 1, 2010.) (Sec.
25a-28 was temporarily assigned the number 25a-19B in the
Connecticut Law Journal of July 13, 2010.)
Sec. 25a-29. Appeal from Decision of Family
Support Magistrate
Any person who is aggrieved by a final decision
of a family support magistrate may appeal such
decision in accordance with the provisions of Gen-
eral Statutes § 46b-231. The appeal shall be insti-
tuted by the filing of a petition which shall include
the reasons for the appeal.
(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.)
Sec. 25a-30. Support Enforcement Services
In cases where the payment of alimony and/or
support has been ordered, a support enforcement
officer, where provided by statute, shall:
(a) Whenever there is a default in any payment
of alimony or support of children under judgments
of dissolution of marriage or civil union or separa-
tion, or of support under judgments of support,
where necessary, (1) initiate and facilitate, but not
advocate on behalf of either party, an application
to a family support magistrate and issue an order
requiring said party to appear before a family sup-
port magistrate to show cause why such party
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should not be held in contempt, or (2) take such
other action as is provided by rule or statute.
(b) Review child support orders (1) in non-TFA
Title IV-D cases at the request of either parent or
custodial party subject to a support order, or upon
receipt of information indicating a substantial
change in circumstances of any party to the sup-
port order, (2) in TFA cases, at the request of the
office of child support services, (3) as necessary
to comply with federal requirements for the child
support enforcement program mandated by Title
IV-D of the Social Security Act, and initiate and
facilitate, but not advocate on behalf of either
party, an action before a family support magistrate
to modify such support order if it is determined
upon such review that the order substantially devi-
ates from the child support guidelines established
pursuant to General Statutes § 46b-215a or
§ 46b-215b. The requesting party shall have the
right to such review every three years without
proving a substantial change in circumstances;
more frequent reviews shall be made only if the
requesting party demonstrates a substantial
change in circumstances.
(c) In connection with subsections (a) or (b)
above, or at any other time upon direction of a
family support magistrate, investigate (1) the
financial situation of the parties, using all appro-
priate information and resources available to the
Title IV-D child support program, including infor-
mation obtained through electronic means from
state and federal sources in the certified child
support system, or (2) information about the status
of participation in programs that increase the par-
ty’s ability to fulfill the duty of support, and report
his or her findings thereon to a family support
magistrate and to the parties and upon direction of
a family support magistrate facilitate agreements
between parties.
(Adopted June 21, 2010, to take effect Aug. 1, 2010.) (Sec.
25a-30 was temporarily assigned the number 25a-21 in the
Connecticut Law Journal of July 13, 2010.)
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
Matters
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-
ceedings on Juvenile Matters
In these definitions and in the rules of practice
and procedure on juvenile matters, the singular
shall include the plural and the plural, the singular
where appropriate.
(a) The definitions of the terms ‘‘child,’’ ‘‘youth,’’
‘‘abused,’’ ‘‘mentally deficient,’’ ‘‘delinquent,’’
‘‘delinquent act,’’ ‘‘neglected,’’ ‘‘uncared for,’’
‘‘alcohol-dependent child,’’ ‘‘family with service
needs,’’ ‘‘drug-dependent child,’’ ‘‘serious juvenile
offense,’’ ‘‘serious juvenile offender,’’ and ‘‘seri-
ous juvenile repeat offender’’ shall be as set forth
in General Statutes § 46b-120. The definition of
‘‘victim’’ shall be as set forth in General Statutes
§ 46b-122.
(b) ‘‘Commitment’’ means an order of the judi-
cial authority whereby custody and/or guardian-
ship of a child or youth are transferred to the
commissioner of the department of children and
families.
(c) ‘‘Complaint’’ means a written allegation or
statement presented to the judicial authority that
a child’s or youth’s conduct as a delinquent or
situation as a child from a family with service
needs brings the child or youth within the jurisdic-
tion of the judicial authority as prescribed by Gen-
eral Statutes § 46b-121.
(d) ‘‘Detention’’ means a secure building or staff
secure facility for the temporary care of a child
who is the subject of a delinquency complaint.
(e) ‘‘Family support center’’ means a commu-
nity-based service center for children and families
involved with a complaint that has been filed with
the superior court under General Statutes § 46b-
149, that provides multiple services, or access to
such services, for the purpose of preventing such
children and families from having further involve-
ment with the court as families with service needs.
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26-2. Persons in Attendance at Hearings
26-3. Case Initiation; Electronic Filing
(f) ‘‘Guardian’’ means a person who has a judi-
cially created relationship with a child or youth,
which is intended to be permanent and self-sus-
taining, as evidenced by the transfer to the care-
taker of the following parental rights with respect
to the child or youth: protection, education, care
and control of the person, custody of the person
and decision making.
(g) ‘‘Hearing’’ means an activity of the court on
the record in the presence of a judicial authority
and shall include (1) ‘‘Adjudicatory hearing’’: A
court hearing to determine the validity of the facts
alleged in a petition or information to establish
thereby the judicial authority’s jurisdiction to
decide the matter which is the subject of the peti-
tion or information; (2) ‘‘Contested hearing on an
order of temporary custody’’ means a hearing on
an ex parte order of temporary custody or an order
to appear which is held not later than ten days
from the day of a preliminary hearing on such
orders. Contested hearings shall be held on con-
secutive days except for compelling circum-
stances or at the request of the respondent; (3)
‘‘Dispositive hearing’’: The judicial authority’s
jurisdiction to adjudicate the matter which is the
subject of the petition or information having been
established, a court hearing in which the judicial
authority, after considering the social study or pre-
dispositional study and the total circumstances of
the child or youth, orders whatever action is in the
best interests of the child, youth or family and,
where applicable, the community. In the discretion
of the judicial authority, evidence concerning adju-
dication and disposition may be presented in a
single hearing; (4) ‘‘Preliminary hearing’’ means
a hearing on an ex parte order of temporary cus-
tody or an order to appear or the first hearing on
a petition alleging that a child or youth is uncared
for, abused, or neglected. A preliminary hearing
on any ex parte custody order or order to appear
SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERSSec. 26-1
shall be held not later than ten days from the
issuance of the order; (5) ‘‘Plea hearing’’ is a hear-
ing at which (i) a parent or guardian who is a
named respondent in a neglect, uncared for or
dependency petition, upon being advised of his
or her rights, admits, denies, or pleads nolo con-
tendere to allegations contained in the petition; or
(ii) a child or youth who is a named respondent
in a delinquency petition or information enters a
plea of not guilty, guilty, or nolo contendere upon
being advised of the charges against him or her
contained in the information or petition, or a hear-
ing at which a child or youth who is a named
respondent in a family with service needs petition
admits or denies the allegations contained in the
petition upon being advised of the allegations.
(h) ‘‘Indian child’’ means an unmarried person
under age eighteen who is either a member of a
federally recognized Indian tribe or is eligible for
membership in a federally recognized Indian tribe
and is the biological child of a member of a feder-
ally recognized Indian tribe, and is involved in
custody proceedings, excluding delinquency pro-
ceedings.
(i) ‘‘Parent’’ means a biological mother or father
or adoptive mother or father except a biological
or adoptive mother or father whose parental rights
have been terminated; or the father of any child
or youth born out of wedlock, provided at the time
of the filing of the petition (1) he has been adjudi-
cated the father of such child or youth by a court
which possessed the authority to make such adju-
dication, or (2) he has acknowledged in writing to
be the father of such child or youth, or (3) he has
contributed regularly to the support of such child,
or (4) his name appears on the birth certificate,
or (5) he has filed a claim for paternity as provided
under General Statutes § 46b-172a, or (6) he has
been named in the petition as the father of the
minor child or youth by the mother.
(j) ‘‘Parties’’ includes: (1) The child or youth who
is the subject of a proceeding and those additional
persons as defined herein; (2) ‘‘Legal party’’: Any
person, including a parent, whose legal relation-
ship to the matter pending before the judicial
authority is of such a nature and kind as to man-
date the receipt of proper legal notice as a condi-
tion precedent to the establishment of the judicial
authority’s jurisdiction to adjudicate the matter
pending before it; and (3) ‘‘Intervening party’’: Any
person who is permitted to intervene in accord-
ance with Section 35a-4.
(k) ‘‘Permanency plan’’ means a plan devel-
oped by the commissioner of the department of
children and families for the permanent placement
of a child or youth in the commissioner’s care.
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Permanency plans shall be reviewed by the judi-
cial authority as prescribed in General Statutes
§§ 17a-110 (b), 17a-111b (c), 46b-129 (k), 46b-
141, and 46b-149 (j).
(l) ‘‘Petition’’ means a formal pleading, executed
under oath, alleging that the respondent is within
the judicial authority’s jurisdiction to adjudicate
the matter which is the subject of the petition by
reason of cited statutory provisions and seeking
a disposition. Except for a petition for erasure of
record, such petitions invoke a judicial hearing
and shall be filed by any one of the parties author-
ized to do so by statute.
(m) ‘‘Information’’ means a formal pleading filed
by a prosecutor alleging that a child or youth in a
delinquency matter is within the judicial author-
ity’s jurisdiction.
(n) ‘‘Probation’’ means a legal status created in
delinquency cases following conviction whereby
a respondent child is permitted to remain in the
home or in the physical custody of a relative or
other fit person subject to supervision by the court
through the court’s probation officers and upon
such terms as the judicial authority determines,
subject to the continuing jurisdiction of the judi-
cial authority.
(o) ‘‘Respondent’’ means a person who is
alleged to be a delinquent or a child from a family
with service needs, or a parent or a guardian of
a child or youth who is the subject of a petition
alleging that the child is uncared for, abused,
neglected, or requesting termination of parental
rights.
(p) ‘‘Specific steps’’ means those judicially
determined steps the parent or guardian and the
commissioner of the department of children and
families should take in order for the parent or
guardian to retain or regain custody of a child
or youth.
(q) ‘‘Staff secure facility’’ means a residential
facility: (1) that does not include construction fea-
tures designed to physically restrict the move-
ments and activities of juvenile residents who are
placed therein, (2) that may establish reasonable
rules restricting entrance to and egress from the
facility, and (3) in which the movements and activi-
ties of individual juvenile residents may, for treat-
ment purposes, be restricted or subject to control
through the use of intensive staff supervision.
(r) ‘‘Supervision’’ includes: (1) ‘‘Nonjudicial
supervision’’: A legal status without the filing of a
petition or a court conviction or adjudication but
following the child’s admission to a complaint
wherein a probation officer exercises supervision
over the child with the consent of the child and the
parent; (2) ‘‘Protective supervision’’: A disposition
following adjudication in neglected, abused or
SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERS Sec. 26-3
uncared for cases created by an order of the judi-
cial authority requesting a supervising agency
other than the court to assume the responsibility
of furthering the welfare of the family and best
interests of the child or youth when the child’s or
youth’s place of abode remains with the parent
or any suitable or worthy person, or when the
judicial authority vests custody or guardianship in
another suitable and worthy person, subject to
the continuing jurisdiction of the court; and (3)
‘‘Judicial supervision’’: A legal status similar to
probation for a child adjudicated to be from a fam-
ily with service needs or subject to supervision
pursuant to an order of suspended proceedings
under General Statutes § 46b-133b or § 46b-
133e.
(s) ‘‘Take into Custody Order’’ means an order
by a judicial authority that a child be taken into
custody and immediately turned over to a deten-
tion superintendent where probable cause has
been found that the child has committed a delin-
quent act, there is no less restrictive alternative
available, and the child meets the criteria set forth
in Section 31a-13.
(P.B. 1978-1997, Sec. 1023.1.) (Amended June 24, 2002,
to take effect Jan. 1, 2003; amended June 30, 2008, to take
effect Jan. 1, 2009; amended June 21, 2010, to take effect
Jan. 1, 2011; amended June 20, 2011, to take effect Jan. 1,
2012; amended June 15, 2012, to take effect Jan. 1, 2013;
amended June 13, 2014, to take effect Jan. 1, 2015.)
Sec. 26-2. Persons in Attendance at
Hearings
(a) Except as provided in subsection (b) of this
section, any judge hearing a juvenile matter, may
during such hearing, exclude from the courtroom
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in which such hearing is held any person whose
presence is, in the court’s opinion, not necessary,
except that in delinquency proceedings, any vic-
tim shall not be excluded unless, after hearing
from the parties and the victim and for good cause
shown, which shall be clearly and specifically
stated on the record, the judge orders otherwise.
(b) Any judge hearing a juvenile matter, in which
a child is alleged to be uncared for, neglected or
abused or in which a child is the subject of a
petition for termination of parental rights, may per-
mit any person whom the court finds has a legiti-
mate interest in the hearing or the work of the
court to attend such hearing. Such person may
include a party, foster parent, relative related to
the child by blood or marriage, service provider
or any person or representative of any agency,
entity or association, including a representative of
the news media. The court may, as a condition
of participation, for the child’s safety and protec-
tion and for good cause shown, prohibit any per-
son or representative of any agency, entity or
association, including a representative of the
news media, who is present in court from further
disclosing any information that would identify the
child, the custodian or caretaker of the child or
the members of the child’s family involved in
the hearing.
(Adopted June 15, 2012, to take effect Jan. 1, 2013.)
Sec. 26-3. Case Initiation; Electronic Filing
Proceedings in juvenile matters may be initiated
and papers filed, signed or verified by electronic
means in the manner prescribed in Section 4-4.
(Adopted June 12, 2015, to take effect Jan. 1, 2016.)
SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERSSec. 27-1
CHAPTER 27
RECEPTION AND PROCESSING OF DELINQUENCY AND FAMILY WITH
SERVICE NEEDS COMPLAINTS OR PETITIONS
(Amended June 30, 2008, to take effect Jan. 1, 2009.)
Sec. Sec.
27-1. Complaints; In General [Repealed]
27-1A. Referrals for Nonjudicial Handling of Delinquency
Complaints
27-2. —Insufficient Allegations in Complaints [Repealed]
27-3. —Sufficient Allegations in Complaints [Repealed]
27-4. Additional Offenses and Misconduct
27-4A. Ineligibility for Nonjudicial Handling of Delin-
quency Complaint
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
[Repealed as of Jan. 1, 2003.]
Sec. 27-1A. Referrals for Nonjudicial Han-
dling of Delinquency Complaints
(Amended June 30, 2008, to take effect Jan. 1, 2009.)
(a) Any police summons accompanied by a
police report alleging an act of delinquency shall
be in writing and signed by the police officer and
filed with the clerk of the superior court for juvenile
matters. After juvenile identification and docket
numbers are assigned, the summons and report
shall be referred to the probation department for
possible nonjudicial handling.
(b) If the probation officer determines that a
delinquency complaint is eligible for nonjudicial
handling, the probation officer may cause a notice
to be mailed to the child and parent or guardian
setting forth with reasonable particularity the con-
tents of the complaint and fixing a time and loca-
tion of the court and date not less than seven
days, excluding Saturdays, Sundays, and holi-
days, subsequent to mailing.
(c) Delinquency matters eligible for nonjudicial
handling shall be designated as such on the
docket. If the prosecuting authority objects to the
designation, the judicial authority shall determine
if such designation is appropriate. The judicial
authority may refer to the office of juvenile proba-
tion a matter so designated and may, sua sponte,
refer a matter for nonjudicial handling prior to adju-
dication.
(Adopted June 24, 2002, to take effect Jan. 1, 2003;
amended June 30, 2008, to take effect Jan. 1, 2009.)
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27-5. Initial Interview for Delinquency Nonjudicial Han-
dling Eligibility
27-6. Denial of Responsibility
27-7. —Written Statement of Responsibility
27-8. —Scheduling of Judicial Plea/Dispositional Hear-
ing [Repealed]
27-8A. Nonjudicial Supervision—Delinquency
27-9. Family with Service Needs Referrals
Sec. 27-2. —Insufficient Allegations in Com-
plaints
[Repealed as of Jan. 1, 2003.]
Sec. 27-3. —Sufficient Allegations in Com-
plaints
[Repealed as of Jan. 1, 2003.]
Sec. 27-4. Additional Offenses and Mis-
conduct
(Amended June 24, 2002, to take effect Jan. 1, 2003.)
Any additional police summons, delinquency
complaint, delinquency petition, or information
regarding a child which is received by the court
prior to action by the judicial authority on any
pending request for nonjudicial handling shall be
consolidated with the initial offenses or miscon-
duct for purposes of eligibility for nonjudicial
handling.
(P.B. 1978-1997, Sec. 1025.1 (2).) (Amended June 24,
2002, to take effect Jan. 1, 2003; amended June 30, 2008,
to take effect Jan. 1, 2009.)
Sec. 27-4A. Ineligibility for Nonjudicial Han-
dling of Delinquency Complaint
(Amended June 30, 2008, to take effect Jan. 1, 2009.)
In the case of a delinquency complaint, a child
shall not be eligible for nonjudicial handling if one
or more of the following apply, unless waived by
the judicial authority:
(1) The alleged misconduct:
(A) is a serious juvenile offense under General
Statutes § 46b-120, or any other felony or viola-
tion of General Statutes § 53a-54d;
(B) concerns the theft or unlawful use or opera-
tion of a motor vehicle; or
SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERS Sec. 27-8A
(C) concerns the sale of, or possession of with
intent to sell, any illegal drugs or the use or pos-
session of a firearm.
(2) The child was previously convicted delin-
quent or adjudged a child from a family with ser-
vice needs.
(3) The child admitted nonjudicially at least
twice previously to having been delinquent.
(4) The alleged misconduct was committed by
a child while on probation or under judicial super-
vision.
(5) If the nature of the alleged misconduct war-
rants judicial intervention.
(Adopted June 24, 2002, to take effect Jan. 1, 2003;
amended June 30, 2008, to take effect Jan. 1, 2009.)
Sec. 27-5. Initial Interview for Delinquency
Nonjudicial Handling Eligibility
(Amended June 24, 2002, to take effect Jan. 1, 2003;
amended June 30, 2008, to take effect Jan. 1, 2009.)
(a) At the initial interview to determine eligibility
for nonjudicial handling of a delinquency com-
plaint, held at the time of arraignment or notice
date, the probation officer shall inquire of the child
and parent or guardian whether they have read
the court documents and understand the nature
of the complaint set forth therein. Any allegations
of misconduct being considered for nonjudicial
handling, including any additional allegations not
contained in the summons or notice to appear
because they were filed with the court after the
issuance of that notice shall likewise be explained
in simple and nontechnical language.
(b) The probation officer shall inform the child
and parent or guardian of their rights under Sec-
tion 30a-1. If either the child or the parent or guard-
ian state that they wish to be represented by
counsel, or if the probation officer determines that
a judicial hearing is necessary, the interview shall
end. Any further interview to consider nonjudicial
handling shall take place with counsel present
unless waived.
(P.B. 1978-1997, Sec. 1025.1 (3), (4).) (Amended June 24,
2002, to take effect Jan. 1, 2003; amended June 30, 2008,
to take effect Jan. 1, 2009.)
Sec. 27-6. Denial of Responsibility
(Amended June 24, 2002, to take effect Jan. 1, 2003.)
Where the child denies responsibility for the
alleged misconduct, the interview shall end and
the child and the parent or guardian shall be
informed that, if the evidence warrants, the case
will be set down for a plea hearing.
(P.B. 1978-1997, Sec. 1025.1 (8), (9).) (Amended June 24,
2002, to take effect Jan. 1, 2003; amended June 30, 2008,
to take effect Jan. 1, 2009.)
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Sec. 27-7. —Written Statement of Responsi-
bility
(a) Where the child and the parent or guardian
affirm that they are ready to go forward with the
investigation, with or without counsel, and to make
a statement concerning the child’s responsibility
for the alleged misconduct, such affirmation must
be embodied in a written statement of responsibil-
ity executed by both child and parent, or guardian,
and, in the case of the child, in the presence of
the parent or guardian.
(b) If a child orally acknowledges responsibility
for the alleged misconduct but refuses to execute
a written statement of responsibility, such an oral
admission shall not be accepted as the equivalent
of an admission, and the case shall be dealt with
in the manner prescribed in Section 27-6. If the
written statement of responsibility is executed, the
probation officer shall proceed with the nonjudicial
handling of the case.
(c) The age, intelligence and maturity of the
child and the mutuality of interests between parent
or guardian and child shall be weighed in
determining their competency to execute such
written statement of responsibility.
(P.B. 1978-1997, Sec. 1025.1 (5), (6).) (Amended June 24,
2002, to take effect Jan. 1, 2003; amended June 30, 2008,
to take effect Jan. 1, 2009.)
Sec. 27-8. —Scheduling of Judicial Plea/
Dispositional Hearing
[Repealed as of Jan. 1, 2003.]
Sec. 27-8A. Nonjudicial Supervision—Del-
inquency
(Amended June 30, 2008, to take effect Jan. 1, 2009.)
(a) If a child has acknowledged responsibility
for the alleged misconduct which is not one for
which a judicial hearing is mandated pursuant to
Section 27-4A, and the probation officer has then
found from investigation of the child’s total circum-
stances that some form of court accountability
less exacting than that arising out of a court
appearance appears to be in the child’s best inter-
ests, the officer may, subject to the conditions
imposed by subsection (b) hereof, place the child
on nonjudicial supervision for a term established
by the juvenile probation supervisor for a period
not to exceed 180 days.
(b) Whenever the probation officer seeks to
effect nonjudicial supervision, the parent and the
child shall have a right to a conference with the
probation officer’s administrative superior, or a
court hearing. Whenever a parent or child elects
to pursue either or both rights, supervision shall
be held in abeyance until the outcome thereof.
(c) Such nonjudicial supervision when com-
pleted shall constitute a resolution of the case,
SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERSSec. 27-8A
and thereafter a child may not again be presented
for formal court action on the same summons,
complaint or petition or the facts therein set forth,
provided however, that a judicial hearing may be
initiated on the original summons, complaint, peti-
tion, or information during said nonjudicial super-
vision if there has been a failure to comply with
terms of the supervision and any oral or written
statement of responsibility shall not be used
against the child. When the judicial authority refers
the file for nonjudicial handling, the referral order
should provide that upon successful completion
of any nonjudicial handling, the matter will be dis-
missed and erased immediately without the filing
of a request, application or petition for erasure,
for all purposes except for subsequent consider-
ation for nonjudicial handling under Section 27-
4A.
(Adopted June 24, 2002, to take effect Jan. 1, 2003;
amended June 30, 2008, to take effect Jan. 1, 2009.)
Sec. 27-9. Family with Service Needs
Referrals
(a) Any complaint alleging that a child is from
a family with service needs shall be referred to a
probation officer, who shall determine its suffi-
ciency as a family with service needs complaint.
If the probation officer determines the complaint
is sufficient, the probation officer shall, after initial
assessment promptly refer the child and the
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child’s family to a suitable community-based pro-
gram or other service provider or to a family sup-
port center for voluntary services.
(b) If the child and the child’s family are referred
to a community-based program or other service
provider and the person in charge of such program
or provider determines that the child and the
child’s family can no longer benefit from its ser-
vices, such person shall inform the probation offi-
cer, who shall, after an appropriate assessment,
either refer the child and the child’s family to a
family support center for additional services or
determine whether or not to file a petition with the
court. If the child and the child’s family are referred
to a family support center and the person in charge
of the family support center determines that the
child and the child’s family can no longer benefit
from its services, such person shall inform the
probation officer, who may file a petition with
the court.
(c) When a judicial authority, after a petition has
been filed, refers a child alleged to be from a
family with service needs to community-based
services or other services or a family support cen-
ter pursuant to General Statutes § 46b-149 (g),
the referral order should provide that upon suc-
cessful resolution, the matter will be dismissed
and erased without the filing of a request, applica-
tion, or petition for erasure for all purposes except
subsequent consideration for nonjudicial handling
of a delinquency complaint under Section 27-4A.
(Adopted June 30, 2008, to take effect Jan. 1, 2009.)
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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SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERSSec. 29-1
CHAPTER 29
RECEPTION AND PROCESSING OF DELINQUENCY AND CHILD FROM FAMILY WITH SERVICE
NEEDS PETITIONS AND DELINQUENCY INFORMATIONS
(Amended June 13, 2014, to take effect Jan. 1, 2015.)
Sec. Sec.
29-1. Contents of Delinquency and Family with Service
Needs Petitions or Delinquency Informations
29-1A. Processing of Delinquency Petitions and Infor-
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 and
Family with Service Needs Petitions or
Delinquency Informations
(Amended June 24, 2002, to take effect Jan. 1, 2003;
amended June 13, 2014, to take effect Jan. 1, 2015.)
(a) A delinquency petition or information shall
set forth in plain, concise and definite language
the offense which the petitioner contends the child
has committed. The petition or information shall
further state the citation of any provision of law
which is the basis of the petition or information,
together with a statement that the offense
occurred on or about a particular date or period
of time at a particular location.
(b) A family with service needs petition shall set
forth in plain, concise and definite language the
specific misconduct which the petitioner contends
the child or youth has committed. The petition
shall further state the citation of any provision of
law which is the basis of the petition, together with
a statement that the misconduct occurred on or
about a particular date or period of time at a partic-
ular location.
(P.B. 1978-1997, Sec. 1027.1 (1), (2).) (Amended June 24,
2002, to take effect Jan. 1, 2003; amended June 13, 2014,
to take effect Jan. 1, 2015.)
Sec. 29-1A. Processing of Delinquency Peti-
tions and Informations
The procedures promulgated in General Stat-
utes § 46b-128 or § 46b-133 (a), (b), (c) and (d)
shall apply. Any police summons and report which
requires judicial processing should be returned to
the clerk for preparation of a formal information
based on the police summons or report. The infor-
mation, summons and report shall be submitted
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29-1B. Processing of Family with Service Needs Petitions
29-2. Service of Petitions
to the juvenile prosecutor for review and verified
signature. The juvenile prosecutor may thereafter
file an amendment or a substituted information.
(Adopted June 24, 2002, to take effect Jan. 1, 2003.)
Sec. 29-1B. Processing of Family with Ser-
vice Needs Petitions
(Amended June 13, 2014, to take effect Jan. 1, 2015.)
The procedures promulgated in General Stat-
utes § 46b-149 shall apply. Court process shall
be initiated by a petition filed by a probation officer
and signed and verified by the juvenile prosecutor.
(Adopted June 24, 2002, to take effect Jan. 1, 2003;
amended June 13, 2014, to take effect Jan. 1, 2015.)
Sec. 29-2. Service of Petitions
(a) Notice of summons, together with a copy
of the verified delinquency or family with service
needs petition, may be made to the child or youth
and parent, guardian or other person having con-
trol of the child or youth by service in accordance
with any one of the methods set out in General
Statutes § 46b-128. Any notice sent by first class
mail shall include a provision informing the party
that appearance in court as a result of the notice
may subject the appearing party to the jurisdiction
of the court. If the child or youth does not appear
on the plea date, service shall be made in accord-
ance with General Statutes § 46b-128 or § 46b-
149 (d), as appropriate.
(b) Petitions alleging delinquency or family with
service needs misconduct shall be served or deliv-
ered not less than seven days before the date of
the hearing which shall be held not more than
thirty days from the date of filing of the petition.
(P.B. 1978-1997, Sec. 1027.1 (3), (4).) (Amended June 24,
2002, to take effect Jan. 1, 2003; amended June 13, 2014,
to take effect Jan. 1, 2015.)
SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERS Sec. 30-5
CHAPTER 30
DETENTION
Sec. Sec.
30-1. Notice and Statement by Person Bringing Child to
Detention [Repealed]
30-1A. Admission to Detention
30-2. Release [Repealed]
30-2A. Family with Service Needs and Detention
30-3. Advisement of Rights
30-4. Notice to Parents by Detention Personnel
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
Bringing Child to Detention
[Repealed as of Jan. 1, 2003.]
Sec. 30-1A. Admission to Detention
Whenever an officer or other person intends
to admit a child into detention, the provisions of
General Statutes § 46b-133 shall apply.
(Adopted June 24, 2002, to take effect Jan. 1, 2003.)
Sec. 30-2. Release
[Repealed as of Jan. 1, 2003.]
Sec. 30-2A. Family with Service Needs and
Detention
(a) No child who has been adjudicated as a
child from a family with service needs in accord-
ance with General Statutes § 46b-149 may be
processed or held in a juvenile detention center
as a delinquent child, or be convicted as a delin-
quent, solely for the violation of a valid order which
regulates future conduct of the child that was
issued by the court following such an adjudication,
and no such child who is charged or found to be
in violation of any such order may be ordered
detained in any juvenile detention center.
(b) No nondelinquent juvenile runaway from
another state may be held in a juvenile detention
center in accordance with the provisions of Gen-
eral Statutes § 46b-151h.
(Adopted June 30, 2008, to take effect Jan. 1, 2009;
amended June 20, 2011, to take effect Jan. 1, 2012.)
Sec. 30-3. Advisement of Rights
Upon admission to detention, the child shall be
advised of the right to remain silent and the right
to counsel and be further advised of the right to
a detention hearing in accordance with Sections
30-5 through 30-8, which hearing may be waived
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30-5. Detention Time Limitations
30-6. Basis for Detention
30-7. Place of Detention Hearings
30-8. Initial Order for Detention; Waiver of Hearing
30-9. Information Allowed at Detention Hearing
30-10. Orders of a Judicial Authority after Initial Deten-
tion Hearing
30-11. Detention after Dispositional Hearing
only with the written consent of the child and the
child’s attorney.
(P.B. 1978-1997, Sec. 1030.1 (3).) (Amended June 24,
2002, to take effect Jan. 1, 2003.)
Sec. 30-4. Notice to Parents by Detention
Personnel
Upon admission, the detention superintendent
or a designated representative shall make efforts
to immediately notify the parent or guardian in the
manner calculated most speedily to effect such
notice and, upon the parent’s or guardian’s
appearance at the detention facility, shall advise
the parent or guardian of his or her rights and
note the child’s rights, including the child’s right
to a detention hearing.
(P.B. 1978-1997, Sec. 1030.1 (4).) (Amended June 24,
2002, to take effect Jan. 1, 2003; amended June 30, 2008,
to take effect Jan. 1, 2009.)
Sec. 30-5. Detention Time Limitations
(a) No child shall be held in detention for more
than twenty-four hours, excluding Saturdays,
Sundays, and holidays, unless (1) a delinquency
petition or information alleging a delinquent act
has been filed and (2) an order for such continued
detention has been signed by the judicial authority
following a hearing as provided by subsection (b)
of this section or a waiver of hearing as provided
by Section 30-8.
(b) A hearing to determine probable cause and
the need for further detention shall be held no later
than the next business day following the arrest.
(c) If a nondelinquent child is being held for
another jurisdiction in accordance with the Inter-
state Compact on Juveniles, following the initial
hearing as provided by subsection (b) of this sec-
tion, that child shall be held not more than ninety
days and shall be held in a secure facility, as
defined by rules promulgated in accordance with
SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERSSec. 30-5
the Compact, other than a locked, state operated
detention facility.
(P.B. 1978-1997, Sec. 1031.1 (1).) (Amended June 24,
2002, to take effect Jan. 1, 2003; amended June 20, 2011,
to take effect Jan. 1, 2012; amended June 23, 2017, to take
effect Jan. 1, 2018.)
HISTORY—2018: Prior to 2018, subsection (a) read: ‘‘No
child shall be held in detention for more than twenty-four hours,
excluding Saturdays, Sundays, and holidays, unless (1) a
delinquency petition or information alleging delinquent conduct
has been filed or an affidavit is filed by a police officer, proba-
tion officer or prosecutor setting forth the facts upon which
they believe that a child in detentionis a delinquent or nondelin-
quent child whose return is sought by another jurisdiction in
accordance with the Interstate Compact on Juveniles, and (2)
an order for such continued detention has been signed by the
judicial authority.’’
In 2018, what had been the second and third sentences of
subsection (b) were deleted. They read: ‘‘However, a judicial
finding of probable cause must be made within forty-eight
hours of arrest, including Saturdays, Sundays and holidays.
If there is no such finding of said probable cause within forty-
eight hours of the arrest, the child shall be released from
detention subject to an information and subsequent arrest by
warrant or take into custody order.’’
In addition, in subsection (c), ‘‘following the initial hearing
as provided by subsection (b) of this section,’’ was added
following ‘‘Juveniles.’’
COMMENTARY—2018: The amendments to this section
conform to General Statutes § 46b-133, as amended by No.
16-147, § 1, of the 2016 Public Acts.
Sec. 30-6. Basis for Detention
No child may be held in detention unless a judge
of the superior court determines, based on the
available facts that there is probable cause to
believe that the child has committed the delin-
quent acts alleged, that there is no less restrictive
alternative available and that there is (1) probable
cause to believe that the child will pose a risk to
public safety if released to the community prior to
the court hearing or disposition, (2) a need to hold
the child in order to ensure the child’s appearance
before the court, as demonstrated by the child’s
previous failure to respond to the court process,
or (3) a need to hold the child for another jurisdic-
tion. The court in exercising its discretion to detain
under General Statutes § 46b-133 (e) may con-
sider as an alternative to detention a suspended
detention order with graduated sanctions based
upon a detention risk assessment for such child
developed by the judicial branch.
(P.B. 1978-1997, Sec. 1031.1 (2).) (Amended June 24,
2002, to take effect Jan. 1, 2003; amended June 30, 2008,
to take effect Jan. 1, 2009; amended June 20, 2011, to take
effect Jan. 1, 2012; amended June 23, 2017, to take effect
Jan. 1, 2018.)
HISTORY—2018: Prior to 2018, this section read: ‘‘No child
shall be held in detention unless it appears from the available
facts that there is probable cause to believe that the child is
responsible for the acts alleged, that there is no less restrictive
alternative available and that there is (1) a strong probability
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that the child will run away prior to the court hearing or disposi-
tion, or (2) a strong probability that the child will commit or
attempt to commit other offenses injurious to the child or the
community prior to the court disposition, or (3) probable cause
to believe that the child’s continued residence in the child’s
home pending disposition poses a risk to the child or the
community because of the serious and dangerous nature of
the act or acts the child is alleged to have committed, (4) a
need to hold the child for another jurisdiction, (5) a need to
hold the child to assure the child’s appearance before the
court, in view of the child’s previous failure to respond to the
court process, or (6) the child has violated one or more of
the conditions of a suspended detention order. The court in
exercising its discretion to detain under General Statutes
§ 46b-133 (e) may consider a suspended detention order with
graduated sanctions as an alternative to detention in accord-
ance with graduated sanctions procedures established by the
judicial branch.’’
COMMENTARY—2018: The amendments to this section
conform to General Statutes § 46b-133, as amended by No.
16-147, § 1, of the 2016 Public Acts.
Sec. 30-7. Place of Detention Hearings
The initial detention hearing shall be in the
superior court for juvenile matters where the child
resides if the residence of the child can be deter-
mined, and, thereafter, detention hearings shall
be held at the superior court for juvenile matters
of appropriate venue.
(P.B. 1978-1997, Sec. 1031.1 (3).) (Amended June 24,
2002, to take effect Jan. 1, 2003; amended June 30, 2008,
to take effect Jan. 1, 2009; amended June 23, 2017, to take
effect Jan. 1, 2018.)
HISTORY—2018: Prior to 2018, this section read: ‘‘The
initial detention hearing may be conducted in the superior court
for juvenile matters at the detention facility where the child is
held and, thereafter, detention hearings shall be held at the
superior court for juvenile matters of appropriate venue.’’
COMMENTARY—2018: The amendments to this section
conform to General Statutes § 46b-133, as amended by No.
16-147, § 1, of the 2016 Public Acts.
Sec. 30-8. Initial Order for Detention; Waiver
of Hearing
(Amended June 24, 2002, to take effect Jan. 1, 2003.)
Such initial order of detention may be signed
without a hearing only if there is a written waiver
of the detention hearing by the child and the child’s
attorney and there is a finding by the judicial
authority that the circumstances outlined in Sec-
tion 30-6 pertain to the child in question. An order
of detention entered without a hearing shall autho-
rize the detention of the child for a period not to
exceed seven days, including the date of admis-
sion, or until the dispositional hearing is held,
whichever is shorter, and may further authorize
the detention superintendent or a designated rep-
resentative to release the child to the custody of
a parent, guardian or some other suitable person,
with or without conditions of release, if detention
is no longer necessary, except that no child shall
be released from detention who is alleged to have
SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERS Sec. 30-11
committed a serious juvenile offense except by
order of a judicial authority of the superior court.
Such an ex parte order of detention shall be
renewable only at a detention hearing before the
judicial authority for a period that does not exceed
seven days or until the dispositional hearing is
held, whichever is shorter.
(P.B. 1978-1997, Sec. 1031.1 (4).) (Amended June 24,
2002, to take effect Jan. 1, 2003; amended June 30, 2008,
to take effect Jan. 1, 2009; amended June 23, 2017, to take
effect Jan. 1, 2018.)
HISTORY—2018: In the second sentence of this section,
‘‘ten’’ was deleted and ‘‘seven’’ was added before ‘‘days’’; also
in that sentence, ‘‘or until the dispositional hearing is held,
whichever is shorter,’’ was added following ‘‘admission.’’ Prior
to 2018, the final sentence of this section read: ‘‘Such an
ex parte order of detention shall not be renewable without a
detention hearing before the judicial authority.’’
COMMENTARY—2018: The amendments to this section
conform to General Statutes § 46b-133, as amended by No.
16-147, § 1, of the 2016 Public Acts.
Sec. 30-9. Information Allowed at Deten-
tion Hearing
At the detention hearing the judicial authority
may consider any information which is material
and relevant to the issue of detention. Probable
cause may be proven by sworn affidavit in lieu of
testimony. The probation department may ascer-
tain such factors as might pertain to any need for
detention. Any written reports or social records
made available to the judicial authority shall be
made available to counsel of record and, in the
absence of counsel, to the parties unless the judi-
cial authority finds that the availability of such
materials would be psychologically destructive to
the relationship between members of the family.
Either through direct access or by quotation or
summation by the judicial authority, the parties
should be made aware of such findings in the
reports or social records as directly enter into the
judicial authority’s decision.
(P.B. 1978-1997, Sec. 1032.1 (1).) (Amended June 24,
2002, to take effect Jan. 1, 2003.)
Sec. 30-10. Orders of a Judicial Authority
after Initial Detention Hearing
(Amended June 24, 2002, to take effect Jan. 1, 2003.)
(a) At the conclusion of the initial detention hear-
ing, the judicial authority shall issue an order for
detention on finding probable cause to believe
that the child has committed a delinquent act and
that at least one of the factors outlined in Section
30-6 applies to the child.
(b) If the child is placed in detention, such order
for detention shall be for a period not to exceed
seven days, including the date of admission, or
until the dispositional hearing is held, whichever
is the shorter period, unless, following a further
detention review hearing, the order is renewed for
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a period that does not exceed seven days or until
the dispositional hearing is held, whichever is
shorter. Such detention review hearing may not
be waived.
(c) If the child is not placed in detention but
released on a suspended order of detention on
conditions, such suspended order of detention
shall continue to the dispositional hearing or until
further order of the judicial authority. Said sus-
pended order of detention may be reviewed by
the judicial authority every seven days. Upon a
finding of probable cause that the child has vio-
lated any condition, a judicial authority may issue
a take into custody order or order such child to
appear in court for a hearing on revocation of the
suspended order of detention. Such an order to
appear shall be served upon the child in accord-
ance with General Statutes § 46b-128 (b), or, if
the child is represented, by serving the order to
appear upon the child’s counsel, who shall notify
the child of the order and the hearing date. After
a hearing and upon a finding that the child has
violated reasonable conditions imposed on
release, the judicial authority may impose different
or additional conditions of release or may remand
the child to detention.
(d) In conjunction with any order of release from
detention the judicial authority may, in accordance
with General Statutes § 46b-133 (g), order the
child to participate in a program of periodic alcohol
or drug testing and treatment as a condition of
such release. The results of any such alcohol or
drug test shall be admissible only for the purposes
of enforcing the conditions of release from
detention.
(P.B. 1978-1997, Sec. 1032.1 (2), (3).) (Amended June 24,
2002, to take effect Jan. 1, 2003; amended June 30, 2008,
to take effect Jan. 1, 2009; amended June 23, 2017, to take
effect Jan. 1, 2018.)
HISTORY—2018: Prior to 2018, subsection (b) read: ‘‘If
the child is placed in detention, such order for detention shall
be for a period not to exceed fifteen days, including the date
of admission, or until the dispositional hearing is held, which-
ever is the shorter period, unless, following a further detention
review hearing, the order is renewed. Such detention review
hearing may not be waived.’’
In the second sentence of subsection (c), ‘‘fifteen’’ was
deleted and ‘‘seven’’ was added prior to ‘‘days.’’
In subsection (d), two instances of ‘‘alcohol or’’ were added
prior to ‘‘drug.’’
COMMENTARY—2018: The amendments to this section
conform to General Statutes § 46b-133, as amended by No.
16-147, § 1, of the 2016 Public Acts.
Sec. 30-11. Detention after Dispositional
Hearing
While awaiting implementation of the judicial
authority’s order in a delinquency case, a child
may be held in detention subsequent to the dispo-
sitional hearing, provided a hearing to review the
circumstances and conditions of such detention
SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERSSec. 30-11
order shall be conducted every seven days and
such hearing may not be waived.
(P.B. 1978-1997, Sec. 1032.1 (4).) (Amended June 30,
2008, to take effect Jan. 1, 2009; amended June 23, 2017,
to take effect Jan. 1, 2018.)
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HISTORY—2018: In 2018, ‘‘fifteen’’ was deleted and
‘‘seven’’ was added before ‘‘days.’’
COMMENTARY—2018: The amendments to this section
conform to General Statutes § 46b-133, as amended by No.
16-147, § 1, of the 2016 Public Acts.
SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERS Sec. 30a-1
CHAPTER 30a
DELINQUENCY AND FAMILY WITH SERVICE NEEDS HEARINGS
(Amended June 13, 2014, to take effect Jan. 1, 2015.)
Sec. Sec.
30a-1. Initial Plea Hearing
30a-1A. Family with Service Needs Preadjudication Con-
tinuance
30a-2. Pretrial Conference
30a-3. —Standards of Proof; Burden of Going Forward
30a-4. Plea Canvass
30a-5. Dispositional Hearing
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
(a) The judicial authority shall begin the hearing
by determining whether all necessary parties are
present and that the rules governing service or
notice for nonappearing parties have been com-
plied with, and shall note these facts for the record.
The judicial authority shall then inform the parties
of the substance of the petition or information.
(b) In age appropriate language, the judicial
authority prior to any plea shall advise the child
or youth and parent or guardian of the following
rights:
(1) That the child or youth is not obligated to
say anything and that anything that is said may
be used against the child or youth.
(2) That the child or youth is entitled to the
services of an attorney and that if the child or
youth and the parent or parents, or guardian are
unable to afford an attorney for the child or youth,
an application for a public defender or an attorney
appointed by the chief public defender should be
completed and filed with the office of the public
defender or the clerk of the court to request an
attorney without cost.
(3) That the child or youth will not be questioned
unless he or she consents, that the child or youth
can consult with an attorney before being ques-
tioned and may have an attorney present during
questioning, and that the child or youth can stop
answering questions at any time.
(4) That the child or youth has the right to a
trial and the rights of confrontation and cross-
examination of witnesses.
(c) Notwithstanding any prior statement
acknowledging responsibility for the acts alleged,
the judicial authority shall inquire of the child or
youth whether the child or youth presently admits
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30a-6. —Statement on Behalf of Victim
30a-6A. —Persons in Attendance at Hearings [Repealed]
(Transferred to Section 26-2.)
30a-7. Recording of Hearings
30a-8. Records
30a-9. Appeals in Delinquency and Family with Service
Needs Proceedings
or denies the allegations of the petition or infor-
mation.
(d) If the judicial authority determines that a
child or youth, or the parent, parents or guardian
of a child or youth are unable to afford counsel
for the child or youth, the judicial authority shall,
in a delinquency proceeding, appoint the office of
the public defender to represent the child or youth,
or in a family with service needs proceeding, notify
the chief public defender, who shall assign an
attorney to represent the child or youth.
(e) If the judicial authority, even in the absence
of a request for appointment of counsel, deter-
mines that the interests of justice require the provi-
sion of an attorney to represent the child, youth
or the child’s or youth’s parent or parents, guard-
ian or other person having control of the child or
youth, in any delinquency or family with service
needs proceeding, the judicial authority may
appoint an attorney to represent any such party
and shall notify the chief public defender who shall
assign an attorney to represent any such party.
Where, under the provisions of this section, the
court so appoints counsel for any such party who
is found able to pay, in whole or in part, the cost
thereof, the judicial authority shall assess as costs
on the appropriate form against such parent or
parents, guardian or other person having control
of the child or youth, including any agency vested
with the legal custody of the child or youth, the
expense so incurred and paid by the Public
Defender Services Commission in providing such
counsel, to the extent of their financial ability to
do so in accordance with the rates established
by the Public Defender Services Commission for
compensation of counsel.
(f) If the parent, parents or guardian of the child
or youth fails to comply with a court order entered
SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERSSec. 30a-1
in the best interests of the child or youth and
is facing potential imprisonment for contempt of
court, such parent or guardian, if unable to afford
counsel, shall be entitled to have counsel provided
for such parent or guardian of the child or youth
in accordance with subsection (e) of this section.
(g) For purposes of determining eligibility for
appointment of counsel, the judicial authority shall
cause the parent or guardian of a child or youth
to complete a written statement under oath or
affirmation setting forth the child’s or youth’s, or
parent’s, parents’ or guardian’s or other person’s
liabilities and assets, income and sources thereof,
and such other information as the office of the
public defender or the Public Defender Services
Commission shall designate and require on forms
adopted by said office of the public defender or
Public Defender Services Commission.
(Adopted June 24, 2002, to take effect Jan. 1, 2003;
amended June 22, 2009, to take effect Jan. 1, 2010; amended
June 13, 2014, to take effect Jan. 1, 2015.)
Sec. 30a-1A. Family with Service Needs Pre-
adjudication Continuance
If a family with service needs petition is filed
and it appears that the interest of the child or the
family may be best served, prior to adjudication,
by referral to community-based or other services,
the judicial authority may permit the matter to be
continued for a reasonable period of time not to
exceed six months, which time period may be
extended by an additional three months for cause.
If it appears at the conclusion of the continuance
that the matter has been satisfactorily resolved,
the judicial authority may dismiss the petition.
(Adopted June 22, 2009, to take effect Jan. 1, 2010.)
Sec. 30a-2. Pretrial Conference
(a) When counsel is requested, or responsibility
is denied, the case may be continued for a pretrial
conference. At the pretrial, the parties may agree
that a substitute information will be filed, or that
certain charges will be nolled or dismissed. If the
child or youth and parent or guardian subse-
quently execute a written statement of responsibil-
ity at the pretrial conference, or the attorney for
the child or youth conveys to the prosecutor an
agreement on the adjudicatory grounds, a predis-
positional study shall be compiled by the probation
department and the case shall be assigned for a
plea and dispositional hearing.
(b) If a plea agreement has been reached by
the parties which contemplates the entry of an
admission in a family with service needs case, or
a plea of guilty or nolo contendere in a delinquency
case, and the recommendation of a particular dis-
position, the agreement shall be disclosed in open
court at the time the plea is offered. Thereupon
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the judicial authority may accept or reject any
agreement, or may defer the decision on accep-
tance or rejection of the agreement until it has
had an opportunity to review the predisposi-
tional study.
(Adopted June 24, 2002, to take effect Jan. 1, 2003;
amended June 13, 2014, to take effect Jan. 1, 2015.)
Sec. 30a-3. —Standards of Proof; Burden of
Going Forward
(Amended June 30, 2003, to take effect Jan. 1, 2004.)
(a) The standard of proof for a delinquency con-
viction is evidence beyond a reasonable doubt
and for a family with service needs adjudication
is clear and convincing evidence.
(b) The burden of going forward with evidence
shall rest with the juvenile prosecutor.
(Adopted June 24, 2002, to take effect Jan. 1, 2003;
amended June 30, 2003, to take effect Jan. 1, 2004; amended
June 22, 2009, to take effect Jan. 1, 2010.)
Sec. 30a-4. Plea Canvass
To assure that any plea or admission is volun-
tary and knowingly made, the judicial authority
shall address the child or youth in age appropriate
language to determine that the child or youth sub-
stantially understands:
(1) The nature of the charges;
(2) The factual basis of the charges;
(3) The possible penalty, including any exten-
sions or modifications;
(4) That the plea or admission must be voluntary
and not the result of force, threats, or promises,
apart from the plea agreement;
(5) That the child or youth has (i) the right to
deny responsibility or plead not guilty or to persist
if that denial or plea has already been made, (ii)
the right to be tried by a judicial authority and (iii)
at trial, the right to the assistance of counsel, the
right to confront and cross-examine witnesses
against him or her, and the right not to be com-
pelled to incriminate himself or herself.
(Adopted June 24, 2002, to take effect Jan. 1, 2003;
amended June 22, 2009, to take effect Jan. 1, 2010.)
Sec. 30a-5. Dispositional Hearing
(a) The dispositional hearing may follow imme-
diately upon a conviction or an adjudication.
(b) The judicial authority may admit into evi-
dence any testimony that is considered relevant
to the issue of the disposition, in any form the
judicial authority finds of probative value, but no
disposition shall be made by the judicial authority
until the predispositional study, unless waived,
has been submitted. A written predispositional
study may be waived by the judicial authority for
good cause shown upon the request of the parties,
provided that the basis for the waiver and the
SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERS Sec. 30a-9
probation officer’s oral summary of any investiga-
tion are both placed on the record. The predisposi-
tional study shall be presented to the judicial
authority and copies thereof shall be provided to
all counsel in sufficient time for them to prepare
adequately for the dispositional hearing, and, in
any event, no less than forty-eight hours prior to
the date of the disposition.
(c) The prosecutor and the child or youth and
parent or guardian shall have the right to produce
witnesses on behalf of any dispositional plan they
may wish to offer.
(d) Prior to any disposition, the child or youth
shall be allowed a reasonable opportunity to make
a personal statement to the judicial authority in
mitigation of any disposition.
(e) The judicial authority shall determine an
appropriate disposition upon conviction of a child
as delinquent in accordance with General Stat-
utes §§ 46b-140 and 46b-141.
(f) The judicial authority shall determine an
appropriate disposition upon adjudication of a
child from a family with service needs in accord-
ance with General Statutes § 46b-149 (h).
(g) The judicial authority shall determine the
appropriate disposition upon a finding that a child
adjudicated as a child from a family with service
needs has violated a valid court order.
(Adopted June 24, 2002, to take effect Jan. 1, 2003;
amended June 26, 2006, to take effect Jan. 1, 2007; amended
June 22, 2009, to take effect Jan. 1, 2010; amended June 13,
2014, to take effect Jan. 1, 2015.)
Sec. 30a-6. —Statement on Behalf of Victim
Whenever a victim of a delinquent act, the par-
ent or guardian of such victim or such victim’s
counsel exercises the right to appear before the
judicial authority for the purpose of making a state-
ment to the judicial authority concerning the dispo-
sition of the case, no statement shall be received
unless the delinquent has signed a statement of
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responsibility, confirmed a plea agreement or
been convicted as a delinquent.
(Adopted June 24, 2002, to take effect Jan. 1, 2003;
amended June 22, 2009, to take effect Jan. 1, 2010.)
Sec. 30a-6A. —Persons in Attendance at
Hearings
[Transferred as of Jan. 1, 2013, to Section 26-2.]
Sec. 30a-7. Recording of Hearings
A verbatim stenographic or electronic recording
shall be kept of any hearing, the transcript of which
shall form part of the record of the case.
(Adopted June 24, 2002, to take effect Jan. 1, 2003.)
Sec. 30a-8. Records
(a) Except as otherwise provided by statute, all
records maintained in juvenile matters brought
before the judicial authority, either current or
closed, including transcripts of hearings, shall be
kept confidential.
(b) Except as otherwise provided by statute, no
material contained in the court records, including
the predispositional study, medical or clinical
reports, school reports, police reports, or the
reports of social agencies, may be copied or other-
wise reproduced in written form in whole or in part
by the parties without the express consent of the
judicial authority.
(c) Each counsel and self-represented party in
a delinquency matter shall have access to and be
entitled to copies, at his or her expense, of the
entire court record, including transcripts of all pro-
ceedings, without express consent of the judi-
cial authority.
(Adopted June 24, 2002, to take effect Jan. 1, 2003;
amended June 22, 2009, to take effect Jan. 1, 2010; amended
June 14, 2013, to take effect Jan. 1, 2014.)
Sec. 30a-9. Appeals in Delinquency and
Family with Service Needs Proceedings
The rules governing other appeals shall, so far
as applicable, be the rules for all proceedings in
delinquency and family with service needs
appeals.
(Adopted June 15, 2012, to take effect Jan. 1, 2013.)
SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERSSec. 31-1
CHAPTER 31
DELINQUENCY AND FAMILY WITH SERVICE NEEDS HEARING
[Repealed as of Jan. 1, 2003.]
Sec. Sec.
31-1. Adjudicatory Hearing; Actions by Judicial Author-
ity [Repealed]
31-2. —Continuance for Pretrial Conference [Repealed]
31-3. —Burden of Going Forward [Repealed]
31-4. —Physical Presence of Child [Repealed]
31-5. Dispositional Hearing; Factors to Be Considered by
Judicial Authority [Repealed]
31-6. —When Held; Evidence and Predispositional
Study [Repealed]
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
Judicial Authority
[Repealed as of Jan. 1, 2003.]
Sec. 31-2. —Continuance for Pretrial Con-
ference
[Repealed as of Jan. 1, 2003.]
Sec. 31-3. —Burden of Going Forward
[Repealed as of Jan. 1, 2003.]
Sec. 31-4. —Physical Presence of Child
[Repealed as of Jan. 1, 2003.]
Sec. 31-5. Dispositional Hearing; Factors to
Be Considered by Judicial Authority
[Repealed as of Jan. 1, 2003.]
Sec. 31-6. —When Held; Evidence and Pre-
dispositional Study
[Repealed as of Jan. 1, 2003.]
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31-7. —Availability of Predispositional Study to Counsel
and Parties [Repealed]
31-8. —Dispositional Plan Offered by Child or Parent
[Repealed]
31-9. —Statement on Behalf of Victim [Repealed]
31-10. Modification of Probation and Supervision
[Repealed]
31-11. Take into Custody [Repealed]
31-12. Physical and Mental Examinations [Repealed]
31-13. Mentally Ill Children [Repealed]
Sec. 31-7. —Availability of Predispositional
Study to Counsel and Parties
[Repealed as of Jan. 1, 2003.]
Sec. 31-8. —Dispositional Plan Offered by
Child or Parent
[Repealed as of Jan. 1, 2003.]
Sec. 31-9. —Statement on Behalf of Victim
[Repealed as of Jan. 1, 2003.]
Sec. 31-10. Modification of Probation and
Supervision
[Repealed as of Jan. 1, 2003.]
Sec. 31-11. Take into Custody
[Repealed as of Jan. 1, 2003.]
Sec. 31-12. Physical and Mental Exami-
nations
[Repealed as of Jan. 1, 2003.]
Sec. 31-13. Mentally Ill Children
[Repealed as of Jan. 1, 2003.]
SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERS Sec. 31a-2
CHAPTER 31a
DELINQUENCY AND FAMILY WITH SERVICE NEEDS MOTIONS AND APPLICATIONS
(Amended June 13, 2014, to take effect Jan. 1, 2015.)
Sec. Sec.
31a-1. Motions and Amendments
31a-1A. Continuances and Advancements
31a-2. Motion for Bill of Particulars
31a-3. Motion to Dismiss
31a-4. Motion to Suppress
31a-5. Motion for Judgment of Acquittal
31a-6. Motion for Transfer of Venue
31a-7. Motion in Limine
31a-8. Motion for Sequestration
31a-9. Severance of Offenses
31a-10. Trial Together on Petitions or Informations
31a-11. Motion for New Trial
31a-12. Motion to Transfer to Adult Criminal Docket
31a-13. Take into Custody Order
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
hearing shall be in writing and have annexed to
it a proper order and, where appropriate, shall be
in the form called for by Section 4-1. A motion
shall state in paragraphs successively numbered
the specific grounds upon which it is made. A
copy of the written motion shall be served on the
opposing party or counsel pursuant to Sections
10-12 through 10-17.
(b) Motions shall be filed not later than ten days
after the setting of the trial date except with the
permission of the judicial authority. All motions
shall be calendared to be heard by the judicial
authority not later than fifteen days after filing pro-
vided reasonable notice is given to parties in inter-
est, or notices are waived. Any motion filed in a
case on trial or assigned for trial may be disposed
of by the judicial authority at its discretion or
ordered to be scheduled for hearing.
(c) If the moving party determines and reports
that all counsel and self-represented parties agree
to the granting of a motion or the consideration
of a motion without the need for oral argument or
testimony, or the motion states on its face that
there is such an agreement, the motion may be
granted without a hearing.
(d) A petition or information may be amended
at any time by the judicial authority on its own
motion or in response to the motions of any party
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31a-13A. Temporary Custody Order—Family with Service
Needs Petition
31a-14. Physical and Mental Examinations
31a-15. Mentally Ill Children
31a-16. Discovery
31a-17. Disclosure of Defenses in Delinquency Pro-
ceedings
31a-18. Modification of Probation and Supervision
31a-19. Motion for Extension of Delinquency Commit-
ment; Motion for Review of Permanency Plan
31a-19A. Motion for Extension or Revocation of Family with
Service Needs Commitment; Motion for Review
of Permanency Plan
31a-20. Petition for Violation of Family with Service Needs
Post-Adjudicatory Orders
31a-21. Petition for Child from a Family with Service Needs
at Imminent Risk
prior to any final adjudication. When an amend-
ment has been so ordered, a continuance shall
be granted whenever the judicial authority finds
that the new allegations in the petition or charges
in the information justify the need for additional
time to permit the parties to respond adequately
to the additional or changed facts and circum-
stances.
(Adopted June 24, 2002, to take effect Jan. 1, 2003;
amended June 30, 2008, to take effect Jan. 1, 2009.)
Sec. 31a-1A. Continuances and Advance-
ments
(a) Motions for continuances or changes in
scheduled court dates must be submitted in writ-
ing in compliance with Section 31a-1 (a) and filed
no later than seven days prior to the scheduled
date. Such motions must state the precise rea-
sons for the request, the name of the judicial
authority scheduled to hear the case, and whether
or not all other parties consent to the request. After
consulting with the judicial authority, the clerk will
handle bona fide emergency requests submitted
less than seven days prior to scheduled court
dates.
(b) Trials that are not completed within the allot-
ted prescheduled time will be subject to continua-
tion at the next available court date.
(Adopted June 30, 2008, to take effect Jan. 1, 2009.)
Sec. 31a-2. Motion for Bill of Particulars
The child or youth may file a motion, or the
judicial authority may order at any time, that the
SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERSSec. 31a-2
prosecuting authority file a bill of particulars. The
judicial authority shall order that a bill of particulars
disclose information sufficient to enable the child
or youth to prepare the defense, including but not
being limited to reasonable notice of the offense
charged and the date, time and place of its com-
mission. When any bill of particulars is ordered, an
amended or substitute information, if necessary,
shall be filed incorporating its provisions.
(Adopted June 24, 2002, to take effect Jan. 1, 2003.)
Sec. 31a-3. Motion to Dismiss
The child or youth may file a motion to dismiss
if the motion is capable of determination without
a trial of the general issue on grounds (1) to (9) of
Section 41-8 of the rules of procedure in criminal
matters, subject to the conditions of Section 41-
10 and 41-11.
(Adopted June 24, 2002, to take effect Jan. 1, 2003.)
Sec. 31a-4. Motion to Suppress
The child or youth may file a motion to suppress
potential testimony or other evidence if required
under the constitution or laws of the United States
or the state of Connecticut in accordance with the
provisions of Sections 41-13 through 41-17 of the
rules of procedure in criminal matters.
(Adopted June 24, 2002, to take effect Jan. 1, 2003.)
Sec. 31a-5. Motion for Judgment of
Acquittal
(a) After the close of the juvenile prosecutor’s
case in chief, upon motion of the child or youth
or upon its own motion, the judicial authority shall
order the entry of a judgment of acquittal as to
any principal offense charged and as to any lesser
included offense for which the evidence would not
reasonably permit an adjudication or finding of
guilty. Such judgment of acquittal shall not apply
to any lesser included offense for which the evi-
dence would reasonably permit a finding of guilty.
(b) The judicial authority shall either grant or
deny the motion before calling upon the child or
youth to present the respondent’s case in chief.
If the motion is not granted, the respondent may
offer evidence without having reserved the right
to do so.
(Adopted June 24, 2002, to take effect Jan. 1, 2003;
amended June 30, 2008, to take effect Jan. 1, 2009.)
Sec. 31a-6. Motion for Transfer of Venue
The child or youth or juvenile prosecutor may
file a motion, or the judicial authority may order
at any time, that a juvenile matter be transferred
to a different venue in accordance with Sections
41-23 and 41-25 of the rules of procedure in crimi-
nal matters.
(Adopted June 24, 2002, to take effect Jan. 1, 2003.)
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Sec. 31a-7. Motion in Limine
The judicial authority to whom a matter has
been referred for trial may in its discretion enter-
tain a motion in limine made by the child or youth
or juvenile prosecutor regarding the admission or
exclusion of anticipated evidence. Such motion
shall be in writing and shall describe the antici-
pated evidence and the prejudice which may
result therefrom. The judicial authority may grant
the relief sought in the motion or such other relief
as it may deem appropriate, may deny the motion
with or without prejudice to its later renewal, or
may reserve decision thereon until a later time in
the proceeding.
(Adopted June 24, 2002, to take effect Jan. 1, 2003.)
Sec. 31a-8. Motion for Sequestration
A child or youth or juvenile prosecutor may file
a motion for sequestration. The judicial authority
upon such motion shall cause any witness to be
sequestered during the hearing on any issue or
motion or during any part of the trial in which such
witness is not testifying.
(Adopted June 24, 2002, to take effect Jan. 1, 2003.)
Sec. 31a-9. Severance of Offenses
If it appears that a child or youth is prejudiced
by a joinder of offenses, the judicial authority may,
upon its own motion or the motion of the child or
youth, order separate trials of the counts or pro-
vide whatever other relief justice may require.
(Adopted June 24, 2002, to take effect Jan. 1, 2003.)
Sec. 31a-10. Trial Together on Petitions or
Informations
The judicial authority may, upon its own motion
or the motion of the child or youth or juvenile
prosecutor, order that two or more petitions or
informations against the same child or youth be
tried together. Petitions or informations against
different children or youths may not be tried
together unless all parties agree to waive the con-
fidentiality rules.
(Adopted June 24, 2002, to take effect Jan. 1, 2003.)
Sec. 31a-11. Motion for New Trial
(a) Upon motion of the child or youth, the judicial
authority may grant a new trial if it is required in
the interest of justice in accordance with Section
42-53 of the rules of criminal procedure.
(b) Unless otherwise permitted by the judicial
authority in the interests of justice, a motion for a
new trial shall be made within five days after an
adjudication or finding of guilty or within any fur-
ther time the judicial authority allows during the
five day period.
(c) A request for a new trial on the ground of
newly discovered evidence shall require a petition
SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERS Sec. 31a-14
for a new trial and shall be brought in accordance
with General Statutes § 52-270. The judicial
authority may grant the petition even though an
appeal is pending.
(Adopted June 24, 2002, to take effect Jan. 1, 2003.)
Sec. 31a-12. Motion to Transfer to Adult
Criminal Docket
The juvenile prosecutor may file a motion to
transfer prosecution to the adult criminal docket
in accordance with General Statutes § 46b-127.
(Adopted June 24, 2002, to take effect Jan. 1, 2003.)
Sec. 31a-13. Take into Custody Order
(a) Upon written application in a delinquency
proceeding, a take into custody order may be
issued by the judicial authority:
(1) Upon a finding of probable cause to believe
that the child is responsible for: (A) a delinquent
act, including violation of court orders of probation
or the failure of the child charged with a delinquent
act, duly notified, to attend a pretrial, probation or
evaluation appointment, or (B) for failure to com-
ply with any duly warned condition of a suspended
order of detention. The judicial authority also must
find at the time it issues a take into custody order
that a ground for detention pursuant to Section
30-6 exists before issuing the order.
(2) For failure to appear in court in response to
a delinquency petition or summons served in hand
or to a direct notice previously provided in court.
(b) Any application for a take into custody order
must be supported by a sworn statement alleging
facts to substantiate probable cause, and where
applicable, a petition or information charging a
delinquent act.
(c) Any child detained under a take into custody
order is subject to Sections 30-1A through 30-11.
(Adopted June 24, 2002, to take effect Jan. 1, 2003;
amended June 30, 2008, to take effect Jan. 1, 2009; amended
June 23, 2017, to take effect Jan. 1, 2018.)
HISTORY—2018: In the first clause of subsection (a), ‘‘writ-
ten’’ was added before ‘‘application.’’
TECHNICAL CHANGE: Subparagraphs were designated
with capital letters.
COMMENTARY—2018: The amendment to this section
standardizes the manner in which a request should be made
to detain a child.
Sec. 31a-13A. Temporary Custody Order—
Family with Service Needs Petition
If it appears from the allegations of a petition or
other sworn affirmation that there is: (1) A strong
probability that the child may do something that
is injurious to himself or herself prior to court dis-
position; (2) a strong probability that the child will
run away prior to the hearing; or (3) a need to
hold the child for another jurisdiction, a judicial
authority may vest temporary custody of such
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child in some suitable person or agency. A hearing
on temporary custody shall be held not later than
ten days after the date on which a judicial authority
signs an order of temporary custody. Following
such hearing, the judicial authority may order that
the child’s temporary custody continue to be
vested in some suitable person or agency.
(Adopted June 30, 2008, to take effect Jan. 1, 2009.)
Sec. 31a-14. Physical and Mental Exami-
nations
(a) No physical and/or mental examination or
examinations by any physician, psychologist, psy-
chiatrist or social worker shall be ordered by the
judicial authority of any child denying delinquent
behavior or status as a child or youth from a family
with service needs prior to the adjudication,
except (1) with the agreement of the child’s or
youth’s parent or guardian and attorney, (2) when
the child or youth has executed a written state-
ment of responsibility, (3) when the judicial author-
ity finds that there is a question of the child’s or
youth’s competence to understand the nature of
the proceedings or to participate in the defense,
or a question of the child or youth having been
mentally capable of unlawful intent at the time of
the commission of the alleged act, or (4) where
the child or youth has been detained and as an
incident of detention is administered a physical
examination to establish the existence of any con-
tagious or infectious condition.
(b) Any information concerning a child or youth
that is obtained during any mental health screen-
ing or assessment of such child or youth shall be
used solely for planning and treatment purposes
and shall otherwise be confidential and retained
in the files of the entity performing such screening
or assessment. Such information may be further
disclosed only for the purposes of any court-
ordered evaluation or treatment of the child or
youth, or provision of services to the child or youth,
or pursuant to General Statutes §§ 17a-101 to
17a-101e, inclusive, 17b-450, 17b-451 or 51-36a.
Such information shall not be subject to subpoena
or other court process for use in any other pro-
ceeding or for any other purpose.
(c) Upon a showing that the mental health of a
child or youth is at issue, either prior to adjudica-
tion for the reasons set forth in subsection (a)
herein or subsequent thereto as a determinate
of disposition, the judicial authority may order a
child’s or youth’s placement for a period not to
exceed thirty days in a hospital or other institution
empowered by law to treat mentally ill children
for study and a report on the child’s or youth’s
mental condition.
(Adopted June 24, 2002, to take effect Jan. 1, 2003;
amended June 30, 2008, to take effect Jan. 1, 2009; amended
June 13, 2014, to take effect Jan. 1, 2015.)
SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERSSec. 31a-15
Sec. 31a-15. Mentally Ill Children
No child shall be committed by a judicial author-
ity as mentally ill pursuant to General Statutes
§ 46b-140 until such a study has been made and
a sworn report filed with the judicial authority or
in lieu thereof without the sworn certificate of at
least two impartial physicians, one of whom shall
be a physician specializing in psychiatry, selected
by the judicial authority who have personally
examined the child within ten days of the hearing,
stating that in their opinion the child’s mental con-
dition necessitates placement in a designated
hospital for mental illness. If, after such hearing,
the judicial authority finds by clear and convincing
evidence that the child suffers from a mental disor-
der, as defined in General Statutes § 17a-75, is
in need of hospitalization for treatment and such
treatment is available as the least restrictive alter-
native, the judicial authority shall make an order
for commitment for a definite period not to exceed
six months to a designated hospital for mental
illness of children. No child or youth shall be com-
mitted as mentally deficient pursuant to General
Statutes § 46b-140 except in accordance with
procedures of General Statutes § 17a-274 (b), (g),
and (h).
(Adopted June 24, 2002, to take effect Jan. 1, 2003.)
Sec. 31a-16. Discovery
(a) The child or youth or the juvenile prosecutor
shall be permitted pretrial discovery in accordance
with subsections (b), (c) and (d) of this section by
interrogatory, production, inspection or deposition
of a person in delinquency or family with service
needs matters if the information or material sought
is not otherwise obtainable and upon a finding
that proceedings will not be unduly delayed.
(b) Motions or requests for discovery shall be
filed with the court in accordance with Section
31a-1. The clerk shall calendar any such motion
or request for a hearing. Objections to such
motions or requests may be filed with the court
and served in accordance with Sections 10-12
through 10-17 not later than ten days of the filing
of the motion or request unless the judicial author-
ity, for good cause shown, allows a later filing.
Upon its own motion or upon the request or motion
of a party, the judicial authority may, after a hear-
ing, order discovery. The judicial authority shall fix
the times for filing and for responding to discovery
motions and requests and, when appropriate,
shall fix the hour, place, manner, terms and condi-
tions of responses to the motions and requests,
provided that the party seeking discovery shall be
allowed a reasonable opportunity to obtain infor-
mation needed for the preparation of the case.
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(c) Motions or requests for discovery should not
be filed unless the moving party has attempted
unsuccessfully to obtain an agreement to disclose
from the party or person from whom information
is being sought.
(d) The provisions of Sections 40-2 through 40-
6, inclusive, 40-7 (b), 40-8 through 40-16, inclu-
sive, and 40-26 through 40-58, inclusive, of the
rules of procedure in criminal matters shall be
applied by the judicial authority in determining
whether to grant, limit or set conditions on the
requested discovery, issue any protective orders,
or order appropriate sanctions for any clear mis-
use of discovery or arbitrary delay or refusal to
comply with a discovery request.
(Adopted June 24, 2002, to take effect Jan. 1, 2003;
amended June 30, 2008, to take effect Jan. 1, 2009; amended
June 13, 2014, to take effect Jan. 1, 2015.)
Sec. 31a-17. Disclosure of Defenses in
Delinquency Proceedings
The child in a delinquency case shall disclose
defenses to the charged offenses in accordance
with Sections 40-17 through 40-25 of the rules
of criminal procedure. Such disclosures shall be
made not later than ten days after the matter is
scheduled for trial except with the permission of
the judicial authority.
(Adopted June 24, 2002, to take effect Jan. 1, 2003;
amended June 30, 2008, to take effect Jan. 1, 2009.)
Sec. 31a-18. Modification of Probation and
Supervision
(a) At any time during the period of probation,
supervision or suspended commitment, after
hearing and for good cause shown, the judicial
authority may modify or enlarge the conditions,
whether originally imposed by the judicial author-
ity under this section or otherwise. The judicial
authority may extend the period of probation as
deemed appropriate by the judicial authority. The
judicial authority shall cause a copy of any such
order to be delivered to the child or youth and to
such child’s or youth’s parent, guardian or other
person having control over such child or youth,
and the child’s or youth’s probation officer.
(b) The child, attorney, juvenile prosecutor or
parent may, in the event of disagreement, in writ-
ing request the judicial authority not later than five
days of the receipt thereof for a hearing on the
propriety of the modification. In the absence of any
request, the modification of the terms of probation
may be effected by the probation officer with the
approval of the supervisor and the judicial
authority.
(Adopted June 24, 2002, to take effect Jan. 1, 2003;
amended June 30, 2008, to take effect Jan. 1, 2009.)
SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERS Sec. 31a-20
Sec. 31a-19. Motion for Extension of Delin-
quency Commitment; Motion for Review of
Permanency Plan
(a) The commissioner of the department of chil-
dren and families may file a motion for an exten-
sion of a delinquency commitment beyond the
eighteen month or four year period on the grounds
that such extension is for the best interests of the
child or the community. The clerk shall give notice
to the child, the child’s parent or guardian, counsel
of record for the parent or guardian and child at
the time of disposition and, if applicable, the
guardian ad litem not later than fourteen days
prior to the hearing upon such motion. The judicial
authority may, after hearing and upon finding such
extension is in the best interests of the child or
the community, continue the commitment for an
additional period of not more than eighteen
months.
(b) Not later than twelve months after a child is
committed as a delinquent to the commissioner
of the department of children and families, the
judicial authority shall hold a permanency hearing.
Such a hearing will be held every twelve months
thereafter if the child remains committed. Such
hearing may include the submission of a motion
to the judicial authority by the commissioner to
either modify or extend the commitment.
(c) At least sixty days prior to each permanency
hearing required under subsection (b) of this sec-
tion, the commissioner of the department of chil-
dren and families shall file a permanency plan
with the judicial authority. At each permanency
hearing, the judicial authority shall review and
approve a permanency plan that is in the best
interests of the child and takes into consideration
the child’s need for permanency. The judicial
authority shall also determine whether the com-
missioner of the department of children and fami-
lies has made reasonable efforts to achieve the
permanency plan.
(Adopted June 24, 2002, to take effect Jan. 1, 2003;
amended June 30, 2008, to take effect Jan. 1, 2009; amended
June 22, 2009, to take effect Jan. 1, 2010.)
Sec. 31a-19A. Motion for Extension or Revo-
cation of Family with Service Needs
Commitment; Motion for Review of Perma-
nency Plan
(a) The commissioner of the department of chil-
dren and families may file a motion for an exten-
sion of a commitment of a child who has been
adjudicated as a child from a family with service
needs on the grounds that an extension would be
in the best interests of the child. The clerk shall
give notice to the child, the child’s parent or guard-
ian, all counsel of record at the time of disposition
and, if applicable, the guardian ad litem not later
than fourteen days prior to the hearing upon such
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motion. The judicial authority may, after hearing
and upon finding that such extension is in the best
interests of the child and that there is no suitable
less restrictive alternative, continue the commit-
ment for an additional indefinite period of not more
than eighteen months.
(b) The commissioner of the department of chil-
dren and families may at any time file a motion
to revoke a commitment of a child who has been
adjudicated as a child from a family with service
needs, or the parent or guardian of such child
may at any time but not more often than once
every six months file a motion with the judicial
authority which committed the child to revoke such
commitment. The clerk shall notify the child, the
child’s parent or guardian, all counsel of record
at the time of disposition, if applicable, the guard-
ian ad litem, and the commissioner of the depart-
ment of children and families of any motion filed
to revoke a commitment under this subsection,
and of the time when a hearing on such motion
will be held.
(c) Not later than twelve months after the com-
mitment of a child who has been adjudicated as
a child from a family with service needs to the
commissioner of the department of children and
families, the judicial authority shall hold a perma-
nency hearing. Such a hearing will be held every
twelve months thereafter if the child remains com-
mitted. Such a hearing also may include the sub-
mission of a motion to the judicial authority by the
commissioner of the department of children and
families, the child’s parent or guardian to either
extend or revoke the commitment.
(d) At least sixty days prior to each permanency
hearing required under subsection (c) of this sec-
tion, the commissioner of the department of chil-
dren and families shall file a permanency plan
with the judicial authority. At each permanency
hearing, the judicial authority shall review and
approve a permanency plan that is in the best
interests of the child and takes into consideration
the child’s need for permanency. That judicial
authority shall also determine whether the com-
missioner of the department of children and fami-
lies has made reasonable efforts to achieve the
permanency plan.
(Adopted June 30, 2008, to take effect Jan. 1, 2009.)
Sec. 31a-20. Petition for Violation of Family
with Service Needs Post-Adjudicatory
Orders
(a) When a child who has been adjudicated as
a child from a family with service needs violates
any valid order which regulates future conduct of
the child made by the judicial authority following
such an adjudication, a probation officer, on
SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERSSec. 31a-20
receipt of a complaint setting forth the facts
alleged to be a violation, or on the probation offi-
cer’s own motion on the basis of his or her knowl-
edge of such a violation, may file a petition with
the court alleging that the child has violated a valid
court order and setting forth the facts claimed to
constitute such a violation.
(b) The judicial authority will ensure that the
child is provided an evidentiary hearing on the
allegations contained in the petition and that coun-
sel is assigned for the child or youth pursuant to
Section 30a-1 of these rules or that counsel of
record is notified of the evidentiary hearing.
(c) Upon a finding by the judicial authority by
clear and convincing evidence that the child has
violated a valid court order, the judicial authority
may (1) order the child to remain in such child’s
home or in the custody of a relative or any other
suitable person, subject to the supervision of a
probation officer, (2) upon a finding that there is
no less restrictive alternative appropriate to the
needs of the child and the community, enter an
order that directs or authorizes a peace officer or
other appropriate person to place the child in a
staff-secure facility under the auspices of the court
support services division of the judicial branch for
a period not to exceed forty-five days, with review
by the judicial authority every fifteen days to con-
sider whether continued placement is appropriate,
at the end of which period the child shall be
returned to the community and may be subject to
the supervision of a probation officer, or (3) order
that the child be committed to the care and cus-
tody of the commissioner of the department of
children and families for a period not to exceed
eighteen months and that the child cooperate in
such care and custody.
(Adopted June 30, 2008, to take effect Jan. 1, 2009.)
Sec. 31a-21. Petition for Child from a Family
with Service Needs at Imminent Risk
(a) When a child who has been adjudicated as
a child from a family with service needs is under
an order of supervision or an order of commitment
to the commissioner of the department of children
and families and is believed to be in imminent risk
of physical harm from the child’s surroundings
or other circumstances, a probation officer, on
receipt of a complaint setting forth facts alleging
such risk, or on the probation officer’s own motion
on the basis of his or her knowledge of such risk,
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may file a petition alleging that the child is in immi-
nent risk of physical harm and setting forth facts
claimed to constitute such risk. Service shall be
made in accordance with subsection (d) of Gen-
eral Statutes § 46b-149.
(b) If it appears from the specific allegations of
the petition and other verified affirmations of fact
accompanying the petition, or made subsequent
thereto, that there is probable cause to believe
that (1) the child is in imminent risk of physical
harm from the child’s surroundings, (2) as a result
of such condition, the child’s safety is endangered
and immediate removal from such surroundings
is necessary to ensure the child’s safety, and (3)
there is no less restrictive alternative available, the
judicial authority shall enter an order that directs
or authorizes a peace officer or other appropriate
person to place the child in a staff-secure facility
under the auspices of the court support services
division of the judicial branch for a period not to
exceed forty-five days, subject to subsection (e)
of this section, with review by the judicial authority
every fifteen days to consider whether continued
placement is appropriate.
(c) The judicial authority will ensure that the
child is provided an evidentiary hearing on the
allegations contained in the petition and that coun-
sel is assigned for the child pursuant to Section
30a-1 of these rules or that counsel of record is
notified of the filing of the imminent risk petition.
(d) Not later than the end of such forty-five day
period, the child shall either be (1) returned to the
community for appropriate services subject to the
supervision of a probation officer or an existing
commitment to the commissioner of the depart-
ment of children and families; or (2) committed to
the commissioner of the department of children
and families for a period not to exceed eighteen
months if a hearing has been held and the judicial
authority has found, based on clear and convinc-
ing evidence, that (i) the child is in imminent risk
of physical harm from the child’s surroundings,
(ii) as a result of such condition, the child’s safety
is endangered and removal from such surround-
ings is necessary to ensure the child’s safety, and
(iii) there is no less restrictive alternative available.
Any such child shall be entitled to the same proce-
dural protections as are afforded to a delin-
quent child.
(e) No child shall be held prior to a hearing on
a petition under this section for more than twenty-
four hours, excluding Saturdays, Sundays and
holidays.
(Adopted June 22, 2009, to take effect Jan. 1, 2010.)
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
and Summary of Facts [Repealed]
32-2. —Summons Accompanying Petitions [Repealed]
32-3. —Venue [Repealed]
32-4. —Identity or Location of Parent Unknown [Repealed]
32-5. —Address of Person Entitled to Personal Service
Unknown [Repealed]
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;
Contents of Petitions and Summary of Facts
[Repealed as of Jan. 1, 2003.]
Sec. 32-2. —Summons Accompanying Peti-
tions
[Repealed as of Jan. 1, 2003.]
Sec. 32-3. —Venue
[Repealed as of Jan. 1, 2003.]
Sec. 32-4. —Identity or Location of Parent
Unknown
[Repealed as of Jan. 1, 2003.]
Sec. 32-5. —Address of Person Entitled to
Personal Service Unknown
[Repealed as of Jan. 1, 2003.]
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32-6. Order of Temporary Custody; Application and Sworn
Statement [Repealed]
32-7. —Statement in Temporary Custody Order of Respon-
dent’s Rights and of Subsequent Hearing
[Repealed]
32-8. —Authority of Temporary Custodian [Repealed]
32-9. —Emergency, Life-Threatening Medical Situations—
Procedures [Repealed]
Sec. 32-6. Order of Temporary Custody;
Application and Sworn Statement
[Repealed as of Jan. 1, 2003.]
Sec. 32-7. —Statement in Temporary Cus-
tody Order of Respondent’s Rights and of
Subsequent Hearing
[Repealed as of Jan. 1, 2003.]
Sec. 32-8. —Authority of Temporary Cus-
todian
[Repealed as of Jan. 1, 2003.]
Sec. 32-9. —Emergency, Life-Threatening
Medical Situations—Procedures
[Repealed as of Jan. 1, 2003.]
SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERSSec. 32a-1
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-2. Hearing Procedure; Subpoenas
32a-3. Standards of Proof
32a-4. Child or Youth Witness
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 Silent
(a) At the first hearing in which the parents or
guardian appear, the judicial authority shall advise
and explain to the parents or guardian of a child
or youth their right to silence and to counsel.
(b) The child or youth has the rights of confron-
tation and cross-examination and shall be repre-
sented by counsel in each and every phase of any
and all proceedings in child protection matters,
including appeals. The judicial authority before
whom a juvenile matter is pending shall notify the
chief public defender who shall assign an attorney
to represent the child or youth.
(c) The judicial authority on its own motion or
upon the motion of any party, may appoint a sepa-
rate guardian ad litem for the child or youth upon
a finding that such appointment is necessary to
protect the best interest of the child or youth. An
attorney guardian ad litem shall be appointed for
a child or youth who is a parent in a termination
of parental rights proceeding or any parent who
is found to be incompetent by the judicial authority.
(d) The parents or guardian of the child or youth
have the rights of confrontation and cross-exami-
nation and may be represented by counsel in each
and every phase of any and all proceedings in
child protection matters, including appeals. The
judicial authority shall determine if the parents
or guardian of the child or youth are eligible for
counsel. Upon a finding that such parents or
guardian of the child or youth are unable to afford
counsel, the judicial authority shall notify the chief
public defender of such finding, and the chief pub-
lic defender shall assign an attorney to provide
representation.
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32a-6. Interpreter
32a-7. Records
32a-8. Use of Confidential Alcohol or Drug Abuse Treat-
ment Records as Evidence
32a-9. Competency of Parent
(e) If the judicial authority, even in the absence
of a request for appointment of counsel, deter-
mines that the interests of justice require the provi-
sion of an attorney to represent the child’s or
youth’s parent or parents or guardian, or other
party, the judicial authority may appoint an attor-
ney to represent any such party and shall notify
the chief public defender, who shall assign an
attorney to represent any such party. For the pur-
poses of determining eligibility for appointment
of counsel, the judicial authority shall cause the
parents or guardian of a child or youth to complete
a written statement under oath or affirmation set-
ting forth the parents’ or guardian’s liabilities and
assets, income and sources thereof, and such
other information as the Public Defender Services
Commission shall designate and require on forms
adopted by said commission.
(f) Where under the provisions of this section,
the judicial authority so appoints counsel for any
such party who is found able to pay, in whole or
in part, the cost thereof, the judicial authority shall
assess as costs on the appropriate form against
such parents, guardian or custodian, including
any agency vested with the legal custody of the
child or youth, the expense so incurred and paid
for by the chief public defender in providing such
counsel, to the extent of their financial ability to
do so, in accordance with the rates established
by the Public Defender Services Commission for
compensation of counsel. Reimbursement to the
appointed attorney of unrecovered costs shall be
made to that attorney by the chief public defender
upon the attorney’s certification of his or her unre-
covered expenses to the chief public defender.
(g) Notices of initial hearings on petitions shall
contain a statement of the respondent’s right to
counsel and that if the respondent is unable to
SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERS Sec. 32a-4
afford counsel, counsel will be appointed to repre-
sent the respondent, that the respondent has a
right to refuse to make any statement and that
any statement the respondent makes may be
introduced in evidence against him or her.
(h) Any confession, admission or statement,
written or oral, made by the parent or parents or
guardian of the child or youth after the filing of a
petition alleging such child or youth to be
neglected, abused or uncared for, shall be inad-
missible in any proceeding held upon such petition
against the person making such admission or
statement unless such person shall have been
advised of the right to retain counsel, and that if
such person is unable to afford counsel, counsel
will be assigned to provide representation, that
such person has a right to refuse to make any
statement and that any statements such person
makes may be introduced in evidence against
such person.
(Adopted June 24, 2002, to take effect Jan. 1, 2003;
amended June 30, 2008, to take effect Jan. 1, 2009; amended
June 15, 2012, to take effect Jan. 1, 2013.)
Sec. 32a-2. Hearing Procedure; Subpoenas
(a) All hearings are essentially civil proceedings
except where otherwise provided by statute. Tes-
timony may be given in narrative form and the
proceedings shall at all times be as informal as the
requirements of due process and fairness permit.
(b) Issuance, service, and compliance with sub-
poenas are governed by General Statutes § 52-
143 et seq.
(c) Any self-represented party may request the
clerk of the court to issue subpoenas for persons
to testify before the judicial authority. Self-repre-
sented parties shall obtain prior approval from
the judicial authority to issue subpoenas and, if
indigent, may seek reimbursement for the costs
thereof.
(Adopted June 24, 2002, to take effect Jan. 1, 2003;
amended June 30, 2008, to take effect Jan. 1, 2009.)
Sec. 32a-3. Standards of Proof
(a) The standard of proof applied in a neglect,
uncared for or dependency proceeding is a fair
preponderance of the evidence.
(b) The standard of proof applied in a decision
to terminate parental rights, a finding that efforts
to reunify a parent with a child or youth are no
longer appropriate, or as to permanent legal
guardianship is clear and convincing evidence.
(c) Any Indian child or youth custody proceed-
ings, except delinquency, involving removal of an
Indian child or youth from a parent or Indian custo-
dian for placement shall, in addition, comply with
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the Indian Child Welfare Act (ICWA), 25 U.S.C.
§ 1901 et seq.
(Adopted June 24, 2002, to take effect Jan. 1, 2003;
amended June 30, 2008, to take effect Jan. 1, 2009; amended
June 23, 2017, to take effect Jan. 1, 2018.)
HISTORY—2018: In subsection (b), a comma was added
and ‘‘or’’ was deleted after ‘‘rights’’ and ‘‘or as to permanent
legal guardianship’’ was added after ‘‘appropriate.’’
COMMENTARY—2018: The amendments to this section
set forth the standard of proof as to permanent legal guardian-
ship and conform to General Statutes § 46b-129.
Sec. 32a-4. Child or Youth Witness
(Amended June 30, 2008, to take effect Jan. 1, 2009.)
(a) All oral testimony shall be given under oath.
For child or youth witnesses, the oath may be ‘‘you
promise that you will tell the truth.’’ The judicial
authority may, however, admit the testimony of a
child or youth without the imposition of a formal
oath if the judicial authority finds that the oath
would be meaningless to the particular child or
youth, or would otherwise inhibit the child or youth
from testifying freely and fully.
(b) Any party who intends to call a child or youth
as a witness shall first file a motion seeking per-
mission of the judicial authority.
(c) In any proceeding when testimony of a child
or youth is taken, an adult who is known to the
child or youth and with whom the child or youth
feels comfortable shall be permitted to sit in close
proximity to the child or youth during the child’s
or youth’s testimony without obscuring the child
or youth from view and the attorneys shall ask
questions and pose objections while seated and
in a manner which is not intimidating to the child
or youth. The judicial authority shall minimize any
distress to a child or youth in court.
(d) The judicial authority with the consent of all
parties may privately interview the child or youth.
Counsel may submit questions and areas of con-
cern for examination. The knowledge gained in
such a conference shall be shared on the record
with counsel and, if there is no legal representa-
tive, with the parent.
(e) When the witness is the child or youth of
the respondent, the respondent may be excluded
from the hearing room upon a showing by clear
and convincing evidence that the child or youth
witness would be so intimidated or inhibited that
trustworthiness of the child or youth witness is
seriously called into question. In such an instance,
if the respondent is without counsel, the judicial
authority shall summarize for the respondent the
nature of the child’s or youth’s testimony.
(Adopted June 24, 2002, to take effect Jan. 1, 2003;
amended June 30, 2008, to take effect Jan. 1, 2009.)
SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERSSec. 32a-5
Sec. 32a-5. Consultation with Child or Youth
(Amended June 30, 2008, to take effect Jan. 1, 2009.)
(a) In any permanency hearing held with
respect to the child or youth, including, but not
limited to, any hearing regarding the transition of
the child or youth from foster care to independent
living, the judicial authority shall assure that there
is consultation with the child or youth in an age-
appropriate manner regarding the proposed per-
manency or transition plan for the child or youth.
(b) For good cause shown, the child or youth
who is the subject of a hearing may be excluded
from the courtroom.
(Adopted June 24, 2002, to take effect Jan. 1, 2003;
amended June 30, 2008, to take effect Jan. 1, 2009.)
Sec. 32a-6. Interpreter
The judicial authority shall provide an official
interpreter to the parties as necessary to ensure
their understanding of, and participation in, the
proceedings.
(Adopted June 24, 2002, to take effect Jan. 1, 2003.)
Sec. 32a-7. Records
(a) Except as otherwise provided by statute, all
records maintained in juvenile matters brought
before the judicial authority, either current or
closed, including the transcripts of hearings, shall
be kept confidential.
(b) Except as otherwise provided by statute, no
material contained in the court record, including
the social study, medical or clinical reports, school
reports, police reports and the reports of social
agencies, may be copied or otherwise reproduced
in written form in whole or in part by the parties
without the express consent of the judicial
authority.
(c) Each counsel and self-represented party in
a child protection matter shall have access to and
be entitled to copies, at his or her expense, of
the entire court record, including transcripts of all
proceedings, without the express consent of the
judicial authority.
(Adopted June 24, 2002, to take effect Jan. 1, 2003;
amended June 22, 2009, to take effect Jan. 1, 2010; amended
June 14, 2013, to take effect Jan. 1, 2014.)
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Sec. 32a-8. Use of Confidential Alcohol or
Drug Abuse Treatment Records as Evidence
(a) Upon a determination by the judicial author-
ity that good cause exists pursuant to federal law
and regulations, the judicial authority may admit
evidence of any party’s alcohol or drug treatment
by a facility subject to said regulations.
(b) A party seeking to introduce substance
abuse treatment records shall submit a motion
to the judicial authority requesting permission to
subpoena such records and explaining the need
for them, and shall also file a motion to disclose
such confidential records and permit testimony
regarding them. The motion for permission to sub-
poena such records may be signed ex parte by
the judicial authority. If the judicial authority
approves the motion, such records may be sub-
poenaed and submitted to the court under seal,
and the judicial authority shall set a date for the
parties and service providers to be heard on the
motion to disclose confidential alcohol or drug
abuse treatment records.
(Adopted June 24, 2002, to take effect Jan. 1, 2003.)
Sec. 32a-9. Competency of Parent
(a) In any proceeding for the termination of
parental rights, either upon its own motion or a
motion of any party alleging specific factual allega-
tions of mental impairment that raise a reasonable
doubt about the parent’s competency, the judicial
authority shall appoint an evaluator who is an
expert in mental illness to assess such parent’s
competency; the judicial authority shall thereafter
conduct a competency hearing within ten days of
receipt of the evaluator’s report.
(b) At a competency hearing held under subsec-
tion (a), the judicial authority shall determine
whether the parent is incompetent and if so,
whether competency may be restored within a
reasonable time, considering the age and needs
of the child or youth, including the possible
adverse impact of delay in the proceedings. If
competency may be restored within a reasonable
time, the judicial authority shall stay proceedings
and shall issue specific steps the parent shall take
to have competency restored. If competency may
not be restored within a reasonable time, the judi-
cial authority may make reasonable accommoda-
tions to assist the parent and his or her attorney
in the defense of the case, including the appoint-
ment of a guardian ad litem if one has not already
been provided.
(Adopted June 30, 2008, to take effect Jan. 1, 2009.)
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-
ity [Repealed]
33-2. —Continuance for Case Status Conference
[Repealed]
33-3. —Evidence [Repealed]
33-4. —Burden of Proceeding [Repealed]
33-5. Dispositional Hearing; Evidence and Social Study
[Repealed]
33-6. —Availability of Social Study to Counsel and Par-
ties [Repealed]
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
Judicial Authority
[Repealed as of Jan. 1, 2003.]
Sec. 33-2. —Continuance for Case Status
Conference
[Repealed as of Jan. 1, 2003.]
Sec. 33-3. —Evidence
[Repealed as of Jan. 1, 2003.]
Sec. 33-4. —Burden of Proceeding
[Repealed as of Jan. 1, 2003.]
Sec. 33-5. Dispositional Hearing; Evidence
and Social Study
[Repealed as of Jan. 1, 2003.]
Sec. 33-6. —Availability of Social Study to
Counsel and Parties
[Repealed as of Jan. 1, 2003.]
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33-7. —Dispositional Plan Offered by Respondents
[Repealed]
33-8. Protective Supervision—Conditions and Modifica-
tion [Repealed]
33-9. Extension Petitions [Repealed]
33-10. Revocation of Commitments [Repealed]
33-11. Modifications [Repealed]
33-12. Coterminous Petitions [Repealed]
33-13. Transfer from Probate Court of Petitions for
Removal of Parent as Guardian [Repealed]
Sec. 33-7. —Dispositional Plan Offered by
Respondents
[Repealed as of Jan. 1, 2003.]
Sec. 33-8. Protective Supervision—Condi-
tions and Modification
[Repealed as of Jan. 1, 2003.]
Sec. 33-9. Extension Petitions
[Repealed as of Jan. 1, 2003.]
Sec. 33-10. Revocation of Commitments
[Repealed as of Jan. 1, 2003.]
Sec. 33-11. Modifications
[Repealed as of Jan. 1, 2003.]
Sec. 33-12. Coterminous Petitions
[Repealed as of Jan. 1, 2003.]
Sec. 33-13. Transfer from Probate Court of
Petitions for Removal of Parent as Guardian
[Repealed as of Jan. 1, 2003.]
SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERSSec. 33a-1
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-
tions and Summary of Facts
33a-2. Service of Summons, Petitionsand Ex Parte Orders
33a-3. Venue
33a-4. Identity or Location of Respondent Unknown
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;
Contents of Petitions and Summary of Facts
(a) The petitioner shall set forth with reasonable
particularity, including statutory references, the
specific conditions which have resulted in the situ-
ation which is the subject of the petition.
(b) A summary of the facts substantiating the
allegations of the petition shall be attached thereto
and shall be incorporated by reference.
(Adopted June 24, 2002, to take effect Jan. 1, 2003.)
Sec. 33a-2. Service of Summons, Petitions
and Ex Parte Orders
(a) A summons accompanying a petition alleg-
ing that a child or youth is neglected, abused or
uncared for, along with the summary of facts, shall
be served by the petitioner on the respondents
and provided to the office of the attorney general
at least fourteen days before the date of the initial
plea hearing on the petition, which shall be held
not more than forty-five days from the date of filing
the petition.
(b) A summons accompanying a petition for
termination of parental rights, along with the sum-
mary of facts, shall be served by the petitioner on
the respondents and provided to the office of the
attorney general at least ten days prior to the date
of the initial plea hearing on the petition, which
shall be held not more than thirty days after the
filing of the petition, except in the case of a petition
for termination of parental rights based on con-
sent, which shall be held not more than twenty
days after the filing of the petition.
(c) A summons accompanying simultaneously
filed coterminous petitions, along with the sum-
mary of facts, shall be served by the petitioner on
the respondents and provided to the office of the
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33a-5. Address of Person Entitled to Personal Service
Unknown
33a-6. Order of Temporary Custody; Ex Parte Orders and
Orders to Appear
33a-7. Preliminary Order of Temporary Custody or First
Hearing; Actions by Judicial Authority
33a-8. Emergency, Life-Threatening Medical Situa-
tions—Procedures
attorney general at least ten days prior to the date
of the initial plea hearing on the petition, which
shall be held not more than thirty days after the
filing of the petitions, except in the case of a peti-
tion for termination of parental rights based on
consent, which shall be held not more than twenty
days after the filing of the petition.
(d) A summons accompanying any petition filed
with an application for order of temporary custody
shall be served by the petitioner on the respon-
dents and provided to the office of the attorney
general as soon as practicable after the issuance
of any ex parte order or order to appear, along
with such order, any sworn statements supporting
the order, the summary of facts, the specific steps
provided by the judicial authority, and the notice
required by Section 33a-6.
(e) Whenever the commissioner of the depart-
ment of children and families obtains an ex parte
order of temporary custody or an order to appear
and show cause from the judicial authority, he or
she shall provide the clerk with a sealed envelope
marked ‘‘Attention: Counsel for Child(ren)’’ con-
taining the following information: the name, phone
number and e-mail of the investigation social
worker; the name, phone number and e-mail of
the treatment supervisor or social worker, if
known; and the child(ren)’s placement or home
address and phone number, and name of a place-
ment contact person. The clerk shall ensure that
counsel assigned to the child is provided with said
envelope at the time his or her appearance is
filed. In the event the placement information
changes prior to the preliminary hearing, the com-
missioner of the department of children and fami-
lies shall notify counsel for the child immediately.
(Adopted June 24, 2002, to take effect Jan. 1, 2003;
amended June 30, 2008, to take effect Jan. 1, 2009; amended
June 15, 2012, to take effect Jan. 1, 2013.)
SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERS Sec. 33a-6
Sec. 33a-3. Venue
All child protection petitions shall be filed within
the juvenile matters district where the child or
youth resided at the time of the filing of the petition,
but any child or youth born in any hospital or
institution where the mother is confined at the time
of birth shall be deemed to have residence in the
district wherein such child’s or youth’s mother was
living at the time of her admission to such hospital
or institution. When placement of a child or youth
has been effected prior to filing of a petition, venue
shall be in the district wherein the custodial parent
is living at the time of the filing of the petition.
(Adopted June 24, 2002, to take effect Jan. 1, 2003;
amended June 30, 2008, to take effect Jan. 1, 2009.)
Sec. 33a-4. Identity or Location of Respon-
dent Unknown
(a) If the identity or present location of a respon-
dent is unknown when a petition is filed, an affida-
vit shall be attached reciting the efforts to identify
and locate that respondent. Notice by publication
to unidentified persons shall be required in any
petition for termination of parental rights.
(b) Subject to Section 32a-1 of these rules, the
judicial authority may notify the chief public
defender to assign counsel for an unidentified par-
ent or an absent parent who has received only
constructive notice of termination of parental
rights proceedings, for the limited purposes of
conducting a reasonable search for the unidenti-
fied or absent parents and reporting to the judicial
authority before any adjudication.
(Adopted June 24, 2002, to take effect Jan. 1, 2003;
amended June 30, 2008, to take effect Jan. 1, 2009.)
Sec. 33a-5. Address of Person Entitled to
Personal Service Unknown
If the address of any person entitled to personal
service is unknown, service may be by publication
as ordered by the judicial authority.
(Adopted June 24, 2002, to take effect Jan. 1, 2003.)
Sec. 33a-6. Order of Temporary Custody; Ex
Parte Orders and Orders to Appear
(a) If the judicial authority finds, based upon
the specific allegations of the petition and other
verified affirmations of fact provided by the appli-
cant, that there is reasonable cause to believe
that: (1) the child or youth is suffering from serious
physical illness or serious physical injury or is in
immediate physical danger from his or her sur-
roundings and (2) that as a result of said condi-
tions, the child’s or youth’s safety is endangered
and immediate removal from such surroundings
is necessary to ensure the child’s or youth’s
safety, the judicial authority shall, upon proper
application at the time of filing of the petition or
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at any time subsequent thereto, either (A) issue an
order to the respondents or other persons having
responsibility for the care of the child or youth to
appear at such time as the judicial authority may
designate to determine whether the judicial
authority should vest in some suitable agency or
person the child’s or youth’s temporary care and
custody pending disposition of the petition, or (B)
issue an order ex parte vesting in some suitable
agency or person the child’s or youth’s temporary
care and custody.
(b) A preliminary hearing on any ex parte cus-
tody order or order to appear issued by the judicial
authority shall be held as soon as practicable but
not later than ten days after the issuance of
such order.
(c) If the application is filed subsequent to the
filing of the petition, a motion to amend the petition
or to modify protective supervision shall be filed
no later than the next business date before such
preliminary hearing.
(d) Upon issuance of an ex parte order or order
to appear, the judicial authority shall provide to
the commissioner of the department of children
and families and the respondents specific steps
necessary for each to take for the respondents to
retain or regain custody of the child or youth.
(e) An ex parte order or order to appear shall
be accompanied by a conspicuous notice to the
respondents written in clear and simple language
containing at least the following information: (i)
That the order contains allegations that conditions
in the home have endangered the safety and wel-
fare of the child or youth; (ii) that a hearing will
be held on the date on the form; (iii) that the
hearing is the opportunity to present the respon-
dents’ position concerning the alleged facts; (iv)
that the respondent has the right to remain silent;
(v) that an attorney will be appointed for respon-
dents who cannot afford an attorney by the chief
public defender; (vi) that such respondents may
apply for state paid representation by going in
person to the court address on the form and are
advised to go as soon as possible in order for the
attorney to prepare for the hearing; (vii) if such
respondents have any questions concerning the
case or appointment of counsel, any such respon-
dent is advised to go to the court, or contact the
clerk’s office, or contact the chief public defender
as soon as possible, and (viii) that such parents,
or a person having responsibility for the care and
custody of the child or youth, may request the
commissioner of children and families to investi-
gate placing the child or youth with a person
related to the child or youth by blood or marriage
who might serve as a licensed foster parent or
temporary custodian for such child or youth.
SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERSSec. 33a-6
(f) Upon application for state paid representa-
tion, the judicial authority shall promptly determine
eligibility and, if the respondent is eligible,
promptly notify the chief public defender, who
shall assign an attorney to provide representation.
In the absence of such a request prior to the pre-
liminary hearing, the chief public defender shall
ensure that standby counsel is available at such
hearing to assist and/or represent the
respondents.
(Adopted June 24, 2002, to take effect Jan. 1, 2003;
amended June 30, 2008, to take effect Jan. 1, 2009; amended
June 20, 2011, to take effect Jan. 1, 2012.)
Sec. 33a-7. Preliminary Order of Temporary
Custody or First Hearing; Actions by Judi-
cial Authority
(Amended June 30, 2008, to take effect Jan. 1, 2009.)
(a) At the preliminary hearing on the order of
temporary custody or order to appear, or at the
first hearing on a petition for neglect, uncared for,
dependency, or termination of parental rights, the
judicial authority shall:
(1) first determine whether the necessary par-
ties are present and that the rules governing ser-
vice on or notice to nonappearing parties, and
notice to grandparents, foster parents, relative
caregivers and pre-adoptive parents, as applica-
ble, have been complied with, and should note
these facts for the record, and may proceed with
respect to the parties who (i) are present and have
been properly served; (ii) are present and waive
any defects in service; and (iii) are not present,
but have been properly served. As to any party
who has not been properly served, the judicial
authority may continue the proceedings with
respect to such party for a reasonable period of
time for service to be made and confirmed;
(2) inform the respondents of the allegations
contained in all petitions and applications that are
the subject of the hearing;
(3) inform the respondents of their right to
remain silent;
(4) ensure that an attorney, and where appro-
priate, a separate guardian ad litem, has been
assigned to represent the child or youth by the
chief public defender, in accordance with General
Statutes §§ 46b-129a (2), 46b-136, 51-296a and
Section 32a-1 of these rules;
(5) advise the respondents of their right to coun-
sel and their right to have counsel assigned if they
are unable to afford representation, determine eli-
gibility for state paid representation and notify the
chief public defender to assign an attorney to rep-
resent any respondent who is unable to afford
representation, as determined by the judicial
authority;
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(6) advise the respondents of the right to a hear-
ing on the petitions and applications, to be held not
later than ten days after the date of the preliminary
hearing if the hearing is pursuant to an ex parte
order of temporary custody or an order to appear;
(7) notwithstanding any prior statements
acknowledging responsibility, inquire of the custo-
dial respondent in neglect, uncared for and
dependency matters, and of all respondents in
termination matters, whether the allegations of the
petition are presently admitted or denied;
(8) make any interim orders, including visitation,
that the judicial authority determines are in the
best interests of the child or youth, and order spe-
cific steps the commissioner and the respondents
shall take for the respondents to regain or to retain
custody of the child or youth;
(9) take steps to determine the identity of the
father of the child or youth, including, if necessary,
inquiring of the mother of the child or youth, under
oath, as to the identity and address of any person
who might be the father of the child or youth and
ordering genetic testing, if necessary and appro-
priate, and order service of the amended petition
citing in the putative father and notice of the hear-
ing date, if any, to be made upon him;
(10) if the person named as the putative father
appears, and admits that he is the biological
father, provide him and the mother with the notices
which comply with General Statutes § 17b-27 and
provide them with the opportunity to sign a pater-
nity acknowledgment and affirmation on forms
which comply with General Statutes § 17b-27,
which documents shall be executed and filed in
accordance with General Statutes § 46b-172 and
a copy delivered to the clerk of the superior court
for juvenile matters;
(11) in the event that the person named as a
putative father appears and denies that he is the
biological father of the child or youth, advise him
that he may have no further standing in any pro-
ceeding concerning the child or youth, and either
order genetic testing to determine paternity or
direct him to execute a written denial of paternity
on a form promulgated by the office of the chief
court administrator. Upon execution of such a
form by the putative father, the judicial authority
may remove him from the case and afford him no
further standing in the case or in any subsequent
proceeding regarding the child or youth until such
time as paternity is established by formal acknowl-
edgment or adjudication in a court of competent
jurisdiction; and
(12) identify any person or persons related to
the child or youth by blood or marriage residing
in this state or out of state who might serve as
licensed foster parents or temporary custodians,
SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERS Sec. 33a-8
and order the commissioner of the department of
children and families to investigate and determine
the appropriateness of placement of the child or
youth with such relative or relatives pursuant to
General Statutes § 46b-129 (c) and provide a writ-
ten report to the court no later than thirty days
from the date of the preliminary hearing and notify
all counsel of record or set a reasonable date for
such a report if a relative lives outside the state.
(b) At the preliminary hearing on the order of
temporary custody or order to appear, the judicial
authority may provide parties an opportunity to
present argument with regard to the sufficiency
of the sworn statements.
(c) If any respondent fails, after proper service,
to appear at the preliminary hearing, the judicial
authority may enter or sustain an order of tempo-
rary custody.
(d) Upon request, or upon its own motion, the
judicial authority shall schedule a hearing on the
order for temporary custody or the order to appear
to be held as soon as practicable but not later
than ten days after the date of the preliminary
hearing. Such hearing shall be held on consecu-
tive days except for compelling circumstances or
at the request of the respondents.
(e) Subject to the requirements of Section 33a-
7 (a) (6), upon motion of any party or on its own
motion, the judicial authority may consolidate the
hearing, on the order of temporary custody or
order to appear with the adjudicatory phase of the
trial on the underlying petition. At a consolidated
order of temporary custody and neglect adjudica-
tion hearing, the judicial authority shall determine
the outcome of the order of temporary custody
based upon whether or not continued removal is
necessary to ensure the child’s or youth’s safety,
irrespective of its findings on whether there is suffi-
cient evidence to support an adjudication of
neglect or uncared for. Nothing in this subsection
prohibits the judicial authority from proceeding to
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disposition of the underlying petition immediately
after such consolidated hearing if the social study
has been filed and the parties had previously
agreed to sustain the order of temporary custody
and waived the ten day hearing or the parties
should reasonably be ready to proceed.
(Adopted June 24, 2002, to take effect Jan. 1, 2003;
amended June 30, 2008, to take effect Jan. 1, 2009; amended
June 21, 2010, to take effect Jan. 1, 2011; amended June 20,
2011, to take effect Jan. 1, 2012; amended June 15, 2012,
to take effect Jan. 1, 2013.)
Sec. 33a-8. Emergency, Life-Threatening
Medical Situations—Procedures
When an emergency medical situation exists
which requires the immediate assumption of tem-
porary custody of a child or youth by the commis-
sioner of the department of children and families
in order to save the child’s or youth’s life, two
physicians under oath must attest to the need for
such medical treatment. Oral permission by the
judicial authority may be given after receiving
sworn oral testimony of two physicians that the
specific surgical or medical intervention is abso-
lutely necessary to preserve the child’s or youth’s
life. The judicial authority may grant the temporary
custody order ex parte or may schedule an imme-
diate hearing prior to issuing said order. At any
immediate hearing the two physicians shall be
available for testifying, and the judicial authority
shall appoint counsel for the child or youth and
notify the chief public defender as soon as practi-
cable that said counsel has been appointed. If
the judicial authority grants the temporary custody
order ex parte by oral permission, based on the
sworn oral testimony from the physicians, the
commissioner of the department of children and
families shall file the application for a temporary
custody order together with a neglect or uncared
for petition on the next business day following the
granting of such order.
(Adopted June 24, 2002, to take effect Jan. 1, 2003;
amended June 30, 2008, to take effect Jan. 1, 2009.)
SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERSSec. 34-1
CHAPTER 34
RIGHTS OF PARTIES
[Repealed as of Jan. 1, 2003.]
Sec. Sec.
34-1. Right to Counsel and to Remain Silent [Repealed]
34-2. Hearing Procedure; Subpoenas [Repealed]
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
Silent
[Repealed as of Jan. 1, 2003.]
Sec. 34-2. Hearing Procedure; Subpoenas
[Repealed as of Jan. 1, 2003.]
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34-3. Standards of Proof [Repealed]
34-4. Child Witness [Repealed]
Sec. 34-3. Standards of Proof
[Repealed as of Jan. 1, 2003.]
Sec. 34-4. Child Witness
[Repealed as of Jan. 1, 2003.]
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-2. Short Calendar—Frequency
34a-3. Short Calendar—Assignments Automatic
34a-4. Short Calendar—Continuances When Counsel’s
Presence or Oral Argument Required
34a-5. Continuances and Advancements
34a-6. Pleadings Allowed and Their Order
34a-7. Waiving Right to Plead
34a-8. Time to Plead
34a-9. Motion to Dismiss
34a-10. Grounds of Motion to Dismiss
34a-11. Waiver Based on Certain Grounds
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
Amendments
(a) Except as otherwise provided, the sections
in chapters 1 through 7 shall apply to juvenile
matters in the superior court as defined by Gen-
eral Statutes § 46b-121.
(b) The provisions of Sections 8-2, 9-5, 9-22,
10-12 (a) and (c), 10-13, 10-14, 10-17, 10-18, 10-
29, 10-62, 11-4, 11-5, 11-6, 11-7, 11-8, 11-10,
11-11, 11-12, 11-13, 12-1, 12-2, 12-3, 13-1
through 13-11 inclusive, 13-14, 13-16, 13-21
through 13-32 inclusive, subject to Section 34a-
20, 15-3, 15-8, 17-4, and 17-21 of the rules of
practice shall apply to juvenile matters in the civil
session as defined by General Statutes § 46b-
121.
(c) A motion or request, other than a motion
made orally during a hearing, shall be in writing.
An objection to a request shall also be in writing.
A motion, request or objection to a request shall
have annexed to it a proper order and where
appropriate shall be in the form called for by Sec-
tion 4-1. The form and manner of notice shall
adequately inform the interested parties of the
time, place and nature of the hearing. A motion,
request, or objection to a request whose form is
not therein prescribed shall state in paragraphs
successively numbered the specific grounds upon
which it is made. A copy of all written motions,
requests, or objections to requests shall be served
on the opposing party or counsel pursuant to Sec-
tions 10-12 (a) and (c), 10-13, 10-14 and 10-17.
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34a-12. Waiver and Subject Matter Jurisdiction
34a-13. Further Pleading by Respondent or Child
34a-14. Response to Summary of Facts
34a-15. Motion to Strike
34a-16. Reasons in Motion to Strike
34a-17. Memorandum of Law—Motion and Objection
34a-18. When Memorandum of Decision Required on
Motion to Strike
34a-19. Substitute Pleading; Judgment
34a-20. Discovery
34a-21. Court-Ordered Evaluations
34a-22. Motion for Contempt
34a-23. Motion for Emergency Relief
All motions or objections to requests shall be given
an initial hearing by the judicial authority within
fifteen days after filing provided reasonable notice
is given to parties in interest, or notices are
waived; any motion in a case on trial or assigned
for trial may be disposed of by the judicial authority
at its discretion or ordered upon the docket.
(d) A petition may be amended at any time
by the judicial authority on its own motion or in
response to a motion prior to any final adjudica-
tion. When an amendment has been so ordered,
a continuance shall be granted whenever the judi-
cial authority finds that the new allegations in the
petition justify the need for additional time to per-
mit the parties to respond adequately to the addi-
tional or changed facts and circumstances.
(e) If the moving party determines and reports
that all counsel and self-represented parties agree
to the granting of a motion or agree that the motion
may be considered without the need for oral argu-
ment or testimony and the motion states on its
face that there is such an agreement, the judicial
authority may consider and rule on the motion
without a hearing.
(Adopted June 24, 2002, to take effect Jan. 1, 2003;
amended June 30, 2008, to take effect Jan. 1, 2009; amended
June 21, 2010, to take effect Jan. 1, 2011; amended June 20,
2011, to take effect Jan. 1, 2012.)
Sec. 34a-2. Short Calendar—Frequency
Short calendar sessions shall be held in each
juvenile matters court location at least once every
SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERSSec. 34a-2
two weeks, the date, hour and place to be fixed by
the presiding judge upon due notice to the clerk.
(Adopted June 24, 2002, to take effect Jan. 1, 2003.)
Sec. 34a-3. Short Calendar—Assignments
Automatic
Matters to be placed on the short calendar shall
be assigned automatically by the clerk. No such
matters shall be so assigned unless filed at least
five days before the opening of court on the short
calendar day, unless for good cause shown.
(Adopted June 24, 2002, to take effect Jan. 1, 2003.)
Sec. 34a-4. Short Calendar—Continuances
When Counsel’s Presence or Oral Argu-
ment Required
Matters on the short calendar docket requiring
oral argument or counsel’s presence shall not be
continued except for good cause shown; and no
such matter in which adverse parties are inter-
ested shall be continued unless the parties shall
agree thereto before the day of the short calendar
session and notify the clerk, subject to the
approval of the judicial authority. In the absence
of such an agreement, unless the judicial authority
shall otherwise order, any counsel appearing may
argue the matter and submit it for decision, or
request that it be denied.
(Adopted June 24, 2002, to take effect Jan. 1, 2003.)
Sec. 34a-5. Continuances and Advance-
ments
(a) Motions for continuances or changes in
scheduled court dates must be submitted in writ-
ing in compliance with Section 34a-1 (c) and filed
no later than seven days prior to the scheduled
date. Such motions must state the precise reason
for the request, the name of the judge scheduled
to hear the case, and whether or not all other
parties consent to the request. After consulting
with the presiding judge, a court services officer
or clerk will handle bona fide emergency requests
submitted less than seven days prior to scheduled
court dates.
(b) Trials that are not completed within the allot-
ted prescheduled time will be subject to continua-
tion at the next available court date.
(Adopted June 24, 2002, to take effect Jan. 1, 2003.)
Sec. 34a-6. Pleadings Allowed and Their
Order
The order of pleadings shall be as follows:
(1) The petition.
(2) The respondent’s or child’s motion to
dismiss.
(3) The respondent’s or child’s motion to strike.
(Adopted June 24, 2002, to take effect Jan. 1, 2003.)
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Sec. 34a-7. Waiving Right to Plead
In all cases, when the judicial authority does
not otherwise order, the filing of any pleading pro-
vided for by the preceding section will waive the
right to file any pleading which might have been
filed in due order and which precedes it in the
order of pleading provided in that section.
(Adopted June 24, 2002, to take effect Jan. 1, 2003.)
Sec. 34a-8. Time to Plead
Commencing on the plea date stated on the
petition, pleadings shall first advance within fifteen
days from the plea date stated on the petition, and
any subsequent pleadings, motions and requests
shall advance at least one step within each suc-
cessive period of fifteen days from the preceding
pleading or the filing of the decision of the judicial
authority thereon if one is required.
If the respondent enters a pro forma denial
before the plea date stated on the petition, the
respondent is not precluded from filing any plead-
ings within the time frame specified.
(Adopted June 24, 2002, to take effect Jan. 1, 2003.)
Sec. 34a-9. Motion to Dismiss
Any respondent or child, wishing to contest the
court’s jurisdiction, may do so even after having
entered a general appearance, but must do so by
filing a motion to dismiss within fifteen days of the
plea date stated on the petition.
(Adopted June 24, 2002, to take effect Jan. 1, 2003.)
Sec. 34a-10. Grounds of Motion to Dismiss
(a) The motion to dismiss shall be used to
assert: (1) lack of jurisdiction over the subject mat-
ter; (2) lack of jurisdiction over the person; (3)
insufficiency of process; and (4) insufficiency of
service of process. A motion to dismiss shall
always be filed with a supporting memorandum
of law, and where appropriate, with supporting
affidavits as to facts not apparent on the record.
(b) Any adverse party who objects to a motion
to dismiss shall, at least five days before the
motion is to be considered on the short calendar,
file and serve in accordance with Sections 10-12
(a) and (c), 10-13, 10-14 and 10-17 a memoran-
dum of law and, where appropriate, supporting
affidavits as to facts not apparent on the record.
(Adopted June 24, 2002, to take effect Jan. 1, 2003;
amended June 23, 2017, to take effect Jan. 1, 2018.)
HISTORY—2018: What had been subsection (a) (3),
‘‘improper venue,’’ was deleted and what had been subdivi-
sions (4) and (5) were renumbered subdivisions (3) and (4),
respectively.
COMMENTARY—2018: General Statutes § 51-351, which
became effective July 1, 1978, provides that ‘‘[n]o cause shall
fail on the ground that it has been made returnable to an
improper location.’’ Since that statute became effective, the
courts have found that the appropriate remedy for improper
venue is the transfer of the case to the proper venue by the
SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERS Sec. 34a-19
court upon its own motion, or upon motion or agreement of
the parties. The revision to this section, therefore, removes
improper venue as a ground for filing a motion to dismiss.
Sec. 34a-11. Waiver Based on Certain
Grounds
Any claim of lack of jurisdiction over the person,
insufficiency of process, or insufficiency of service
of process is waived if not raised by a motion to
dismiss filed in the sequence provided in Sections
34a-6 and 34a-7 and within the time provided by
Section 34a-9.
(Adopted June 24, 2002, to take effect Jan. 1, 2003;
amended June 23, 2017, to take effect Jan. 1, 2018.)
HISTORY—2018: In 2018, ‘‘improper venue,’’ was deleted
following ‘‘person.’’
COMMENTARY—2018: General Statutes § 51-351, which
became effective July 1, 1978, provides that ‘‘[n]o cause shall
fail on the ground that it has been made returnable to an
improper location.’’ Since that statute became effective, the
courts have found that the appropriate remedy for improper
venue is the transfer of the case to the proper venue by the
court upon its own motion, or upon motion or agreement of
the parties. The revision to this section, therefore, makes it
clear that improper venue is not waivable because it is not a
ground for filing a motion to dismiss.
Sec. 34a-12. Waiver and Subject Matter
Jurisdiction
Any claim of lack of jurisdiction over the subject
matter cannot be waived; and whenever it is found
after suggestion of the parties or otherwise that
the judicial authority lacks jurisdiction of the sub-
ject matter, the judicial authority shall dismiss
the action.
(Adopted June 24, 2002, to take effect Jan. 1, 2003.)
Sec. 34a-13. Further Pleading by Respon-
dent or Child
If a motion to dismiss is denied with respect to
any jurisdictional issue, the respondent or child
may plead further without waiving the right to con-
test jurisdiction further.
(Adopted June 24, 2002, to take effect Jan. 1, 2003.)
Sec. 34a-14. Response to Summary of Facts
In addition to the entry of a pro forma plea of
denial, a parent, legal guardian or child may,
within thirty days of the plea date, file a written
response to the summary of facts attached to the
petition specifying that certain allegations in said
summary of facts are irrelevant, immaterial, false
or otherwise improper.
(Adopted June 24, 2002, to take effect Jan. 1, 2003.)
Sec. 34a-15. Motion to Strike
(a) Whenever any party wishes to contest: (1)
the legal sufficiency of the allegations of any peti-
tion, or of any one or more counts thereof, to state
a claim upon which relief can be granted; or (2)
the legal sufficiency of any prayer for relief in any
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such petition; or (3) the legal sufficiency of any
such petition, or any count thereof, because of
the absence of any necessary party; or (4) the
joining of two or more causes of action which
cannot properly be united in one petition whether
the same be stated in one or more counts, that
party may do so by filing a motion to strike the
contested petition or part thereof.
(b) A motion to strike on the ground of the non-
joinder of a necessary party must give the name
and residence of the missing party or such infor-
mation as the moving party has as to the identity
and residence of the missing party and must state
the missing party’s interest in the cause of action
(Adopted June 24, 2002, to take effect Jan. 1, 2003.)
Sec. 34a-16. Reasons in Motion to Strike
Each motion to strike raising any of the claims
of legal insufficiency enumerated in the preceding
sections shall separately set forth each such claim
of insufficiency and shall distinctly specify the rea-
son or reasons for each such claimed insuffi-
ciency.
(Adopted June 24, 2002, to take effect Jan. 1, 2003.)
Sec. 34a-17. Memorandum of Law—Motion
and Objection
(a) Each motion to strike must be accompanied
by an appropriate memorandum of law citing the
legal authorities upon which the motion relies.
(b) Any adverse party who objects to this motion
shall, at least five days before the date the motion
is to be considered on the short calendar, file and
serve in accordance with Sections 10-12 (a) and
(c), 10-13, 10-14 and 10-17 a memorandum of
law.
(Adopted June 24, 2002, to take effect Jan. 1, 2003.)
Sec. 34a-18. When Memorandum of Deci-
sion Required on Motion to Strike
Whenever a motion to strike is filed and more
than one ground of decision is set forth therein,
the judicial authority, in rendering the decision
thereon, shall specify in writing the grounds upon
which that decision is based.
(Adopted June 24, 2002, to take effect Jan. 1, 2003.)
Sec. 34a-19. Substitute Pleading; Judgment
Within fifteen days after the granting of any
motion to strike, the petitioner may file a new peti-
tion; provided that in those instances where an
entire petition has been stricken, and the peti-
tioner fails to file a new petition within that fifteen-
day period, the judicial authority may, upon
motion, enter judgment against said party on said
stricken petition.
(Adopted June 24, 2002, to take effect Jan. 1, 2003.)
SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERSSec. 34a-20
Sec. 34a-20. Discovery
(a) Access to the records of the department of
children and families shall be permitted in accord-
ance with General Statutes § 17a-28 and other
applicable provisions of the law.
(b) Pretrial discovery by interrogatory, produc-
tion, inspection or deposition of a person may be
allowed with the permission of the judicial author-
ity only if the information or material sought is
not otherwise obtainable and upon a finding that
proceedings will not be unduly delayed.
(c) Upon its own motion or upon the request of
a party, the judicial authority may limit discovery
methods, and specify overall timing and
sequence, provided that the parties shall be
allowed a reasonable opportunity to obtain infor-
mation needed for the preparation of their case.
The judicial authority may grant the requested
discovery, order reciprocal discovery, order
appropriate sanctions permitted under Section
13-14 for any clear misuse of discovery or arbi-
trary delay or refusal to comply with a discovery
request, and deny, limit, or set conditions on the
requested discovery, including any protective
orders under Section 13-5.
(d) If the judicial authority permits discovery,
the provisions of Sections 13-1 through 13-11
inclusive, 13-14, 13-16, 13-21 through 13-32
inclusive may be incorporated in the discovery
order in the discretion of the judicial authority.
Motions for discovery or disclosure of confidential
records should not be filed unless the moving
party has attempted unsuccessfully to obtain an
appropriate release or agreement to disclose from
the party or person whose records are being
sought.
(e) If, subsequent to compliance with any filed
request or order for discovery and prior to or dur-
ing trial, a party discovers additional or new mate-
rial or information previously requested and
ordered subject to discovery or inspection, or dis-
covers that the prior compliance was totally or
partially incorrect or, though correct when made,
is no longer true and the circumstances are such
that a failure to amend the compliance is in sub-
stance a knowing concealment, that party shall
promptly notify the other party, or the other party’s
attorney and file and serve in accordance with
Sections 10-12 through 10-17 a supplemental or
corrected compliance.
(Adopted June 24, 2002, to take effect Jan. 1, 2003.)
Sec. 34a-21. Court-Ordered Evaluations
(a) The judicial authority, after hearing on a
motion for a court-ordered evaluation or after an
agreement has been reached to conduct such
an evaluation, may order a mental or physical
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examination of a child or youth. The judicial
authority after hearing or after an agreement has
been reached may also order a thorough physical
or mental examination of a parent or guardian
whose competency or ability to care for a child or
youth is at issue.
(b) The judicial authority shall select and
appoint an evaluator qualified to conduct such
assessments, with the input of the parties. All
expenses related to the court-ordered evaluations
shall be the responsibility of the petitioner; how-
ever the party calling the evaluator to testify will
bear the expenses of the evaluator related to tes-
tifying.
(c) At the time of appointment of any court
appointed evaluator, counsel and the court ser-
vices officer shall complete the evaluation form
and agree upon appropriate questions to be
addressed by the evaluator and materials to be
reviewed by the evaluator. If the parties cannot
agree, the judicial authority shall decide the issue
of appropriate questions to be addressed and
materials to be reviewed by the evaluator. A repre-
sentative of the court shall contact the evaluator
and arrange for scheduling and for delivery of the
referral package.
(d) Any party who wishes to alter, to update, to
amend or to modify the initial terms of referral
shall seek prior permission of the judicial authority.
There shall be no ex parte communication with
the evaluator by counsel prior to completion of
the evaluation.
(e) After the evaluation has been completed
and filed with the court, counsel may communi-
cate with the evaluator subject to the following
terms and conditions:
(1) Counsel shall identify themselves as an
attorney and the party she or he represents;
(2) Counsel shall advise the evaluator that with
respect to any substantive inquiry into the evalua-
tion or opinions contained therein, the evaluator
has the right to have the interview take place in
the presence of counsel of his/her choice, or in
the presence of all counsel of record;
(3) Counsel shall have a duty to disclose to
other counsel the nature of any ex parte communi-
cation with the evaluator and whether it was sub-
stantive or procedural. The disclosure shall occur
within a reasonable time after the communication
and prior to the time of the evaluator’s testimony;
(4) All counsel shall have the right to contact
the evaluator and discuss procedural matters
relating to the time and place of court hearings or
evaluation sessions, the evaluator’s willingness to
voluntarily attend without subpoena, what records
are requested, and the parameters of the pro-
posed examination of the evaluator as a witness.
SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERS Sec. 34a-23
(f) Counsel for children, youths, parents or
guardians may move the judicial authority for per-
mission to disclose court records for an indepen-
dent evaluation of their own client. Such
evaluations shall be paid for by the moving party
and shall not be required to be disclosed to the
judicial authority or other parties, unless the
requesting party, upon receipt of the evaluation
report, declares an intention to introduce the eval-
uation report or call the evaluator as a witness
at trial.
(Adopted June 24, 2002, to take effect Jan. 1, 2003;
amended June 21, 2010, to take effect Jan. 1, 2011.)
Sec. 34a-22. Motion for Contempt
All motions for contempt must state: (1) the date
and specific language of the order of the judicial
authority on which the motion is based; (2) the
specific acts alleged to constitute the contempt of
that order, including the amount of any arrears
claimed due as of the date of the motion or a
date specifically identified in the motion; (3) the
movant’s claims for relief for the contempt.
(Adopted June 24, 2002, to take effect Jan. 1, 2003.)
Sec. 34a-23. Motion for Emergency Relief
(a) Notwithstanding the above provisions, any
party may file a motion for emergency relief, seek-
ing an order directed to the parents, including
any person who acknowledged before a judicial
authority paternity of a child born out of wedlock,
guardians, custodians or other adult persons
owing some legal duty to the child, as deemed
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necessary or appropriate to secure the welfare,
protection, proper care and suitable support of a
child or youth before this court for the protection
of the child. Such orders include, but are not lim-
ited to, an order for access to the family home,
an order seeking medical exam or mental health
exam or treatment of the child, an order to remedy
a dangerous condition in the family or foster home,
an order to provide or to accept and cooperate
with certain services, or an order prohibiting the
removal of the child from the state or the home.
Such motions may be heard at the next short
calendar; however, if the exigencies of the situa-
tion demand, the judicial authority may order
immediate ex parte relief, pending an expedi-
tious hearing.
(b) No motion for emergency relief shall be
granted without notice to each party unless the
applicant certifies one of the following to the court
in writing:
(1) facts showing that within a reasonable time
prior to presenting the motion the moving party
gave notice to all other parties of the time when
and the place where the motion would be pre-
sented and provided a copy of the motion; or
(2) the moving party in good faith attempted but
was unable to give notice to the other parties,
specifying the efforts made to contact such par-
ties; or
(3) facts establishing good cause why the mov-
ing party should not be required to give notice to
other parties.
(Adopted June 24, 2002, to take effect Jan. 1, 2003.)
SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERSSec. 35-1
CHAPTER 35
GENERAL PROVISIONS
[Repealed as of Jan. 1, 2003.]
Sec. Sec.
35-1. Petitions, Motions and Amendments [Repealed]
35-2. Continuances and Advancements [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-
ments
[Repealed as of Jan. 1, 2003.]
Sec. 35-2. Continuances and Advance-
ments
[Repealed as of Jan. 1, 2003.]
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35-4. Appeal [Repealed]
35-5. Recording of Testimony; Records [Repealed]
Sec. 35-3. Discovery
[Repealed as of Jan. 1, 2003.]
Sec. 35-4. Appeal
[Repealed as of Jan. 1, 2003.]
Sec. 35-5. Recording of Testimony; Records
[Repealed as of Jan. 1, 2003.]
SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERS Sec. 35a-2
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
Written Plea of Nolo Contendere
35a-1A. Record of the Case
35a-1B. Exclusion of Unnecessary Persons from
Courtroom
35a-2. Case Status Conference or Judicial Pretrial
35a-3. Coterminous Petitions
35a-4. Motions to Intervene
35a-5. Notice and Right to Be Heard
35a-6. Post-Disposition Role of Former Guardian
35a-6A. Consolidation
35a-7. Evidence
35a-7A. Adverse Inference
35a-8. Burden of Proceeding
35a-9. Dispositional Hearing; Evidence and Social Study
35a-10. Availability of Social Study to Counsel and Parties
35a-11. Dispositional Plan Offered by Respondents
35a-12. Protective Supervision—Conditions and Modifi-
cation
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
of Admission or Written Plea of Nolo Con-
tendere
(Amended June 30, 2008, to take effect Jan. 1, 2009.)
(a) Notwithstanding any prior statements
acknowledging responsibility, the judicial author-
ity shall inquire whether the allegations of the peti-
tion are presently admitted or denied. This inquiry
shall be made of the parent(s) or guardian in
neglect, abuse or uncared for matters, and of the
parents in termination matters.
(b) An admission to allegations or a written plea
of nolo contendere signed by the respondent may
be accepted by the judicial authority. Before
accepting an admission or plea of nolo conten-
dere, the judicial authority shall determine
whether the right to trial has been waived, and
that the parties understand the content and con-
sequences of their admission or plea. If the allega-
tions are admitted or the plea accepted, the
judicial authority shall make its adjudicatory find-
ing as to the validity of the facts alleged in the
petition and may proceed to a dispositional hear-
ing. Where appropriate, the judicial authority may
permit a noncustodial parent or guardian to stand
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35a-12A. Motions for Transfer of Guardianship
35a-13. Findings as to Continuation in the Home, Efforts
to Prevent Removal
35a-14. Motions for Review of Permanency Plan
35a-14A. Revocation of Commitment
35a-15. Reunification Efforts—Aggravating Factors
35a-16. Modifications
35a-17. Motions to Review Plan for Child Whose Parents’
Rights Have Been Terminated [Repealed]
35a-18. Opening Default
35a-19. Transfer from Probate Court of Petitions for
Removal of Parent as Guardian or Termination
of Parental Rights
35a-20. Motions for Reinstatement of Parent or Former
Legal Guardian as Guardian or Modification of
Guardianship Post-Disposition
35a-21. Appeals in Child Protection Matters
35a-22. Where Presence of Person May Be by Means of
an Interactive Audiovisual Device
35a-23. Child’s Hearsay Statement; Residual Exception
silent as to the entry of an adjudication. The judi-
cial authority shall determine whether a noncusto-
dial parent or guardian standing silent
understands the consequences of standing silent.
(Adopted June 24, 2002, to take effect Jan. 1, 2003;
amended June 30, 2008, to take effect Jan. 1, 2009; amended
June 20, 2011, to take effect Jan. 1, 2012; amended June 15,
2012, to take effect Jan. 1, 2013; amended June 13, 2014,
to take effect Jan. 1, 2015.)
Sec. 35a-1A. Record of the Case
A verbatim stenographic or electronic recording
of all hearings shall be kept, any transcript of
which shall be part of the record of the case.
(Adopted June 30, 2008, to take effect Jan. 1, 2009.)
Sec. 35a-1B. Exclusion of Unnecessary Per-
sons from Courtroom
Any judicial authority hearing a child protection
matter may, during such hearing, exclude from
the room in which such hearing is held any person
whose presence is, in the opinion of the judicial
authority, not necessary.
(Adopted June 30, 2008, to take effect Jan. 1, 2009.)
Sec. 35a-2. Case Status Conference or Judi-
cial Pretrial
(a) When the allegations of the petition are
denied, necessitating testimony in support of the
SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERSSec. 35a-2
petitioner’s allegations, the case shall be contin-
ued for a case status conference and/or a judicial
pretrial. The case status conference or judicial
pretrial may be waived by the judicial authority
upon request of all the parties.
(b) Parties with decision-making authority to
settle must be present or immediately accessible
during a case status conference or judicial pretrial.
Continuances will be granted only in accordance
with Section 34a-5.
(c) At the case status conference and/or judicial
pretrial, all attorneys and self-represented parties
will be prepared to discuss the following matters:
(1) Settlement;
(2) Simplification and narrowing of the issues;
(3) Amendments to the pleadings;
(4) The setting of firm trial dates;
(5) Preliminary witness lists;
(6) Identification of necessary arrangements for
trial including, but not limited to, application for a
writ of habeas corpus for incarcerated parties,
transportation, interpreters, and special
equipment;
(7) Such other actions as may aid in the disposi-
tion of the case.
(d) When necessary, the judicial authority may
issue a trial management order including, but not
limited to, an order fixing a date prior to trial by
which all parties are to exchange proposed wit-
ness and exhibit lists and copies of proposed
exhibits not previously exchanged. Failure to com-
ply with this order may result in the imposition of
sanctions as the ends of justice may require.
(Adopted June 24, 2002, to take effect Jan. 1, 2003;
amended June 30, 2008, to take effect Jan. 1, 2009.)
Sec. 35a-3. Coterminous Petitions
When coterminous petitions are filed, the judi-
cial authority first determines by a fair preponder-
ance of the evidence whether the child or youth
is neglected, abused or uncared for; if so, then
the judicial authority determines whether statutory
grounds exist to terminate parental rights by clear
and convincing evidence; if so, then the judicial
authority determines whether termination of
parental rights is in the best interests of the child
or youth by clear and convincing evidence. If the
judicial authority determines that termination
grounds do not exist or termination of parental
rights is not in the best interests of the child or
youth, then the judicial authority may consider by
a fair preponderance of the evidence any of the
dispositional alternatives available under the
neglect, abuse or uncared for petition.
(Adopted June 24, 2002, to take effect Jan. 1, 2003;
amended June 30, 2008, to take effect Jan. 1, 2009; amended
June 15, 2012, to take effect Jan. 1, 2013.)
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Sec. 35a-4. Motions to Intervene
(Amended June 20, 2011, to take effect Jan. 1, 2012.)
(a) Interventions by any person related to the
child or youth by blood or marriage for temporary
custody or guardianship shall be governed by
General Statutes § 46b-129 (c) or (d). All motions
for intervention shall state with specificity the mov-
ant’s interest and relief requested.
(b) Upon motion of any sibling of any child com-
mitted to the commissioner of the department of
children and families pursuant to General Statutes
§ 46b-129, such sibling shall have the right to be
heard concerning visitation with, and placement
of, any such child. In awarding any visitation or
modifying any placement, the judicial authority
shall be guided by the best interests of all siblings
affected by such determination.
(c) Other persons unrelated to the child or youth
by blood or marriage, or persons related to the
child or youth by blood or marriage who are not
seeking to serve as a placement, temporary cus-
todian or guardian of the child may move to inter-
vene in the dispositional phase of the case, and
the judicial authority may grant said motion if it
determines that such intervention is in the best
interest of the child or youth or in the interests
of justice.
(d) In making a determination upon a motion to
intervene, the judicial authority may consider: the
timeliness of the motion as judged by the circum-
stances of the case; whether the movant has a
direct and immediate interest in the case; whether
the movant’s interest is not adequately repre-
sented by existing parties; whether the interven-
tion may cause delay in the proceedings or other
prejudice to the existing parties; the necessity for
or value of the intervention in terms of resolving
the controversy before the judicial authority; and
the best interests of the child.
(e) Any intervenor shall appear in person, with
or without counsel, and shall not be entitled to
court-appointed counsel or the assignment of
counsel by the chief public defender except as
provided in General Statutes § 46b-136.
(f) The judicial authority, may, on motion of any
party or on its own motion, after notice and a
hearing, terminate any person’s intervenor status
if such person’s participation in the case is no
longer warranted or necessary. The judicial
authority may determine if good cause exists to
permit the intervenor to continue to participate in
future proceedings as a party and what, if any
further actions, the intervenor is required to take.
(Adopted June 24, 2002, to take effect Jan. 1, 2003;
amended June 30, 2008, to take effect Jan. 1, 2009; amended
June 20, 2011, to take effect Jan. 1, 2012.)
SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERS Sec. 35a-9
Sec. 35a-5. Notice and Right to Be Heard
(Amended June 30, 2008, to take effect Jan. 1, 2009.)
(a) Any foster parent, prospective adoptive par-
ent or relative caregiver shall be notified of and
have a right to be heard in any proceeding held
concerning a child or youth living with such foster
parent, prospective adoptive parent or relative
caregiver. The commissioner of the department
of children and families shall provide written notice
of all court proceedings concerning any child or
youth to any such foster parent, prospective adop-
tive parent or relative caregiver of such child or
youth. Records of such notice shall be kept by
the commissioner of the department of children
and families and information about notice given
in each case provided to the court.
(b) Upon motion of any sibling of any child or
youth committed to the commissioner of the
department of children and families pursuant to
General Statutes § 46b-129, the sibling shall have
the right to be heard concerning visitation with
and placement of any such child or youth.
(Adopted June 24, 2002, to take effect Jan. 1, 2003;
amended June 30, 2008, to take effect Jan. 1, 2009.)
Sec. 35a-6. Post-Disposition Role of For-
mer Guardian
When a court of competent jurisdiction has
ordered legal guardianship of a child or youth to
a person other than the biological parents of the
child or youth prior to the juvenile court proceed-
ing, the juvenile court shall determine at the time
of the commitment of the child or youth to the
commissioner of the department of children and
families whether good cause exists to allow said
legal guardian to participate in future proceedings
as a party and what, if any further actions the
commissioner of the department of children and
families and the guardian are required to take.
(Adopted June 24, 2002, to take effect Jan. 1, 2003;
amended June 30, 2008, to take effect Jan. 1, 2009.)
Sec. 35a-6A. Consolidation
Upon motion of any party or on its own motion,
the judicial authority may consolidate separate
petitions for trial. In determining whether to con-
solidate, the judicial authority shall consider
whether consolidation will expedite the business
of the court without causing delay or injustice.
(Adopted June 30, 2008, to take effect Jan. 1, 2009.)
Sec. 35a-7. Evidence
(a) In the adjudicatory phase, the judicial
authority is limited to evidence of events preced-
ing the filing of the petition or the latest amend-
ment, except where the judicial authority must
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consider subsequent events as part of its determi-
nation as to the existence of a ground for termina-
tion of parental rights.
(b) In the discretion of the judicial authority,
evidence on adjudication and disposition may be
heard in a nonbifurcated hearing, provided dispo-
sition may not be considered until the adjudicatory
phase has concluded.
(Adopted June 24, 2002, to take effect Jan. 1, 2003.)
Sec. 35a-7A. Adverse Inference
If a party requests that the judicial authority
draw an adverse inference from a parent’s or
guardian’s failure to testify or the judicial authority
intends to draw an adverse inference, either at the
start of any trial or after the close of the petitioner’s
case-in-chief, the judicial authority shall notify the
parents or guardian that an adverse inference
may be drawn from their failure to testify.
(Adopted June 30, 2008, to take effect Jan. 1, 2009.)
Sec. 35a-8. Burden of Proceeding
(a) The petitioner shall be prepared to substan-
tiate the allegations of the petition. All parties
except the child or youth shall be present at trial
unless excused for good cause shown. Failure of
any party to appear in person or by their statutorily
permitted designee may result in a default or non-
suit for failure to appear for trial, as the case may
be, and evidence may be introduced and judg-
ment rendered.
(b) If a parent fails to appear at the initial hearing
and no military affidavit has been filed, the judicial
authority shall continue the proceedings prior to
entering a default for failure to appear until such
time as the military affidavit is filed, provided if the
identity of the parent, after reasonable search,
cannot be determined, then default may enter and
no military affidavit is required.
(c) The clerk shall give notice by mail to the
defaulted party and the party’s attorney of the
default and of any action taken by the judicial
authority. The clerk shall note the date that such
notice is given or mailed.
(Adopted June 24, 2002, to take effect Jan. 1, 2003;
amended June 30, 2008, to take effect Jan. 1, 2009; amended
June 21, 2010, to take effect Jan. 1, 2011.)
Sec. 35a-9. Dispositional Hearing; Evidence
and Social Study
The judicial authority may admit into evidence
any testimony relevant and material to the issue
of the disposition, including events occurring
through the close of the evidentiary hearing, but
no disposition may be made by the judicial author-
ity until any mandated social study has been sub-
mitted to the judicial authority. Said study shall be
marked as an exhibit subject to the right of any
SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERSSec. 35a-9
party to be heard on a motion in limine requesting
redactions and to require that the author, if avail-
able, appear for cross-examination.
(Adopted June 24, 2002, to take effect Jan. 1, 2003;
amended June 30, 2008, to take effect Jan. 1, 2009.)
Sec. 35a-10. Availability of Social Study to
Counsel and Parties
The mandated social study, addendums
thereto, case status reports or other written
reports made available to the judicial authority
shall be reproduced and provided to all counsel
of record and any self-represented party by the
commissioner of the department of children and
families before any scheduled case status confer-
ence, pretrial or hearing date. All persons who
have access to such materials shall be responsi-
ble for preserving the confidentiality thereof in
accordance with Section 32a-7.
(Adopted June 24, 2002, to take effect Jan. 1, 2003;
amended June 14, 2013, to take effect Jan. 1, 2014.)
Sec. 35a-11. Dispositional Plan Offered by
Respondents
The respondents shall have the right to produce
witnesses on behalf of any dispositional plan they
may wish to offer.
(Adopted June 24, 2002, to take effect Jan. 1, 2003.)
Sec. 35a-12. Protective Supervision—Con-
ditions and Modification
(a) When protective supervision is ordered, the
judicial authority will set forth any conditions of
said supervision including duration, specific steps
and review dates.
(b) A protective supervision order shall be
scheduled for an in court review and reviewed by
the judicial authority at least thirty days prior to
its expiration. At said review, an updated social
study shall be provided to the judicial authority.
(c) If an extension of protective supervision is
being sought by the commissioner of the depart-
ment of children and families or any other party
in interest, including counsel for the minor child
or youth, then a written motion for the same shall
be filed not less than thirty days prior to such
expiration. Such motion shall be heard either at
the in court review of protective supervision if it
is held within thirty days of such expiration or at
a hearing to be held within ten days after the filing
of such motion. For good cause shown and under
extenuating circumstances, such written motion
may be filed in a period of less than thirty days
prior to the expiration of the protective supervision
and the same shall be docketed accordingly. The
motion shall set forth the reason(s) for the exten-
sion of the protective supervision and the period of
the extension being sought. If the judicial authority
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orders such extension of protective supervision,
the extension order shall be reviewed by the judi-
cial authority at least thirty days prior to its expi-
ration.
(d) Parental or guardian noncompliance with
the order of protective supervision shall be a
ground for a motion to modify the disposition.
Upon finding that the best interests of the child
so warrant, the judicial authority, on its own motion
or acting on a motion of any party and after notice
is given and hearing has been held, may modify
a previously entered disposition of protective
supervision in accordance with the applicable
General Statutes.
(Adopted June 24, 2002, to take effect Jan. 1, 2003;
amended June 30, 2008, to take effect Jan. 1, 2009.)
Sec. 35a-12A. Motions for Transfer of
Guardianship
(a) Motions to transfer guardianship are disposi-
tional in nature, based on the prior adjudication.
(b) In cases in which a motion for transfer of
guardianship seeks to vest guardianship of a child
or youth in any relative who is the licensed foster
parent for such child or youth, or who is, pursuant
to an order of the court, the temporary custodian
of the child or youth at the time of the motion, the
moving party has the burden of proof that the
proposed guardian is suitable and worthy and that
transfer of guardianship is in the best interests of
the child. In such cases, there shall be a rebuttable
presumption that the award of legal guardianship
to that relative shall be in the best interests of the
child or youth and that such relative is a suitable
and worthy person to assume legal guardianship.
The presumption may be rebutted by a prepon-
derance of the evidence that an award of legal
guardianship to such relative would not be in the
child’s or youth’s best interests and such relative
is not a suitable and worthy person.
(c) In cases in which a motion for transfer of
guardianship, if granted, would require the
removal of a child or youth from any relative who
is the licensed foster parent for such child or youth,
or who is, pursuant to an order of the court, the
temporary custodian of the child or youth at the
time of the motion, the moving party has the initial
burden of proof that an award of legal guardian-
ship to, or an adoption by, such relative would not
be in the child’s or youth’s best interest and that
such relative is not a suitable and worthy person.
If this burden is met, the moving party then has
the burden of proof that the movant’s proposed
guardian is suitable and worthy and that transfer
of guardianship to that proposed guardian is in
the best interests of the child.
SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERS Sec. 35a-14
(d) In all other cases, the moving party has
the burden of proof that the proposed guardian is
suitable and worthy and that transfer of guardian-
ship is in the best interests of the child.
(Adopted June 20, 2011, to take effect Jan. 1, 2012.)
Sec. 35a-13. Findings as to Continuation in
the Home, Efforts to Prevent Removal
Whenever the judicial authority orders a child
or youth to be removed from the home, the judicial
authority shall make written findings: (1) at the
time of the order that continuation in the home is
contrary to the welfare of the child or youth; and
(2) at the time of the order or within sixty days
after the child or youth has been removed from
the home, whether the commissioner of the
department of children and families has made rea-
sonable efforts to prevent removal or whether
such efforts were not possible.
(Adopted June 24, 2002, to take effect Jan. 1, 2003;
amended June 30, 2008, to take effect Jan. 1, 2009.)
Sec. 35a-14. Motions for Review of Perma-
nency Plan
(Amended June 30, 2008, to take effect Jan. 1, 2009.)
(a) Motions for review of the permanency plan
shall be filed nine months after the placement of
the child or youth in the custody of the commis-
sioner of the department of children and families
pursuant to a voluntary placement agreement, or
removal of a child or youth pursuant to General
Statutes § 17a-101g or an order of a court of com-
petent jurisdiction, whichever is earlier. At the date
custody is vested by order of a court of competent
jurisdiction, or if no order of temporary custody is
issued, at the date when commitment is ordered,
the judicial authority shall set a date by which the
subsequent motion for review of the permanency
plan shall be filed. The commissioner of the
department of children and families shall propose
a permanency plan that conforms to the statutory
requirements and shall provide a social study to
support said plan. Nothing in this section shall
preclude any party from filing a motion for revoca-
tion of commitment separate from a motion for
review of permanency plan pursuant to General
Statutes § 46b-129 (m) and subject to Section
35a-14A.
(b) At the time of the filing of a motion for review
of permanency plan pursuant to subsection (a),
the commissioner of the department of children
and families shall also request a finding that it has
made reasonable efforts to achieve the goal of
the existing plan. The social study filed pursuant to
subsection (a) shall include information indicating
what efforts the commissioner has taken to
achieve the goal of the existing plan.
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(c) Once a motion for review of the permanency
plan and requested findings regarding efforts to
achieve the goal of the existing plan have been
filed, the clerk of the court shall set a hearing
not later than ninety days thereafter. The judicial
authority shall provide notice to the child or youth,
and the parent or guardian of such child or youth
and any other party found entitled to such notice
of the time and place of the court hearing on any
such motion not less than fourteen days prior to
such hearing. Any party who is in opposition to
any such motion shall file a written objection and
state with specificity the reasons therefor within
thirty days after the filing of the commissioner of
the department of children and families’ motion
for review of permanency plan and the objection
shall be considered at the hearing. The judicial
authority shall hold an evidentiary hearing in con-
nection with any contested motion for review of
the permanency plan. If there is no objection or
motion for revocation filed, then the motion may
be granted by the judicial authority at the date of
said hearing.
(d) Whether to approve the permanency plan
and to find that reasonable efforts to achieve the
goal of the existing plan have been made are
dispositional questions, based on the prior adjudi-
cation, and the judicial authority shall determine
whether it is in the best interests of the child or
youth to approve the permanency plan and to find
that reasonable efforts to achieve the goal of the
existing plan have been made upon a fair prepon-
derance of the evidence. The commissioner of
the department of children and families shall have
the burden of proving that the proposed perma-
nency plan is in the best interests of the child or
youth and that it has made reasonable efforts to
achieve the goal of the existing plan.
(e) At each hearing on a motion for review of
permanency plan, the judicial authority shall (1)
ask the child or youth about his or her desired
permanency outcome, or if the child or youth is
unavailable to appear at such hearing require the
attorney for the child or youth to consult with the
child or youth regarding the child’s or youth’s
desired permanency outcome and report the
same to the court, (2) review the status of the
child or youth, (3) review the progress being made
to implement the permanency plan, (4) determine
a timetable for attaining the permanency plan, (5)
determine the services to be provided to the par-
ent if the court approves a permanency plan of
reunification and the timetable for such services,
and (6) determine whether the commissioner of
the department of children and families has made
reasonable efforts to achieve the goal of the
existing permanency plan. The judicial authority
SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERSSec. 35a-14
shall also determine whether the proposed goal
of the permanency plan as set forth in General
Statutes § 46b-129 (k) (2) is in the best interests
of the child or youth by a fair preponderance of
the evidence, taking into consideration the child’s
or youth’s need for permanency. The child’s or
youth’s health and safety shall be of paramount
concern in formulating such plan. If a permanency
plan is not approved by the judicial authority, it
shall order the filing of a revised plan and set a
hearing to review said revised plan within sixty
days.
(f) As long as a child or youth remains in the
custody of the commissioner of the department
of children and families, the commissioner shall
file a motion for review of permanency plan and
for a finding regarding reasonable efforts to
achieve the goal of the existing plan nine months
after the prior permanency plan hearing. No later
than twelve months after the prior permanency
plan hearing, the judicial authority shall hold a
subsequent permanency review hearing in
accordance with this section.
(g) Whenever an approved permanency plan
needs revision, the commissioner of the depart-
ment of children and families shall file a motion
for review of the revised permanency plan. The
commissioner shall not be precluded from initiat-
ing a proceeding in the best interests of the child
or youth considering the needs for safety and per-
manency.
(h) Where a petition for termination of parental
rights is granted, the guardian or statutory parent
of the child or youth shall report to the judicial
authority not later than thirty days after the date
the judgment is entered on a permanency plan
and on the status of the child or youth. At least
every three months thereafter, such guardian or
statutory parent shall make a report to the judicial
authority on the implementation of the plan, or
earlier if the plan changes before the elapse of
three months. The judicial authority may convene
a hearing upon the filing of a report and shall
convene and conduct a permanency hearing for
the purpose of reviewing the permanency plan for
the child no more than twelve months from the
date judgment is entered or from the date of the
last permanency hearing held in accordance with
General Statutes § 46b-129 (k), whichever is ear-
lier, and at least once a year thereafter while the
child or youth remains in the custody of the com-
missioner of the department of children and fami-
lies. At each court hearing, the judicial authority
shall make factual findings whether or not reason-
able efforts to achieve the permanency plan or
promote adoption have been made.
(Adopted June 24, 2002, to take effect Jan. 1, 2003;
amended June 30, 2008, to take effect Jan. 1, 2009; amended
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June 20, 2011, to take effect Jan. 1, 2012; amended June 24,
2016, to take effect Jan. 1, 2017.)
Sec. 35a-14A. Revocation of Commitment
(Amended June 20, 2011, to take effect Jan. 1, 2012.)
Where a child or youth is committed to the cus-
tody of the commissioner of the department of
children and families, the commissioner, a parent
or the child’s attorney may file a motion seeking
revocation of commitment. The judicial authority
may revoke commitment if a cause for commit-
ment no longer exists and it is in the best interests
of the child or youth. Whether to revoke the com-
mitment is a dispositional question, based on the
prior adjudication, and the judicial authority shall
determine whether to revoke the commitment
upon a fair preponderance of the evidence. The
party seeking revocation of commitment has the
burden of proof that no cause for commitment
exists. If the burden is met, the party opposing the
revocation has the burden of proof that revocation
would not be in the best interests of the child. If
a motion for revocation is denied, a new motion
shall not be filed by the movant until at least six
months have elapsed from the date of the filing
of the prior motion unless waived by the judicial
authority.
(Adopted June 30, 2008, to take effect Jan. 1, 2009;
amended June 20, 2011, to take effect Jan. 1, 2012.)
Sec. 35a-15. Reunification Efforts—Aggra-
vating Factors
Whenever any party seeks a finding of the exis-
tence of an aggravating factor negating the
requirement that reasonable efforts be made to
reunify a child or youth with a parent, the movant
shall file a motion requesting such finding and the
judicial authority shall proceed in accordance with
General Statutes § 17a-111b (b).
(Adopted June 24, 2002, to take effect Jan. 1, 2003;
amended June 30, 2008, to take effect Jan. 1, 2009.)
Sec. 35a-16. Modifications
Motions to modify dispositions are dispositional
in nature based on the prior adjudication, and
the judicial authority shall determine whether a
modification is in the best interests of the child or
youth upon a fair preponderance of the evidence.
Unless filed by the commissioner of the depart-
ment of children and families, any modification
motion to return a child or youth to the custody
of the parent without protective supervision shall
be treated as a motion for revocation of com-
mitment.
(Adopted June 24, 2002, to take effect Jan. 1, 2003;
amended June 30, 2008, to take effect Jan. 1, 2009.)
SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERS Sec. 35a-19
Sec. 35a-17. Motions to Review Plan for
Child Whose Parents’ Rights Have Been Ter-
minated
[Repealed as of Jan. 1, 2009.]
Sec. 35a-18. Opening Default
Any order or decree entered through a default
may be set aside within four months succeeding
the date of such entry of the order or decree upon
the written motion of any party or person preju-
diced thereby, showing reasonable cause, or that
a defense in whole or in part existed at the time
of the rendition of such order or of such decree,
and that the party so defaulted was prevented by
mistake, accident or other reasonable cause from
prosecuting or appearing to make the same,
except that no such order or decree shall be set
aside if a final decree of adoption regarding the
child has been issued prior to the filing of any
such motion. Such written motion shall be verified
by the oath of the complainant and shall state in
general terms the nature of the claim or defense
and shall particularly set forth the reason why the
party failed to appear. The judicial authority shall
order reasonable notice of the pendency of such
motion to be given to all parties to the action and
also, in the case of a motion to set aside a judg-
ment terminating parental rights, to any person
who has legal custody of the child or who has
physical custody of the child pursuant to an
agreement, including an agreement with the
department of children and families or a licensed
child-placing agency. The judicial authority may
enjoin enforcement of such order or decree until
the decision upon such written motion, unless said
action shall prejudice or place the child’s or
youth’s health, safety or welfare in jeopardy. The
initial hearing on said motion shall be held as a
priority matter but no later than fifteen days after
the same has been filed with the clerk, unless
otherwise agreed to by the parties and sanctioned
by the judicial authority. All hearings on motions
to set aside a judgment terminating parental rights
shall be conducted in accordance with the provi-
sions of General Statutes § 45a-719. In the event
that any motion is granted, the matter shall be
scheduled for an immediate pretrial or case status
conference within fourteen days thereof, and fail-
ing a resolution at that time, then the matter shall
be scheduled for a trial as expeditiously as
possible.
(Adopted June 24, 2002, to take effect Jan. 1, 2003;
amended June 30, 2008, to take effect Jan. 1, 2009; amended
June 14, 2013, to take effect Jan. 1, 2014.)
Sec. 35a-19. Transfer from Probate Court of
Petitions for Removal of Parent as Guardian
or Termination of Parental Rights
(a) When a contested application for removal
of parent as guardian or petition for termination
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of parental rights or application to commit a child
or youth to a hospital for the mentally ill has been
transferred from the court of probate to the supe-
rior court, the superior court clerk shall transmit
to the probate court from which the transfer was
made a copy of any orders or decrees thereafter
rendered, including orders regarding reinstate-
ment pursuant to General Statutes § 45a-611 and
visitation pursuant to General Statutes § 45a-612,
and a copy of any appeal of a superior court deci-
sion in the matter.
(b) The date of receipt by the superior court of
a transferred petition shall be the filing date for
determining initial hearing dates in the superior
court. The date of receipt by the superior court
of any court of probate issued ex parte order of
temporary custody not heard by that court shall
be the issuance date in the superior court.
(c) Any appearance filed for any party in the
probate court shall continue in the superior court
for juvenile matters unless (1) a motion to with-
draw is filed in the probate court within five days
of the filing of the motion to transfer, and the
motion to withdraw is granted by the probate court,
(2) a motion to withdraw is filed by such party’s
counsel and granted by the superior court for juve-
nile matters, or (3) another counsel files an ‘‘in
place of’’ appearance on behalf of the party. If the
party represented is indigent or is the child subject
to the proceedings, new counsel shall be assigned
from the list of public defender services assigned
counsel and shall be paid by the public defender
services commission. The superior court for juve-
nile matters may request that the division of public
defender services contract with probate counsel
for representation if continued representation
would be in the best interest of the client. Counsel
for indigent parties or minor children appointed
by the probate court who remain on the case in
superior court for juvenile matters shall be paid
by the public defender services commission
according to its policies at the rate of pay estab-
lished by the commission.
(d) (1) The superior court clerk shall notify
appearing parties in applications for removal of
guardian by mail of the date of the initial hearing
which shall be held not more than thirty days from
the date of receipt of the transferred application.
Not less than ten days before the initial hearing,
the superior court clerk shall cause a copy of the
transfer order and probate petition for removal of
guardian and an advisement of rights notice to be
served on any nonappearing party or any party
not served within the last twelve months with an
accompanying order of notice and summons to
appear at an initial hearing.
SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERSSec. 35a-19
(2) Not less than ten days before the date of
the initial hearing, the superior court clerk shall
cause a copy of the transfer order and probate
petition for termination of parental rights and an
advisement of rights notice to be served on all
parties, regardless of prior service, with an accom-
panying order of notice and summons to appear
at an initial hearing which shall be held not more
than thirty days from the date of receipt of the
petition except in the case of a petition for termina-
tion of parental rights based on consent which
shall be held not more than twenty days after the
filing of the petition.
(3) The superior court clerk shall mail notice of
the initial hearing date for all transferred petitions
to all counsel of record and to the commissioner
of the department of children and families or to
any other agency which has been ordered by the
probate court to conduct an investigation pursuant
to General Statutes § 45a-619. The commissioner
of the department of children and families or any
other investigating agency will be notified of the
need to have a representative present at the ini-
tial hearing.
(Adopted June 24, 2002, to take effect Jan. 1, 2003;
amended June 30, 2008, to take effect Jan. 1, 2009; amended
June 21, 2010, to take effect Jan. 1, 2011; amended June 24,
2016, to take effect Jan. 1, 2017.)
Sec. 35a-20. Motions for Reinstatement of
Parent or Former Legal Guardian as Guard-
ian or Modification of Guardianship Post-
Disposition
(Amended June 30, 2008, to take effect Jan. 1, 2009;
amended June 20, 2011, to take effect Jan. 1, 2012.)
(a) Whenever a parent or former legal guardian
whose guardianship rights to a child or youth were
removed and transferred to another person or an
agency other than the department of children and
families by the superior court for juvenile matters
seeks reinstatement as that child’s or youth’s
guardian, the parent or former legal guardian may
file a motion for reinstatement of guardianship
with the court that ordered the transfer of guard-
ianship. In other post-dispositional cases con-
cerning a child or youth whose legal guardianship
was transferred to a person other than a parent
or former legal guardian, or to an agency other
than the department of children and families, any
person permitted to intervene may move the court
to modify the award of guardianship.
(b) The clerk shall assign such motion a hearing
date and issue a summons to the current guardian
and the nonmoving parent or parents. The moving
party shall cause a copy of such motion and sum-
mons to be served on the child’s or youth’s current
legal guardian(s) and the nonmoving parent or
parents.
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(c) Before acting on such motion, the judicial
authority shall determine if the court still has cus-
tody jurisdiction and shall request, if necessary,
that the commissioner of the department of chil-
dren and families conduct an investigation and
submit a home study that sets forth written find-
ings and recommendations before rendering a
decision.
(d) The hearing on a motion for reinstatement of
guardianship is dispositional in nature. The party
seeking reinstatement of guardianship has the
burden of proof to establish that cause for transfer
of guardianship to another person or agency no
longer exists. The judicial authority shall then
determine if reinstatement of guardianship is in
the child’s or youth’s best interest.
(e) The hearing on a motion for post-disposi-
tional modification of a guardianship order is dis-
positional in nature. The party seeking to modify
the existing guardianship order has the burden
of proof to establish that the movant’s proposed
guardian is suitable and worthy. The judicial
authority shall then determine if transfer of guard-
ianship to that proposed guardian is in the child’s
or youth’s best interest.
(Adopted June 24, 2002, to take effect Jan. 1, 2003;
amended June 30, 2008, to take effect Jan. 1, 2009; amended
June 20, 2011, to take effect Jan. 1, 2012.)
Sec. 35a-21. Appeals in Child Protection
Matters
(Amended June 15, 2012, to take effect Jan. 1, 2013.)
(a) Unless a different period is provided by stat-
ute, appeals from final judgments or decisions of
the superior court in child protection matters shall
be taken within twenty days from the issuance of
notice of the rendition of the judgment or decision
from which the appeal is taken or within twenty
days from the granting of any extension to appeal
pursuant to Section 79a-2.
(b) If an indigent party, child or youth wishes to
appeal a final decision, the trial attorney shall file
an appeal or seek review by an appellate review
attorney in accordance with the rules for appeals
in child protection matters in Chapter 79a. The
reviewing attorney determining whether there is
a nonfrivolous ground for appeal shall file a limited
‘‘in addition to’’ appearance with the trial court for
purposes of reviewing the merits of an appeal. If
the reviewing attorney determines there is merit
to an appeal, such attorney shall file a limited ‘‘in
addition to’’ appearance for the appeal with the
appellate court. The trial attorney shall remain in
the underlying juvenile matters case in order to
handle ongoing procedures before the local or
regional juvenile court. Any attorney who files an
appeal or files an appearance in the appellate
court after an appeal has been filed shall be
SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERS Sec. 35a-23
deemed to have appeared in the trial court for
the limited purpose of prosecuting or defending
the appeal.
(c) Unless a new appeal period is created pur-
suant to Section 79a-2 (a), the time to take an
appeal shall not be extended past forty days, (the
original twenty days plus one twenty day exten-
sion for appellate review), from the date of the
issuance of notice of the rendition of the judgment
or decision.
(Adopted June 24, 2002, to take effect Jan. 1, 2003;
amended June 30, 2008, to take effect Jan. 1, 2009; amended
June 21, 2010, to take effect Jan. 1, 2011; amended June 15,
2012, to take effect Jan. 1, 2013.)
Sec. 35a-22. Where Presence of Person May
Be by Means of an Interactive Audiovisual
Device
(a) The appearance of a person for any pro-
ceeding set forth in subsection (b) of this section
may, in the discretion of the judicial authority on
motion of a party or on its own motion, be made
by means of an interactive audiovisual device.
Such audiovisual device must operate so that
such person and his or her attorney, if any, and
the judicial authority if the proceeding is in court,
can see and communicate with each other simul-
taneously. In addition, a procedure by which such
person and his or her attorney can confer in pri-
vate must be provided. Nothing contained in this
section shall be construed to establish a right for
any person to be heard or to appear by means
of an interactive audiovisual device or to require
the judicial branch to pay for such person’s
appearance by means of an interactive audiovi-
sual device.
(b) A person may appear by means of an inter-
active audiovisual device in juvenile matters in
the civil session, as defined by General Statutes
§ 46b-121 (a), in the following proceedings or
under the following circumstances:
(1) A party or a party’s representative in case
status and case management conferences;
(2) If a parent or guardian is incarcerated in this
state, he or she may participate in plea hearings,
judicial pretrials, order of temporary custody and
termination of parental rights (TPR) case manage-
ment conferences, reviews of protective supervi-
sion, permanency plan hearings, case status
conferences, preliminary order of temporary cus-
tody hearings, neglect plea and disposition by
agreement, neglect trials, TPR plea hearings,
canvass of consents to TPR, contested transfer
of guardianship hearings, motions to revoke com-
mitment, emancipation petitions, and motions to
reinstate guardian;
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(3) If a parent or guardian is incarcerated in
a federal correctional facility or another state’s
correctional facility, he or she may participate in
all matters set forth in subdivision (2) above and
in contested hearings including, but not limited to,
temporary custody hearings, neglect or uncared
for proceedings or TPR trials;
(4) A foster parent, prospective adoptive parent
or relative caregiver may appear and be heard on
the best interests of the child or youth pursuant
to General Statutes § 46b-129 (o);
(5) A sibling of any child committed to the
department of children and families, upon motion,
may appear and be heard concerning visitation
with, and placement of, any such child pursuant
to General Statutes § 46b-129 (p);
(6) A witness may testify in any proceeding in
the discretion of the judicial authority.
(c) Unless otherwise required by law or unless
otherwise ordered by the judicial authority, prior
to any proceeding in which a person appears by
means of an interactive audiovisual device, copies
of all documents which may be offered at the
proceeding shall be provided to all counsel and
self-represented parties in advance of the pro-
ceeding.
(Adopted June 20, 2011, to take effect Jan. 1, 2012.)
Sec. 35a-23. Child’s Hearsay Statement;
Residual Exception
(a) A party who seeks the admission of a hear-
say statement of a child pursuant to the residual
exception to the hearsay rule, based upon psy-
chological unavailability, shall provide a written
notice within a reasonable time before the trial.
(b) A notice pursuant to subsection (a) shall be
filed with the court and shall be served on all
counsel of record and self-represented parties
when appropriate, in accordance with Section 10-
13. The notice shall identify the proffered state-
ment, the basis for the psychological unavailability
claim and shall be filed within a reasonable time
before the trial.
(c) A party who objects to the introduction of
the child’s hearsay statement and challenges the
representations contained in the notice filed pur-
suant to subsection (b) of this section, shall file a
written objection with the court within a reasonable
time before the trial, stating the reasons therefor.
(d) The judicial authority shall hold an eviden-
tiary hearing to determine the admissibility of the
child’s hearsay statement in a manner that does
not unduly delay resolution of the proceedings.
The party seeking to introduce the statement shall
have the burden of proving the child’s psychologi-
cal unavailability; specifically, that the child will
suffer serious emotional or mental harm if required
to testify.
(Adopted June 14, 2013, to take effect Jan. 1, 2014.)
SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERSSec. 36-1
SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS
CHAPTER 36
PROCEDURE PRIOR TO APPEARANCE
Sec. Sec.
36-1. Arrest by Warrant; Issuance
36-2. —Affidavit in Support of Application, Filing, Dis-
closure
36-3. —Contents of Warrant
36-4. —Direction by Judicial Authority for Use of
Summons
36-5. —Execution and Return of Warrant
36-6. —Cancellation of Warrant
36-7. Summons; Form of Summons and Complaint
36-8. —Issuance of Summons by Prosecuting Authority
in Lieu of Arrest Warrant
36-9. —Service of Summons
36-10. —Failure to Respond to Summons
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
Upon the submission of an application for an
arrest warrant by a prosecuting authority, a judicial
authority may issue a warrant for the arrest of an
accused person if the judicial authority determines
that the affidavit accompanying the application
shows that there is probable cause to believe that
an offense has been committed and that the
accused committed it.
(P.B. 1978-1997, Sec. 593.)
Sec. 36-2. —Affidavit in Support of Applica-
tion, Filing, Disclosure
(a) All affidavits submitted to the judicial author-
ity in support of the application for an arrest war-
rant and from which a determination of probable
cause for the issuance of an arrest warrant has
been made shall be filed with the clerk of the
court together with the return of the arrest warrant
pursuant to Section 44-11 and thereafter remain
a part of the court file.
(b) At the time the arrest warrant is issued, upon
written request of the prosecuting authority and
for good cause shown, the judicial authority may
order that the supporting affidavits be sealed from
public inspection or that disclosure be limited
under such terms and conditions as it finds rea-
sonable, subject to the further order of any judicial
authority thereafter having jurisdiction of the mat-
ter. No such order shall limit their disclosure to the
attorney for the accused, but the judicial authority
may place reasonable restrictions on the attor-
ney’s further disclosure of the contents of the affi-
davits.
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36-11. Information and Complaint; Use
36-12. —Issuance of Information
36-13. —Form of Information
36-14. —Former Conviction in Information
36-15. —Filing and Availability of Information
36-16. Amendments; Minor Defects
36-17. —Substantive Amendment before Trial
36-18. —Substantive Amendment after Commencement
of Trial
36-19. —Request by Defendant for Essential Facts
36-20. —Continuance Necessitated by Amendment
36-21. Joinder of Offenses in Information
36-22. Joinder of Defendants
(c) Any order sealing such affidavits from public
inspection or limiting their disclosure shall be for
a specific period of time, not to exceed two weeks
from the date of arrest, and within that time period
the prosecuting authority may by written motion
seek an extension of the period. The original order
of the court sealing the affidavit or limiting its dis-
closure shall remain in effect until the court issues
an order on the motion. The motion to extend the
period and the court’s order thereon shall be made
in accordance with the provisions of Section 42-
49A. Affidavits which are the subject of such an
order shall remain in the custody of the clerk’s
office but shall be kept in a secure location apart
from the remainder of the court file as long as the
order is in effect.
(d) Unless the judicial authority issuing an arrest
warrant has, upon written request of the prosecut-
ing authority, entered an order limiting disclosure
of the supporting affidavits, all affidavits filed pur-
suant to this section shall be open to public
inspection and copying and the clerk shall provide
copies to any person upon receipt of any applica-
ble fee.
(P.B. 1978-1997, Sec. 593A.) (Amended May 14, 2003, to
take effect July 1, 2003; amended June 21, 2004, to take
effect Jan. 1, 2005; amended June 22, 2009, to take effect
Jan. 1, 2010.)
Sec. 36-3. —Contents of Warrant
The warrant shall be signed by the judicial
authority and shall contain the name of the
accused person, or if such name is unknown, any
name or description by which the accused can
SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS Sec. 36-10
be identified with reasonable certainty, and the
conditions of release fixed, if any. It shall state
the offense charged and direct any officer author-
ized to execute it to arrest the accused person
and to bring him or her before a judicial authority
without undue delay.
(P.B. 1978-1997, Sec. 594.)
Sec. 36-4. —Direction by Judicial Authority
for Use of Summons
(a) Instead of issuing an arrest warrant, even
where probable cause has been found, the judicial
authority may direct that a summons and com-
plaint be issued to an accused person pursuant
to Sections 36-7 through 36-10, unless the judicial
authority determines that it is necessary to take
the accused into custody for any of the follow-
ing reasons:
(1) The criminal offense involved is a felony;
(2) There are facts indicating a substantial likeli-
hood that such person will not appear in court at
the specified time and place unless taken into
custody;
(3) Such person is likely to cause injury to him-
self or herself or to others, or is likely to cause
serious damage to property;
(4) The offense is likely to continue if such per-
son is not taken into custody;
(5) Custody is necessary for the protection of
such person or to provide that person with needed
medical or other aid;
(6) The person fails satisfactorily to identify him-
self or herself; or
(7) The person has previously failed to appear
in court when required to do so.
(b) The failure to comply with this section shall
not be a ground for dismissal of an information,
but shall entitle the accused to be released upon
a written promise to appear where none of the
foregoing reasons shall be found to exist.
(P.B. 1978-1997, Sec. 595.)
Sec. 36-5. —Execution and Return of
Warrant
The officer executing an arrest warrant may do
so anywhere within the state upon apprehension
of the accused. The officer shall take the accused
into custody, serve a copy of the warrant upon
him or her and follow the procedure specified in
Sections 38-1 or 38-2, whichever is applicable.
(P.B. 1978-1997, Sec. 596.)
Sec. 36-6. —Cancellation of Warrant
At the request of the prosecuting authority, any
unserved arrest warrant shall be returned to a
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judicial authority for cancellation. A judicial author-
ity also may direct that any unserved arrest war-
rant be returned for cancellation.
(P.B. 1978-1997, Sec. 597.)
Sec. 36-7. Summons; Form of Summons
and Complaint
A summons and complaint issued by a prose-
cuting authority or law enforcement officer shall:
(1) Be in writing;
(2) Be signed by the person issuing it with the
title of such person’s office;
(3) State the date of issuance and the munici-
pality where issued;
(4) Specify the name of the accused person;
(5) Designate a time for appearance not more
than fourteen days after issuance;
(6) State the offense charged against the
accused person;
(7) State that if the accused does not appear
at a specified time and place, an application may
be made for the issuance of a warrant for arrest;
(8) Inform the accused that he or she is entitled
to be represented by an attorney;
(9) Inform any accused charged with an offense
punishable by incarceration who is unable to
afford an attorney that he or she may be entitled
to the services of a public defender.
(P.B. 1978-1997, Sec. 599.)
Sec. 36-8. —Issuance of Summons by Pros-
ecuting Authority in Lieu of Arrest Warrant
When a prosecuting authority receives a com-
plaint that a misdemeanor has been committed,
in lieu of applying for an arrest warrant, the prose-
cuting authority may summon the person or per-
sons against whom the complaint is made to
appear before the court at the date and time speci-
fied in the summons. The prosecuting authority
also may issue a summons when directed to do
so by the judicial authority pursuant to Section
36-4.
(P.B. 1978-1997, Sec. 601.)
Sec. 36-9. —Service of Summons
The summons and complaint shall be served
upon the accused by any law enforcement officer
by delivering a copy to the accused personally,
or by leaving it at the accused’s usual place of
abode with a person of suitable age and discretion
then residing therein, or by mailing it by registered
or certified mail to the last known address of
the accused.
(P.B. 1978-1997, Sec. 602.)
Sec. 36-10. —Failure to Respond to Sum-
mons
Upon the failure of the officer to make due return
of a summons within two weeks of its issuance,
SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERSSec. 36-10
or upon the failure of the accused to respond to the
summons, the prosecuting authority may apply
for the arrest of the accused.
(P.B. 1978-1997, Sec. 603.)
Sec. 36-11. Information and Complaint; Use
All felonies shall be prosecuted by information.
All misdemeanors, violations, and infractions shall
be prosecuted by information or complaint. In all
jury cases, and in all other cases on written
request of the defendant, the prosecuting author-
ity as of course shall issue an information in place
of the uniform summons and complaint.
(P.B. 1978-1997, Sec. 616.)
Sec. 36-12. —Issuance of Information
An information shall be signed by the prosecut-
ing authority. When any person is arrested without
a warrant or is issued a summons, the prosecuting
authority shall, without unnecessary delay, review
the acts complained of and determine whether it
appears that there is reasonable cause to believe
that an offense has been committed within the
jurisdiction of the court and that the person
arrested or the person to whom the summons was
issued committed the offense. If the prosecuting
authority determines that reasonable cause
exists, it shall, in cases where an information is
required, present an information to the court, pur-
suant to Section 36-11. If the prosecuting authority
determines that reasonable cause does not exist,
it shall not present the matter to the court, but an
entry shall be made on the case papers indicating
that prosecution was declined upon authority of
this section, and a brief statement shall be made
in open court. For purposes of erasure pursuant
to the General Statutes, that action shall be
deemed a dismissal.
(P.B. 1978-1997, Sec. 617.)
Sec. 36-13. —Form of Information
The information shall be a plain, concise and
definite written statement of the offense charged.
The information need not contain a formal com-
mencement, a formal conclusion or any other mat-
ter not necessary to such statement. Allegations
made in one count may be incorporated by refer-
ence in another count. It may be alleged in a single
count that the means by which the defendant com-
mitted the offense are unknown or that the defend-
ant committed the offense by one or more
specified means. The information shall state for
each count the official or customary citation of the
statute, rule, regulation, or other provision of law
which the defendant is alleged to have violated.
The information shall also contain:
(1) The name of the court in which it is filed;
(2) The title of the action;
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(3) The name of the defendant;
(4) A statement that such crime was committed
in a particular judicial district or geographical area,
or at a particular place within such judicial district
or geographical area; and
(5) A statement that such crime was committed
on, or on or about, a particular date or period
of time.
(P.B. 1978-1997, Sec. 618.)
Sec. 36-14. —Former Conviction in Infor-
mation
Where the information alleges, in addition to
the principal offense charged, a former conviction
or convictions, such information shall be in two
separate parts, each signed by the prosecuting
authority. In the first part, the particular offense
with which the accused is charged shall be set
out, and in the other part the former conviction or
convictions shall be alleged. In alleging the former
conviction, it is sufficient that the information
allege the date when, the town or city where, and
the court wherein such conviction was obtained
and the crime of which the defendant was con-
victed, all of which may be stated in accordance
with the provisions of Section 36-13.
(P.B. 1978-1997, Sec. 619.)
Sec. 36-15. —Filing and Availability of Infor-
mation
The information or complaint shall be filed with
the clerk and be available for inspection by the
defendant or counsel for the defendant. Upon writ-
ten request, a copy thereof shall be furnished with-
out charge to the defendant or counsel for the
defendant.
(P.B. 1978-1997, Sec. 620.)
Sec. 36-16. Amendments; Minor Defects
The judicial authority may order at any time
such relief as is required to remedy any defect,
imperfection or omission in the information or
complaint, including the following:
(1) Any matter of form;
(2) Any miswriting, misspelling, or improper
English;
(3) Any misuse of a sign, symbol, figure, or
abbreviation; or
(4) Any omission of the true name or any mis-
spelling of the name of the defendant.
(P.B. 1978-1997, Sec. 622.)
Sec. 36-17. —
Substantive Amendment before
Trial
If the trial has not commenced, the prosecuting
authority may amend the information, or add addi-
tional counts, or file a substitute information. Upon
motion of the defendant, the judicial authority, in
SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS Sec. 36-22
its discretion, may strike the amendment or added
counts or substitute information, if the trial or the
cause would be unduly delayed or the substantive
rights of the defendant would be prejudiced.
(P.B. 1978-1997, Sec. 623.)
Sec. 36-18. —Substantive Amendment after
Commencement of Trial
After commencement of the trial for good cause
shown, the judicial authority may permit the prose-
cuting authority to amend the information at any
time before a verdict or finding if no additional or
different offense is charged and no substantive
rights of the defendant would be prejudiced. An
amendment may charge an additional or different
offense with the express consent of the defendant.
(P.B. 1978-1997, Sec. 624.)
Sec. 36-19. —Request by Defendant for
Essential Facts
Whenever the information charges the offense
only by referring to the statute which is alleged
to have been violated, the prosecuting authority,
upon written request of the defendant, shall as
of course amend the information by adding or
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annexing thereto a statement of the essential facts
claimed to constitute the offense charged. Such
request shall be made not later than ten days
after the first pretrial conference unless otherwise
directed by the judicial authority for good cause
shown.
(P.B. 1978-1997, Sec. 625.)
Sec. 36-20. —Continuance Necessitated by
Amendment
Within the judicial authority’s discretion, an
extension of time, an adjournment, or a continu-
ance reasonably necessitated by an amendment
may be granted.
(P.B. 1978-1997, Sec. 626.)
Sec. 36-21. Joinder of Offenses in Infor-
mation
Two or more offenses may be charged in the
same information in a separate count for each
offense for any defendant.
(P.B. 1978-1997, Sec. 627.)
Sec. 36-22. Joinder of Defendants
Each defendant shall be charged in a sepa-
rate information.
(P.B. 1978-1997, Sec. 628.)
SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERSSec. 37-1
CHAPTER 37
ARRAIGNMENT
Sec. Sec.
37-1. Arraignment; Timing
37-2. —Information and Materials to Be Provided to the
Defendant Prior to Arraignment
37-3. —Advisement of Constitutional Rights
37-4. —Collective Statement Advising of Constitutional
Rights
37-5. —Reference to Public Defender; Investigation of
Indigency
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
A defendant who is not released from custody
sooner shall be brought before a judicial authority
no later than the first court day following arrest.
Any defendant who is hospitalized, has escaped,
or is otherwise incapacitated shall be presented
no later than the next court day following such
defendant’s medical discharge or return to police
custody. A defendant not in custody shall appear
for arraignment in person at the time and place
specified in the summons or the terms of release,
or at such other date or place fixed by the judi-
cial authority.
(P.B. 1978-1997, Sec. 635.)
Sec. 37-2. —Information and Materials to Be
Provided to the Defendant Prior to Ar-
raignment
Prior to the arraignment of the defendant before
the judicial authority to determine the existence of
probable cause to believe such person committed
the offense charged or to determine the conditions
of such person’s release pursuant to Section 38-
4, the prosecuting authority shall provide the
defendant or counsel with a copy of any affidavit
or report submitted to the court for the purpose
of making such determination; except that the judi-
cial authority may, upon motion of the prosecuting
authority and for good cause shown, limit the dis-
closure of any such affidavit or report, or por-
tion thereof.
(P.B. 1978-1997, Sec. 635A.)
Sec. 37-3. —Advisement of Constitutional
Rights
The judicial authority shall personally, at the
opening of the court session, in open court, advise
the defendant, or the defendants, unless pre-
viously so advised by a clerk pursuant to General
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37-6. —Appointment of Public Defender
37-7. Pleas; In General
37-8. —Plea of Guilty or Nolo Contendere
37-9. —Plea of Not Guilty
37-10. —Taking of Plea when Information in Two Parts
37-11. —Notice to Defendant when Information in Two
Parts
37-12. Defendant in Custody; Determination of Probable
Cause
Statutes § 54-64b or by a judicial authority pursu-
ant to General Statutes § 54-1b, either individually
or collectively of the following:
(1) That the defendant is not obligated to say
anything and that anything the defendant says
may be used against him or her;
(2) That the defendant is entitled to the services
of an attorney;
(3) If the defendant is unable to pay for one,
what the procedures are through which the ser-
vices of an attorney will be provided for him or
her; and
(4) That the defendant will not be questioned
unless he or she consents, that the defendant
may consult with an attorney before being ques-
tioned and that the defendant may have an attor-
ney present during any questioning.
(P.B. 1978-1997, Sec. 637.)
Sec. 37-4. —Collective Statement Advising
of Constitutional Rights
If the judicial authority shall have collectively
informed all defendants of their rights at the open-
ing of court, it shall preface the individual arraign-
ment of each by asking whether he or she heard
and understood the collective statement.
(P.B. 1978-1997, Sec. 638.)
Sec. 37-5. —Reference to Public Defender;
Investigation of Indigency
The judicial authority shall refer the defendant
to the public defender for an investigation of indi-
gency unless the judicial authority:
(1) Accepts the defendant’s waiver of counsel
in accordance with Section 44-3;
(2) Is informed by the defendant, and con-
cludes, that the defendant has retained or will
retain private counsel within a reasonable time;
(3) Decides to dispose of the case in accord-
ance with Section 44-1 (2); or
SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS Sec. 37-12
(4) Learns that the public defender has already
conferred with the defendant at some time follow-
ing arrest and that the investigation of indigency
has been made.
(P.B. 1978-1997, Sec. 640.)
Sec. 37-6. —Appointment of Public De-
fender
(a) If the judicial authority determines after
investigation by the public defender that the
defendant is indigent, the judicial authority may
designate the public defender or a special public
defender to represent the defendant unless, in a
misdemeanor case, at the time of the application
for appointment of counsel, the judicial authority
decides or believes that disposition of the pending
case will not result in a sentence involving incar-
ceration or a suspended sentence of incarceration
with a period of probation or conditional discharge,
and makes a statement to that effect on the
record. If the public defender or his or her office
determines that a defendant is not eligible to
receive the services of a public defender, the
defendant may appeal the public defender’s deci-
sion to the judicial authority in accordance with
General Statutes § 51-297 (g). The judicial author-
ity may not appoint the public defender unless
the judicial authority finds the defendant indigent
following such appeal. If a conflict of interest or
other circumstance exists which prevents the pub-
lic defender from representing the defendant, the
judicial authority, upon recommendation of the
public defender or upon its own motion, may
appoint a special public defender to represent
the defendant.
(b) The fact that the judicial authority, in a mis-
demeanor case, decides or believes that disposi-
tion of the pending case will not result in a
sentence involving incarceration or a suspended
sentence of incarceration with a period of proba-
tion or conditional discharge, shall not preclude
the judicial authority from appointing, in its discre-
tion, a public defender or a special public defender
to represent an indigent defendant.
(P.B. 1978-1997, Sec. 641.)
Sec. 37-7. Pleas; In General
Upon being read the charges against him or
her contained in the information or complaint, the
defendant shall enter a plea of not guilty, guilty,
or nolo contendere.
(P.B. 1978-1997, Sec. 643.)
Sec. 37-8. —Plea of Guilty or Nolo Con-
tendere
A plea of guilty or nolo contendere shall be
entered in accordance with Sections 39-1 and 39-
18. If the case is to be continued for sentencing,
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the judicial authority shall set a date for the sen-
tencing hearing and, if necessary, order a presen-
tence investigation.
(P.B. 1978-1997, Sec. 644.)
Sec. 37-9. —Plea of Not Guilty
Any defendant who pleads not guilty shall be
asked whether he or she desires a trial either by
the court or by a jury. Pursuant to these rules,
including Sections 44-11 through 44-17, the case
shall be placed on the trial list and, where possible
or necessary, assigned dates for a disposition
conference, a probable cause hearing, and/or a
trial.
(P.B. 1978-1997, Sec. 645.)
Sec. 37-10. —Taking of Plea when Informa-
tion in Two Parts
Where the information is in two parts pursuant
to Section 36-14 and alleges, in addition to the
principal offense charged, a former conviction or
convictions, the plea and the election of a method
of trial shall first be taken only on the first part of
the information.
(P.B. 1978-1997, Sec. 647.)
Sec. 37-11. —Notice to Defendant when
Information in Two Parts
(Amended June 15, 2012, to take effect Jan. 1, 2013.)
Prior to the time the defendant enters a guilty
plea, or, if the defendant pleads not guilty, prior
to the commencement of trial, the court shall notify
the defendant of the contents of the second part
of the information. The clerk shall enter on the
docket the time and place of the giving of such
notification and, where necessary, shall include
entry thereof in the judgment file.
(P.B. 1978-1997, Sec. 648.) (Amended June 15, 2012, to
take effect Jan. 1, 2013.)
Sec. 37-12. Defendant in Custody; Determi-
nation of Probable Cause
(a) If a defendant has been arrested without a
warrant and has not been released from custody
by the time of the arraignment or is not released
at the arraignment pursuant to Section 38-4, the
judicial authority shall, unless waived by the
defendant, make an independent determination
as to whether there is probable cause for believing
that the offense charged has been committed by
the defendant. Unless such a defendant is
released sooner, such probable cause determina-
tion shall be made no later than forty-eight hours
following the defendant’s arrest. Such determina-
tion shall be made in a nonadversary proceeding,
which may be ex parte based on affidavits. If no
such probable cause is found, the judicial author-
ity shall release the defendant from custody.
SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERSSec. 37-12
(b) At the time the judicial authority makes its
probable cause determination pursuant to sub-
section (a), the judicial authority may, on its own
motion or upon written request of any party and
for good cause shown, order that any affidavits
submitted in support of a finding of probable
cause, including any police reports, be sealed
from public inspection or that disclosure be limited
under such terms and conditions as it finds rea-
sonable, subject to the further order of any judicial
authority thereafter having jurisdiction of the mat-
ter. If such a request has been granted, the mov-
ing party may have up to seven days to make a
recommendation as to the details of the sealing
order. If no such recommendation is made within
that time period, the supporting affidavits shall
be made public. No such order shall limit their
disclosure to the attorney for the accused, but the
judicial authority may place reasonable restric-
tions on the further disclosure of the contents of
the affidavits by the attorney for the accused and
the prosecuting authority.
(c) Any order sealing such affidavits from public
inspection or limiting their disclosure shall be for
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a specific period of time, not to exceed two weeks
from the date of the court’s probable cause deter-
mination, and within that time period the party who
obtained the order may, by written motion, seek
an extension of the period. The original order of
the court sealing such affidavits or limiting their
disclosure shall remain in effect until the court
issues an order on the motion. Affidavits which
are the subject of such an order shall remain in
the custody of the clerk’s office but shall be kept
in a secure location apart from the remainder of
the file as long as the order is in effect.
(d) Unless the judicial authority entered an order
limiting disclosure of the affidavits submitted to the
judicial authority in support of a finding of probable
cause, whether or not probable cause has been
found, all such affidavits, including any police
reports, shall be made part of the court file and
be open to public inspection and copying, and
the clerk shall provide copies to any person upon
receipt of any applicable fee.
(P.B. 1978-1997, Sec. 650.) (Amended June 29, 2007, to
take effect Jan. 1, 2008; amended June 22, 2009, to take
effect Jan. 1, 2010.)
SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS Sec. 38-2
CHAPTER 38
PRETRIAL RELEASE
Sec. Sec.
38-1. Release from Custody; Superior Court Arrest War-
rant where Appearance before Clerk Required
38-2. Release Following Any Other Arrest; Release by
Law Enforcement Officers
38-3. —Release by Bail Commissioner
38-4. —Release by Judicial Authority
38-5. —Release by Correctional Officials
38-6. Appearance after Release
38-7. Cash Bail
38-8. Ten Percent Cash Bail
38-9. Real Estate Bond
38-10. Factors to Be Considered by the Judicial Authority
in Release Decision [Repealed]
38-11. Request for Judicial Determination of Release
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
Court Arrest Warrant where Appearance
before Clerk Required
When any person is arrested on a warrant pur-
suant to General Statutes § 54-2a in which the
judicial authority issuing such warrant has indi-
cated that bail should be denied, or has ordered
that the arrested person be brought before a clerk
or assistant clerk of the superior court, the
arresting officer shall, without undue delay, bring
such person before the clerk or assistant clerk of
the superior court for the geographical area where
such offense is alleged to have been committed,
during the office hours of such clerk, and if such
clerk’s office is not open, the arresting officer shall,
without undue delay, bring such person to a hold-
ing facility within the geographical area where
such offense is alleged to have been committed
or, if there is no such facility available within such
geographical area, to the nearest available facility.
Such clerk or assistant clerk or such person desig-
nated by the commissioner of correction shall
advise the defendant of the warnings contained
in Section 37-3 and shall release the defendant
upon his or her meeting the conditions of release
fixed in the warrant. If the defendant was brought
to such a facility he or she shall be given the
opportunity to contact private counsel or the public
defender. If the defendant is not released because
of his or her failure to enter into the conditions of
release fixed by the judicial authority the defend-
ant shall be presented before a judicial authority
pursuant to Sections 37-1 and 37-4. If the defend-
ant is not released because he or she has been
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38-12. Attorneys Not Allowed to Give Bonds
38-13. Bail Modification; In General
38-14. —Motion of Parties for Bail Modification
38-15. —Application of Bail Commissioner
38-16. —Application of Surety
38-17. —Hearing on Motion or Application for Modification
of Bail
38-18. —Review of Detention Prior to Arraignment, Trial
or Sentencing
38-19. Violation of Conditions of Bail; Order to Appear
38-20. —Sanctions for Violation of Conditions of Release
38-21. —Forfeiture of Bail and Rearrest Warrant
38-22. Rebate of Forfeited Bonds
38-23. Discharge of Surety’s Obligation
arrested for an offense which is not bailable, the
defendant shall be presented before a judicial
authority pursuant to Section 37-1.
(P.B. 1978-1997, Sec. 654.)
Sec. 38-2. Release Following Any Other
Arrest; Release by Law Enforcement
Officers
Except in cases of arrest pursuant to a warrant
in which the judicial authority has indicated that
bail should be denied or has ordered that the
arrested person be brought before a clerk or assis-
tant clerk of the superior court, when any person
is taken into custody for a bailable offense that
person shall be brought promptly to a police sta-
tion or other lawful place of detention, where, as
quickly as possible under the circumstances, he
or she shall be informed or warned in writing of
his or her rights under Section 37-3 and of his or
her right to be interviewed concerning the terms
and conditions of release. Unless the defendant
waives or refuses such interview, a law enforce-
ment officer shall promptly interview that person
to obtain information relevant to the terms and
conditions of his or her release from custody and
shall seek independent verification of such infor-
mation where necessary. At the request of the
defendant, his or her counsel may be present
during such interview. After such a waiver, refusal
or interview, the law enforcement officer shall
promptly order release of the defendant upon his
or her execution of a written promise to appear
or his or her posting of a bond with or without
surety in such amount as may be set by such
officer, except that no condition of release set by
SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERSSec. 38-2
the court or a judge thereof may be modified by
such officer. If the defendant has not posted bail,
the officer shall immediately notify a bail commis-
sioner. The officer may administer such oaths as
are necessary in the taking of promises or bonds.
(P.B. 1978-1997, Sec. 656.)
Sec. 38-3. —Release by Bail Commissioner
(a) Upon notification by a law enforcement offi-
cer that a defendant has not posted bail, a bail
commissioner shall promptly conduct an interview
and investigation and, based upon release criteria
established by the chief bail commissioner, shall
promptly order the release of the defendant upon
the first of the following conditions of release found
sufficient to ensure the defendant’s appearance
in court and to reasonably ensure that the safety
of any other person will not be endangered:
(1) The defendant’s execution of a written prom-
ise to appear without special conditions;
(2) The defendant’s execution of a written prom-
ise to appear with any of the nonfinancial condi-
tions specified in subsection (b) of this section;
(3) The defendant’s execution of a bond without
surety in no greater amount than necessary;
(4) The defendant’s execution of a bond with
surety in no greater amount than necessary.
(b) In addition to or in conjunction with any of
the conditions enumerated in subdivisions (1) to
(4), inclusive, of subsection (a) of this section,
the bail commissioner may impose nonfinancial
conditions of release, which may require that the
defendant do any of the following:
(1) Remain under the supervision of a desig-
nated person or organization;
(2) Comply with specified restrictions on his or
her travel, association or place of abode;
(3) Not engage in specified activities, including
the use or possession of a dangerous weapon,
an intoxicant or a controlled substance;
(4) Avoid all contact with an alleged victim of
the crime and with a potential witness who may
testify concerning the offense; or
(5) Satisfy any other condition that is reasonably
necessary to ensure the appearance of the
defendant in court and that the safety of any other
person will not be endangered.
Any of the conditions imposed under subsection
(a) of this section and this subsection by the bail
commissioner shall be effective until the appear-
ance of such person in court.
(c) The bail commissioner shall prepare for
review by the judicial authority an interview record
and a written report for each person interviewed.
The written report shall contain the information
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obtained during the interview and verification pro-
cess, the defendant’s prior criminal record, if pos-
sible, the determination or recommendation of the
bail commissioner concerning terms and condi-
tions of release, and, where applicable, a state-
ment that the defendant was unable to meet
conditions of release ordered by the bail commis-
sioner.
(P.B. 1978-1997, Sec. 657.) (Amended June 29, 1998, to
take effect Jan. 1, 1999; amended June 14, 2013, to take
effect Jan. 1, 2014.)
Sec. 38-4. —Release by Judicial Authority
(a) When any defendant is presented before a
judicial authority, such authority shall, in bailable
offenses, promptly order the release of such per-
son upon the first of the following conditions of
release found sufficient reasonably to assure the
person’s appearance in court and, when the
crimes charged or the facts and circumstances
brought to the attention of the judicial authority
suggest that the defendant may pose a risk to the
physical safety of any person, that the safety of
any person will not be endangered:
(1) The defendant’s execution of a written prom-
ise to appear without special conditions;
(2) The defendant’s execution of a written prom-
ise to appear with nonfinancial conditions;
(3) The defendant’s execution of a bond without
surety in no greater amount than necessary;
(4) The defendant’s deposit with the clerk of the
court of an amount of cash equal to 10 percent
of the amount of the surety bond set, pursuant to
Section 38-8;
(5) The defendant’s execution of a bond with
surety in no greater amount than necessary;
(6) The defendant’s execution of a cash bond
and his or her deposit with the clerk of the court
of cash in the amount of the bond set by the
judicial authority in no greater amount than nec-
essary.
In addition to or in conjunction with any of the
conditions of release enumerated in this subsec-
tion, the judicial authority may impose one or more
nonfinancial conditions of release pursuant to
subsection (d).
(b) The judicial authority may, in determining
what conditions of release will reasonably assure
the appearance of the defendant in court, consider
factors (1) through (7) below, and, when the
crimes charged or the facts and circumstances
brought to the attention of the judicial authority
suggest that the defendant may pose a risk to the
physical safety of any person, the judicial authority
may also consider factors (8) through (10) below:
(1) The nature and circumstances of the
offense, including the weight of the evidence
against the defendant;
SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS Sec. 38-6
(2) The defendant’s record of previous con-
victions;
(3) The defendant’s past record of appearance
in court after being admitted to bail;
(4) The defendant’s family ties;
(5) The defendant’s employment record;
(6) The defendant’s financial resources, char-
acter, and mental condition;
(7) The defendant’s community ties;
(8) The defendant’s history of violence;
(9) Whether the defendant has previously been
convicted of similar offenses while released on
bond; and
(10) The likelihood based upon the expressed
intention of the defendant that he or she will com-
mit another crime while released.
(c) In addition to or in conjunction with any of
the conditions enumerated in subdivisions (1) to
(6) of subsection (a), the judicial authority may,
when it has reason to believe that the defendant
is drug-dependent and where necessary, reason-
able and appropriate, order the person to submit
to a urinalysis drug test and to participate in a
program of periodic drug testing and treatment.
The results of any such drug test shall not be
admissible in any criminal proceeding concerning
such defendant.
(d) If the judicial authority determines that a
nonfinancial condition of release should be
imposed in addition to or in conjunction with any
of the conditions enumerated in subdivisions (1)
to (6) of subsection (a) of this section, the judicial
authority shall order the pretrial release of the
defendant subject to the least restrictive condition
or combination of conditions that the judicial
authority determines will reasonably assure the
appearance of the defendant in court and, when
the crimes charged or the facts and circumstances
brought to the attention of the judicial authority
suggest that the defendant may pose a risk to the
physical safety of any person, that the safety of
any person will not be endangered, which condi-
tions may include an order that he or she do one
or more of the following:
(1) Remain under the supervision of a desig-
nated person or organization;
(2) Comply with specified restrictions on his or
her travel, association or place of abode;
(3) Not engage in specified activities, including
the use or possession of a dangerous weapon,
an intoxicant or a controlled substance;
(4) Provide sureties of the peace pursuant to
General Statutes § 54-56f under supervision of a
designated bail commissioner;
(5) Avoid all contact with an alleged victim of
the crime and with a potential witness who may
testify concerning the offense;
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(6) Maintain employment or, if unemployed,
actively seek employment;
(7) Maintain or commence an educational
program;
(8) Be subject to electronic monitoring; or
(9) Satisfy any other condition that is reasonably
necessary to assure the appearance of the
defendant in court and that the safety of any other
person will not be endangered.
(e) The judicial authority shall state on the
record its reasons for imposing any such nonfi-
nancial condition.
(f) The judicial authority may require that the
defendant subject to electronic monitoring pursu-
ant to subsection (d) of this section pay directly
to the electronic monitoring service provider a fee
for the cost of such electronic monitoring services.
If the judicial authority finds that the defendant
subject to electronic monitoring is indigent and
unable to pay the costs of electronic monitoring
services, it shall waive such costs.
(P.B. 1978-1997, Sec. 658.) (Amended June 20, 2005, to
take effect Jan. 1, 2006; amended June 26, 2006, to take
effect Jan. 1, 2007; amended June 15, 2012, to take effect
Jan. 1, 2013.)
Sec. 38-5. —Release by Correctional Offi-
cials
Any person who has not made bail shall be
detained in a correctional facility and shall be
released from such institution upon entering into
a recognizance, with sufficient surety, or upon
posting cash bail as provided in Sections 38-7
and 38-9 for his or her appearance before the
court having cognizance of the offense, which are
to be taken by any person designated by the com-
missioner of correction at such institution where
such person is detained. Such person so desig-
nated shall deliver the recognizance or cash bail
to the clerk of the appropriate court before the
opening of such court on the first court day
thereafter.
(P.B. 1978-1997, Sec. 659.)
Sec. 38-6. Appearance after Release
The person taking any promise or bond shall
give the defendant released thereunder a copy
of such promise or bond, which shall notify the
defendant of the time when and the place where
he or she is next to appear and of the penalty for
failure to appear. The initial appearance date shall
not be more than fourteen days after the date of
arrest, unless the defendant has been arrested
for a crime of family violence, in which case the
defendant shall be promptly presented before the
SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERSSec. 38-6
superior court sitting next regularly for the geo-
graphical area where the offense is alleged to
have been committed.
(P.B. 1978-1997, Sec. 661.)
Sec. 38-7. Cash Bail
In any criminal case in which a bond is allowed
or required and the amount thereof has been
determined, the defendant, or any person in his
or her behalf, may deposit with the clerk of the
court having jurisdiction of the offense with which
the defendant stands charged, or any assistant
clerk of such court who is bonded in the same
manner as the clerk, or any person or officer
authorized to accept bail, a sum of money equal
to the amount called for by such bond, and such
defendant shall thereupon be admitted to bail.
When cash bail is offered, such bond shall be
executed and the money shall be received in lieu
of a surety or sureties upon such bond. Such cash
bail shall be retained by the clerk of such court
until a final order of the judicial authority disposing
of the case is entered, provided that if such bond
is forfeited, the clerk of such court shall pay the
money to the obligee named therein, according
to the terms and conditions of the bond. Upon
discharge of the bond the cash deposit made with
the clerk shall be returned to the person depositing
the same.
(P.B. 1978-1997, Sec. 663.)
Sec. 38-8. Ten Percent Cash Bail
When 10 percent cash bail is granted, upon the
depositing in cash, by the defendant or any person
in his or her behalf other than a paid surety, of
10 percent of the surety bond set, the defendant
shall thereupon be admitted to bail in the same
manner as a defendant who has executed a bond
for the full amount. If such bond is forfeited, the
defendant shall be liable for the full amount of the
bond. Upon discharge of the bond, the 10 percent
cash deposit made with the clerk shall be returned
to the person depositing the same, less any fee
that may be required by statute.
(P.B. 1978-1997, Sec. 664.)
Sec. 38-9. Real Estate Bond
(a) In lieu of a cash bond, the defendant, or
any person in the defendant’s behalf, may pledge
equity in real property located within the state of
Connecticut as bond.
(b) Unless otherwise ordered by the judicial
authority, the pledge shall be accepted and the
defendant shall be admitted to bail upon receipt
of the following: (1) proof that a notice of lien
containing the terms of the bond has been prop-
erly filed, pursuant to the provisions of General
Statutes § 54-66, on a form prescribed by the
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office of the chief court administrator in the office
of the town clerk of the town in which the property
is located; (2) a current certificate of title from an
attorney containing a listing of all encumbrances
of record including the notice of lien; (3) one inde-
pendent appraisal by a licensed real estate
appraiser prepared within ninety days of applica-
tion as to present fair market value; and (4) an
affidavit by each owner of the property setting
forth (A) the location of the property, (B) the affi-
ant’s ownership interest therein, (C) the amount
of the affiant’s equity in the property, (D) the pre-
sent fair market value as shown on the appraisal,
(E) the present amount of each encumbrance of
record filed prior to the notice of lien required by
this subsection, and the present amount of any
tax liabilities, and (F) whether the same property
is pledged as security for any other bonds under
this section or for any other purpose.
(c) All record owners of the property as well
as the accused shall enter into a bond for the
appearance of the accused.
(d) The value of the owner’s equity as calculated
and verified pursuant to this section shall be not
less than the amount of bail set by the judicial
authority, but shall not be required to be in any
greater amount unless the equity is pledged as
security for other bonds under this section, in
which case the value of the equity shall be not
less than the total amount of all bonds for which
it is pledged.
(e) Upon order of forfeiture of the bond, the
procedures set forth in General Statutes § 54-66
shall be followed.
(P.B. 1978-1997, Sec. 665.) (Amended June 30, 2003, to
take effect Jan. 1, 2004.)
Sec. 38-10. Factors to Be Considered by the
Judicial Authority in Release Decision
[Repealed as of Jan. 1, 2006.]
Sec. 38-11. Request for Judicial Determina-
tion of Release
Upon written motion of the defendant or the
prosecuting authority, the judicial authority shall
state on the record its reasons for imposing the
particular conditions of release which were estab-
lished.
(P.B. 1978-1997, Sec. 668.)
Sec. 38-12. Attorneys Not Allowed to Give
Bonds
No attorney shall give any bond or recogni-
zance in any criminal action or proceeding in
which he or she is interested as an attorney.
(P.B. 1978-1997, Sec. 669.)
SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS Sec. 38-17
Sec. 38-13. Bail Modification; In General
The judicial authority shall have the power to
modify or revoke at any time the terms and condi-
tions of release as provided for in these rules.
(P.B. 1978-1997, Sec. 673.)
Sec. 38-14. —Motion of Parties for Bail Mod-
ification
Whenever the prosecuting authority or the
defendant alleges that any bond with or without
surety is excessive or insufficient in amount or
security or that the written promise of the defend-
ant to appear is inadequate, that person may
make a motion to a judicial authority to modify or
set terms and conditions of release. Such motion
shall be served prior to the hearing date upon the
opposing party, the sureties upon any bond and
the appropriate bail commissioner, unless other-
wise ordered by the judicial authority.
(P.B. 1978-1997, Sec. 674.)
Sec. 38-15. —Application of Bail Commis-
sioner
A bail commissioner who has reason to believe
that a person released under any of the provisions
of these rules or of the General Statutes intends
not to appear in court as required by the conditions
of release may apply to a judicial authority for the
court before whom such person is required to
appear, and verify by oath the reason for this
belief, and request that such person be brought
before the judicial authority in order that the condi-
tions of release be reviewed. Upon finding reason-
able grounds to believe that the released person
intends not to appear, such judicial authority shall
forthwith issue a capias directed to a proper officer
or indifferent person, commanding him or her
forthwith to arrest and bring such person to the
court for a hearing to review the conditions of his
or her release. Copies of the bail commissioner’s
application shall be served upon the defendant,
the prosecuting authority and any sureties upon
any bond.
(P.B. 1978-1997, Sec. 675.)
Sec. 38-16. —Application of Surety
(a) A surety upon a bail bond who believes that
his or her principal intends not to appear in court
as required by the conditions of release shall file
with a judicial authority an application, with a sum-
mons and citation, setting forth the reasons for
his or her belief, verified by oath and requesting
that the judicial authority issue either a summons
and citation or a capias to compel the appearance
of the released person before the judicial authority
for a hearing to review the conditions of such
person’s release.
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(b) Except as provided below, in lieu of issuing
a capias the judicial authority may order a copy
of the surety’s application and a summons and
citation, signed by the judicial authority or the clerk
or assistant clerk of the court, to be served on the
principal by a proper officer or indifferent person
summoning him or her to appear in court at a time
and place named for a hearing upon such appli-
cation.
(c) If the judicial authority determines that it
is necessary to take the accused into custody
because there are facts indicating a substantial
likelihood that such person will not appear in court
as required by the conditions of his or her release
unless he or she is taken into custody, it shall
issue a capias directed to a proper officer or indif-
ferent person commanding that person forthwith
to arrest and bring the released person to the
court for a hearing to review the conditions of his
or her release. However, a capias shall not issue
unless the application sets forth the particular
facts in narrative form which lead the surety to
believe there is a substantial likelihood that such
person will not appear in court.
(d) All expenses incurred pursuant to the issu-
ance and service of the capias or summons shall
be paid by the surety.
(P.B. 1978-1997, Sec. 675A.)
Sec. 38-17. —Hearing on Motion or Applica-
tion for Modification of Bail
(a) Upon the filing and service of such motion
or application, the judicial authority shall, with rea-
sonable promptness, conduct a hearing to deter-
mine whether the terms and conditions of release
should be continued, modified or set. The judicial
authority shall release the defendant subject to
and in accordance with the provisions of Section
38-4 upon the first of the following conditions of
release found sufficient to provide reasonable
assurance of the appearance of the defendant
in court:
(1) The defendant’s execution of a written prom-
ise to appear;
(2) The defendant’s execution of a bond without
surety in no greater amount than necessary;
(3) The defendant’s deposit with the clerk of the
court of an amount equal to 10 percent of the
surety bond set, pursuant to Section 38-8;
(4) The defendant’s execution of a bond with
surety in no greater amount than necessary.
(b) If, after such hearing, the judicial authority
relieves a surety of his or her undertaking on a
bond, it may enter such order contingent upon
the return of such portion of the bond fee as it
deems equitable.
(P.B. 1978-1997, Sec. 676.)
SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERSSec. 38-18
Sec. 38-18. —Review of Detention Prior to
Arraignment, Trial or Sentencing
(a) No person shall be detained in a correctional
facility for arraignment, sentencing or trial for an
offense not punishable by death for longer than
forty-five days, unless at the expiration of such
forty-five days such person is presented to the
judicial authority having cognizance of the
offense. On each such presentment, the judicial
authority may reduce, modify or discharge such
bail. On the expiration of each successive forty-
five day period, such person may again by motion
be presented to the judicial authority for such
purpose.
(b) If the offense is classified as a class D felony
or as a misdemeanor, the time period under this
section shall be thirty days, except with regard to
a person charged with a crime in another state and
detained pursuant to chapter 964 of the General
Statutes or a person detained for violation of his
parole pending a parole revocation hearing.
(P.B. 1978-1997, Sec. 677.)
Sec. 38-19. Violation of Conditions of Bail;
Order to Appear
Upon application by the prosecuting authority
alleging that a defendant has violated the condi-
tions of release, a judicial authority may, if proba-
ble cause is found, order that the defendant
appear in court for a hearing upon such allega-
tions. Said order shall be served upon the defend-
ant (1) by delivering a copy to the defendant
personally, (2) by leaving it at his or her usual
place of abode with a person of suitable age and
discretion then residing therein, (3) by mailing it
by registered or certified mail to the defendant’s
last known address, or (4) by serving the order
upon the defendant’s counsel who shall notify the
defendant of the order and the hearing date. If
service is made pursuant to (4) above and such
service proves insufficient to give the defendant
notice, then service shall be made as otherwise
provided in this section.
(P.B. 1978-1997, Sec. 682.)
Sec. 38-20. —Sanctions for Violation of
Conditions of Release
After a hearing and upon a finding that the
defendant has violated reasonable conditions
imposed on release, the judicial authority may
impose different or additional conditions upon the
defendant’s release or revoke the release.
(P.B. 1978-1997, Sec. 683.)
Sec. 38-21. —Forfeiture of Bail and Rear-
rest Warrant
(a) If the defendant fails to appear at the time
and place promised in any bond or written promise
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to appear, or in response to an order issued pursu-
ant to Sections 38-19 and 38-20 unless otherwise
ordered by the judicial authority, the bond may
be forfeited in accordance with its terms and the
judicial authority may issue a warrant to cause
the arrest of the defendant and his or her appear-
ance in court or may issue a capias.
(b) If the bond which has been forfeited was in
an amount of $500 or more, the court shall order
a stay of execution upon the forfeiture for six
months. When the arrested person whose bond
has been forfeited is returned to custody within
six months of the date such bond was ordered
forfeited, the bond shall be reinstated and the
surety released. Such stay of execution shall not
prevent the issuance of a rearrest warrant or a
capias.
(c) Upon issuance of a rearrest warrant or a
capias the judicial authority shall, pursuant to Sec-
tion 38-4, set a condition of release sufficient to
assure the defendant’s appearance in court.
(P.B. 1978-1997, Sec. 684.)
Sec. 38-22. Rebate of Forfeited Bonds
Whenever an arrested person, whose bond has
been forfeited, is returned to the jurisdiction of the
court within one year of the date such bond was
ordered forfeited, the surety on such bond shall
be entitled to a rebate in the following amount:
(1) 46 percent of the amount of the bond
ordered forfeited if the arrested person is returned
to the jurisdiction of the court within 210 days of
the date such bond was ordered forfeited;
(2) 38 percent of the amount of the bond
ordered forfeited if the arrested person is returned
to the jurisdiction of the court within 240 days of
the date such bond was ordered forfeited;
(3) 30 percent of the amount of the bond
ordered forfeited if the arrested person is returned
to the jurisdiction of the court within 270 days of
the date such bond was ordered forfeited;
(4) 23 percent of the amount of the bond
ordered forfeited if the arrested person is returned
to the jurisdiction of the court within 300 days of
the date such bond was ordered forfeited;
(5) 15 percent of the amount of the bond
ordered forfeited if the arrested person is returned
to the jurisdiction of the court within 330 days of
the date such bond was ordered forfeited;
(6) 7 percent of the amount of the bond ordered
forfeited if the arrested person is returned to the
jurisdiction of the court within one year of the date
such bond was ordered forfeited.
(P.B. 1998.)
SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS Sec. 38-23
Sec. 38-23. Discharge of Surety’s Obligation
Where bail has been posted by a bondsman or
other surety, such bondsman or surety shall not
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be relieved of any obligation upon the bond except
with the permission of the judicial authority and
for good cause shown.
(P.B. 1978-1997, Sec. 685.)
SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERSSec. 39-1
CHAPTER 39
DISPOSITION WITHOUT TRIAL
Sec. Sec.
39-1. Procedure for Plea Discussions; In General
39-2. —Discussions with Defendant
39-3. —Role of Defense Counsel
39-4. —Subject Matter of Discussion
39-5. Plea Agreements; Upon Plea of Guilty or Nolo Con-
tendere
39-6. —Alternate Agreements
39-7. —Notice of Plea Agreement
39-8. —Sentencing after Acceptance of Plea Agreement
39-9. —Continuance for Sentencing
39-10. —Rejection of Plea Agreement
39-11. Disposition Conference; Assignment of Jury Cases
39-12. —Effect of Previous Plea Discussions on Disposi-
tion Conference
39-13. —Attendance at Disposition Conference
39-14. —Nature of Disposition Conference; In General
39-15. —Inability to Reach Agreement
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;
In General
The prosecuting authority and counsel for the
defendant, or the defendant when not represented
by counsel, may engage in discussions at any
time with a view towards disposition. Negotiations
may occur either prior to or after the arraignment.
The prosecuting authority shall be in his or her
office at reasonable times for the purpose of giving
to counsel for the defendant, and to all others in
interest, a reasonable opportunity for consul-
tation.
(P.B. 1978-1997, Sec. 687.)
Sec. 39-2. —Discussions with Defendant
The prosecuting authority shall not engage in
plea discussions at the disposition conference, or
at other times, directly with a defendant who is
represented by counsel, except with such coun-
sel’s approval. If the defendant refuses to be rep-
resented by counsel or waives this right under
Section 44-3, the prosecuting authority may prop-
erly discuss disposition of the charges directly
with the defendant.
(P.B. 1978-1997, Sec. 688.)
Sec. 39-3. —Role of Defense Counsel
Defense counsel shall conclude plea
agreements only with the consent of the defend-
ant and shall insure that the decision to dispose
of the case or to proceed to trial is ultimately made
by the defendant.
(P.B. 1978-1997, Sec. 689.)
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39-17. —Effect of Disposition Conference
39-18. Plea of Guilty or Nolo Contendere; Entering
39-19. —Acceptance of Plea; Advice to Defendant
39-20. —Ensuring That the Plea is Voluntary
39-21. —Factual Basis for Plea
39-22. Pleading to Other Offenses after Guilty Finding
39-23. Previous Offender; Plea to Second Part
39-24. Record of Proceedings regarding Guilty Pleas
39-25. Inadmissibility of Rejected Guilty Pleas
39-26. Withdrawal of Plea; When Allowed
39-27. —Grounds for Allowing Plea Withdrawal
39-28. —Effect of Plea Withdrawal
39-29. Nolle Prosequi
39-30. —Objection by Defendant to Nolle Prosequi
39-31. —Effect of Nolle Prosequi
39-32. —Dismissal
39-33. Miscellaneous Dispositions
Sec. 39-4. —Subject Matter of Discussion
Discussion need not be limited to the entry of
a plea of guilty or nolo contendere, and may
include any disposition without trial permitted
under these rules or the General Statutes. The
parties may also discuss pretrial motions filed or
yet to be filed which would lead to a disposition
of the case without trial.
(P.B. 1978-1997, Sec. 690.)
Sec. 39-5. Plea Agreements; Upon Plea of
Guilty or Nolo Contendere
The parties may agree that the defendant will
plead guilty or nolo contendere on one or more
of the following conditions:
(1) That the prosecuting authority will amend
the information to charge a particular offense;
(2) That the prosecuting authority will nolle, rec-
ommend dismissal of, or not bring certain other
charges against the defendant; or
(3) That the sentence or other disposition will
not exceed specified terms or that the prosecuting
authority will recommend a specific sentence, not
oppose a particular sentence, or make no specific
recommendation.
(P.B. 1978-1997, Sec. 692.)
Sec. 39-6. —Alternate Agreements
The prosecuting authority may also recommend
an alternative disposition under Section 39-33.
(P.B. 1978-1997, Sec. 693.)
SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS Sec. 39-17
Sec. 39-7. —Notice of Plea Agreement
If a plea agreement has been reached by the
parties, which contemplates the entry of a plea of
guilty or nolo contendere, the judicial authority
shall require the disclosure of the agreement in
open court or, on a showing of good cause, in
camera at the time the plea is offered. Thereupon
the judicial authority may accept or reject the
agreement, or may defer his or her decision on
acceptance or rejection until there has been an
opportunity to consider the presentence report, or
may defer it for other reasons.
(P.B. 1978-1997, Sec. 694.)
Sec. 39-8. —Sentencing after Acceptance of
Plea Agreement
If the judicial authority accepts the plea
agreement, it shall embody in the judgment and
the sentence the disposition provided for in the
plea agreement or another disposition more favor-
able to the defendant than that provided for in the
plea agreement.
(P.B. 1978-1997, Sec. 696.)
Sec. 39-9. —Continuance for Sentencing
If the case is continued for sentencing, the judi-
cial authority shall inform the defendant that a
different sentence from that embodied in the plea
agreement may be imposed on the receipt of new
information or on sentencing by another judicial
authority, but that if such a sentence is imposed,
the defendant will be allowed to withdraw his or
her plea in accordance with Sections 39-26
through 39-28.
(P.B. 1978-1997, Sec. 697.)
Sec. 39-10. —Rejection of Plea Agreement
If the judicial authority rejects the plea
agreement, it shall inform the parties of this fact;
advise the defendant personally in open court or,
on a showing of good cause, in camera that the
judicial authority is not bound by the plea
agreement; afford the defendant the opportunity
then to withdraw the plea, if given; and advise the
defendant that if he or she persists in a guilty plea
or plea of nolo contendere, the disposition of the
case may be less favorable to the defendant than
that contemplated by the plea agreement.
(P.B. 1978-1997, Sec. 698.)
Sec. 39-11. Disposition Conference; As-
signment of Jury Cases
After conferring with the clerk, the presiding
judge shall assign for disposition conferences so
much of the jury trial list as he or she shall deem
necessary for the proper conduct of the court and
he or she shall direct the clerk to print and distrib-
ute a list of the cases so assigned to the appearing
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parties. The clerk shall schedule the conferences
at times which will not interfere with the orderly
calling of the court docket. Cases may also be
assigned for a disposition conference at the time
of the entry of a plea pursuant to Section 44-15.
(P.B. 1978-1997, Sec. 700.)
Sec. 39-12. —Effect of Previous Plea Dis-
cussions on Disposition Conference
Unless an agreement has been reached in a
previous plea discussion, a case will be assigned
for a disposition conference. It shall be the duty
of the prosecuting authority to notify the clerk if
an agreement has been reached or if the case
has been disposed of.
(P.B. 1978-1997, Sec. 701.)
Sec. 39-13. —Attendance at Disposition
Conference
The prosecuting authority, the defense counsel,
and, in cases claimed for jury trial, the defendant
shall appear at the time set for the disposition
conference unless excused by the judicial author-
ity. Requests for postponements shall be made
only to the presiding judge and shall be granted
upon good cause shown.
(P.B. 1978-1997, Sec. 702.)
Sec. 39-14. —Nature of Disposition Confer-
ence; In General
The prosecuting authority and counsel for the
defendant should attempt to reach a plea
agreement pursuant to the procedures of Sections
39-1 through 39-10.
(P.B. 1978-1997, Sec. 704.)
Sec. 39-15. —Inability to Reach Agreement
Should the parties be unable to reach an
agreement as to disposition, they shall report to
the presiding judge or to another judge assigned
by him or her.
(P.B. 1978-1997, Sec. 705.)
Sec. 39-16. —Notice of Agreement to Judi-
cial Authority
If the parties reach an agreement which con-
templates the entry of a plea of guilty or nolo
contendere, they may advise the judicial authority
in advance of the plea. The judicial authority may
indicate whether it will concur in or reject the pro-
posed disposition.
(P.B. 1978-1997, Sec. 706.)
Sec. 39-17. —Effect of Disposition Con-
ference
If a case is not resolved at the disposition con-
ference or if the judicial authority rejects the plea
agreement, the case shall be assigned to a trial
list. If an agreement is reached, a judicial authority
SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERSSec. 39-17
shall be available to accept guilty pleas and
other dispositions.
(P.B. 1978-1997, Sec. 707.)
Sec. 39-18. Plea of Guilty or Nolo Conten-
dere; Entering
In the discretion of the judicial authority, the
defendant may enter a plea of guilty or nolo con-
tendere to the information or complaint at arraign-
ment. At any later time the defendant also may
enter any such plea. A plea of nolo contendere
shall be in writing, shall be signed by the defend-
ant, and, when accepted by the judicial authority,
shall be followed by a finding of guilty.
(P.B. 1978-1997, Sec. 709.)
Sec. 39-19. —Acceptance of Plea; Advice
to Defendant
The judicial authority shall not accept the plea
without first addressing the defendant personally
and determining that he or she fully understands:
(1) The nature of the charge to which the plea
is offered;
(2) The mandatory minimum sentence, if any;
(3) The fact that the statute for the particular
offense does not permit the sentence to be sus-
pended;
(4) The maximum possible sentence on the
charge, including, if there are several charges,
the maximum sentence possible from consecutive
sentences and including, when applicable, the
fact that a different or additional punishment may
be authorized by reason of a previous convic-
tion; and
(5) The fact that he or she has the right to plead
not guilty or to persist in that plea if it has already
been made, and the fact that he or she has the
right to be tried by a jury or a judge and that
at that trial the defendant has the right to the
assistance of counsel, the right to confront and
cross-examine witnesses against him or her, and
the right not to be compelled to incriminate himself
or herself.
(P.B. 1978-1997, Sec. 711.)
Sec. 39-20. —Ensuring That the Plea is Vol-
untary
The judicial authority shall not accept a plea of
guilty or nolo contendere without first determining,
by addressing the defendant personally in open
court, that the plea is voluntary and is not the
result of force or threats or of promises apart from
a plea agreement. The judicial authority shall also
inquire as to whether the defendant’s willingness
to plead guilty or nolo contendere results from
prior discussions between the prosecuting author-
ity and the defendant or his or her counsel.
(P.B. 1978-1997, Sec. 712.)
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Sec. 39-21. —Factual Basis for Plea
The judicial authority shall not accept a plea of
guilty unless it is satisfied that there is a factual
basis for the plea.
(P.B. 1978-1997, Sec. 713.)
Sec. 39-22. Pleading to Other Offenses after
Guilty Finding
Upon entry of a finding of guilty after acceptance
of a plea of guilty or nolo contendere or after a
trial, a defendant may request permission to plead
guilty or nolo contendere to any other offense for
which the court wherein the finding of guilty was
entered has jurisdiction to impose the maximum
authorized penalty. Upon the written approval of
the prosecuting authority who is authorized to
request imposition of the maximum authorized
penalty in the judicial district or geographical area
wherein the offense has been or could be
charged, and upon the written approval of the
prosecuting authority who is authorized to request
imposition of the maximum authorized penalty in
the judicial district or geographical area wherein
the court, in which the finding of guilty was
entered, is located, a defendant may enter a plea
of guilty or nolo contendere in conformity with
Section 39-18. Such a plea shall operate as a
waiver of venue and as a consent to the filing of
an appropriate information.
(P.B. 1978-1997, Sec. 715.)
Sec. 39-23. Previous Offender; Plea to Sec-
ond Part
Where the defendant has been charged in the
second part of an information with a former convic-
tion or convictions, he or she may enter a plea of
guilty to the second part upon a finding of guilty
of the particular offense he or she was charged
with in the first part.
(P.B. 1978-1997, Sec. 716.)
Sec. 39-24. Record of Proceedings regard-
ing Guilty Pleas
A verbatim record shall be made of the proceed-
ings at which the defendant enters a plea of guilty
or nolo contendere. This record shall include the
judicial authority’s advice to the defendant, the
inquiry into the voluntariness of the plea, including
any plea agreement, and the inquiry into the fac-
tual basis for the plea.
(P.B. 1978-1997, Sec. 717.)
Sec. 39-25. Inadmissibility of Rejected
Guilty Pleas
No evidence of the court proceedings at which
a plea of guilty or nolo contendere was entered,
where such plea is not accepted by the judicial
SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS Sec. 39-33
authority or is later withdrawn pursuant to Sec-
tions 39-26 through 39-28, shall be received at
the trial of the case.
(P.B. 1978-1997, Sec. 718.)
Sec. 39-26. Withdrawal of Plea; When
Allowed
A defendant may withdraw his or her plea of
guilty or nolo contendere as a matter of right until
the plea has been accepted. After acceptance,
the judicial authority shall allow the defendant to
withdraw his or her plea upon proof of one of the
grounds in Section 39-27. A defendant may not
withdraw his or her plea after the conclusion of the
proceeding at which the sentence was imposed.
(P.B. 1978-1997, Sec. 720.)
Sec. 39-27. —Grounds for Allowing Plea
Withdrawal
The grounds for allowing the defendant to with-
draw his or her plea of guilty after acceptance are
as follows:
(1) The plea was accepted without substantial
compliance with Section 39-19;
(2) The plea was involuntary, or it was entered
without knowledge of the nature of the charge
or without knowledge that the sentence actually
imposed could be imposed;
(3) The sentence exceeds that specified in a
plea agreement which had been previously
accepted, or in a plea agreement on which the
judicial authority had deferred its decision to
accept or reject the agreement at the time the
plea of guilty was entered;
(4) The plea resulted from the denial of effective
assistance of counsel;
(5) There was no factual basis for the plea; or
(6) The plea either was not entered by a person
authorized to act for a corporate defendant or was
not subsequently ratified by a corporate
defendant.
(P.B. 1978-1997, Sec. 721.)
Sec. 39-28. —Effect of Plea Withdrawal
If the defendant is permitted to withdraw his or
her plea, the original finding of guilty shall be set
aside, a plea of not guilty shall be entered, and
further proceedings shall be scheduled in accord-
ance with these rules. The judicial authority per-
mitting the vacating of the guilty plea shall not sit
on the trial of the matter, unless this is waived by
the defendant in writing.
(P.B. 1978-1997, Sec. 722.)
Sec. 39-29. Nolle Prosequi
A prosecuting authority shall have the power to
enter a nolle prosequi in a case. It shall be entered
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upon the record after a brief statement by the
prosecuting authority in open court of the rea-
sons therefor.
(P.B. 1978-1997, Sec. 725.)
Sec. 39-30. —Objection by Defendant to
Nolle Prosequi
Where a prosecution is initiated by complaint
or information, the defendant may object to the
entering of a nolle prosequi at the time it is offered
by the prosecuting authority and may demand
either a trial or a dismissal, except when a nolle
prosequi is entered upon a representation to the
judicial authority by the prosecuting authority that
a material witness has died, disappeared or
become disabled or that material evidence has
disappeared or has been destroyed and that a
further investigation is therefore necessary.
(P.B. 1978-1997, Sec. 726.)
Sec. 39-31. —Effect of Nolle Prosequi
The entry of a nolle prosequi terminates the
prosecution and the defendant shall be released
from custody. If subsequently the prosecuting
authority decides to proceed against the defend-
ant, a new prosecution must be initiated.
(P.B. 1978-1997, Sec. 727.)
Sec. 39-32. —Dismissal
The judicial authority may dismiss the informa-
tion or complaint and discharge the defendant, at
any time, in accordance with Sections 41-8
through 41-11.
(P.B. 1978-1997, Sec. 728.)
Sec. 39-33. Miscellaneous Dispositions
Upon motion by the defendant, counsel for the
defendant, or the prosecuting authority, the judi-
cial authority may make any order permitted by
statute or rule that may result in the disposition
of the case without trial, including, but not limited
to, the following:
(1) Adjudication and treatment as a youthful
offender;
(2) Accelerated pretrial rehabilitation;
(3) Pretrial alcohol education and treatment;
(4) Reference to the family relations division
and a hearing thereon;
(5) Commitment to the commissioner of mental
health following examination and hearing;
(6) Suspension of prosecution for drug-depen-
dent defendants after examination and release to
the commission on adult probation;
(7) Reference to a community service labor pro-
gram; or
(8) Reference to an alternative incarceration
program under the auspices of the office of
adult probation.
(P.B. 1978-1997, Sec. 730.)
SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERSSec. 40-1
CHAPTER 40
DISCOVERY AND DEPOSITIONS
Sec. Sec.
40-1. Discovery in General; Regulating Discovery
40-2. —Good Faith Efforts and Subpoenas
40-3. —Continuing Obligation to Disclose
40-4. —Limitations on Requests or Motions
40-5. —Failure to Comply with Disclosure
40-6. —Discovery Performance
40-7. —Procedures for Disclosure
40-8. —Objection to Disclosure
40-9. —Presence during Tests and Experiments
40-10. —Custody of Materials
40-11. Disclosure by the Prosecuting Authority
40-12. Discretionary Disclosure Directed to Prosecuting
Authority
40-13. Names of Witnesses; Prior Record of Witnesses;
Statements of Witnesses
40-13A. Law Enforcement Reports, Affidavits and
Statements
40-14. Information Not Subject to Disclosure by Prosecut-
ing Authority
40-15. Disclosure of Statements; Definition of Statement
40-16. Request for Recess by Defendant upon Receipt
of Statement
40-17. Defense of Mental Disease or Defect or Extreme
Emotional Disturbance; Notice by Defendant
40-18. —Notice by Defendant of Intention to Use Expert
Testimony regarding Mental State; Filing Reports
of Exam
40-19. —Prosecutorial Motion for Psychiatric Examination
40-20. —Failure of Expert to Submit Report
40-21. Defense of Alibi; Notice by Defendant
40-22. —Notice by Prosecuting Authority concerning
Alibi Defense
40-23. —Continuing Duty of Parties to Disclose regarding
Alibi Defense
40-24. —Exceptions
40-25. —Inadmissibility of Withdrawn Alibi
40-26. Disclosure by the Defendant; Informationand Mate-
rials Discoverable by the Prosecuting Authority
as of Right
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-
ing Discovery
Except as otherwise provided in these rules,
the judicial authority before whom the defendant
appears shall fix the times for filing and for
responding to discovery motions and requests
and, when appropriate, shall fix the hour, place,
manner, terms, and conditions of responses to
the motions and requests.
(P.B. 1978-1997, Sec. 732.)
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40-27. Discretionary Disclosure Directed to Defendant
40-28. Derivative Evidence
40-29. Protective Orders Requested by Defendant
40-30. Admissibility at Time of Trial
40-31. Information Not Subject to Disclosure by Defendant
40-32. Obtaining Nontestimonial Evidence from
Defendant
40-33. —Emergency Procedure regarding Nontestimo-
nial Evidence
40-34. —Scope of Order for Nontestimonial Evidence
40-35. —Contents of Order
40-36. —Service of Order
40-37. —Implementation of Order
40-38. —Obtaining Nontestimonial Evidence from Defend-
ant upon Motion of Defendant
40-39. —Comparing Nontestimonial Evidence
40-40. Protective Orders; Relief
40-41. —Grounds for Protective Order
40-42. —In Camera Proceedings
40-43. —Excision as Protective Order
40-44. Depositions; Grounds
40-45. —Failure to Appear for Deposition
40-46. —Use of Deposition
40-47. —Notice and Person Taking Deposition
40-48. —Protective Order Prior to Deposition
40-49. —Manner of Taking Deposition
40-50. —Scope of Examination at Deposition
40-51. —Objections at Depositions
40-52. —Protective Order during Deposition
40-53. —Return of Deposition
40-54. —Right of Defendant to Be Present and Repre-
sented at Deposition
40-55. —Waiver of Presence and Failure to Appear at
Deposition
40-56. —Definition of Unavailable
40-57. —Taking and Use in Court of Deposition by
Agreement
40-58. —Expenses of Deposition and Copies
Sec. 40-2. —Good Faith Efforts and Sub-
poenas
When documents or objects are the subject of
discovery orders, good faith efforts shall be made
by the party to whom any such order is directed
to secure their possession. If the efforts of such
party are unsuccessful the judicial authority shall,
upon written request, issue a subpoena or order
directing that such documents or objects be deliv-
ered to the clerk of the court within a specified
time. The clerk shall give a receipt for them and
SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS Sec. 40-9
be responsible for their safekeeping. Such docu-
ments and tangible objects shall be sealed and
shall be open to inspection only upon an order of
the judicial authority.
(P.B. 1978-1997, Sec. 733.)
Sec. 40-3. —Continuing Obligation to
Disclose
If prior to or during trial a party discovers addi-
tional material previously ordered to be disclosed
or which the party is otherwise obligated to dis-
close, such party shall promptly notify the other
party and the judicial authority of its existence.
(P.B. 1978-1997, Sec. 734.)
Sec. 40-4. —Limitations on Requests or
Motions
A party shall file all requests or motions under
this chapter within the time specified and shall
include in the initial request or motion all informa-
tion or materials sought. The judicial authority may
for good cause shown allow the filing of supple-
mental requests or motions.
(P.B. 1978-1997, Sec. 735.)
Sec. 40-5. —Failure to Comply with Dis-
closure
If a party fails to comply with disclosure as
required under these rules, the opposing party
may move the judicial authority for an appropriate
order. The judicial authority hearing such a motion
may enter such orders and time limitations as it
deems appropriate, including, without limitation,
one or more of the following:
(1) Requiring the noncomplying party to comply;
(2) Granting the moving party additional time
or a continuance;
(3) Relieving the moving party from making a
disclosure required by these rules;
(4) Prohibiting the noncomplying party from
introducing specified evidence;
(5) Declaring a mistrial;
(6) Dismissing the charges;
(7) Imposing appropriate sanctions on the coun-
sel or party, or both, responsible for the noncom-
pliance; or
(8) Entering such other order as it deems
proper.
(P.B. 1978-1997, Sec. 735A.)
Sec. 40-6. —Discovery Performance
Unless otherwise specified by agreement of the
parties or judicial order, the parties shall perform
their obligations under Sections 40-1 through 40-
10 by making available at reasonable times speci-
fied information and materials for inspecting, test-
ing, copying and photographing.
(P.B. 1978-1997, Sec. 737.)
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Sec. 40-7. —Procedures for Disclosure
(a) All requests for disclosure by any party shall
be filed in accordance with Section 41-5 and shall
be served in accordance with Sections 10-12
through 10-17 but need not be filed with the court,
subject, however, to the provisions of Section 40-
40 et seq. The party requesting disclosure or the
party responding shall file with the court a notice
of service certifying that a request or response
was served and the date and manner of service.
The party responsible for service of a document
shall retain custody of the original.
(b) Except as otherwise provided in Section 40-
13, any party may make disclosure by notifying
the opposing party that all pertinent material and
information may be inspected and, if practicable,
copied at specific times and locations and the
parties may schedule agreed dates and times to
photograph and have reasonable tests made
upon any disclosed material.
(P.B. 1978-1997, Sec. 737A.)
Sec. 40-8. —Objection to Disclosure
Notwithstanding the provisions of Sections 40-
11 and 40-26, the prosecuting authority or the
defendant may object to disclosure of any infor-
mation or items which are directed to be provided
by those sections but which the objecting party
believes for good cause should not be disclosed
or for which it is reasonably believed that a protec-
tive order provided by Section 40-40 et seq. would
be warranted. Such objection shall be made in
writing and shall set forth the grounds of such
belief as fully as possible. The objection shall be
served in accordance with Sections 10-12 through
10-17 and a copy shall be filed with the court
within twenty days of the request unless the judi-
cial authority, for good cause shown, allows a
later filing. After hearing the judicial authority shall
determine whether such information or items shall
be disclosed.
(P.B. 1978-1997, Sec. 737B.)
Sec. 40-9. —Presence during Tests and
Experiments
If a scientific test or experiment to be performed
upon any object which has been the subject of a
disclosure order may preclude or impair any fur-
ther tests or experiments, the opposing party and
any other person known to have or believed to
have an interest in the matter shall be given rea-
sonable notice and opportunity to be present and
to have an expert observe or participate in the
test or experiment, unless the judicial authority for
good cause shall order otherwise.
(P.B. 1978-1997, Sec. 738.)
SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERSSec. 40-10
Sec. 40-10. —Custody of Materials
(a) Any materials furnished to counsel pursuant
to this chapter, including statements, reports and
affidavits disclosed pursuant to Section 40-13A,
shall be used only for the purposes of conducting
such counsel’s side of the case or for the perfor-
mance of his or her official duties, and shall be
subject to such other terms and conditions as the
judicial authority may provide. Without the prior
approval of the prosecuting authority or the court,
defense counsel and his or her agents shall not
provide copies of materials disclosed pursuant to
Section 40-13A to any person except to persons
employed by defense counsel in connection with
the investigation or defense of the case.
(b) The prosecuting authority is not required
to disclose to an unrepresented defendant the
names and addresses required by Section 40-13
unless the court orders disclosure upon a finding
of need which cannot reasonably be met by other
means. Before other materials are disclosed or
provided to an unrepresented defendant pursuant
to this chapter, the prosecuting authority may
request and the court may order that the materials
remain in the defendant’s exclusive custody to be
used only for the purpose of conducting the case,
subject to such terms, conditions and restrictions
that the court, in its discretion, may impose. The
court shall also inform the unrepresented defend-
ant that violation of an order issued under this
subsection is punishable as a contempt of court.
(P.B. 1978-1997, Sec. 739.) (Amended June 22, 2009, to
take effect Jan. 1, 2010.)
Sec. 40-11. Disclosure by the Prosecuting
Authority
(Amended June 22, 2009, to take effect Jan. 1, 2010.)
(a) Upon written request by a defendant filed
in accordance with Section 41-5 and without
requiring any order of the judicial authority, the
prosecuting authority, subject to Section 40-40 et
seq., shall promptly, but no later than forty-five
days from the filing of the request, unless such
time is extended by the judicial authority for good
cause shown, disclose in writing the existence of,
provide photocopies of, and allow the defendant
in accordance with Section 40-7, to inspect, copy,
photograph and have reasonable tests made on
any of the following items:
(1) Any books, tangible objects, papers, photo-
graphs, or documents within the possession, cus-
tody or control of any governmental agency, which
the prosecuting authority intends to offer in evi-
dence in chief at trial or which are material to the
preparation of the defense or which were obtained
from or purportedly belong to the defendant;
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(2) Copies of the defendant’s prior criminal
record, if any, which are within the possession,
custody, or control of the prosecuting authority,
the existence of which is known, or by the exercise
of due diligence may become known, to the prose-
cuting authority;
(3) Any reports or statements of experts made
in connection with the offense charged including
results of physical and mental examinations and
of scientific tests, experiments or comparisons
which are material to the preparation of the
defense or are intended for use by the prosecuting
authority as evidence in chief at the trial;
(4) Any warrant executed for the arrest of the
defendant for the offense charged, and any
search and seizure warrants issued in connection
with the investigation of the offense charged;
(5) (A) Any written, recorded or oral statements
made by the defendant or a codefendant, before
or after arrest to any law enforcement officer or
to a person acting under the direction of or in
cooperation with a law enforcement officer con-
cerning the offense charged; or
(B) Any relevant statements of coconspirators
which the prosecuting authority intends to offer in
evidence at any trial or hearing.
(b) In addition to the foregoing, the prosecuting
authority shall disclose to the defendant, in
accordance with any applicable constitutional and
statutory provisions, any exculpatory information
or materials that the prosecuting authority may
have, whether or not a request has been made
therefor.
(P.B. 1978-1997, Sec. 741.) (Amended June 22, 2009, to
take effect Jan. 1, 2010; amended June 12, 2015, to take
effect Jan. 1, 2016.)
Sec. 40-12. Discretionary Disclosure Di-
rected to Prosecuting Authority
Upon written request by a defendant filed in
accordance with Section 40-7 the judicial authority
may direct the prosecuting authority to disclose
in writing to the defendant and make available for
inspection, photographing, copying and reason-
able testing any other relevant material and infor-
mation not covered by Section 40-11 which the
judicial authority determines on good cause
shown should be made available.
(P.B. 1978-1997, Sec. 742.)
Sec. 40-13. Names of Witnesses; Prior
Record of Witnesses; Statements of Wit-
nesses
(Amended June 22, 2009, to take effect Jan. 1, 2010.)
(a) Upon written request by a defendant filed
in accordance with Section 41-5 and without
requiring any order of the judicial authority, the
prosecuting authority, subject to Section 40-40 et
SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS Sec. 40-15
seq., shall promptly, but no later than forty-five
days from the filing of the request, unless such
time is extended by the judicial authority for good
cause shown, disclose to the defendant the
names and, subject to the provisions of subsec-
tions (f) and (g) of this section, the addresses of all
witnesses that the prosecuting authority intends
to call in his or her case-in-chief. The prosecuting
authority shall additionally make a reasonable
affirmative effort to obtain a record of the witness’
felony convictions and pending misdemeanor and
felony charges and shall disclose any such con-
victions and pending charges to the defendant.
(b) Upon written request by the prosecuting
authority, filed in accordance with Section 41-5
and without requiring any order of the judicial
authority, the defendant, subject to Section 40-40
et seq., shall promptly, but no later than forty-five
days from the filing of the request, unless such
time is extended by the judicial authority for good
cause shown, disclose to the prosecuting author-
ity the names and, subject to the provisions of
subsection (g) of this section, the addresses of
all witnesses whom the defendant intends to call
in the defendant’s case-in-chief and shall addition-
ally disclose to the prosecuting authority any
statements of the witnesses other than the
defendant in the possession of the defendant or
his or her agents, which statements relate to the
subject matter about which each witness will
testify.
(c) No witness shall be precluded from testifying
for any party because his or her name or state-
ment or criminal history was not disclosed pursu-
ant to this rule if the party calling such witness
did not in good faith intend to call the witness
at the time that he or she provided the material
required by this rule. In the interests of justice the
judicial authority may in its discretion permit any
undisclosed individual to testify.
(d) The provisions of this section shall apply to
any additional testimony presented by any party
as rebuttal evidence pursuant to Section 42-35
(3) and the statements and criminal histories of
such witnesses shall be provided to the opposing
party before the commencement of any such
rebuttal testimony.
(e) The fact that a witness’ name or statement
is provided under this section shall not be a ground
for comment upon a failure to call a witness.
(f) Notwithstanding any provision of this section,
the personal residence address of a police officer
or correction officer shall not be required to be
disclosed except pursuant to an order of the judi-
cial authority after a hearing and a showing that
good cause exists for the disclosure of the infor-
mation.
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(g) Upon written request of a party and for good
cause shown, the judicial authority may order that
the address of any witness whose name was dis-
closed pursuant to subsections (a) or (b) of this
section not be disclosed to the opposing party.
(P.B. 1978-1997, Sec. 743.) (Amended June 22, 2009, to
take effect Jan. 1, 2010; amended June 12, 2015, to take
effect Jan. 1, 2016.)
Sec. 40-13A. Law Enforcement Reports,
Affidavits and Statements
Upon written request by a defendant and with-
out requiring any order of the judicial authority,
the prosecuting authority shall, no later than forty-
five days from receiving the request, provide pho-
tocopies of all statements, law enforcement
reports and affidavits within the possession of the
prosecuting authority and his or her agents,
including state and local law enforcement officers,
which statements, reports and affidavits were pre-
pared concerning the offense charged, subject to
the provisions of Sections 40-10 and 40-40 et seq.
(Adopted June 22, 2009, to take effect Jan. 1, 2010.)
Sec. 40-14. Information Not Subject to Dis-
closure by Prosecuting Authority
Subject to Sections 40-13 and 40-13A and
except for the substance of any exculpatory mate-
rial contained herein, Sections 40-11 through 40-
14 do not authorize or require disclosure or
inspection of:
(1) Reports, memoranda or other internal docu-
ments made by a prosecuting authority or by law
enforcement officers in connection with the inves-
tigation or prosecution of the case;
(2) Legal research;
(3) Records, correspondence, reports or mem-
oranda to the extent that they contain the opinions,
theories or conclusions of a prosecuting authority.
(P.B. 1978-1997, Sec. 746.) (Amended June 22, 2009, to
take effect Jan. 1, 2010.)
Sec. 40-15. Disclosure of Statements; Defi-
nition of Statement
The term ‘‘statement’’ as used in Sections 40-
11, 40-13 and 40-26 means:
(1) A written statement made by a person and
signed or otherwise adopted or approved by such
person; or
(2) A stenographic, mechanical, electrical, or
other recording, or a transcription thereof, which
is a substantially verbatim recital of an oral state-
ment made by a person and recorded contempo-
raneously with the making of such oral statement.
(P.B. 1978-1997, Sec. 749.)
SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERSSec. 40-16
Sec. 40-16. Request for Recess by Defend-
ant upon Receipt of Statement
Whenever any statement is delivered to a
defendant pursuant to Section 40-13, the judicial
authority in its discretion, upon application of the
defendant, may recess the proceedings for such
time as it may determine to be reasonably
required for the examination of such statement
by the defendant and his or her preparation for
its use in the trial.
(P.B. 1978-1997, Sec. 754.)
Sec. 40-17. Defense of Mental Disease or
Defect or Extreme Emotional Disturbance;
Notice by Defendant
If a defendant intends to rely upon the affirma-
tive defense of mental disease or defect or of
extreme emotional disturbance at the time of the
alleged crime, the defendant shall, not later than
forty-five days after the first pretrial conference in
the court where the case will be tried or at such
later time as the judicial authority may direct, notify
the prosecuting authority in writing of such inten-
tion and file a copy of such notice with the clerk.
If there is a failure to comply with the requirements
of this rule, such affirmative defenses may not be
raised. The judicial authority may for cause shown
allow late filing of the notice or grant additional
time to the parties to prepare for trial or make
such other order as may be appropriate.
(P.B. 1978-1997, Sec. 758.)
Sec. 40-18. —Notice by Defendant of Inten-
tion to Use Expert Testimony regarding
Mental State; Filing Reports of Exam
If a defendant intends to introduce expert testi-
mony relating to the affirmative defenses of men-
tal disease or defect, or of extreme emotional
disturbance or another condition bearing upon the
issue of whether he or she had the mental state
required for the offense charged, the defendant
shall, not later than forty-five days after the first
pretrial conference in the court where the case
will be tried or at such later time as the judicial
authority may direct, notify the prosecuting author-
ity in writing of such intention and file a copy of
such notice with the clerk. The defendant shall
also furnish the prosecuting authority with copies
of reports of physical or mental examinations of
the defendant prepared by an expert whom the
defendant intends to call as a witness in connec-
tion with the offense charged, within five days
after receipt thereof. The judicial authority may for
cause shown allow late filing of the notice or grant
additional time to the parties to prepare for trial
or make such other order as may be appropriate.
(P.B. 1978-1997, Sec. 759.)
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Sec. 40-19. —Prosecutorial Motion for Psy-
chiatric Examination
In an appropriate case the judicial authority
may, upon motion of the prosecuting authority,
order the defendant to submit to a psychiatric
examination by a psychiatrist designated for this
purpose by the prosecuting authority. No state-
ment made by the defendant in the course of
any examination provided for by Sections 40-17
through 40-19, whether the examination shall be
with or without the consent of the defendant, shall
be admitted in evidence against the defendant on
the issue of guilt in any criminal proceeding. A
copy of the report of the psychiatric examination
shall be furnished to the defendant within five days
after the receipt thereof by the prosecuting
authority.
(P.B. 1978-1997, Sec. 760.)
Sec. 40-20. —Failure of Expert to Submit
Report
If any expert fails to submit any written report
of the result of any physical or mental examination
conducted pursuant to Sections 40-17 through
40-19 the judicial authority, upon request of the
party who engaged the expert, may issue an
appropriate subpoena or order pursuant to Sec-
tion 40-2 or may direct that the expert’s deposition
be taken pursuant to Sections 40-44 through
40-58.
(P.B. 1978-1997, Sec. 760A.)
Sec. 40-21. Defense of Alibi; Notice by
Defendant
Upon written demand filed by the prosecuting
authority stating the time, date, and place at which
the alleged offense was committed, the defendant
shall file within twenty days, or at such other time
as the judicial authority may direct, a written notice
of the defendant’s intention to offer a defense of
alibi. Such notice by the defendant shall state the
specific place or places at which the defendant
claims to have been at the time of the alleged
offense and the names and addresses of the wit-
nesses upon whom the defendant intends to rely
to establish such alibi.
(P.B. 1978-1997, Sec. 763.)
Sec. 40-22. —Notice by Prosecuting Author-
ity concerning Alibi Defense
If the written notice has been filed pursuant to
Section 40-21, the prosecuting authority, within
twenty days after filing of the notice, but in no
event less than ten days before the trial unless
the judicial authority otherwise directs, shall file a
written notice stating the names and addresses
of the witnesses upon whom the state intends to
rely to establish the defendant’s presence at the
SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS Sec. 40-31
scene of the alleged offense and any other wit-
nesses to be relied upon to rebut testimony of
any of the defendant’s alibi witnesses.
(P.B. 1978-1997, Sec. 764.)
Sec. 40-23. —Continuing Duty of Parties to
Disclose regarding Alibi Defense
If prior to or during the trial, a party learns of
an additional witness whose identity, if known,
should have been included in the information fur-
nished under Sections 40-21 or 40-22, the party
shall promptly notify the other party or his or her
counsel of the existence and identity of such addi-
tional witness.
(P.B. 1978-1997, Sec. 765.)
Sec. 40-24. —Exceptions
For good cause shown, the judicial authority
may grant an exception to any of the requirements
of Sections 40-21 through 40-23.
(P.B. 1978-1997, Sec. 767.)
Sec. 40-25. —Inadmissibility of Withdrawn
Alibi
Evidence of an intention to rely upon an alibi
defense which intention is later withdrawn, or evi-
dence of statements made in connection with
such intention, is not admissible in any criminal
proceeding against the person who gave notice
of the intention.
(P.B. 1978-1997, Sec. 768.)
Sec. 40-26. Disclosure by the Defendant;
Information and Materials Discoverable by
the Prosecuting Authority as of Right
Upon written request by the prosecuting author-
ity filed in accordance with Section 41-5 and with-
out requiring any order of the judicial authority,
the defendant, subject to Section 40-40 et seq.,
shall promptly, but no later than forty-five days
from the filing of the request, unless such time is
extended by the judicial authority for good cause
shown, disclose in writing to the prosecuting
authority the existence of and make available for
examination and copying in accordance with the
procedures of Section 40-7 the following items:
(1) Any books, papers, documents, photo-
graphs or tangible objects which the defendant
intends to offer in evidence at trial except to the
extent that it contains any communication of the
defendant; and
(2) Any reports or statements of experts made
in connection with the case, including results of
physical or mental examinations and of scientific
tests, experiments or comparisons, which the
defendant intends to offer in evidence at trial or
relating to the anticipated testimony of a person
whom the defendant intends to call as a witness.
(P.B. 1978-1997, Sec. 769.)
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Sec. 40-27. Discretionary Disclosure Di-
rected to Defendant
Upon written request by a prosecuting authority
filed in accordance with Section 40-7 the judicial
authority may direct the defendant to disclose in
writing to the prosecuting authority and make
available for inspection, photographing, copying
and reasonable testing any other relevant material
and information not covered by Section 40-26
which the judicial authority determines on good
cause shown should be made available.
(P.B. 1978-1997, Sec. 769A.)
Sec. 40-28. Derivative Evidence
The defendant shall be supplied with copies of
any reports of experts derived from or based upon
the examination of materials produced pursuant
to Section 40-26.
(P.B. 1978-1997, Sec. 770.)
Sec. 40-29. Protective Orders Requested
by Defendant
The defendant may, to the same extent as the
prosecuting authority, move for a protective order
under the provisions of Sections 40-40 through
40-43.
(P.B. 1978-1997, Sec. 771.)
Sec. 40-30. Admissibility at Time of Trial
The fact that the defendant has indicated an
intent to offer a matter in evidence or to call a
person as a witness pursuant to Sections 40-17
through 40-31 is not admissible in evidence at
the defendant’s trial. Information obtained by the
prosecuting authority pursuant to Sections 40-17
through 40-31 shall be used only for the cross-
examination or rebuttal of defense testimony
except with permission of the judicial authority for
good cause shown.
(P.B. 1978-1997, Sec. 772.)
Sec. 40-31. Information Not Subject to Dis-
closure by Defendant
Subject to Section 40-13 and except as to scien-
tific or medical reports, Sections 40-17 through
40-31 do not authorize or require disclosure or
inspection of:
(1) Reports, memoranda or other internal
defense documents made by the defendant, or
counsel for the defendant or any person employed
by the defendant in connection with the investiga-
tion or defense of the case;
(2) Legal research; or
(3) Records, correspondence, reports or mem-
oranda to the extent that they contain the opinions,
theories or conclusions of the defendant, counsel
for the defendant, or any other person employed
SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERSSec. 40-31
by the defendant in connection with the investiga-
tion or defense of the case.
(P.B. 1978-1997, Sec. 773.)
Sec. 40-32. Obtaining Nontestimonial Evi-
dence from Defendant
Upon motion of the prosecuting authority, the
judicial authority by order may direct a defendant
to participate in a reasonably conducted proce-
dure to obtain nontestimonial evidence, if the judi-
cial authority finds probable cause to believe that:
(1) The evidence sought may be of material aid
in determining whether the defendant committed
the offense charged; and
(2) The evidence sought cannot practicably be
obtained from other sources.
(P.B. 1978-1997, Sec. 776.)
Sec. 40-33. —Emergency Procedure regard-
ing Nontestimonial Evidence
Upon application of the prosecuting authority,
the judicial authority by order may direct a law
enforcement officer to bring the defendant forth-
with before the judicial authority for an immediate
hearing on a motion made under Sections 40-32
through 40-39, if an affidavit or testimony shows
that there is probable cause to believe that the
evidence sought will be altered, dissipated, or lost
if not promptly obtained. Upon presentation of the
defendant, the judicial authority shall inform the
defendant of his or her rights as specified in Sec-
tions 37-3 through 37-6 and shall afford the
defendant reasonable opportunity to consult with
an attorney before hearing the motion.
(P.B. 1978-1997, Sec. 777.)
Sec. 40-34. —Scope of Order for Nontesti-
monial Evidence
An order under Sections 40-32 through 40-39
may direct the defendant to participate in one or
more of the following procedures:
(1) Appearing, moving, or speaking for identifi-
cation in a lineup, but if a lineup is not practicable,
then in some other reasonable procedure;
(2) Wearing clothing or other articles of personal
use or adornment;
(3) Providing handwriting and voice exemplars;
(4) Submitting to the taking of photographs;
(5) Submitting to the taking of fingerprints, palm
prints, footprints, and other body impressions;
(6) Submitting to the taking of specimens of
saliva, breath, hair, and nails;
(7) Submitting to body measurements or other
reasonable body surface examinations;
(8) Submitting to the removal of foreign sub-
stances or objects from the surface of the body,
if the removal does not involve an unreasonable
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intrusion of the body or an unreasonable affront
to the dignity of the individual;
(9) Submitting to the taking of specimens of
blood and urine, if the taking does not involve an
unreasonable intrusion of the body or an unrea-
sonable affront to the dignity of the individual;
(10) Submitting to physical examinations,
including X-rays under medical supervision; or
(11) Submitting to chemical or physical tests of
the surface of the body which do not involve an
unreasonable intrusion of the body or an unrea-
sonable affront to the dignity of the individual or
a significant risk of injury.
(P.B. 1978-1997, Sec. 778.)
Sec. 40-35. —Contents of Order
An order under Sections 40-32 through 40-39
shall specify with particularity the authorized pro-
cedure, the scope of the defendant’s participation,
the time, duration, place, and other conditions of
the procedure, and the person or persons who
may conduct it. It shall inform the defendant that
he or she may not be subjected to investigative
interrogation while participating in or being pre-
sent for the procedure, and that he or she may
be held in contempt of court by failing to appear
and participate in the procedure as directed. It
may also direct the defendant not to alter substan-
tially any identifying physical characteristics to be
examined or to destroy any evidence sought.
(P.B. 1978-1997, Sec. 779.)
Sec. 40-36. —Service of Order
An order under Sections 40-32 through 40-39
shall be served by delivering a copy of the order
to the defendant personally and to his or her coun-
sel, if represented by counsel.
(P.B. 1978-1997, Sec. 780.)
Sec. 40-37. —Implementation of Order
An order directing the defendant to participate
shall be implemented in the following manner:
(1) While participating in or being present for
an authorized procedure, the defendant may be
accompanied by counsel and by an observer of
choice. The presence of other persons at the pro-
cedure may be limited as the judicial authority
deems appropriate under the circumstances.
(2) The procedure shall be conducted with dis-
patch. If the taking of a specimen or the removal
of a foreign substance involves an intrusion of
the body, medical or other qualified supervision
is required. Upon timely request of the defendant
and approval by the judicial authority, the defend-
ant may have a qualified physician designated by
the defendant in attendance.
SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS Sec. 40-44
(3) The defendant may not be subjected to
investigative interrogation while participating in or
being present for the procedure.
(4) Any evidence obtained from the defendant
may be used only with respect to the offense
charged or any related offense.
(5) The defendant shall be furnished with a
report of the results of the procedure within fifteen
days of its completion.
(P.B. 1978-1997, Sec. 781.)
Sec. 40-38. —Obtaining Nontestimonial Evi-
dence from Defendant upon Motion of
Defendant
Upon motion of a defendant who has been
arrested, summoned, or charged in a complaint
or information, the judicial authority by order may
direct the prosecuting authority to arrange for the
defendant’s participation in one or more of the
procedures specified in Sections 40-32 through
40-39, if the judicial authority finds that the evi-
dence sought could contribute to an adequate
defense. The order shall specify with particularity
the authorized procedure, the scope of the
defendant’s permitted participation, the designa-
tion of representatives of the prosecution who may
be present, the time, duration, place and other
conditions of the procedure, and the person or
persons who may conduct the procedure. Sec-
tions 40-32 through 40-37 apply to procedures
ordered under this section.
(P.B. 1978-1997, Sec. 782.)
Sec. 40-39. —Comparing Nontestimonial
Evidence
Upon motion of the defendant, the judicial
authority by order may direct a prosecuting
authority to have a scientific comparison made
between a specified sample or specimen of non-
testimonial evidence in the prosecuting authority’s
possession or control and other nontestimonial
evidence of a similar character in the prosecuting
authority’s possession or control, if the judicial
authority finds that the results of the comparison
could contribute to an adequate defense. The
order shall specify the comparison authorized, the
person or persons who may make it, and the
appropriate conditions under which it is to be
made.
(P.B. 1978-1997, Sec. 783.)
Sec. 40-40. Protective Orders; Relief
Upon the filing of a motion for a protective order
by either party and after a hearing thereon, the
judicial authority may at any time order that dis-
closure or inspection be denied, restricted or
deferred, or that reasonable conditions be
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imposed as to the manner of inspection, photo-
graphing, copying or testing, to the extent neces-
sary to protect the evidentiary values of any
information or material.
(P.B. 1978-1997, Sec. 785.)
Sec. 40-41. —Grounds for Protective Order
In deciding the motion for a protective order the
judicial authority may consider the following:
(1) The timeliness of the motion;
(2) The protection of witnesses and others from
physical harm, threats of harm, bribes, economic
reprisals and other intimidation;
(3) The maintenance of secrecy regarding infor-
mants as required for effective investigation of
criminal activity;
(4) The protection of confidential relationships,
privileges and communications recognized by
law; and
(5) Any other relevant considerations.
(P.B. 1978-1997, Sec. 786.)
Sec. 40-42. —In Camera Proceedings
Upon the hearing of any motion under Sections
40-40 through 40-43, the judicial authority may
permit all or part of any showing of cause for
denial or deferral of access to be made in camera
and out of the presence of the opposing party.
Any in camera proceedings shall be recorded ver-
batim. If the judicial authority allows any access
to be denied or deferred, the entire record of the
in camera proceedings shall be sealed and pre-
served in the court’s records, to be made available
to the appellate court in the event of an appeal.
(P.B. 1978-1997, Sec. 787.)
Sec. 40-43. —Excision as Protective Order
If the moving party claims in a motion for a
protective order that a portion of any information
or materials requested or required to be disclosed
is not subject to disclosure or inspection or con-
tains irrelevant material, that party shall deliver
such information or materials to the judicial
authority for inspection in camera out of the pres-
ence of the other party. If the judicial authority
excises any portion of such information or materi-
als, a record of the in camera proceedings shall
be made and sealed and preserved in the court’s
records, to be made available to the appellate
court in the event of an appeal. That portion of
the information or materials made available to the
other party shall show that an excision has
been made.
(P.B. 1978-1997, Sec. 788.)
Sec. 40-44. Depositions; Grounds
In any case involving an offense for which the
punishment may be imprisonment for more than
SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERSSec. 40-44
one year the judicial authority, upon request of
any party, may issue a subpoena for the appear-
ance of any person at a designated time and place
to give his or her deposition if such person’s testi-
mony may be required at trial and it appears to
the judicial authority that such person:
(1) Will, because of physical or mental illness
or infirmity, be unable to be present to testify at
any trial or hearing; or
(2) Resides outside of this state, and his or her
presence cannot be compelled under the provi-
sions of General Statutes § 54-82i; or
(3) Will otherwise be unable to be present to
testify at any trial or hearing; or
(4) Is an expert who has examined a defendant
pursuant to Sections 40-17 through 40-19 and
has failed to file a written report as provided by
such sections.
(P.B. 1978-1997, Sec. 791.)
Sec. 40-45. —Failure to Appear for Depo-
sition
If, after proper service within this state of a sub-
poena, the person subpoenaed fails to appear at
the designated place and time, the judicial author-
ity may issue a capias directed to a proper officer
to arrest and bring such person before the judi-
cial authority.
(P.B. 1978-1997, Sec. 792.)
Sec. 40-46. —Use of Deposition
So far as otherwise admissible under the rules
of evidence, a deposition may be used as evi-
dence at the trial or at any hearing if the deponent
is unavailable, as defined in Section 40-56. Any
deposition may also be used by any party for
the purpose of contradicting or impeaching the
testimony of the deponent as a witness. If only a
part of a deposition is offered in evidence by a
party, an adverse party may require such party
to offer, or may himself or herself offer, all of it
which is relevant to the part offered.
(P.B. 1978-1997, Sec. 793.)
Sec. 40-47. —Notice and Person Taking
Deposition
The party at whose request the deposition is to
be taken shall give the other parties reasonable
written notice of the name and address of each
person to be examined, the time and place for
the deposition, and the manner of recording. The
deposition may be taken before any officer author-
ized to administer oaths and agreed to by the
parties or, absent such agreement, designated by
the judicial authority. Such notice shall be served
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upon each party or each party’s attorney by per-
sonal or abode service or by registered or certi-
fied mail.
(P.B. 1978-1997, Sec. 794.)
Sec. 40-48. —Protective Order Prior to
Deposition
After a deposition is ordered, upon written
motion seasonably made and served on all
affected persons by a party or by the deponent,
the judicial authority may for good cause shown
change the time, place, or manner of recording
the deposition, or order that it shall not be taken
or that the scope of the examination shall be lim-
ited to certain matters, or make any other order
which justice requires. Upon written demand of
the objecting party or the deponent, the taking of
the deposition shall be suspended for the time
required to act upon the motion. In no event shall
the deposition of the defendant be taken without
the defendant’s consent.
(P.B. 1978-1997, Sec. 795.)
Sec. 40-49. —Manner of Taking Deposition
The witness shall be put on oath and a verbatim
record of his or her testimony shall be made. The
testimony shall be taken stenographically and
transcribed, unless the judicial authority orders
otherwise. In the event that the judicial authority
orders that the testimony at a deposition be
recorded by other than stenographic means, the
order shall designate the manner of recording,
(such as by videotape) preserving, and filing the
deposition, and it may include other provisions to
assure that the recorded testimony will be accu-
rate and trustworthy. If such an order is made, a
party may nevertheless arrange to have a steno-
graphic transcription made at his or her own
expense.
(P.B. 1978-1997, Sec. 796.)
Sec. 40-50. —Scope of Examination at
Deposition
The scope and manner of examination and
cross-examination shall be the same as that
allowed at trial. Each party having possession of
a statement of the deponent shall make the state-
ment available to the other party for examination
and use at the taking of a deposition if such other
party would be entitled to the statement at trial.
(P.B. 1978-1997, Sec. 797.)
Sec. 40-51. —Objections at Depositions
All objections made at the time of the examina-
tion to the qualifications of the person taking the
deposition, or to the manner of taking it, or to
the questions or evidence presented, or to the
conduct of any party, and any other objection to
SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS Sec. 40-58
the proceedings shall be recorded by the person
before whom the deposition is taken.
(P.B. 1978-1997, Sec. 798.)
Sec. 40-52. —Protective Order during Depo-
sition
(a) At any time during the taking of the deposi-
tion, upon motion of a party or of the deponent,
and upon a showing that the examination is being
conducted in bad faith, or in such manner as to
annoy, embarrass, or oppress the deponent or a
party, or to elicit privileged testimony, the judicial
authority who ordered the deposition taken may
order the person conducting the examination
immediately to cease taking the deposition, or it
may limit the scope and manner of taking the
deposition by ordering:
(1) That certain matters not be inquired into, or
that the scope of the examination be limited to
certain matters; or
(2) That the examination be conducted with no
one present except those persons designated by
the judicial authority.
(b) Upon demand of the objecting party or the
deponent, the taking of the deposition shall be
suspended for the time necessary to act upon
the motion.
(P.B. 1978-1997, Sec. 799.)
Sec. 40-53. —Return of Deposition
Except as otherwise provided in these rules, or
as ordered by the judicial authority, depositions
shall be sealed by the authority taking them and
returned to the clerk of the court in which the
prosecution is pending, who shall file such deposi-
tions. Any deposition returned unsealed or with
the seal broken may be rejected by the judicial
authority who ordered its taking.
(P.B. 1978-1997, Sec. 800.)
Sec. 40-54. —Right of Defendant to Be Pre-
sent and Represented at Deposition
A defendant shall have the right to be present
in person at any deposition subject to such terms
and conditions as may be established by the judi-
cial authority. Upon the application for the taking
of a deposition, the judicial authority shall advise
any defendant who is without counsel of the right
thereto and assign counsel to represent such
defendant unless he or she elects to proceed with-
out counsel or is able to obtain counsel.
(P.B. 1978-1997, Sec. 801.)
Sec. 40-55. —Waiver of Presence and Fail-
ure to Appear at Deposition
A defendant may waive, in writing, the right to
be present in person. Failure of a defendant not
in custody, absent good cause shown, to appear
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after notice, shall constitute a waiver of that right
and of any objection to the taking and use of the
deposition based upon that right. The deposition
shall not be admissible in evidence if the defend-
ant has not appeared in person and has not validly
waived his or her right to appear. When a deposi-
tion is taken in the absence of the defendant,
the prosecuting authority shall file a copy of the
deposition within thirty days for inspection by the
defendant, unless before that time he or she has
delivered the deposition or a copy thereof to the
defendant. If this section is not complied with,
such deposition shall not be admissible in
evidence.
(P.B. 1978-1997, Sec. 802.)
Sec. 40-56. —Definition of Unavailable
(a) ‘‘Unavailable’’ as used in Section 40-46
includes situations in which the deponent:
(1) Is exempted by a ruling of the judicial author-
ity on the ground of privilege from testifying con-
cerning the subject matter of his or her deposition;
(2) Persists in refusing to testify concerning the
subject matter of his or her deposition despite an
order of the judicial authority to do so;
(3) Testifies to a lack of memory of the subject
matter of his or her deposition;
(4) Is unable to be present or to testify at a trial
or hearing because of his or her death or physical
or mental illness or infirmity; or
(5) Is absent from the trial or hearing and the
proponent of his or her deposition has been
unable to procure his or her attendance by sub-
poena or by other reasonable means.
(b) A deponent is not unavailable as a witness
if his or her exemption, refusal, claim of lack of
memory, inability, or absence is the result of the
procurement or wrongdoing by the proponent of
his or her deposition for the purpose of preventing
the witness from attending or testifying.
(P.B. 1978-1997, Sec. 803.)
Sec. 40-57. —Taking and Use in Court of
Deposition by Agreement
Nothing in Sections 40-44 through 40-58 pre-
cludes the taking of a deposition, orally or upon
written interrogatories, or the use of a deposition
by agreement of the parties with the consent of
the judicial authority.
(P.B. 1978-1997, Sec. 804.)
Sec. 40-58. —Expenses of Deposition and
Copies
All expenses incurred in the taking of a deposi-
tion, including a copy for each adverse party, but
excluding counsel’s fees, shall be paid by the
party taking the deposition.
(P.B. 1978-1997, Sec. 805.)
SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERSSec. 41-1
CHAPTER 41
PRETRIAL MOTIONS
Sec. Sec.
41-1. Pretrial Motion Practice; Exclusive Procedures
41-2. —Matters to Be Raised by Motion
41-3. —Pretrial Motions and Requests
41-4. —Failure to Raise Defense, Objection or Request
41-5. —Time for Making Pretrial Motions or Requests
41-6. —Form and Manner of Making Pretrial Motions
41-7. —Hearing and Ruling on Pretrial Motions
41-8. Motion to Dismiss
41-9. —Restriction on Motion to Dismiss
41-10. —Defects Not Requiring Dismissal
41-11. —Remedies for Minor Defects Not Requiring Dis-
missal
41-12. Motion to Suppress
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-
sive Procedures
Except as otherwise provided in these rules, all
motions to strike, motions to quash, motions to
dismiss, and other dilatory pleas are abolished,
and defenses and objections which heretofore
could have been raised by one or more of them
may be raised only by motions made in conformity
with this chapter.
(P.B. 1978-1997, Sec. 807.)
Sec. 41-2. —Matters to Be Raised by Motion
Any defense, objection or request capable of
determination without a trial of the general issue
may be raised only by a pretrial motion made in
conformity with this chapter.
(P.B. 1978-1997, Sec. 808.)
Sec. 41-3. —Pretrial Motions and Requests
Unless otherwise provided by statute or rule, or
permitted by the judicial authority for good cause
shown, pretrial motions and requests shall consist
only of one or more of the following:
(1) Motions to dismiss under Sections 41-8
through 41-11;
(2) Motions and requests for discovery and
depositions under chapter 40;
(3) Motions to suppress evidence under Sec-
tions 41-12 through 41-17;
(4) Motions for joinder or severance under Sec-
tions 41-18 and 41-19;
(5) Motions for a bill of particulars under Sec-
tions 41-20 through 41-22;
(6) Motions for transfer of prosecution under
Sections 41-23 through 41-25.
(P.B. 1978-1997, Sec. 809.)
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41-13. —Return and Suppression of Seized Property
41-14. —Suppression of Intercepted Communications
41-15. —Time for Filing Motion to Suppress
41-16. —Effect on Seized Property of Granting Motion
41-17. —Particular Judicial Authority May Not Hear Motion
41-18. Severance of Offenses
41-19. Trial Together of Informations
41-20. Bill of Particulars; Time for Filing
41-21. —Content of Bill
41-22. —Furnishing of Bill
41-23. Transfer of Prosecution; Grounds
41-24. —Time for Motion to Transfer
41-25. —Proceedings on Transfer
Sec. 41-4. —Failure to Raise Defense,
Objection or Request
Failure by a party, at or within the time provided
by these rules, to raise defenses or objections or
to make requests that must be made prior to trial
shall constitute a waiver thereof, but a judicial
authority, for good cause shown, may grant relief
from such waiver, provided, however, that lack of
jurisdiction over the offense charged or failure of
the information to charge an offense may be
raised by the defendant or noticed by the judicial
authority at any time during the pendency of the
proceedings.
(P.B. 1978-1997, Sec. 810.)
Sec. 41-5. —Time for Making Pretrial
Motions or Requests
Unless otherwise provided by these rules or
statute, all pretrial motions or requests shall be
made not later than ten days after the first pretrial
conference in the court where the case will be
tried, or, with permission of the judicial authority,
at such later time as the judicial authority may fix.
However, defenses and objections alleging lack
of jurisdiction over the offense charged or failure
of the information to charge an offense may be
raised by the defendant or noticed by the judicial
authority at any time during the pendency of the
proceedings.
(P.B. 1978-1997, Sec. 811.)
Sec. 41-6. —Form and Manner of Making
Pretrial Motions
Pretrial motions shall be written and served in
accordance with Sections 10-12 through 10-17
SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS Sec. 41-13
unless, for good cause shown, the judicial author-
ity shall grant permission to make an oral pretrial
motion. Every written motion shall include a state-
ment of the factual and legal or other basis there-
for, shall state whether the same or a similar
motion was previously filed and ruled upon, and
shall have annexed to it a proper order. All
defenses and objections that must be raised by
motion prior to trial shall, to the extent possible,
be raised at the same time.
(P.B. 1978-1997, Sec. 812.)
Sec. 41-7. —Hearing and Ruling on Pretrial
Motions
A motion made before trial shall be determined
prior to trial, unless the judicial authority orders
that the ruling be deferred until during the trial of
the general issue or until after the verdict. Unless
the judicial authority otherwise permits, all pretrial
motions pending at the time for the hearing of any
pretrial motion shall be heard at the same time.
The judicial authority may order the filing of briefs
prior to, at, or following such hearing. Where fac-
tual issues are involved in determining a motion,
the judicial authority shall state its essential find-
ings on the record. A verbatim record shall be
made of all proceedings at a hearing on a pretrial
motion, including such findings of fact and conclu-
sions of law as are made orally. All motions which
require an evidentiary hearing shall be heard by
the judicial authority to whom the case has been
assigned for trial, unless otherwise provided by
rule or statute, or otherwise ordered by the presid-
ing judge.
(P.B. 1978-1997, Sec. 813.)
Sec. 41-8. Motion to Dismiss
The following defenses or objections, if capable
of determination without a trial of the general
issue, shall, if made prior to trial, be raised by a
motion to dismiss the information:
(1) Defects in the institution of the prosecution
including any grand jury proceedings;
(2) Defects in the information including failure
to charge an offense;
(3) Statute of limitations;
(4) Absence of jurisdiction of the court over the
defendant or the subject matter;
(5) Insufficiency of evidence or cause to justify
the bringing or continuing of such information or
the placing of the defendant on trial;
(6) Previous prosecution barring the present
prosecution;
(7) Claim that the defendant has been denied
a speedy trial;
(8) Claim that the law defining the offense
charged is unconstitutional or otherwise invalid; or
(9) Any other grounds.
(P.B. 1978-1997, Sec. 815.)
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Sec. 41-9. —Restriction on Motion to
Dismiss
No defendant who is charged with a crime pun-
ishable by death or life imprisonment for which
probable cause has been found at a preliminary
hearing pursuant to General Statutes § 54-46a or
who has been arrested pursuant to a warrant may
make a motion under subdivisions (5) or (9) of
Section 41-8.
(P.B. 1978-1997, Sec. 816.)
Sec. 41-10. —Defects Not Requiring Dis-
missal
No information shall be dismissed because of
any defect or imperfection in, or omission of, any
matter of form only, or because of any miswriting,
misspelling or improper English, or because of
any use of a sign, symbol, figure or abbreviation
or, because of any similar defect, imperfection
or omission. No information shall be dismissed
merely for misjoinder of parties accused, misjoin-
der of offenses charged, multiplicity, duplicity or
uncertainty, provided an offense is charged.
(P.B. 1978-1997, Sec. 817.)
Sec. 41-11. —Remedies for Minor Defects
Not Requiring Dismissal
If the judicial authority determines that any of
the defects stated in Section 41-10 exist in any
information, it shall order such relief as is required
to remedy such defect, including the severance
of such information into separate counts or the
filing of a bill of particulars. No appeal, or motion
made after verdict, based on any of the defects
enumerated in Section 41-10 shall be sustained
unless it is affirmatively shown that the defendant
was, in fact, prejudiced in his or her defense upon
the merits and that substantial injustice was done
to the defendant because of such defect.
(P.B. 1978-1997, Sec. 818.)
Sec. 41-12. Motion to Suppress
Upon motion, the judicial authority shall sup-
press potential testimony or other evidence if it
finds that suppression is required under the con-
stitution or laws of the United States or the state
of Connecticut.
(P.B. 1978-1997, Sec. 821.)
Sec. 41-13. —Return and Suppression of
Seized Property
A person aggrieved by a search and seizure
may make a motion to the judicial authority who
has jurisdiction of the case, or if such jurisdiction
has not yet been invoked, then to the judicial
authority who issued the warrant or to the court
in which the case is pending, for the return of
SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERSSec. 41-13
specific items of property and to suppress their
use as evidence on the grounds that:
(1) The property was illegally seized without a
warrant under circumstances requiring a warrant;
(2) The warrant is insufficient on its face;
(3) The property seized is not that described in
the warrant;
(4) There was not probable cause for believing
the existence of the grounds on which the warrant
was issued; or
(5) The warrant was illegally executed.
(P.B. 1978-1997, Sec. 822.)
Sec. 41-14. —Suppression of Intercepted
Communications
Any aggrieved person in any trial, hearing or
proceeding in or before any court may move to
suppress the contents of any intercepted wire
communication, or any evidence derived there-
from, on the grounds that:
(1) The communication was unlawfully inter-
cepted under the provisions of chapter 959a of
the General Statutes;
(2) The order of authorization or approval under
which it was intercepted is insufficient on its face;
(3) The interception was not made in conformity
with the order of authorization or approval; or
(4) The interception was otherwise illegal.
(P.B. 1978-1997, Sec. 823.)
Sec. 41-15. —Time for Filing Motion to
Suppress
A motion under Sections 41-12 through 41-17
shall be made before trial or hearing in accord-
ance with Section 41-5 unless opportunity therefor
did not exist or the defendant or other moving
party was not aware of the grounds of the motion,
in which case such motion may be made at any
time during the trial or the pendency of any pro-
ceeding. The judicial authority in its discretion may
entertain such a motion at any time.
(P.B. 1978-1997, Sec. 824.)
Sec. 41-16. —Effect on Seized Property of
Granting Motion
If the judicial authority grants a motion made
under Sections 41-12 through 41-17, the property
seized shall be returned unless the judicial author-
ity finds that the property is subject to lawful deten-
tion or destruction.
(P.B. 1978-1997, Sec. 825.)
Sec. 41-17. —Particular Judicial Authority
May Not Hear Motion
A judicial authority who signed any warrant or
order for the seizure of property, testimony or evi-
dence or for the interception of any communica-
tions shall not preside at any hearing on a motion
made pertaining to such warrant or order.
(P.B. 1978-1997, Sec. 826.)
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Sec. 41-18. Severance of Offenses
If it appears that a defendant is prejudiced by
a joinder of offenses, the judicial authority may,
upon its own motion or the motion of the defend-
ant, order separate trials of the counts or provide
whatever other relief justice may require.
(P.B. 1978-1997, Sec. 828.)
Sec. 41-19. Trial Together of Informations
The judicial authority may, upon its own motion
or the motion of any party, order that two or more
informations, whether against the same defend-
ant or different defendants, be tried together.
(P.B. 1978-1997, Sec. 829.)
Sec. 41-20. Bill of Particulars; Time for Filing
Pursuant to Section 41-5, the defendant may
make a motion, or the judicial authority may order
at any time, that the prosecuting authority file a
bill of particulars.
(P.B. 1978-1997, Sec. 831.)
Sec. 41-21. —Content of Bill
The judicial authority shall order that a bill of
particulars disclose information sufficient to
enable the defendant to prepare the defense,
including but not being limited to reasonable
notice of the crime charged and the date, time,
and place of its commission.
(P.B. 1978-1997, Sec. 832.)
Sec. 41-22. —Furnishing of Bill
When any bill of particulars is ordered, an
amended or substitute information shall be filed
incorporating its provisions.
(P.B. 1978-1997, Sec. 833.)
Sec. 41-23. Transfer of Prosecution;
Grounds
Upon motion of the prosecuting authority or the
defendant, or upon its own motion, the judicial
authority may order that any pending criminal mat-
ter be transferred to any other court location:
(1) If the judicial authority is satisfied that a fair
and impartial trial cannot be had where the case
is pending;
(2) If the defendant and the prosecuting author-
ity consent; or
(3) Where the joint trial of informations is
ordered pursuant to Section 41-19 and the cases
are pending in different judicial districts or geo-
graphical areas.
(P.B. 1978-1997, Sec. 835.)
Sec. 41-24. —Time for Motion to Transfer
A motion for transfer of prosecution shall be
made within the time prescribed by Section 41-5
for making pretrial motions.
(P.B. 1978-1997, Sec. 836.)
SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS Sec. 41-25
Sec. 41-25. —Proceedings on Transfer
The clerk of the court in which such case is
pending shall transmit the original files and papers
therein, with a certificate of such transfer, to the
clerk of the court to which such case is transferred,
who shall at once enter it on the docket of such
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court. Such case may be heard at a session of
such court then being held, or thereafter to be
held, for the transaction of criminal business and
may be there proceeded with and in the same
manner as if it were originally brought to such
court.
(P.B. 1978-1997, Sec. 837.)
SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERSSec. 42-1
CHAPTER 42
TRIAL PROCEDURE
Sec. Sec.
42-1. Jury Trials; Right to Jury Trial and Waiver
42-2. —Two Part Information
42-3. —Size of Jury
42-4. —Challenge to Array
42-5. —Disqualification of Jurors and Selection of Panel
42-6. —View by Jury of Place or Thing Involved in Case
42-7. —Communications between Judicial Authority
and Jury
42-8. —Communications between Parties and Jurors
42-9. —Juror Questions and Note Taking
42-10. Selection of Jury; Deaf or Hearing Impaired Jurors
42-11. —Preliminary Proceedings in Jury Selection
42-12. —Voir Dire Examination
42-13. —Peremptory Challenges
42-14. —Oath and Admonitions to Trial Jurors
42-15. Motion in Limine
42-16. Requests to Charge and Exceptions; Necessity for
42-17. —Filing Requests
42-18. —Form and Contents of Requests to Charge
42-19. —Charge Conference
42-20. Submission for Verdict; Role of Judicial Authority
in Trial
42-21. Jury Deliberations
42-22. Sequestration of Jury
42-23. Materials to Be Submitted to Jury
42-24. Modification of Instructions for Correction or Clarifi-
cation
42-25. —Other Instructions after Additional Instructions
42-26. Jury Requests for Review of Testimony
42-27. Jury Requests for Additional Instructions
42-28. Deadlocked Jury
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
and Waiver
The defendant in a criminal action may demand
a trial by jury of issues which are triable of right
by jury. If at the time the defendant is put to plea,
he or she elects a trial by the court, the judicial
authority shall advise the defendant of his or her
right to a trial by jury and that a failure to elect a
jury trial at that time may constitute a waiver of
that right. If the defendant does not then elect a
jury trial, the defendant’s right thereto may be
deemed to have been waived.
(P.B. 1978-1997, Sec. 839.)
Sec. 42-2. —Two Part Information
When an information is divided into two parts
under Section 36-14, on a finding of guilty on the
first part of the information, a plea shall be taken
and, if necessary, election made on the second
part and the trial thereon proceeded with. If the
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42-29. Verdict; Return of Verdict
42-30. —Acceptance of Verdict
42-31. —Poll of Jury after Verdict
42-32. —Discharge of Jury
42-33. —Impeachment of Verdict
42-34. Trial without Jury
42-35. Order of Parties Proceeding at Trial
42-36. Sequestration of Witnesses
42-37. Time Limits in Argument
42-38. Order of Proceeding of Defendants
42-39. Judicial Appointment of Expert Witnesses
42-40. Motions for Judgment of Acquittal; In General
42-41. —At Close of Prosecution’s Case
42-42. —At Close of Evidence
42-43. Motion for Mistrial; For Prejudice to Defendant
42-44. —For Prejudice to State
42-45. Jury’s Inability to Reach Verdict
42-46. Control of Judicial Proceedings; Restraint of Dis-
ruptive Defendant
42-47. —Removal of Disruptive Defendant
42-48. —Cautioning Parties and Witnesses
42-49. Closure of Courtroom in Criminal Cases
42-49A. Sealing or Limiting Disclosure of Documents in
Criminal Cases
42-50. Motion for Judgment of Acquittal; After Mistrial
42-51. —Upon Verdict of Guilty
42-52. —Time for Filing Motion for Judgment of Acquittal
42-53. Motion for New Trial; In General
42-54. —Time for Filing Motion for New Trial
42-55. —Time for Filing Motion for New Trial Based on
Newly Discovered Evidence
42-56. Motion in Arrest of Judgment
defendant elects a jury trial on the second part of
the information, such trial may be had to the same
or to another jury as the judicial authority may
direct.
(P.B. 1978-1997, Sec. 840.)
Sec. 42-3. —Size of Jury
The parties, after submission of the matter to
the jury and prior to the verdict, may, by stipulation
in writing and with the approval of the judicial
authority, elect to have the verdict rendered by a
number of jurors fewer than that prescribed by
law. The judicial authority shall not permit such
an election or stipulation unless the defendant,
after being advised by the judicial authority of his
or her right to a trial by a full jury, personally waives
such right either in writing or in open court on
the record.
(P.B. 1978-1997, Sec. 841.)
SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS Sec. 42-9
Sec. 42-4. —Challenge to Array
Any party may challenge an array on the ground
that there has been a material departure from the
requirements of law governing the selection and
summoning of an array. Such challenge shall be
made within five days after notification of the hear-
ing or trial date, unless the defect claimed has
arisen subsequent to the time required to make
such motion.
(P.B. 1978-1997, Sec. 842.)
Sec. 42-5. —Disqualification of Jurors and
Selection of Panel
A person shall be disqualified to serve as a juror
if such person is found by the judicial authority to
exhibit any quality which will impair that person’s
capacity to serve as a juror, except that no person
shall be disqualified on the basis of deafness or
hearing impairment. The clerk shall keep a list of
all persons disqualified under this section and
shall send a copy of that list to the jury administra-
tor at such time as the jury administrator may
direct. The clerk of the court, in impaneling the
jury for the trial of each cause, shall, when more
jurors are in attendance than are required for the
panel, designate by lot those who shall compose
the panel.
(P.B. 1978-1997, Sec. 843.)
Sec. 42-6. —View by Jury of Place or Thing
Involved in Case
When the judicial authority is of the opinion that
a viewing by the jury of the place where the
offense being tried was committed, or of any other
place or thing involved in the case, will be helpful
to the jury in determining any material factual
issue, it may in its discretion, at any time before
the closing arguments, order that the jury be con-
ducted to such place or location of such thing.
During the viewing the jury must be kept together
under the supervision of a proper officer appointed
by the judicial authority. The judicial authority and
a court reporter must be present, and, with the
judicial authority’s permission, any other person
may be present. The prosecuting authority, the
defendant and defense counsel may as a matter
of right be present, but the right may be waived.
The purpose of viewing shall be solely to permit
visual observation by the jury of the place or thing
in question and to permit a brief description of the
site or thing being viewed by the judicial authority
or by any witness or witnesses as allowed by the
judicial authority. Any proceedings at the location,
including examination of witnesses, shall be at
the discretion of the judicial authority. Neither the
parties nor counsel nor the jurors while viewing
the place or thing may engage in discussion of
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the significance or the implications of anything
under observation or of any issue in the case.
(P.B. 1978-1997, Sec. 844.)
Sec. 42-7. —CommunicationsbetweenJudi-
cial Authority and Jury
All communications from the jury to the judicial
authority shall be in writing. The judicial authority
shall require that a record be kept of all communi-
cations received by it from a juror or the jury after
the jury has been sworn, and it shall not communi-
cate with a juror or the jury on any aspect of the
case itself, as distinguished from matters relating
to physical comforts and the like, except after
notice to all parties and reasonable opportunity
for them to be present.
(P.B. 1978-1997, Sec. 845.)
Sec. 42-8. —Communications between Par-
ties and Jurors
(a) No party, and no attorney, employee, repre-
sentative or agent of any party or attorney, shall
contact, communicate with or interview any juror
or alternate juror, or any relative, friend or associ-
ate of any juror or alternate juror concerning the
deliberations or verdict of the jury or of any individ-
ual juror or alternate juror in any action:
(1) during trial until the jury has returned a ver-
dict and/or the jury has been dismissed by the
judicial authority, except upon leave of the judicial
authority, which shall be granted only upon a
showing of good cause; or
(2) in any manner after trial which subjects the
juror to harassment, misrepresentation, duress
or coercion.
(b) After trial, jurors have no obligation to speak
to any person about any case and may refuse all
interviews or requests to discuss the case, except
as ordered by the court. However, jurors shall
report to the court any extraneous prejudicial infor-
mation improperly brought to the jury’s attention,
any outside influence improperly brought to bear
upon any juror, or whether the verdict reported
was the result of a clerical mistake.
(c) A violation of subsection (a) may, where
appropriate, be treated as a contempt of court,
and may be punished accordingly. The judicial
authority shall have continuing supervision over
communications with jurors, even after a trial has
been completed.
(P.B. 1978-1997, Sec. 845A.) (Amended June 15, 2012,
to take effect Jan. 1, 2013.)
Sec. 42-9. —Juror Questions and Note
Taking
The members of the jury may, in the discretion
of the judicial authority, take notes and submit
SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERSSec. 42-9
questions to be asked of witnesses during the trial
of a criminal action.
(P.B. 1978-1997, Sec. 845B.)
Sec. 42-10. Selection of Jury; Deaf or Hear-
ing Impaired Jurors
At the request of a deaf or hearing impaired
juror or the judicial authority, an interpreter or
interpreters provided by the commission on the
deaf and hearing impaired and qualified under
General Statutes § 46a-33a shall assist such juror
during the juror orientation program and all subse-
quent proceedings, and when the jury assembles
for deliberation.
(P.B. 1978-1997, Sec. 846A.) (Amended August 24, 2001,
to take effect Jan. 1, 2002.)
Sec. 42-11. —Preliminary Proceedings in
Jury Selection
The judicial authority shall cause prospective
jurors to be sworn or affirmed in accordance with
General Statutes §§ 1-23 and 1-25. The judicial
authority shall require counsel to make a prelimi-
nary statement as to the names of other counsel
with whom he or she is affiliated and other relevant
facts, and shall require counsel to disclose the
names, and if ordered by the judicial authority,
the addresses of all witnesses counsel intends to
call at trial. The judicial authority may excuse any
prospective juror for cause.
(P.B. 1978-1997, Sec. 847.)
Sec. 42-12. —Voir Dire Examination
Each party shall have the right to examine, per-
sonally or by counsel, each juror outside the pres-
ence of other prospective jurors as to
qualifications to sit as a juror in the action, or as
to interest, if any, in the subject matter of the
action, or as to relations with the parties thereto.
If the judicial authority before whom such exami-
nation is held is of the opinion from such examina-
tion that any juror would be unable to render a
fair and impartial verdict, such juror shall be
excused by the judicial authority from any further
service upon the panel, or in such action, as the
judicial authority determines. The judicial authority
shall not abridge the right of such examination by
requiring counsel or the defendant to put ques-
tions to any juror in writing and to submit them in
advance of the commencement of the trial.
(P.B. 1978-1997, Sec. 848.) (Amended June 22, 2009, to
take effect Jan. 1, 2010.)
Sec. 42-13. —Peremptory Challenges
The prosecuting authority and the defendant
may challenge peremptorily the number of jurors
which each is entitled to challenge by law.
(P.B. 1978-1997, Sec. 849.)
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Sec. 42-14. —Oath and Admonitions to
Trial Jurors
(a) The judicial authority shall cause the jurors
selected for the trial to be sworn or affirmed in
accordance with General Statutes §§ 1-23 and 1-
25. The judicial authority shall admonish the jurors
not to read, listen to or view news reports of the
case or to discuss with each other or with any
person not a member of the jury the cause under
consideration, except that after the case has been
submitted to the jury for deliberation the jurors
shall discuss it among themselves in the jury
room.
(b) In the presence of the jury, the judicial
authority shall instruct any interpreter for a deaf
or hearing impaired juror to refrain from participat-
ing in any manner in the deliberations of the jury
and to refrain from having any communications,
oral or visual, with any member of the jury except
for the literal translation of jurors’ remarks made
during deliberations.
(P.B. 1978-1997, Sec. 850.)
Sec. 42-15. Motion in Limine
The judicial authority to whom a matter has
been referred for trial may in its discretion enter-
tain a motion in limine made by either party regard-
ing the admission or exclusion of anticipated
evidence. Such motion shall be in writing and shall
describe the anticipated evidence and the preju-
dice which may result therefrom. The judicial
authority may grant the relief sought in the motion
or such other relief as it may deem appropriate,
may deny the motion with or without prejudice to
its later renewal, or may reserve decision thereon
until a later time in the proceeding.
(P.B. 1978-1997, Sec. 850B.)
Sec. 42-16. Requests to Charge and Excep-
tions; Necessity for
An appellate court shall not be bound to con-
sider error as to the giving of, or the failure to
give, an instruction unless the matter is covered
by a written request to charge or exception has
been taken by the party appealing immediately
after the charge is delivered. Counsel taking the
exception shall state distinctly the matter objected
to and the ground of exception. The exception
shall be taken out of the hearing of the jury.
(P.B. 1978-1997, Sec. 852.)
Sec. 42-17. —Filing Requests
Written requests to charge the jury must be filed
in triplicate with the clerk before the beginning of
the arguments or at such earlier time during the
trial as the judicial authority directs, and the clerk
shall file them and forthwith hand one copy to the
judicial authority and one to opposing counsel. A
SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS Sec. 42-24
party’s requests to charge may be amended in
writing as a matter of right at any time prior to the
beginning of the charge conference.
(P.B. 1978-1997, Sec. 853.)
Sec. 42-18. —Form and Contents of
Requests to Charge
(a) When there are several requests, they shall
be in separate and numbered paragraphs, each
containing a single proposition of law clearly and
concisely stated with the citation of authority upon
which it is based, and the evidence to which the
proposition would apply. Requests to charge
should not exceed fifteen in number unless, for
good cause shown, the judicial authority permits
the filing of an additional number. If the request
is granted, the judicial authority shall apply the
proposition of law to the facts of the case.
(b) A principle of law should be stated in but
one request and in but one way. Requests
attempting to state in different forms the same
principle of law as applied to a single issue are
improper.
(P.B. 1978-1997, Sec. 854.)
Sec. 42-19. —Charge Conference
After the close of evidence but before argu-
ments to the jury, the judicial authority shall, if
requested, inform counsel out of the presence of
the jury of the substance of its proposed
instructions.
The charge conference shall be on the record
or summarized on the record.
(P.B. 1978-1997, Sec. 854A.) (Amended June 25, 2001,
to take effect Jan. 1, 2002.)
Sec. 42-20. Submission for Verdict; Role of
Judicial Authority in Trial
The judicial authority shall decide all issues of
law and all questions of law arising in the trial of
criminal cases. In committing the case to the jury,
if in the opinion of the judicial authority the evi-
dence is not sufficient to justify the finding of guilt
beyond a reasonable doubt, it may direct the jury
to find a verdict of not guilty; otherwise, subject
to the provisions of Section 42-40, the judicial
authority shall submit the facts to the jury without
directing how it is to find the facts or how it is to
render the verdict.
(P.B. 1978-1997, Sec. 855.)
Sec. 42-21. Jury Deliberations
After the case has been submitted to the jury,
the jurors shall be in the custody of an officer who
shall permit no person to be present with them or
to speak to them when assembled for delibera-
tions except a qualified interpreter assisting a deaf
or hearing impaired juror. The jurors shall be kept
together for deliberations as the judicial authority
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reasonably directs. If the judicial authority permits
the jury to recess its deliberations, the judicial
authority shall admonish the jurors not to discuss
the case until they reconvene in the jury room.
The judicial authority shall direct the jurors to
select one of their members to preside over the
deliberations and to deliver any verdict agreed
upon, and the judicial authority shall admonish
the jurors that until they are discharged in the case
they may communicate upon subjects connected
with the trial only while they are convened in the
jury room. If written forms of verdict are submitted
to the jury pursuant to Section 42-23, the member
of the jury selected to deliver the verdict shall sign
any verdict agreed upon.
(P.B. 1978-1997, Sec. 856.)
Sec. 42-22. Sequestration of Jury
If a case involves the penalty of capital punish-
ment or imprisonment for life or is of such notoriety
or its issues are of such a nature that, absent
sequestration, highly prejudicial matters are likely
to come to the jury’s attention, the judicial author-
ity, upon its own motion or the motion of either
party, may order that the jurors remain together
in the custody of an officer during the trial and until
they are discharged from further consideration of
the case. Such order shall include an interpreter
or interpreters assisting a deaf or hearing impaired
juror. A motion to sequester may be made at any
time. The jury shall not be informed which party
requested sequestration.
(P.B. 1978-1997, Sec. 857.)
Sec. 42-23. Materials to Be Submitted to
Jury
(a) The judicial authority shall submit to the jury:
(1) The information upon which the defendant
was tried; and
(2) All exhibits received in evidence.
(b) The judicial authority may, in its discretion,
submit to the jury:
(1) Appropriate written forms of verdict;
(2) A copy or tape recording of the judicial
authority’s instructions to the jury; and
(3) Upon request by the jury, a copy or tape
recording of an appropriate portion of the judicial
authority’s instructions to the jury.
(P.B. 1978-1997, Sec. 858.)
Sec. 42-24. Modification of Instructions for
Correction or Clarification
The judicial authority, after exceptions to the
charge, or upon its own motion, may recall the
jury to the courtroom and give it additional instruc-
tions in order to:
(1) Correct or withdraw an erroneous in-
struction;
SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERSSec. 42-24
(2) Clarify an ambiguous instruction; or
(3) Instruct the jury on any matter which should
have been covered in the original instructions.
(P.B. 1978-1997, Sec. 860.)
Sec. 42-25. —Other Instructions after Addi-
tional Instructions
If the judicial authority gives additional instruc-
tions, it also may give or repeat other instructions
in order to avoid undue emphasis on the additional
instructions. Additional instructions shall be gov-
erned by the procedures set forth in Section 42-
16 concerning exceptions.
(P.B. 1978-1997, Sec. 861.)
Sec. 42-26. Jury Requests for Review of
Testimony
If the jury after retiring for deliberations requests
a review of certain testimony, the jury shall be
conducted to the courtroom. Whenever the jury’s
request is reasonable, the judicial authority, after
notice to and consultation with the prosecuting
authority and counsel for the defense, shall have
the requested parts of the testimony read to the
jury.
(P.B. 1978-1997, Sec. 863.)
Sec. 42-27. Jury Requests for Additional
Instructions
If the jury, after retiring for deliberations,
requests additional instructions, the judicial
authority, after providing notice to the parties and
an opportunity for suggestions by counsel, shall
recall the jury to the courtroom and give additional
instructions necessary to respond properly to the
request or to direct the jury’s attention to a portion
of the original instructions.
(P.B. 1978-1997, Sec. 864.)
Sec. 42-28. Deadlocked Jury
If it appears to the judicial authority that the jury
has been unable to agree, it may require the jury
to continue its deliberations. The judicial authority
shall not require or threaten to require the jury to
deliberate for an unreasonable length of time or
for unreasonable intervals. It may also instruct
the jury as to disagreements in accordance with
the law.
(P.B. 1978-1997, Sec. 865.)
Sec. 42-29. Verdict; Return of Verdict
The verdict shall be general unless otherwise
directed by the judicial authority, but if the judicial
authority instructs the jury regarding the defense
of mental disease or defect, the jury, if it so finds,
shall declare the finding in its verdict. The verdict
shall be unanimous and shall be announced by
the jury in open court. If there are two or more
defendants, the jury may return a verdict with
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respect to any defendant as to whom it agrees.
The defendant, if found not guilty of the offense
charged, may be found guilty of an offense neces-
sarily included in the offense charged or of an
attempt to commit either the offense charged or
an offense necessarily included therein, if the
attempt is an offense.
(P.B. 1978-1997, Sec. 867.)
Sec. 42-30. —Acceptance of Verdict
The judicial authority shall, if the verdict is in
order and is technically correct, accept it with-
out comment.
(P.B. 1978-1997, Sec. 868.)
Sec. 42-31. —Poll of Jury after Verdict
After a verdict has been returned and before
the jury has been discharged, the jury shall be
polled at the request of any party or upon the
judicial authority’s own motion. The poll shall be
conducted by the clerk of the court by asking each
juror individually whether the verdict announced
is such juror’s verdict. If upon the poll there is not
unanimous concurrence, the jury may be directed
to retire for further deliberations or it may be dis-
charged.
(P.B. 1978-1997, Sec. 869.)
Sec. 42-32. —Discharge of Jury
The judicial authority shall discharge the jury
after it has rendered its verdict or after a mistrial
has been declared.
(P.B. 1978-1997, Sec. 870.)
Sec. 42-33. —Impeachment of Verdict
Upon an inquiry into the validity of a verdict, no
evidence shall be received to show the effect of
any statement, conduct, event or condition upon
the mind of a juror nor any evidence concerning
mental processes by which the verdict was deter-
mined. Subject to these limitations, a juror’s testi-
mony or affidavit shall be received when it
concerns any misconduct which by law permits a
jury to be impeached.
(P.B. 1978-1997, Sec. 871.)
Sec. 42-34. Trial without Jury
In a case tried without a jury the judicial authority
shall, in accordance with Section 6-1, render a
finding of guilty, not guilty, or not guilty by reason
of mental disease or defect where appropriate.
(P.B. 1978-1997, Sec. 872.) (Amended June 30, 2008, to
take effect Jan. 1, 2009.)
Sec. 42-35. Order of Parties Proceeding at
Trial
Unless the judicial authority for cause permits
otherwise, the parties shall proceed with the trial
in the following order:
SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS Sec. 42-43
(1) The prosecuting authority shall present the
case in chief.
(2) The defendant may present a case in chief.
(3) The prosecuting authority and the defendant
may present rebuttal evidence in successive
rebuttals, as required. The judicial authority for
cause may permit a party to present evidence
not of a rebuttal nature, and if the prosecuting
authority is permitted to present further evidence
in chief, the defendant may respond with further
evidence in chief.
(4) The prosecuting authority shall be entitled
to make the opening and final closing arguments.
(5) The defendant may make a single closing
argument following the opening argument of the
prosecuting authority.
(P.B. 1978-1997, Sec. 874.)
Sec. 42-36. Sequestration of Witnesses
The judicial authority upon motion of the prose-
cuting authority or of the defendant shall cause
any witness to be sequestered during the hearing
on any issue or motion or during any part of the
trial in which such witness is not testifying.
(P.B. 1978-1997, Sec. 876.)
Sec. 42-37. Time Limits in Argument
Counsel shall not occupy more than one hour
in argument in any trial, unless the judicial author-
ity, on motion for special cause before the com-
mencement of such argument, allows counsel a
longer time.
(P.B. 1978-1997, Sec. 879.)
Sec. 42-38. Order of Proceeding of
Defendants
If there are two or more defendants and they
do not agree as to their order of proceeding, the
judicial authority shall determine their order.
(P.B. 1978-1997, Sec. 880.)
Sec. 42-39. Judicial Appointment of Expert
Witnesses
Whenever the judicial authority deems it neces-
sary, on its own motion it may appoint any expert
witnesses of its own selection. An expert witness
shall not be appointed by the judicial authority
unless the expert consents to act. A witness so
appointed shall be informed of his or her duties
by the judicial authority in writing, a copy of which
shall be filed with the clerk, or the witness shall
be informed of his or her duties at a conference
in which the parties shall have an opportunity to
participate. A witness so appointed shall advise
the parties of his or her findings, if any, and may
thereafter be called to testify by the judicial author-
ity or by any party. A witness so appointed shall
be subject to cross-examination by each party.
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The judicial authority may determine the reason-
able compensation for such a witness and direct
payment out of such funds as may be provided by
law. This section shall not apply to appointments
made pursuant to General Statutes § 54-56d.
(P.B. 1978-1997, Sec. 881.)
Sec. 42-40. Motions for Judgment of Acquit-
tal; In General
Motions for a directed verdict of acquittal and
for dismissal when used during the course of a trial
are abolished. Motions for a judgment of acquittal
shall be used in their place. After the close of the
prosecution’s case in chief or at the close of all
the evidence, upon motion of the defendant or
upon its own motion, the judicial authority shall
order the entry of a judgment of acquittal as to
any principal offense charged and as to any lesser
included offense for which the evidence would
not reasonably permit a finding of guilty. Such
judgment of acquittal shall not apply to any lesser
included offense for which the evidence would
reasonably permit a finding of guilty.
(P.B. 1978-1997, Sec. 883.)
Sec. 42-41. —At Close of Prosecution’s
Case
If the motion is made after the close of the
prosecution’s case in chief, the judicial authority
shall either grant or deny the motion before calling
upon the defendant to present the defendant’s
case in chief. If the motion is not granted, the
defendant may offer evidence without having
reserved the right to do so.
(P.B. 1978-1997, Sec. 884.)
Sec. 42-42. —At Close of Evidence
If the motion is made at the close of all the
evidence in a jury case, the judicial authority may
reserve decision on the motion, submit the case
to the jury, and decide the motion either before
the jury returns a verdict or after it returns a verdict
of guilty or after it is discharged without having
returned a verdict.
(P.B. 1978-1997, Sec. 885.)
Sec. 42-43. Motion for Mistrial; For Preju-
dice to Defendant
Upon motion of a defendant, the judicial author-
ity may declare a mistrial at any time during the
trial if there occurs during the trial an error or legal
defect in the proceedings, or any conduct inside or
outside the courtroom which results in substantial
and irreparable prejudice to the defendant’s case.
If there are two or more defendants, the mistrial
shall not be declared as to a defendant who does
not make or join in the motion.
(P.B. 1978-1997, Sec. 887.)
SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERSSec. 42-44
Sec. 42-44. —For Prejudice to State
Upon motion of the prosecuting authority, the
judicial authority may declare a mistrial if there
occurs during the trial, either inside or outside the
courtroom, misconduct by the defendant, counsel
for the defendant, or someone acting at the
request of the defendant or such counsel, which
results in substantial and irreparable prejudice to
the prosecuting authority’s case. If there are two
or more defendants, the mistrial shall not be
declared as to a defendant if neither that defend-
ant, nor counsel for that defendant, nor a person
acting at the request of that defendant or counsel
for that defendant participated in the misconduct,
or if the prosecuting authority’s case is not sub-
stantially and irreparably prejudiced as to that
defendant.
(P.B. 1978-1997, Sec. 888.)
Sec. 42-45. Jury’s Inability to Reach Verdict
The judicial authority shall declare a mistrial in
any case in which the jury is unable to reach
a verdict.
(P.B. 1978-1997, Sec. 889.)
Sec. 42-46. Control of Judicial Proceedings;
Restraint of Disruptive Defendant
(a) Reasonable means of restraint may be
employed if the judicial authority finds such
restraint reasonably necessary to maintain order.
If restraints appear potentially necessary and the
circumstances permit, the judicial authority may
conduct an evidentiary hearing outside the pres-
ence of the jury before ordering such restraints.
The judicial authority may rely on information
other than that formally admitted into evidence.
Such information shall be placed on the record
outside the presence of the jury and the defendant
given an opportunity to respond to it.
(b) In ordering the use of restraints or denying
a request to remove them, the judicial authority
shall detail its reasons on the record outside the
presence of the jury. The nature and duration of
the restraints employed shall be those reasonably
necessary under the circumstances. All reason-
able efforts shall be employed to conceal such
restraints from the view of the jurors. Upon
request, the judicial authority shall instruct the
jurors that restraint is not to be considered in
assessing the evidence or in the determination of
the case.
(P.B. 1978-1997, Sec. 892.)
Sec. 42-47. —Removal of Disruptive
Defendant
Upon the direction of the judicial authority, a
defendant may be removed from the courtroom
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during trial or hearing when the defendant’s con-
duct has become so disruptive that the trial or
hearing cannot proceed in an orderly manner. The
judicial authority shall advise the defendant that
the trial or hearing will continue in the defendant’s
absence. A defendant who has been removed
shall remain present in the court building while
the trial or hearing is in progress. At the time of the
defendant’s removal, the judicial authority shall
advise the defendant that the defendant may
request to be returned to the courtroom if, at the
time of making such request, the defendant
assures the judicial authority that the defendant
shall not engage in disruptive conduct. Whenever
the defendant is removed, the judicial authority
shall instruct the jurors that such removal is not
to be considered in assessing the evidence or in
the determination of the case.
(P.B. 1978-1997, Sec. 893.)
Sec. 42-48. —Cautioning Parties and Wit-
nesses
Whenever appropriate in the light of the issues
in the case or its notoriety, the judicial authority
may direct the parties, their counsel and the wit-
nesses not to make extrajudicial statements relat-
ing to the case or the issues in the case for
dissemination by any means of public communi-
cation.
(P.B. 1978-1997, Sec. 894.)
Sec. 42-49. Closure of Courtroom in Crimi-
nal Cases
(Amended May 14, 2003, to take effect July 1, 2003.)
(a) Except as otherwise provided by law, there
shall be a presumption that courtroom proceed-
ings shall be open to the public.
(b) Except as provided in this section and
except as otherwise provided by law, the judicial
authority shall not order that the public be
excluded from any portion of a courtroom pro-
ceeding.
(c) Upon written motion of the prosecuting
authority or of the defendant, or upon its own
motion, the judicial authority may order that the
public be excluded from any portion of a court-
room proceeding only if the judicial authority con-
cludes that such order is necessary to preserve
an interest which is determined to override the
public’s interest in attending such proceeding. The
judicial authority shall first consider reasonable
alternatives to any such order and any such order
shall be no broader than necessary to protect
such overriding interest. An agreement of the par-
ties to close the courtroom shall not constitute a
sufficient basis for the issuance of such an order.
(d) In connection with any order issued pursuant
to subsection (c) of this section, the judicial
SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS Sec. 42-49
authority shall articulate the overriding interest
being protected and shall specify its findings
underlying such order. If any findings would reveal
information entitled to remain confidential, those
findings may be set forth in a sealed portion of
the record. The time, date and scope of any such
order shall be set forth in a writing signed by the
judicial authority which upon issuance the court
clerk shall immediately enter in the court file and
publish by posting on a bulletin board adjacent to
the clerk’s office and accessible to the public. The
judicial authority shall order that a transcript of
its decision be included in the file or prepare a
memorandum setting forth the reasons for its
order.
(e) A motion to close a courtroom proceeding
shall be calendared so that notice to the public is
given of the time and place of the hearing on the
motion and to afford the public an opportunity to
be heard on the motion under consideration. The
notice of the time, date and place of the hearing
on the motion shall be posted on a bulletin board
adjacent to the clerk’s office and accessible to the
public. The motion itself may be filed under seal,
where appropriate, by leave of the judicial
authority.
(f) With the exception of orders concerning any
session of court conducted pursuant to General
Statutes § 54-76h or any other provision of the
General Statutes under which the court is author-
ized to close courtroom proceedings, whether at
a pretrial or trial stage, no order excluding the
public from any portion of a courtroom proceeding
shall be effective until seventy-two hours after it
has been issued. Any person affected by such
order shall have the right to the review of such
order by the filing of a petition for review with the
appellate court within seventy-two hours from the
issuance of such order. The timely filing of any
petition for review shall stay such order.
(P.B. 1978-1997, Sec. 895.) (Amended June 28, 1999, to
take effect Jan. 1, 2000; amended May 14, 2003, to take effect
July 1, 2003; amended June 21, 2004, to take effect Jan.
1, 2005.)
HISTORY—2003: Prior to 2003, when both the title and
text were amended, Section 42-49 read: ‘‘—Exclusion of the
Public; Sealing or Limiting Disclosure of Documents
‘‘(a) Except as provided in this section and except as
otherwise provided by law, including Sections 36-2, 40-29
and 40-40 through 40-43 and General Statutes § 54-33c, the
judicial authority shall not order that the public, which may
include the news media, be excluded from any portion of a
court proceeding and shall not order that any files, affidavits,
documents, or other materials on file with the court or filed in
connection with a court proceeding be sealed or their disclo-
sure limited.
‘‘(b) Upon motion of the prosecuting authority or of the
defendant, or upon its own motion, the judicial authority may
order that the public be excluded from any portion of a court
proceeding and may order that files, affidavits, documents or
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other materials on file with the court or filed in connection with
a court proceeding be sealed or their disclosure limited if the
judicial authority concludes that such order is necessary to
preserve an interest which is determined to override the pub-
lic’s interest in attending such proceeding or in viewing such
materials. Any such order shall be no broader than necessary
to protect such overriding interest.
‘‘(c) In connection with any order issued pursuant to subsec-
tion (b) of this section, the judicial authority shall, on the record
in open court, articulate the overriding interest being protected
and shall specify its findings underlying such order. The time
and date of any such order shall be entered by the court clerk
in the court file together with such order.
‘‘(d) With the exception of orders concerning any session
of court conducted pursuant to General Statutes § 54-76h or
any other provision of the General Statutes under which the
court is authorized to close proceedings, whether at a pretrial
or trial stage, no order excluding the public from any portion
of a proceeding shall be effective until seventy-two hours after
it has been issued. Any person affected by such order shall
have the right to the review of such order by the filing of a
petition for review with the appellate court within seventy-two
hours from the issuance of such order. The timely filing of any
petition for review shall stay such order. (See General Statutes
§ 51-164x.)
‘‘(e) With the exception of orders concerning the disclosure
of any documents pursuant to General Statutes § 54-33c or
any other provision of the General Statutes under which the
court is authorized to seal or limit the disclosure of files, affida-
vits, documents or materials, whether at a pretrial or trial stage,
and any order issued pursuant to a court rule that seals or
limits the disclosure of any affidavit in support of an arrest
warrant, any person affected by a court order that seals or
limits the disclosure of any files, documents or other materials
on file with the court or filed in connection with a court proceed-
ing, shall have the right to the review of such order by the
filing of a petition for review with the appellate court within
seventy-two hours from the issuance of such order. Nothing
under this subsection shall operate as a stay of such seal-
ing order.’’
COMMENTARY—2003: The public and press enjoy a right
of access to attend trials in criminal cases. Press-Enterprise
Co. v. Superior Court, 478 U.S. 1, 10, 106 S. Ct. 2735, 92 L.
Ed. 2d 1 (1986) (Press-Enterprise II); Globe Newspaper Co.
v. Superior Court, 457 U.S. 596, 606, 102 S. Ct. 2613, 73 L.
Ed. 2d 248 (1982). This right is well settled in the common
law and has been held to be implicit in the first amendment
rights protecting the freedom of speech, of the press, of peace-
able assembly and to petition the government for a redress
of grievances. Globe Newspaper Co. v. Superior Court, supra,
603; Richmond Newspapers, Inc. v. Virginia, 448 U.S. 555,
575, 100 S. Ct. 2814, 65 L. Ed. 2d 973 (1980); see generally
Press-Enterprise II, supra, 6–13; see also In re Matter of the
New York Times Co., 828 F.2d 110, 113 (2d Cir. 1987). In
Richmond Newspapers, Inc. v. Virginia, supra, 564, the court
explained that ‘‘throughout its evolution, the trial has been
open to all who care to observe.’’
The guarantee of open public proceedings in criminal trials
applies as well to voir dire and pretrial proceedings. Press-
Enterprise Co. v. Superior Court, 464 U.S. 501, 505, 104 S.
Ct. 819, 78 L. Ed. 2d 248 (1984) (Press-Enterprise I); United
States v. Cojab, 996 F.2d 1404, 1407 (2d Cir. 1993); United
States v. Haller, 837 F.2d 84, 86 (2d Cir. 1988); United States
v. Gerena, 703 F. Sup. 211, 213 (D. Conn. 1988). The pre-
sumption of openness may be overcome only by an overriding
interest based on findings that closure is essential to preserve
higher values and is narrowly tailored to serve that interest.
SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERSSec. 42-49
The interest is to be articulated along with findings specific
enough that a reviewing court can determine whether the
closure order was entered properly. Press-Enterprise I, supra,
510; United States v. Haller, supra, 87; Doe v. Meachum, 126
F.R.D. 452, 455 (D. Conn. 1989); State v. Kelly, 208 Conn.
365, 372, 545 A.2d 1048 (1988). Such findings may be made
under seal when necessary. United States v. Haller, supra,
87; see In re Application of the Herald Co., 734 F.2d 93,
100 (2d Cir. 1984) (closure of suppression hearing should be
allowed only upon showing of significant risk of prejudice to
defendant’s right to fair trial, if there is danger to persons or
property, or in connection with significant activities entitled to
confidentiality, such as undercover investigations); see also
United States v. Brooklier, 685 F.2d 1162, 1168–69 (9th Cir.
1982) (since purpose of articulated findings is to enable appel-
late court to determine whether order was properly entered,
findings must be sufficiently specific to show that public pro-
ceedings would result in irreparable damage to defendant’s
right to fair trial, that no alternative to closure would adequately
protect defendant’s right to fair trial, and that closure would
protect that right).
Since the circumstances of a particular case may affect
the significance of the interest sought to be protected, the
requirement that specific findings justifying closure be articu-
lated mandates a case-by-case analysis of the interest
involved. Globe Newspaper Co. v. Superior Court, supra, 457
U.S. 607–608 (where welfare of minor child is at issue, factors
to be weighed in determining whether closure is warranted
include minor victim’s age, psychological maturity and under-
standing, nature of crime, desires of victim, and interests of
parents and relatives). A case-by-case analysis of the interests
involved ensures that the constitutional right of access to trials
will not be restricted except where absolutely necessary. Id.,
609. ‘‘For a case-by-case approach to be meaningful, repre-
sentatives of the press and general public ‘must be given an
opportunity to be heard on the question of their exclusion.’ ’’
Id., 609 n.25, quoting Gannett Co. v. DePasquale, 443 U.S.
368, 401, 99 S. Ct. 2898, 61 L. Ed. 2d 608 (1979) (Powell,
J., concurring). Except in extraordinary circumstances, the
press and public must have a means of learning of the closure
or sealing order. See United States v. Haller, supra, 837 F.2d
87. ‘‘[A]motion for courtroom closure should be docketed in
the public docket files maintained in the court clerk’s office. .
. . The motion itself may be filed under seal, when appropriate,
by leave of court . . . .’’ (Citation omitted.) In re Application of
the Herald Co., supra, 734 F.2d 102; see also In re Knight
Publishing Co., 743 F.2d 231, 235 (4th Cir. 1984); In re Knox-
ville News-Sentinel Co., 723 F.2d 470, 474–76 (6th Cir. 1983).
Because this section no longer deals with the sealing of
documents, subsection (e) has been transferred to Section
42-49A.
HISTORY—2005: Prior to 2005, the third sentence of sub-
section (d) read: ‘‘The time, date and scope of any such order
shall be in writing and shall be signed by the judicial authority
and be entered by the court clerk in the court file.’’
COMMENTARY—2005: As used in subsection (a) above,
the words ‘‘Except as otherwise provided by law’’ are intended
to exempt from the operation of this rule all established proce-
dures for the closure of courtroom proceedings as required
or permitted by statute; e.g., General Statutes §§ 19a-583 (a)
(10) (D) (pertaining to court proceedings as to disclosure of
confidential HIV-related information), 36a-21 (b) (pertaining to
court proceedings at which certain records of the department
of banking are disclosed), 46b-11 (pertaining to hearings in
family relations matters), 54-86c (b) (pertaining to the disclo-
sure of exculpatory information or material), 54-86f (pertaining
to the admissibility of evidence of sexual conduct) and 54-86g
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(pertaining to the testimony of a victim of child abuse); other
rules of practice; e.g., Practice Book Section 40-43; and/or
controlling state or federal case law.
The above amendment to subsection (d) establishes a
mechanism by which the public and the press, who are empow-
ered by this rule to object to pending motions to close the
courtroom in criminal matters, will receive timely notice of the
court’s disposition of such motions. General Statutes § 51-
164x (a) gives any person affected by a court closure order
in a criminal action the right to the review of such order by filing
a petition for review with the appellate court within seventy-
two hours from the issuance of the order.
Sec. 42-49A. Sealing or Limiting Disclosure
of Documents in Criminal Cases
(a) Except as otherwise provided by law, there
shall be a presumption that documents filed with
the court shall be available to the public.
(b) Except as provided in this section and
except as otherwise provided by law, including
Sections 36-2, 40-29 and 40-40 through 40-43
and General Statutes § 54-33c, the judicial
authority shall not order that any files, affidavits,
documents, or other materials on file with the court
or filed in connection with a court proceeding be
sealed or their disclosure limited.
(c) Upon written motion of the prosecuting
authority or of the defendant, or upon its own
motion, the judicial authority may order that files,
affidavits, documents, or other materials on file or
lodged with the court or in connection with a court
proceeding be sealed or their disclosure limited
only if the judicial authority concludes that such
order is necessary to preserve an interest which
is determined to override the public’s interest in
viewing such materials. The judicial authority shall
first consider reasonable alternatives to any such
order and any such order shall be no broader than
necessary to protect such overriding interest. An
agreement of the parties to seal or limit the disclo-
sure of documents on file with the court or filed
in connection with a court proceeding shall not
constitute a sufficient basis for the issuance of
such an order.
(d) In connection with any order issued pursuant
to subsection (c) of this section, the judicial
authority shall articulate the overriding interest
being protected and shall specify its findings
underlying such order and the duration of such
order. If any finding would reveal information enti-
tled to remain confidential, those findings may be
set forth in a sealed portion of the record. The
time, date, scope and duration of any such order
shall be set forth in a writing signed by the judicial
authority which upon issuance the court clerk shall
immediately enter in the court file and publish by
posting on a bulletin board adjacent to the clerk’s
office and accessible to the public. The judicial
authority shall order that a transcript of its decision
SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS Sec. 42-49A
be included in the file or prepare a memorandum
setting forth the reasons for its order.
(e) Except as otherwise ordered by the judicial
authority, a motion to seal or limit the disclosure
of affidavits, documents, or other materials on file
or lodged with the court or in connection with a
court proceeding shall be calendared so that
notice to the public is given of the time and place
of the hearing on the motion and to afford the
public an opportunity to be heard on the motion
under consideration. The notice of the time, date
and place of the hearing on the motion shall be
posted on a bulletin board adjacent to the clerk’s
office and accessible to the public. The proce-
dures set forth in Sections 7-4B and 7-4C shall
be followed in connection with a motion to file
affidavits, documents or other materials under
seal or to limit their disclosure.
(f) (1) A motion to seal the contents of an entire
court file shall be placed on a calendar to be held
not less than fifteen days following the filing of
the motion, unless the judicial authority otherwise
directs, so that notice to the public is given of the
time and place of the hearing on the motion and
to afford the public an opportunity to be heard on
the motion under consideration. The notice of the
time, date and place of the hearing on the motion
shall be posted on a bulletin board adjacent to
the clerk’s office and accessible to the public. The
procedures set forth in Sections 7-4B and 7-4C
shall be followed in connection with such motion.
(2) The judicial authority may issue an order
sealing the contents of an entire court file only
upon a finding that there is not available a more
narrowly tailored method of protecting the overrid-
ing interest, such as redaction or sealing a portion
of the file. The judicial authority shall state in its
decision or order each of the more narrowly tai-
lored methods that was considered and the rea-
son each such method was unavailable or
inadequate.
(g) With the exception of orders concerning the
disclosure of any documents pursuant to General
Statutes § 54-33c or any other provision of the
General Statutes under which the court is author-
ized to seal or limit the disclosure of files, affida-
vits, documents, or materials, whether at a pretrial
or trial stage, and any order issued pursuant to a
court rule that seals or limits the disclosure of
any affidavit in support of an arrest warrant, any
person affected by a court order that seals or limits
the disclosure of any files, documents, or other
materials on file with the court or filed in connec-
tion with a court proceeding, shall have the right
to the review of such order by the filing of a petition
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for review with the appellate court within seventy-
two hours from the issuance of such order. Noth-
ing under this subsection shall operate as a stay
of such sealing order.
(h) The provisions of this section shall not apply
to pretrial settlement conferences or negotiations
or to documents submitted to the court in connec-
tion with such conferences or negotiations.
(Adopted May 14, 2003, to take effect July 1, 2003;
amended June 21, 2004, to take effect Jan. 1, 2005.)
COMMENTARY—2003: The public and press enjoy a right
of access to attend trials in criminal cases and to access
documents filed in connection with such cases. Press-Enter-
prise Co. v. Superior Court, 478 U.S. 1, 10, 106 S. Ct. 2735,
92 L. Ed. 2d 1 (1986) (Press-Enterprise II); Globe Newspaper
Co. v. Superior Court, 457 U.S. 596, 606, 102 S. Ct. 2613,
73 L. Ed. 2d 248 (1982); Associated Press v. United States
District Court, 705 F.2d 1143, 1145 (9th Cir. 1983); United
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
(2d Cir. 1987). This right is well settled in the common law
and has been held to be implicit in the first amendment rights
protecting the freedom of speech, of the press, of peaceable
assembly and to petition the government for a redress of
grievances. Globe Newspaper Co.v.Superior Court, supra,
604–605; Richmond Newspapers, Inc. v. Virginia, 448 U.S.
555, 575, 100 S. Ct. 2814, 65 L. Ed. 2d 973 (1980); see
generally Press-Enterprise II, supra, 6–13; see also In re Mat-
ter of the New York Times Co., supra, 113; United States v.
Gerena, supra, 213.
The right of access to documents is not absolute. United
States v. Gerena, supra, 703 F. Sup. 213. The presumption
of openness may be overcome only by an overriding interest
based on findings that denying access is essential to preserve
higher values and is narrowly tailored to serve that interest.
The interest is to be articulated along with findings specific
enough that a reviewing court can determine whether the
closure order was entered properly. Id., citing Press-Enterprise
II, supra, 478 U.S. 9–10; see also United States v. Haller, 837
F.2d 84, 87 (2d Cir. 1988); Doe v. Meachum, 126 F.R.D. 452,
455 (D. Conn. 1989); State v. Kelly, 208 Conn. 365, 372, 545
A.2d 1048 (1988). Such findings may be made under seal
when necessary. United States v. Haller, supra, 87.
Since the circumstances of a particular case may affect
the significance of the interest sought to be protected, the
requirement that specific findings justifying closure or sealing
be articulated mandates a case-by-case analysis of the inter-
est involved. Globe Newspaper Co. v. Superior Court, supra,
457 U.S. 607–608; In re Knight Publishing Co., 743 F.2d 231,
235 (4th Cir. 1984); see Publicker Industries, Inc. v. Cohen,
733 F.2d 1059, 1070–71 (3d Cir. 1984). ‘‘For a case-by-case
approach to be meaningful, representatives of the press and
general public ‘must be given an opportunity to be heard on
the question of their exclusion.’ ’’ Globe Newspaper Co. v.
Superior Court, supra, 609 n.25, quoting Gannett Co. v.
DePasquale, 443 U.S. 368, 401, 99 S. Ct. 2898, 61 L. Ed. 2d
608 (1979) (Powell, J., concurring). Except in extraordinary
circumstances, the press and public must have a means of
learning of the closure or sealing order. See United States v.
Haller, supra, 837 F.2d 87; In re Knight Publishing Co., supra,
235. In In re the Application of the Herald Co., 734 F.2d 93,
102 (2d Cir. 1984), the court stated that ‘‘a motion for court-
room closure should be docketed in the public docket files
maintained in the court clerk’s office. . . . The motion itself
may be filed under seal, when appropriate, by leave of the
SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERSSec. 42-49A
court . . . .’’ (Citation omitted.) See also In re Knight Publishing
Co., supra, 235; In re Knoxville News-Sentinel Co., 723 F.2d
470, 474–76 (6th Cir. 1983).
It is intended that the use of pseudonyms in place of the
name of a party or parties not be permitted in criminal matters.
HISTORY—2005: Prior to 2005, the third sentence of sub-
section (d) read: ‘‘The time, date, scope and duration of any
such order shall forthwith be reduced to writing and be signed
by the judicial authority and be entered by the court clerk in
the court file.’’
COMMENTARY—2005: As used in subsection (a) above,
the words ‘‘Except as otherwise provided by law’’ are intended
to exempt from the operation of this rule all established proce-
dures for the sealing or ex parte filing, in camera inspection
and/or nondisclosure to the public of documents, records and
other materials, as required or permitted by statute; e.g., Gen-
eral Statutes §§ 12-242vv (pertaining to taxpayer information),
52-146c et seq. (pertaining to the disclosure of psychiatric
records) and 54-56g (pertaining to the pretrial alcohol educa-
tion program); other rules of practice; e.g., Practice Book Sec-
tions 7-18, 13-5 (6)–(8) and 40-13 (c); and/or controlling state
or federal case law; e.g., Matza v. Matza, 226 Conn. 166,
627 A.2d 414 (1993) (establishing a procedure whereby an
attorney seeking to withdraw from a case due to his client’s
anticipated perjury at trial may support his motion to withdraw
by filing a sealed affidavit for the court’s review).
The above amendment to subsection (d) establishes a
mechanism by which the public and the press, who are empow-
ered by this rule to object to pending motions to seal files or
limit the disclosure of documents in criminal matters, will
receive timely notice of the court’s disposition of such motions.
General Statutes § 51-164x (c) gives any person affected by
a court order sealing a file or limiting the disclosure of a docu-
ment in a criminal action the right to the review of such order
by filing a petition for review with the appellate court within
seventy-two hours from the issuance of the order.
The above section shall not apply to motions and orders
made pursuant to General Statutes § 54-33c concerning the
limitation of the disclosure of affidavits in support of search
warrant applications.
Sec. 42-50. Motion for Judgment of Acquit-
tal; After Mistrial
Upon the declaration of a mistrial pursuant to
Sections 42-43 through 42-45, at any time after
the close of the state’s case in chief, the judicial
authority, upon motion of the defendant or upon
its own motion, may order the entry of a judgment
of acquittal as to any offense charged, or any
lesser included offense, for which the evidence
would not reasonably permit a finding of guilty
beyond a reasonable doubt. The acquittal does
not bar prosecution for any offense as to which
the judicial authority does not direct an acquittal.
(P.B. 1978-1997, Sec. 898.)
Sec. 42-51. —Upon Verdict of Guilty
If the jury returns a verdict of guilty, the judicial
authority, upon motion of the defendant or upon
its own motion, shall order the entry of a judgment
of acquittal as to any offense specified in the ver-
dict, or any lesser included offense, for which the
evidence does not reasonably permit a finding of
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guilty beyond a reasonable doubt. If the judicial
authority directs an acquittal for the offense speci-
fied in the verdict, but not for a lesser included
offense, it may either:
(1) Modify the verdict accordingly; or
(2) Grant the defendant a new trial as to the
lesser included offense.
(P.B. 1978-1997, Sec. 899.)
Sec. 42-52. —Time for Filing Motion for
Judgment of Acquittal
Unless the judicial authority, in the interests of
justice, permits otherwise, a motion for a judgment
of acquittal shall be made within five days after a
mistrial or a verdict or within any further time the
judicial authority allows during the five day period.
(P.B. 1978-1997, Sec. 900.)
Sec. 42-53. Motion for New Trial; In General
(a) Upon motion of the defendant, the judicial
authority may grant a new trial if it is required in
the interests of justice. Unless the defendant’s
noncompliance with these rules or with other
requirements of law bars his or her asserting the
error, the judicial authority shall grant the motion:
(1) For an error by reason of which the defend-
ant is constitutionally entitled to a new trial; or
(2) For any other error which the defendant can
establish was materially injurious to him or her.
(b) If the trial was by the court and without a
jury, the judicial authority, with the defendant’s
consent and instead of granting a new trial, may
vacate any judgment entered, receive additional
evidence, and direct the entry of a new judgment.
(P.B. 1978-1997, Sec. 902.)
Sec. 42-54. —Time for Filing Motion for
New Trial
Unless otherwise permitted by the judicial
authority in the interests of justice, a motion for a
new trial shall be made within five days after a
verdict or finding of guilty or within any further
time the judicial authority allows during the five-
day period.
(P.B. 1978-1997, Sec. 903.)
Sec. 42-55. —Time for Filing Motion for New
Trial Based on Newly Discovered Evidence
A request for a new trial on the ground of newly
discovered evidence shall be called a petition for
a new trial and shall be brought in accordance with
General Statutes § 52-270. The judicial authority
may grant the petition even though an appeal
is pending.
(P.B. 1978-1997, Sec. 904.)
SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS Sec. 42-56
Sec. 42-56. Motion in Arrest of Judgment
On motion of the defendant, the judicial author-
ity shall arrest judgment if the indictment or infor-
mation does not charge an offense or if the judicial
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authority was without jurisdiction of the offense
charged. The motion in arrest of judgment shall
be made prior to the imposition of sentence.
(P.B. 1978-1997, Sec. 905.)
SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERSSec. 43-1
CHAPTER 43
SENTENCING, JUDGMENT, AND APPEAL
Sec. Sec.
43-1. Posttrial Release Following Appeal by Prosecut-
ing Authority
43-2. Posttrial Release Following Conviction
43-3. Presentence Investigation and Report; Waiver;
Alternative Incarceration and Plan
43-4. —Scope of Investigation or Assessment
43-5. —Participation of Defense Counsel in Report
Preparation
43-6. —Period of Continuance to Complete Report
43-7. —Persons Receiving Report
43-8. —Prohibition against Making Copies
43-9. —Use and Disclosure of Reports
43-10. Sentencing Hearing; Procedures to Be Followed
43-11. —Role at Sentencing of Prosecuting Authority
43-12. —Role of Prosecuting Authority at Sentencing
when There Was a Plea Agreement
43-13. —Familiarization with Report by Defense
Counsel
43-14. —Correction of Report Indicated by Defense
Counsel
43-15. —Undisclosed Plea Agreement
43-16. —Submission of Supplementary Documents by
Defense Counsel
43-17. Payment of Fines; Inquiry concerning Ability
43-18. —Incarceration for Failure to Pay
43-19. —Payment and Satisfaction
43-20. —Mittimus
43-21. Reduction of Definite Sentence
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 by Prosecuting Authority
The defendant shall not be denied liberty pend-
ing determination of an appeal by the state from
any judgment of acquittal or from any judgment
not resulting in a sentence, the effect of which is
to terminate prosecution.
(P.B. 1978-1997, Sec. 907.)
Sec. 43-2. Posttrial Release Following Con-
viction
(a) A person who has been convicted of any
offense and who either is awaiting sentence or
has given oral or written notice of his or her inten-
tion to appeal or file a petition for certification or
a writ of certiorari may be released, subject to
General Statutes § 54-95, pending final disposi-
tion of his or her case upon sentence or appeal,
unless the judicial authority finds custody to be
necessary to provide reasonable assurance of the
person’s appearance in court, upon the first of the
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43-22. Correction of Illegal Sentence
43-23. Sentence Review; Appearance of Counsel
43-24. —Time for Filing Application for Sentence Review
43-25. —Preparation of Documents by Clerk
43-26. —Additional Material for Sentence Review
43-27. —Hearing on Sentence Review Application
43-28. —Scope of Review
43-29. Revocation of Probation
43-29A. Notice of Motions to Modify or Enlarge Conditions
of Probation or Conditional Discharge or Termi-
nate Conditions of Probation or Conditional
Discharge
43-30. Notification of Right to Appeal
43-31. Stay of Imprisonment upon Appeal
43-32. Stay of Probation upon Appeal
43-33. Appointment of Initial Counsel for Appeal by Indi-
gent Defendant
43-34. Attorney’s Finding That Appeal Is Wholly Frivo-
lous; Request by Initial Counsel to Withdraw
43-35. —Submission of Memorandum of Law
43-36. —Finding That Appeal Is Frivolous
43-37. —Finding That Appeal Is Not Frivolous
43-38. —Disqualification of Presiding Judge
43-39. Speedy Trial; Time Limitations
43-40. —Excluded Time Periods in Determining
Speedy Trial
43-41. —Motion for Speedy Trial; Dismissal
43-42. —Definition of Commencement of Trial
43-43. —Waiver of Speedy Trial Provisions
following conditions of release found sufficient by
the judicial authority to provide such assurance:
(1) His or her execution of a written promise
to appear;
(2) His or her execution of a bond without surety
in no greater amount than necessary;
(3) His or her execution of a bond with surety
in no greater amount than necessary;
(4) His or her deposit of a sum of money equal
to the amount called for by the bond required by
the judicial authority;
(5) His or her pledge of real property, the equity
of which shall be calculated, and be in such an
amount, as set forth in Section 38-9.
(b) The judicial authority may order that the
bond in effect at that time continue until the imposi-
tion of sentence, and it may order an increase in
the amount of such bond. It shall also have author-
ity to modify or revoke at any time the terms and
conditions of release.
(c) The provisions of Section 38-7 shall apply
to condition (4) herein, except that the cash bail
SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS Sec. 43-7
shall be deposited with the clerk of the court hav-
ing jurisdiction of the offense with which such per-
son stands convicted or any assistant clerk of
such court who is bonded in the same manner as
the clerk or any person or officer authorized to
accept bail.
(P.B. 1978-1997, Sec. 908.)
Sec. 43-3. Presentence Investigation and
Report; Waiver; Alternative Incarceration
and Plan
(a) If the defendant is convicted of a crime other
than a capital felony, the punishment for which
may include imprisonment for more than one year,
the judicial authority shall order a presentence
investigation, or the supplementation of any
existing presentence investigation report. The
judicial authority may, in its discretion, order a
presentence investigation for a defendant con-
victed of any crime or offense.
(b) A defendant who is convicted of a crime
and is not eligible for sentence review pursuant
to General Statutes § 51-195 may, with the con-
sent of the sentencing judge and the prosecuting
authority, waive the presentence investigation.
(c) Pursuant to General Statutes § 53a-39a, the
judicial authority may, in its discretion, order an
assessment for placement in an alternate incar-
ceration program to be conducted by the office of
adult probation.
(P.B. 1978-1997, Sec. 910.)
Sec. 43-4. —Scope of Investigation or As-
sessment
(a) Whenever an investigation is required or
an assessment is ordered or both, the probation
officer shall promptly inquire into the attitude of
the complainant or the victim, or of the immediate
family where possible in cases of homicide, and
the criminal record, social history and present con-
dition of the defendant. Such investigation shall
include an inquiry into the circumstances of the
offense and any damages suffered by the victim,
including medical expenses, loss of earnings and
property loss. Such assessment shall include an
inquiry into the defendant’s prior participation in
any release programs and the defendant’s atti-
tude about participation in an alternate incarcera-
tion program. When it is desirable in the opinion of
the judicial authority or the investigating authority,
such investigation or assessment shall include a
physical and mental examination of the
defendant.
(b) If an assessment includes a recommenda-
tion for placement in an alternate incarceration
program, it shall include, as an attachment, a pro-
posed alternate incarceration plan. A current or
updated presentence investigation report may be
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used in lieu of an alternate incarceration assess-
ment report provided attached thereto is a state-
ment by the investigating authority recommending
whether or not the defendant should participate
in an alternate incarceration program and any rec-
ommendation that the defendant participate
includes a proposed alternate incarceration plan.
(P.B. 1978-1997, Sec. 911.)
Sec. 43-5. —Participation of Defense Coun-
sel in Report Preparation
Defense counsel, on a prompt request, shall be
notified of the time when the defendant shall be
interviewed by probation officers regarding a pre-
sentence or alternate incarceration assessment
report or both for the judicial authority and may
be present:
(1) To assist in answering inquiries of the proba-
tion officer;
(2) To assist in resolving factual issues and
questions;
(3) To protect the defendant against incrimina-
tion regarding other pending indictments or inves-
tigations; and
(4) To protect the defendant’s rights with
respect to an appeal of conviction.
(P.B. 1978-1997, Sec. 912.)
Sec. 43-6. —Period of Continuance to Com-
plete Report
When it is necessary to continue a case for
sentencing, the judicial authority may consider the
period of time necessary to complete the investi-
gation or assessment or both and report, and any
reasonable request, and shall set a date for sen-
tencing accordingly.
(P.B. 1978-1997, Sec. 913.)
Sec. 43-7. —Persons Receiving Report
The presentence investigation or alternate
incarceration assessment report or both shall be
provided to the judicial authority, and copies
thereof shall be provided to the prosecuting
authority and to the defendant or his or her coun-
sel in sufficient time for them to prepare ade-
quately for the sentencing hearing, and in any
event, no less than forty-eight hours prior to the
date of the sentencing. Upon request of the
defendant, the sentencing hearing shall be contin-
ued for a reasonable time if the judicial authority
finds that the defendant or his or her counsel did
not receive the presentence investigation or alter-
nate incarceration assessment report or both
within such time.
(P.B. 1978-1997, Sec. 915.) (Amended June 26, 2006, to
take effect Jan. 1, 2007.)
SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERSSec. 43-8
Sec. 43-8. —Prohibition against Making
Copies
No person shall, without the permission of the
judicial authority, make or cause to be made any
copy of any presentence investigation or alternate
incarceration assessment report except as
authorized by Sections 43-7 and 43-9.
(P.B. 1978-1997, Sec. 916.)
Sec. 43-9. —Use and Disclosure of Reports
The presentence investigation and alternate
incarceration assessment reports shall not be
public records and shall not be accessible to the
public. They shall be available initially to the par-
ties designated in Section 43-7 for use in the
sentencing hearing and in any subsequent pro-
ceedings wherein the same conviction may be
involved, and they shall be available at all times
to the following:
(1) The office of adult probation;
(2) The correctional or mental health institution
to which the defendant is committed or may be
committed;
(3) The board of pardons and paroles;
(4) The sentence review division of the supe-
rior court;
(5) The judicial review council;
(6) Any court of proper jurisdiction where it is
relevant to any proceeding before such court.
Such court may also order that the report be made
available to counsel for the parties for the purpose
of such proceeding;
(7) Counsel for the defendant and the prosecut-
ing authority during negotiations relating to other
offenses pending against the defendant or subse-
quently charged against the defendant;
(8) Counsel for the defendant in a sentence
review hearing or habeas corpus proceeding upon
counsel’s request to the department of adult pro-
bation;
(9) Counsel for the defendant and the prosecut-
ing authority in connection with extradition pro-
ceedings; and
(10) Any other person or agency specified by
statute. The prosecuting authority and counsel for
the defendant shall retain a copy of the presen-
tence investigation and alternate incarceration
reports and may use the same in connection with
any matter pertaining to actions by the entities
defined in paragraphs (1) through (9) of this sec-
tion, or for any other purpose for which permission
is first obtained from any judicial authority. In all
other respects, both the prosecuting authority and
counsel for the defendant shall maintain the confi-
dentiality of the information contained in the
records. A defendant may obtain a copy of the
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presentence and alternate incarceration reports
under proper application to a judicial authority in
the judicial district in which sentence was
imposed.
(P.B. 1978-1997, Sec. 917.) (Amended June 30, 2008, to
take effect Jan. 1, 2009.)
Sec. 43-10. Sentencing Hearing; Proce-
dures to Be Followed
Before imposing a sentence or making any
other disposition after the acceptance of a plea
of guilty or nolo contendere or upon a verdict or
finding of guilty, the judicial authority shall, upon
the date previously determined for sentencing,
conduct a sentencing hearing as follows:
(1) The judicial authority shall afford the parties
an opportunity to be heard and, in its discretion,
to present evidence on any matter relevant to
the disposition, and to explain or controvert the
presentence investigation report, the alternate
incarceration assessment report or any other doc-
ument relied upon by the judicial authority in
imposing sentence. When the judicial authority
finds that any significant information contained in
the presentence report or alternate incarceration
assessment report is inaccurate, it shall order the
office of adult probation to amend all copies of
any such report in its possession and in the clerk’s
file, and to provide both parties with an amend-
ment containing the corrected information.
(2) The judicial authority shall allow the victim
and any other person directly harmed by the com-
mission of the crime a reasonable opportunity to
make, orally or in writing, a statement with regard
to the sentence to be imposed.
(3) The judicial authority shall allow the defend-
ant a reasonable opportunity to make a personal
statement in his or her own behalf and to present
any information in mitigation of the sentence.
(4) In cases where guilt was determined by a
plea, the judicial authority shall, pursuant to Sec-
tion 39-7, be informed by the parties whether there
is a plea agreement, and if so, the substance
thereof.
(5) The judicial authority shall impose the sen-
tence in the presence and hearing of the defend-
ant, unless the defendant shall have waived his
or her right to be present.
(6) In cases where sentence review is available,
the judicial authority shall state on the record, in
the presence of the defendant, the reasons for
the sentence imposed.
(7) In cases where sentence review is available
and where the defendant files an application for
such review, the clerk shall promptly notify the
SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS Sec. 43-22
court reporter of such application pursuant to Sec-
tion 43-24 and the court reporter shall file a copy
of the transcript of the sentencing hearing with
the review division within sixty days from the date
the application for review is filed with the clerk.
(P.B. 1978-1997, Sec. 919.)
Sec. 43-11. —Role at Sentencing of Prose-
cuting Authority
The prosecuting authority shall inform the judi-
cial authority of the offenses for which the defend-
ant is to be sentenced, shall give a brief
summation of the facts relevant to each offense,
shall disclose to the judicial authority any informa-
tion in the files of the prosecuting authority that
is favorable to the defendant and relevant to sen-
tencing and shall state the basis for any recom-
mendation which it chooses to make as to the
appropriate sentence.
(P.B. 1978-1997, Sec. 921.)
Sec. 43-12. —Role of Prosecuting Authority
at Sentencing when There Was a Plea
Agreement
Where, as part of a plea agreement, the prose-
cuting authority has agreed to make representa-
tions or recommendations to the judicial authority
regarding a defendant, or has made other
agreements relating to the disposition of the
charges against the defendant, it shall disclose
to the judicial authority such representations or
recommendations or any other terms of the plea
agreement relevant to sentencing.
(P.B. 1978-1997, Sec. 922.)
Sec. 43-13. —Familiarization with Report by
Defense Counsel
Defense counsel shall familiarize himself or her-
self with the contents of the presentence or alter-
nate incarceration assessment report or both,
including any evaluative summary, and any spe-
cial medical or psychiatric reports pertaining to
the client.
(P.B. 1978-1997, Sec. 924.)
Sec. 43-14. —Correction of Report Indicated
by Defense Counsel
Defense counsel shall bring to the attention of
the judicial authority any inaccuracy in the presen-
tence or alternate incarceration assessment
report of which he or she is aware or which the
defendant claims to exist.
(P.B. 1978-1997, Sec. 925.)
Sec. 43-15. —Undisclosed Plea Agreement
Defense counsel shall disclose to the judicial
authority any plea agreement that has not already
been disclosed.
(P.B. 1978-1997, Sec. 926.)
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Sec. 43-16. —Submission of Supplementary
Documents by Defense Counsel
Defense counsel may submit such supplemen-
tary documents as such counsel thinks appro-
priate.
(P.B. 1978-1997, Sec. 927.)
Sec. 43-17. Payment of Fines; Inquiry con-
cerning Ability
No person shall be incarcerated as a result of
failure to pay a fine unless the judicial authority
first inquires as to the person’s ability to pay the
fine.
(P.B. 1978-1997, Sec. 929.)
Sec. 43-18. —Incarceration for Failure to
Pay
The judicial authority may, upon a finding that
the defendant is able to pay the fine and that the
nonpayment is wilful, order the defendant incar-
cerated for nonpayment of the fine.
(P.B. 1978-1997, Sec. 931.)
Sec. 43-19. —Payment and Satisfaction
A defendant incarcerated under Section 43-18,
for wilful nonpayment of a fine, shall be released
upon payment of the fine or when such defendant
is otherwise discharged according to law.
(P.B. 1978-1997, Sec. 932.)
Sec. 43-20. —Mittimus
When a defendant has been sentenced to a
term of imprisonment and ordered to pay a fine,
the mittimus shall state that if the fine has not
been paid by the time the sentence has been
served the defendant may not continue to be
incarcerated unless the judicial authority has
found that the defendant is able to pay the fine
and that the defendant’s nonpayment is wilful.
(P.B. 1978-1997, Sec. 932A.)
Sec. 43-21. Reduction of Definite Sentence
At any time during the period of a definite sen-
tence of three years or less, the judicial authority
may, after a hearing and for good cause shown,
reduce the sentence or order the defendant dis-
charged or released on probation or on a condi-
tional discharge for a period not to exceed that to
which the defendant could have been sen-
tenced originally.
(P.B. 1978-1997, Sec. 934.)
Sec. 43-22. Correction of Illegal Sentence
The judicial authority may at any time correct
an illegal sentence or other illegal disposition, or
SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERSSec. 43-22
it may correct a sentence imposed in an illegal
manner or any other disposition made in an ille-
gal manner.
(P.B. 1978-1997, Sec. 935.)
Sec. 43-23. Sentence Review; Appearance
of Counsel
It is the responsibility of the counsel of record
at the time of sentencing to represent the defend-
ant at the hearing before the sentence review
division of the superior court, unless, for excep-
tional reasons, such counsel is excused by the
division.
(P.B. 1978-1997, Sec. 937.)
Sec. 43-24. —Time for Filing Application for
Sentence Review
In cases where sentence review is available
pursuant to General Statutes § 51-195, the
defendant may file, within thirty days from the
date that sentence is imposed or from the date
defendant’s suspended sentence is revoked, with
the clerk of the court for the judicial district or
geographical area in which the judgment was ren-
dered, an application for review of sentence by the
review division. The clerk shall notify the review
division, the judge who imposed the sentence, the
court reporter, and all counsel of record upon the
filing of the application for review. The court
reporter shall prepare a transcript of the sentenc-
ing hearing in accordance with the provisions of
Section 43-10.
(P.B. 1978-1997, Sec. 938.)
Sec. 43-25. —Preparation of Documents by
Clerk
The clerk of the court in which the application
is filed shall forward the necessary documents to
the review division.
(P.B. 1978-1997, Sec. 939.)
Sec. 43-26. —Additional Material for Sen-
tence Review
The defendant, at the time the application for
review is filed, may request the clerk to forward
to the review division any documents in the pos-
session of the clerk previously presented to the
judicial authority at the time of the imposition of
sentence.
(P.B. 1978-1997, Sec. 940.)
Sec. 43-27. —Hearing on Sentence Review
Application
A hearing upon an application filed under Sec-
tion 43-24 shall be conducted expeditiously upon
receipt by the review division of the materials sub-
mitted by the clerk under Sections 43-23 through
43-28. The parties may file such briefs or memo-
randa as are appropriate to assist the division in
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the discharge of its duties. Counsel for the defend-
ant and the defendant shall address the panel of
judges in support of the application. Upon request
of the defendant the review division shall hear his
or her application while an appeal or collateral
review is pending.
(P.B. 1978-1997, Sec. 941.)
Sec. 43-28. —Scope of Review
The review division shall review the sentence
imposed and determine whether the sentence
should be modified because it is inappropriate or
disproportionate in the light of the nature of the
offense, the character of the offender, the protec-
tion of the public interest, and the deterrent, reha-
bilitative, isolative, and denunciatory purposes for
which the sentence was intended.
(P.B. 1978-1997, Sec. 942.)
Sec. 43-29. Revocation of Probation
In cases where the revocation of probation is
based upon a conviction for a new offense and
the defendant is before the court or is being held in
custody pursuant to that conviction, the revocation
proceeding may be initiated by a motion to the
court by a probation officer and a copy thereof
shall be delivered personally to the defendant. All
other proceedings for revocation of probation shall
be initiated by an arrest warrant supported by
an affidavit or by testimony under oath showing
probable cause to believe that the defendant has
violated any of the conditions of the defendant’s
probation or his or her conditional discharge or
by a written notice to appear to answer to the
charge of such violation, which notice, signed by
a judge of the superior court, shall be personally
served upon the defendant by a probation officer
and contain a statement of the alleged violation.
All proceedings thereafter shall be in accordance
with the provisions of Sections 3-6, 3-9 and 37-
1 through 38-23. At the revocation hearing, the
prosecuting authority and the defendant may offer
evidence and cross-examine witnesses. If the
defendant admits the violation or the judicial
authority finds from the evidence that the defend-
ant committed the violation, the judicial authority
may make any disposition authorized by law. The
filing of a motion to revoke probation, issuance of
an arrest warrant or service of a notice to appear,
shall interrupt the period of the sentence as of the
date of the filing of the motion, signing of the arrest
warrant by the judicial authority or service of the
notice to appear, until a final determination as to
the revocation has been made by the judicial
authority.
(P.B. 1978-1997, Sec. 943.) (Amended June 24, 2016, to
take effect Jan. 1, 2017.)
SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS Sec. 43-33
Sec. 43-29A. Notice of Motions to Modify or
Enlarge Conditions of Probation or Condi-
tional Discharge or Terminate Conditions of
Probation or Conditional Discharge
Whenever a motion to modify or enlarge the
conditions of probation or conditional discharge
is filed, and whenever a motion for termination of
a sentence of probation or conditional discharge
is filed, such motion shall be served prior to the
hearing date upon the opposing party and, if the
movant is not a probation officer, the appropriate
probation officer, unless otherwise ordered by the
judicial authority. Service of said motions shall be
made on the defendant by delivering a copy to
the defendant personally or by leaving it at his or
her usual place of abode. Service of said motions
may be made by any probation officer. Service of
said motions shall be made on all other parties,
and on the appropriate probation officer, in
accordance with the provisions of Section 10-12
et seq.
(Adopted June 25, 2001, to take effect Jan. 1, 2002.)
Sec. 43-30. Notification of Right to Appeal
Where there has been a conviction after a trial,
or where there has been an adverse decision
upon an application for a writ of habeas corpus
brought by or on behalf of one who has been
convicted of a crime, it shall be the duty of the
clerk of the court, immediately after the pro-
nouncement of the sentence or the notice of a
decision on the application for a writ of habeas
corpus, to advise the defendant in writing of such
rights as such defendant may have to an appeal,
of the time limitations involved, and of the right of
an indigent person who is unable to pay the cost
of an appeal to apply for a waiver of fees, costs,
and expenses and for the appointment of counsel
to prosecute the appeal.
(P.B. 1978-1997, Sec. 945.)
Sec. 43-31. Stay of Imprisonment upon
Appeal
A sentence of imprisonment shall be stayed if
an appeal is taken and the defendant is released
pursuant to Sections 43-1 and 43-2 pending dis-
position of the appeal, unless the judicial authority
shall order otherwise.
(P.B. 1978-1997, Sec. 947.)
Sec. 43-32. Stay of Probation upon Appeal
Upon written motion of the defendant, an order
placing the defendant on probation may be stayed
if an appeal is taken. If it is not stayed, the judicial
authority shall specify when the term of probation
shall commence.
(P.B. 1978-1997, Sec. 948.)
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Sec. 43-33. Appointment of Initial Counsel
for Appeal by Indigent Defendant
(a) An indigent defendant who wishes to prose-
cute his or her appeal may apply to the court from
which the appeal is taken for the appointment of
counsel to prosecute the defendant’s appeal and
for a waiver of fees and costs, pursuant to Sec-
tions 63-7 and 44-1 through 44-5.
(b) The application for a waiver of costs and
fees must be sent for investigation of the appli-
cant’s indigence to the public defender’s office in
the court from which the appeal is taken. The
judicial authority shall assign the application for
hearing within twenty days after filing unless
otherwise ordered by the judicial authority for
good cause shown. At least ten days before the
hearing, the clerk’s office shall notify in writing
trial counsel, the state’s attorney, the trial public
defender’s office to which the application had
been sent for investigation and the chief of legal
services of the public defender’s office, of the date
of such hearing. The lack of timely notification to
any of the above parties shall result in a continu-
ance of the hearing until proper and timely notifi-
cation has been completed.
(c) The application for the appointment of coun-
sel to prosecute the defendant’s appeal shall be
assigned to the same date and hearing as the
application for waiver of fees, costs and expenses,
and the judicial authority shall decide both applica-
tions at the same time. If trial counsel is not to
be the assigned appellate counsel, the judicial
authority shall inform and order trial counsel to
cooperate fully with appellate counsel. If the chief
of legal services of the public defender’s office
is to be assigned as appellate counsel, unless
otherwise ordered by the court, trial counsel shall
be deemed to have ‘‘cooperated fully’’ if counsel
has delivered to the chief of legal services: a com-
plete appellate worksheet, which shall be pro-
vided by the chief of legal services; and an
electronic copy of trial counsel’s file. Failure to
fully cooperate with appellate counsel will result
in a short continuance of the applications for
appellate counsel and for the waiver of fees, costs
and expenses until cooperation is completed, or,
if full cooperation is not completed within a reason-
able time, sanctions against trial counsel may
be imposed.
(d) The judicial authority shall act promptly on
the applications following the hearing. Upon deter-
mination by the judicial authority that a defendant
in a criminal case is indigent, the court to which
the fees required by statute or rule are to be paid
may (1) waive payment by the defendant of fees
specified by statute and of taxable costs, and
waive the requirement of Section 60-9 concerning
SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERSSec. 43-33
the furnishing of security for costs upon appeal,
(2) order that the necessary expenses of prose-
cuting the appeal be paid by the state, and (3)
appoint appellate counsel and permit the with-
drawal of the trial attorney’s appearance provided
the judicial authority is satisfied that that attorney
has cooperated fully with appellate counsel in the
preparation of the defendant’s appeal.
(P.B. 1978-1997, Sec. 950.) (Amended June 23, 2017, to
take effect Jan. 1, 2018.)
HISTORY—2018: Prior to 2018, the third sentence of sub-
section (c) read: ‘‘If the chief of legal services of the public
defender’s office is to be assigned as appellate counsel, trial
counsel shall be deemed to have ‘cooperated fully’ if counsel
has delivered to the chief of legal services: a complete appel-
late worksheet, which shall be provided by the chief of legal
services; and trial counsel’s file or a copy thereof.’’
TECHNICAL CHANGE: In subsection (d) (1), what had
been a reference to Section 61-6 now refers to Section 60-9.
COMMENTARY—2018: The amendments to this section
require that unless otherwise ordered by the court, if Public
Defender Services has been appointed as appellate counsel,
trial counsel must provide to appellate counsel an electronic
copy of trial counsel’s file.
Sec. 43-34. Attorney’s Finding That Appeal
Is Wholly Frivolous; Request by Initial Coun-
sel to Withdraw
When the defendant is represented at trial by
the public defender or has counsel appointed to
prosecute the appeal under the provisions of Sec-
tion 43-33 and such public defender or counsel,
after a conscientious examination of the case,
finds that such an appeal would be wholly frivo-
lous, counsel shall advise the presiding judge by
filing a motion for leave to withdraw from the case.
(P.B. 1978-1997, Sec. 952.) (Amended June 23, 2017, to
take effect Jan. 1, 2018.)
HISTORY—2018: In 2018, ‘‘he or she’’ was deleted and
‘‘counsel’’ was added after ‘‘frivolous’’; in addition, ‘‘and
request permission’’ was deleted and ‘‘by filing a motion for
leave’’ was added after ‘‘judge.’’
COMMENTARY—2018: Sections 43-34 through 43-36 pre-
scribe the procedure to follow when a public defender or
appointed counsel concludes that an appeal would be wholly
frivolous and implement the holding in Anders v. California,
386 U.S. 738, 87 S. Ct. 2094, 18 L. Ed. 2d 493 (1967), and
State v. Pascucci, 161 Conn. 382, 288 A.2d 408 (1971). The
changes to these sections standardize the language among
the rules pertaining to motions to withdraw by appointed coun-
sel and clarify the filing procedures to follow in criminal matters.
Sec. 43-35. —Submission of Memorandum
of Law
(Amended June 23, 2017, to take effect Jan. 1, 2018.)
(a) At the time such motion for leave to withdraw
is filed, counsel shall submit to the presiding judge
a memorandum of law outlining anything in the
record that might arguably support the appeal and
the factual and legal basis for the conclusion that
an appeal would be wholly frivolous.
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(b) Any motion for leave to withdraw and sup-
porting memorandum of law shall be filed under
seal and provided to the defendant. Counsel shall
serve opposing counsel with notice that a motion
for leave to withdraw has been filed but shall not
serve opposing counsel with a copy of the motion
or any supporting memorandum of law. The
defendant shall have thirty days from the date the
motion and supporting memorandum are filed to
file a response with the court.
(P.B. 1978-1997, Sec. 953.) (Amended June 23, 2017, to
take effect Jan. 1, 2018.)
HISTORY—2018: Prior to 2018, this section was titled:
‘‘Submission of Brief.’’
Prior to 2018, this section read: ‘‘At the time such request
is made, counsel shall submit to the presiding judge a brief
which refers to anything in the record that might arguably
support the appeal. A copy of such brief shall be provided to
the defendant, and the defendant shall be further allowed a
reasonable time to raise, in writing, additional points in support
of the appeal.’’
COMMENTARY—2018: Sections 43-34 through 43-36 pre-
scribe the procedure to follow when a public defender or
appointed counsel concludes that an appeal would be wholly
frivolous and implement the holding in Anders v. California,
386 U.S. 738, 87 S. Ct. 2094, 18 L. Ed. 2d 493 (1967), and
State v. Pascucci, 161 Conn. 382, 288 A.2d 408 (1971). The
changes to these sections standardize the language among
the rules pertaining to motions to withdraw by appointed coun-
sel and clarify the filing procedures to follow in criminal matters.
Sec. 43-36. —Finding That Appeal Is Friv-
olous
The presiding judge shall fully examine memo-
randum of law of counsel and the defendant,
together with any relevant portions of the record
and transcript of the trial. If, after such examina-
tion, the presiding judge concludes that the
defendant’s appeal is wholly frivolous, such judge
may grant counsel’s motion to withdraw and per-
mit the defendant to proceed as a self-repre-
sented party. The presiding judge shall file a
memorandum setting forth the basis for the finding
that the appeal is wholly frivolous.
(P.B. 1978-1997, Sec. 954.) (Amended June 23, 2017, to
take effect Jan. 1, 2018.)
HISTORY—2018: Prior to 2018, this section read: ‘‘The
presiding judge shall fully examine the briefs of counsel and
of the defendant, and shall review the transcript of the trial.
If, after such examination, the presiding judge concludes that
the defendant’s appeal is wholly frivolous, such judge may
grant counsel’s motion to withdraw and refuse to appoint new
counsel. Before refusing to appoint new counsel, the presiding
judge shall make a finding that the appeal is wholly frivolous
and shall file a memorandum, setting forth the basis for this
finding.’’
COMMENTARY—2018: Sections 43-34 through 43-36 pre-
scribe the procedure to follow when a public defender or
appointed counsel concludes that an appeal would be wholly
frivolous and implement the holding in Anders v. California,
386 U.S. 738, 87 S. Ct. 2094, 18 L. Ed. 2d 493 (1967), and
State v. Pascucci, 161 Conn. 382, 288 A.2d 408 (1971). The
changes to these sections standardize the language among
SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS Sec. 43-40
the rules pertaining to motions to withdraw by appointed coun-
sel and clarify the filing procedures to follow in criminal matters.
Sec. 43-37. —Finding That Appeal Is Not
Frivolous
If after a full examination pursuant to Section
43-36 the presiding judge concludes that the
defendant’s appeal is not wholly frivolous, such
judge may allow counsel to withdraw and appoint
new counsel to represent the defendant, or may
order counsel of record to proceed with the
appeal.
(P.B. 1978-1997, Sec. 955.)
Sec. 43-38. —Disqualification of Presiding
Judge
Any presiding judge who was also the trial judge
shall refer the matter to the administrative judge
in the judicial district for assignment to another
judicial authority. If such presiding judge is also
the administrative judge, then the matter shall be
referred by the presiding judge to the chief admin-
istrative judge for criminal matters for assignment
to another judicial authority.
(P.B. 1978-1997, Sec. 956.) (Amended June 30, 2003, to
take effect Jan. 1, 2004.)
Sec. 43-39. Speedy Trial; Time Limitations
(a) Except as otherwise provided herein and in
Section 43-40, the trial of a defendant charged
with a criminal offense during the period from July
1, 1983, through June 30, 1985, inclusive, shall
commence within eighteen months from the filing
of the information or from the date of the arrest,
whichever is later.
(b) The trial of such defendant shall commence
within twelve months from the filing of the informa-
tion or from the date of the arrest, whichever is
later, if the following conditions are met:
(1) the defendant has been continuously incar-
cerated in a correctional institution of this state
pending trial for such offense; and
(2) the defendant is not subject to the provisions
of General Statutes § 54-82c.
(c) Except as otherwise provided herein and in
Section 43-40, the trial of a defendant charged
with a criminal offense on or after July 1, 1985,
shall commence within twelve months from the
filing of the information or from the date of the
arrest, whichever is later.
(d) The trial of such defendant shall commence
within eight months from the filing of the informa-
tion or from the date of the arrest, whichever is
later, if the following conditions are met:
(1) the defendant has been continuously incar-
cerated in a correctional institution of this state
pending trial for such offense; and
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(2) the defendant is not subject to the provisions
of General Statutes § 54-82c.
(e) If an information which was dismissed by
the trial court is reinstated following an appeal,
the time for trial set forth in subsections (a), (b)
and (c) shall commence running from the date of
release of the final appellate decision thereon.
(f) If the defendant is to be tried following a
mistrial, an order for a new trial, an appeal or
collateral attack, the time for trial set forth in sub-
sections (a), (b) and (c) shall commence running
from the date the order occasioning the retrial
becomes final.
(P.B. 1978-1997, Sec. 956B.)
Sec. 43-40. —Excluded Time Periods in
Determining Speedy Trial
The following periods of time shall be excluded
in computing the time within which the trial of a
defendant charged by information with a criminal
offense must commence pursuant to Section
43-39:
(1) Any period of delay resulting from other pro-
ceedings concerning the defendant, including but
not limited to:
(A) delay resulting from any proceeding, includ-
ing any examinations, to determine the mental
competency or physical capacity of the defendant;
(B) delay resulting from trial with respect to
other charges against the defendant;
(C) delay resulting from any interlocutory
appeal;
(D) the time between the commencement of the
hearing on any pretrial motion and the issuance
of a ruling on such motion;
(E) delay reasonably attributable to any period,
not to exceed thirty days, during which any pro-
ceeding concerning the defendant is actually
under advisement by the judicial authority;
(F) delay resulting from any proceeding under
General Statutes §§ 17a-685, 54-56e, 54-56g,
54-56m or any other pretrial diversion program
authorized by statute.
(2) Any period of delay resulting from the
absence or unavailability of the defendant, coun-
sel for the defendant, or any essential witness for
the prosecution or defense. For purposes of this
subdivision, a defendant or any essential witness
shall be considered absent when such person’s
whereabouts are unknown and cannot be deter-
mined by due diligence. For purposes of this sub-
division, a defendant or any essential witness
shall be considered unavailable whenever such
person’s whereabouts are known but his or her
presence for trial cannot be obtained by due dili-
gence or he or she resists appearing at or being
returned for trial.
SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERSSec. 43-40
(3) Any period of delay resulting from the fact
that the defendant is mentally incompetent or
physically unable to stand trial.
(4) A reasonable period of delay when the
defendant has been joined for trial with a codefen-
dant as to whom the time for trial has not run and
no motion for severance has been granted.
(5) Any period of time between the date on
which a defendant or counsel for the defendant
and the prosecuting authority agree that the
defendant will plead guilty or nolo contendere to
the charge and the date the judicial authority
accepts or rejects the plea agreement.
(6) Any period of time between the date on
which the defendant enters a plea of guilty or nolo
contendere and the date an order of the judicial
authority permitting the withdrawal of the plea
becomes final.
(7) The period of delay resulting from a continu-
ance granted by the judicial authority at the per-
sonal request of the defendant.
(8) The period of delay resulting from a continu-
ance granted by the judicial authority at the
request of the prosecuting authority, if:
(A) the continuance is granted because of the
unavailability of evidence material to the state’s
case, when the prosecuting authority has exer-
cised due diligence to obtain such evidence and
there are reasonable grounds to believe that such
evidence will be available at a later date; or
(B) the continuance is granted to allow the pros-
ecuting authority additional time to prepare the
state’s case and additional time is justified
because of the exceptional circumstances of
the case.
(9) With respect to a defendant incarcerated in
another jurisdiction, the period of time until the
defendant’s presence for trial has been obtained,
provided the prosecuting authority has exercised
reasonable diligence (A) in seeking to obtain the
defendant’s presence for trial upon receipt of a
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demand from the defendant for trial, and (B) if the
defendant has not theretofore demanded trial, in
filing a detainer with the official having custody of
the defendant requesting that official to advise the
defendant of the defendant’s right to demand trial.
(10) Other periods of delay occasioned by
exceptional circumstances.
(P.B. 1978-1997, Sec. 956C.)
Sec. 43-41. —Motion for Speedy Trial; Dis-
missal
If the defendant is not brought to trial within the
applicable time limit set forth in Sections 43-39
and 43-40, and, absent good cause shown, a trial
is not commenced within thirty days of the filing
of a motion for speedy trial by the defendant at
any time after such time limit has passed, the
information shall be dismissed with prejudice, on
motion of the defendant filed after the expiration
of such thirty day period. For the purpose of this
section, good cause consists of any one of the
reasons for delay set forth in Section 43-40. When
good cause for delay exists, the trial shall com-
mence as soon as is reasonably possible. Failure
of the defendant to file a motion to dismiss prior
to the commencement of trial shall constitute a
waiver of the right to dismissal under these rules.
(P.B. 1978-1997, Sec. 956D.)
Sec. 43-42. —Definition of Commencement
of Trial
For purposes of Sections 43-39 through 43-41,
‘‘commencement of trial’’ means the commence-
ment of the voir dire examination in jury cases
and the swearing-in of the first witness in non-
jury cases.
(P.B. 1978-1997, Sec. 956E.)
Sec. 43-43. —Waiver of Speedy Trial Pro-
visions
The provisions of Sections 43-39 through 43-
42 may be waived by any defendant in writing or
on the record in open court.
(P.B. 1978-1997, Sec. 956F.)
SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS Sec. 44-3
CHAPTER 44
GENERAL PROVISIONS
Sec. Sec.
44-1. Right to Counsel; Appointment in Specific
Instances
44-2. —Appointment in Other Instances
44-3. —Waiver of Right to Counsel
44-4. —Standby Counsel for Defendant Self-Repre-
sented
44-5. —Role of Standby Counsel
44-6. —Standby Counsel for Disruptive Defendant
44-7. Presence of Defendant; Attire of Incarcerated
Defendant or Witness
44-8. —When Presence of Defendant is and is Not
Required at Trial and Sentencing
44-9. —Obtaining Presence of Unexcused Defendant at
Trial or Sentencing
44-10. —Where Presence of Defendant Not Required
44-10A. —Where Presence of Defendant May Be by Means
of an Interactive Audiovisual Device
44-11. Docketing and Scheduling in General of Criminal
Cases
44-12. —Control of Scheduling
44-13. —Scheduling for Proceedings before Trial; Contin-
uances
44-14. —Assignments for Plea in Judicial District Court
Location
44-15. —Scheduling at Entry of Plea
44-16. —Scheduling from Trial List
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
Specific Instances
A person who is charged with an offense pun-
ishable by imprisonment, or who is charged with
violation of probation, or who is a petitioner in any
habeas corpus proceeding arising from a criminal
matter, or who is accused in any extradition pro-
ceeding, and who is unable to obtain counsel by
reason of indigency shall be entitled to have coun-
sel represent him or her unless:
(1) The person waives such appointment pursu-
ant to Section 44-3; or
(2) In a misdemeanor case, at the time of the
application for the appointment of counsel, the
judicial authority decides to dispose of the charge
without subjecting the defendant to a sentence
involving immediate incarceration or a suspended
sentence of incarceration with a period of proba-
tion, or it believes that the disposition of the charge
at a later date will not result in such a sentence
and it makes a statement to that effect on the
record. If it appears to the judicial authority at a
later date that if convicted the defendant will be
subjected to such a sentence, counsel shall be
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44-17. —Motion to Advance
44-18. —Continuances
44-19. Reference to Judge Trial Referee
44-20. Appointment of Guardian Ad Litem
44-21. Infractions and Violations; When Treated as an
Offense
44-22. —Form of Summons and Complaint for Infractions
and Violations
44-23. —When Custody Not Required
44-24. —When Custody Required
44-25. —Plea of Nolo Contendere to Infraction or Violation
44-26. —Pleas of Not Guilty to Infraction or Violation
44-27. —Hearing of Infractions, Violations to Which Not
Guilty Plea Filed
44-28. —Location of Infractions Bureau and Role of Clerks
44-29. —Powers of Centralized Infractions Bureau
44-30. —Hearing by Magistrates of Infractions and Certain
Motor Vehicle Violations
44-31. Motion to Quash Subpoena Pursuant to Inquiry into
Commission of Crime
44-32. Fees and Expenses; Return of Subpoenas
44-33. —Indigent Witnesses
44-34. —Fees for Witnesses
44-35. —Officer’s Fees on Extradition; Habeas Corpus
44-36. —Fee on Motion to Open Certain Judgments
44-37. Definition of Terms
appointed prior to trial or the entry of a plea of
guilty or nolo contendere.
(P.B. 1978-1997, Sec. 959.)
Sec. 44-2. —Appointment in Other Instan-
ces
In any other situation in which a defendant is
unable to obtain counsel by reason of indigency,
and is constitutionally or statutorily entitled to the
assistance of counsel, such defendant may
request the judicial authority to appoint a public
defender in accordance with Section 44-1.
(P.B. 1978-1997, Sec. 960.)
Sec. 44-3. —Waiver of Right to Counsel
A defendant shall be permitted to waive the
right to counsel and shall be permitted to repre-
sent himself or herself at any stage of the proceed-
ings, either prior to or following the appointment
of counsel. A waiver will be accepted only after
the judicial authority makes a thorough inquiry
and is satisfied that the defendant:
(1) Has been clearly advised of the right to the
assistance of counsel, including the right to the
assignment of counsel when so entitled;
SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERSSec. 44-3
(2) Possesses the intelligence and capacity to
appreciate the consequences of the decision to
represent oneself;
(3) Comprehends the nature of the charges and
proceedings, the range of permissible punish-
ments, and any additional facts essential to a
broad understanding of the case; and
(4) Has been made aware of the dangers and
disadvantages of self-representation.
(P.B. 1978-1997, Sec. 961.)
Sec. 44-4. —Standby Counsel for Defendant
Self-Represented
When a defendant has been permitted to pro-
ceed without the assistance of counsel, the judi-
cial authority may appoint standby counsel,
especially in cases expected to be long or compli-
cated or in which there are multiple defendants.
A public defender or special public defender may
be appointed as standby counsel only if the
defendant is indigent and qualifies for appoint-
ment of counsel under General Statutes § 51-296,
except that in extraordinary circumstances the
judicial authority, in its discretion, may appoint a
special public defender for a defendant who is
not indigent.
(P.B. 1978-1997, Sec. 963.)
Sec. 44-5. —Role of Standby Counsel
If requested to do so by the defendant, the
standby counsel shall advise the defendant as
to legal and procedural matters. If there is no
objection by the defendant, such counsel may
also call the judicial authority’s attention to matters
favorable to the defendant. Such counsel shall
not interfere with the defendant’s presentation of
the case and may give advice only upon request.
(P.B. 1978-1997, Sec. 964.)
Sec. 44-6. —Standby Counsel for Disrup-
tive Defendant
Upon direction of the judicial authority in situa-
tions involving a disruptive defendant or one who
has been removed under Section 42-46, standby
counsel shall enter the case and represent the
defendant notwithstanding a previous waiver
under Section 44-3. If standby counsel is ordered
to represent the defendant, counsel shall be
granted reasonable time before proceeding with
the trial.
(P.B. 1978-1997, Sec. 965.)
Sec. 44-7. Presence of Defendant; Attire of
Incarcerated Defendant or Witness
The defendant has the right to be present at the
arraignment, at the time of the plea, at evidentiary
hearings, at the trial, and at the sentencing hear-
ing, except as provided in Sections 44-7 through
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44-10. Whenever present, the defendant shall be
seated where he or she can effectively consult
with counsel and can see and hear the proceed-
ings. An incarcerated defendant or an incarcer-
ated witness shall not be required during the
course of a trial to appear in court in the distinctive
attire of a prisoner or convict.
(P.B. 1978-1997, Sec. 967.)
Sec. 44-8. —When Presence of Defendant is
and is Not Required at Trial and Sentencing
The defendant must be present at the trial and
at the sentencing hearing, but, if the defendant
will be represented by counsel at the trial or sen-
tencing hearing, the judicial authority may:
(1) Excuse the defendant from being present
at the trial or a part thereof or the sentencing
hearing if the defendant waives the right to be
present;
(2) Direct that the trial or a part thereof or the
sentencing hearing be conducted in the defend-
ant’s absence if the judicial authority determines
that the defendant waived the right to be pre-
sent; or
(3) Direct that the trial or a part thereof be con-
ducted in the absence of the defendant if the judi-
cial authority has justifiably excluded the
defendant from the courtroom because of his or
her disruptive conduct, pursuant to Section 42-46.
(P.B. 1978-1997, Sec. 968.)
Sec. 44-9. —Obtaining Presence of Unex-
cused Defendant at Trial or Sentencing
If the defendant is not present at the trial or a
part thereof or the sentencing hearing and defend-
ant’s absence has not been excused, the judicial
authority may issue a capias in accordance with
the provisions of Section 38-21.
(P.B. 1978-1997, Sec. 969.)
Sec. 44-10. —Where Presence of Defendant
Not Required
(a) Unless otherwise ordered by the judicial
authority, a defendant need not be present in the
following situations:
(1) In proceedings involving a corporation, a
corporation being able to appear by counsel for
all purposes;
(2) In prosecutions for offenses punishable by
a fine in which the defendant pleads guilty or nolo
contendere and pays the fine by mail;
(3) At any argument on a question of law or at
any conference, except a disposition conference
pursuant to Section 39-13;
(4) In proceedings involving a reduction of a
sentence under Sections 43-21 and 43-22; and
(5) In proceedings in which the defendant other-
wise waives his or her right to be present.
SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS Sec. 44-12
(b) If ordered to be present by the judicial
authority or if required to be present for a disposi-
tion conference pursuant to subsection (a) (3) of
this section, the presence of the defendant may,
in the discretion of the judicial authority and, in
the case of such a disposition conference, with
the consent of the defendant, be made by means
of an interactive audiovisual device. Such audiovi-
sual device must operate so that the defendant,
his or her attorney, if any, and the judicial authority
can see and communicate with each other simul-
taneously. In addition, a procedure by which the
defendant and his or her attorney can confer in
private must be provided.
(P.B. 1978-1997, Sec. 970.) (Amended December 19,
2006, to take effect March 12, 2007.)
Sec. 44-10A. —Where Presence of Defend-
ant May Be by Means of an Interactive
Audiovisual Device
(a) Unless otherwise ordered by the judicial
authority, and in the discretion of the judicial
authority, a defendant may be present by means
of an interactive audiovisual device for the follow-
ing proceedings:
(1) Hearings concerning indigency pursuant to
General Statutes § 52-259b;
(2) Hearings concerning asset forfeiture, unless
the testimony of witnesses is required;
(3) Hearings regarding seized property, unless
the testimony of witnesses is required;
(4) With the defendant’s consent, bail modifica-
tion hearings pursuant to Section 38-14;
(5) Sentence review hearings pursuant to Gen-
eral Statutes § 51-195;
(6) Proceedings under General Statutes § 54-
56d (k) if the evaluation under General Statutes
§ 54-56d (j) concludes that the defendant is not
competent but is restorable and neither the state
nor the defendant intends to contest that con-
clusion;
(7) Arraignments, provided that counsel for the
defendant has been given the opportunity to meet
with the defendant prior to the arraignment;
(8) A disposition conference held in the judicial
district court pursuant to the provisions of Sections
39-11 through 39-17 when it is not reasonably
anticipated that an offer for the final disposition
of the case will be accepted or rejected upon the
conclusion of the conference;
(9) With the consent of counsel a disposition
conference held in the geographical area court
pursuant to the provisions of Sections 39-11
through 39-17 when it is not reasonably antici-
pated that an offer for the final disposition of the
case will be accepted or rejected upon the conclu-
sion of the conference;
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(10) The first scheduled court appearance of
the defendant in the judicial district court following
the transfer of the case from the geographical
area court;
(11) Hearings regarding motions to correct ille-
gal sentence; and
(12) Hearings regarding motions for sentence
modification.
(b) Such audiovisual device must operate so
that the defendant, his or her attorney, if any, and
the judicial authority can see and communicate
with each other simultaneously. In addition, a pro-
cedure by which the defendant and his or her
attorney can confer in private must be provided.
(c) Unless otherwise required by law or ordered
by the judicial authority, prior to any proceeding
in which a person appears by means of an inter-
active audiovisual device, copies of all documents
which may be offered at the proceeding shall be
provided to all counsel and self-represented par-
ties in advance of the proceeding.
(d) Nothing contained in this section shall be
construed to establish a right for any person to
appear by means of an interactive audiovisual
device.
(Adopted Dec. 19, 2006, to take effect March 12, 2007;
amended June 20, 2011, to take effect Jan. 1, 2012; amended
June 24, 2016, to take effect Jan. 1, 2017.)
Sec. 44-11. Docketing and Scheduling in
General of Criminal Cases
Upon the return of an indictment or of a sum-
mons, or of a warrant previously issued by the
judicial authority, or upon receipt of notice of an
arrest, the clerk of the court having jurisdiction of
the case shall forthwith assign a number to the
case, enter it on the criminal docket or on other
appropriate documents, and make a file in con-
nection therewith. Such clerk shall immediately
notify the prosecuting authority of the number
assigned to the case.
(P.B. 1978-1997, Sec. 972.)
Sec. 44-12. —Control of Scheduling
The judicial authority, acting through the clerk,
shall control the time and the manner of schedul-
ing all proceedings in criminal cases and shall
have the cooperation of the prosecuting authority
and defense counsel in carrying out their respon-
sibilities under Sections 44-11 and 44-12. The
clerk of the court shall file a written report with
the court periodically, as directed by the judicial
authority, indicating the age and the status of each
pending case, including whether the defendant is
being held in custody pending trial and, if so, how
long he or she has been held in custody. The
clerk shall consult with the prosecuting authority
and defense counsel in matters of scheduling so
SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERSSec. 44-12
that such clerk may be aware of and advise the
judicial authority of any factors affecting the
orderly movement of cases.
(P.B. 1978-1997, Sec. 973.)
Sec. 44-13. —Scheduling for Proceedings
before Trial; Continuances
Cases should be promptly assigned for arraign-
ments, motions and other preliminary proceed-
ings so as not unduly to delay the progress of the
cases or to exceed time limits for such pro-
ceedings set by rule or administrative directive.
Ordinarily, continuances for any preliminary pro-
ceedings, when allowed under these rules, shall
not exceed two weeks.
(P.B. 1978-1997, Sec. 975.)
Sec. 44-14. —Assignments for Plea in Judi-
cial District Court Location
Each case pending in a judicial district court
location shall be assigned for a plea within two
weeks after it is placed on the list of pending
cases, unless the judicial authority shall order
otherwise.
(P.B. 1978-1997, Sec. 976.)
Sec. 44-15. —Scheduling at Entry of Plea
Upon entry of a not guilty plea, the judicial
authority shall, whenever feasible, assign a date
certain for the trial of such case, and in jury cases,
for a disposition conference pursuant to Sections
39-11 through 39-13, and it shall advise all parties
that they are to be prepared to proceed to trial or
to a disposition conference on that date. If the
setting of a definite date at the time of the not
guilty plea is not feasible, the case shall be placed
on a trial list of pending cases which shall be
maintained by the clerk. Cases shall be placed
on the trial list in the order in which the not guilty
pleas were entered.
(P.B. 1978-1997, Sec. 977.)
Sec. 44-16. —Scheduling from Trial List
(a) The judicial authority shall assign for trial on
dates certain so much of the trial list as shall be
deemed necessary for the proper conduct of the
court and shall direct the clerk to distribute a list
of the cases so assigned to the counsel of record.
Cases shall be assigned for trial in the order in
which they appear on the trial list and they should
be tried in the order in which they are assigned
for trial, except that the judicial authority may
depart from the listed order and may give priority
in assignment or trial to the following types of
cases:
(1) Cases in which the defendant is being held
in custody for lack of a bond;
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(2) Cases in which the judicial authority has
granted a motion for a speedy trial; or
(3) Cases in which the judicial authority reason-
ably believes that the pretrial liberty of the defend-
ant presents unusual risks over those of other
criminal cases.
(b) The judicial authority shall not assign for trial
on a date certain a number of cases greater than
that which can be reasonably expected to be
reached for trial on that date, based on the court’s
resources for trial and the number and percentage
of trials generally conducted.
(P.B. 1978-1997, Sec. 978.)
Sec. 44-17. —Motion to Advance
Upon motion of a party and a showing of good
cause, the judicial authority may advance a case
for trial prior to the time when it would ordinarily
be assigned.
(P.B. 1978-1997, Sec. 979.)
Sec. 44-18. —Continuances
Except for the defendant’s arraignment pursu-
ant to Sections 37-1 through 37-12, continuances
may be granted only by the judicial authority or
with the judicial authority’s explicit approval.
(P.B. 1978-1997, Sec. 981.)
Sec. 44-19. Reference to Judge Trial Referee
The judicial authority may, with the consent of
the parties or their attorneys, refer any criminal
case to a judge trial referee who shall have and
exercise the powers of the superior court in
respect to trial, judgment, sentencing and appeal
in the case, except that the judicial authority may,
without the consent of the parties or their attor-
neys, (A) refer any criminal case, other than a
criminal jury trial, to a judge trial referee assigned
to a geographical area criminal court session, and
(B) refer any criminal case, other than a class A
or B felony or capital felony, to a judge trial referee
to preside over the jury selection process and
any voir dire examination conducted in such case,
unless good cause is shown not to refer. Any case
referred to a judge trial referee shall be deemed
to have been referred for all further proceedings,
judgment and sentencing, including matters per-
taining to any appeal therefrom unless otherwise
ordered before or after the reference.
(P.B. 1978-1997, Sec. 997A.) (Amended June 20, 2005,
to take effect Jan. 1, 2006.)
Sec. 44-20. Appointment of Guardian Ad
Litem
(a) In any criminal proceeding involving an
abused or neglected minor child, a guardian ad
litem shall be appointed. The judicial authority
may also appoint a guardian ad litem for a minor
SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS Sec. 44-27
involved in any other criminal proceedings, includ-
ing those in which the minor resides with and is
the victim of a person arrested or charged with a
criminal offense, those in which the minor resides
in the same household as the victim and the
defendant, or those in which the minor is the
defendant. Unless the judicial authority orders that
another person be appointed guardian ad litem,
the family relations counselor or family relations
caseworker shall be designated as guardian ad
litem.
(b) If the guardian ad litem is not the family
relations counselor or family relations case-
worker, the judicial authority may order compen-
sation for the services rendered in accordance
with the established Judicial Branch fee schedule.
(P.B. 1978-1997, Sec. 998.)
Sec. 44-21. Infractions and Violations;
When Treated as an Offense
Pursuant to subdivision (4) of Section 44-37,
infractions and violations are included in the gen-
eral definition of ‘‘offense,’’ and, except as distin-
guished in Sections 44-21 through 44-29, they
are treated as any other offense under these rules.
(P.B. 1978-1997, Sec. 1000.)
Sec. 44-22. —Form of Summons and Com-
plaint for Infractions and Violations
In all infractions and violations a summons and
complaint shall, insofar as applicable, be used in
the form designated in Section 36-7.
(P.B. 1978-1997, Sec. 1002.)
Sec. 44-23. —When Custody Not Required
(a) Except for those offenses listed in Section
44-24, and as provided in subsection (b) herein,
a resident of the state of Connecticut or of a state
that is a signatory with Connecticut of a no-bail
compact, who has been arrested for a violation
of any statute relating to motor vehicles, shall be
issued a summons and complaint, and may, in
the discretion of the law enforcement officer, be
released without bail on his or her promise to
appear.
(b) Any resident of the state of Connecticut who
is charged with an infraction or violation payable
by mail pursuant to statute, and any resident of
a state that is a signatory with Connecticut of a
no-bail compact who is charged with an infraction
involving a motor vehicle or with a violation of
General Statutes § 14-219(e), shall not be taken
into custody, but shall be issued a summons and
complaint and follow the procedure set forth in
Sections 44-25 through 44-27.
(P.B. 1978-1997, Sec. 1004.)
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Sec. 44-24. —When Custody Required
(a) Any person charged with an infraction or
with a violation, whether or not payable by mail
pursuant to statute, who is not a resident of the
state of Connecticut or of a state that is a signatory
with Connecticut of a no-bail compact shall be
taken into custody.
(b) In the following offenses, the defendant,
whether or not a resident of this state, shall be
taken into custody:
(1) Driving while under the influence of intoxicat-
ing liquor or drugs;
(2) Using a motor vehicle without the permission
of the owner;
(3) Evading responsibility;
(4) Any offenses involving an accident resulting
in death; or
(5) Any felonies.
(P.B. 1978-1997, Sec. 1005.)
Sec. 44-25. —Plea of Nolo Contendere to
Infraction or Violation
Any resident of Connecticut or of a state that is
a signatory with Connecticut of a no-bail compact
who is charged with any infraction or with any
violation which is payable by mail pursuant to stat-
ute may pay the penalty, either by mail or in per-
son, to the centralized infractions bureau at the
address set forth on the complaint on or before
the answer date designated in the complaint or,
if the case is pending at a court location, may pay
the penalty by mail or in person at such court
location. The payment of the fine shall be consid-
ered a plea of nolo contendere and shall be inad-
missible in any proceeding, criminal or civil, to
establish the conduct of the person making such
payment, except for any administrative sanctions
imposed by the commissioner of motor vehicles
pursuant to title 14 of the General Statutes.
(P.B. 1978-1997, Sec. 1007.)
Sec. 44-26. —Pleas of Not Guilty to Infrac-
tion or Violation
Pleas of not guilty for infractions and for viola-
tions which are payable by mail pursuant to statute
may be accepted only at the centralized infrac-
tions bureau and at those locations authorized by
the General Statutes.
(P.B. 1978-1997, Sec. 1008.)
Sec. 44-27. —Hearing of Infractions, Viola-
tions to Which Not Guilty Plea Filed
(a) Upon entry of a plea of not guilty to an
infraction or to a violation which is payable by mail
pursuant to statute, the clerk shall file such plea
and forthwith transmit the file to the prosecuting
authority for review.
SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERSSec. 44-27
(b) Unless a nolle prosequi or a dismissal is
entered in the matter within ten days of the filing
of a not guilty plea, the clerk shall schedule a
hearing and shall send the defendant a written
notice of the date, time and place of such hearing.
(c) Hearings shall be conducted in accordance
with the criminal rules of evidence and with the
provisions of chapter 42 insofar as the provisions
of that chapter are applicable.
(d) A nolle prosequi or a dismissal may be
entered in the absence of the defendant. In the
event a nolle prosequi or a dismissal is entered
in the matter, the clerk shall send a written notice
of such disposition to any defendant who was not
before the court at the time of such disposition.
The entry of a nolle prosequi hereunder shall not
operate as a waiver of the defendant’s right there-
after to seek a dismissal pursuant to Section
39-30.
(P.B. 1978-1997, Sec. 1008A.)
Sec. 44-28. —Location of Infractions Bureau
and Role of Clerks
(a) There shall be a centralized infractions
bureau of the superior court to handle payments
or pleas of not guilty with respect to the commis-
sion of infractions and of violations which are pay-
able by mail pursuant to statute.
(b) For the purpose of processing such matters
which are not finally disposed at the centralized
infractions bureau, the principal clerk’s office of
the superior court in each geographical area shall
be the infractions bureau for such geographical
area. The judges of the superior court may estab-
lish such other bureaus when and where they may
deem them necessary and they may designate
the clerks or the assistant clerks of the court, or
any other appropriate persons, as clerks of such
bureaus. If no other person is so designated by
the judges, the clerk of the superior court for the
geographical area shall be the clerk of each infrac-
tions bureau in that geographical area.
(P.B. 1978-1997, Sec. 1010.)
Sec. 44-29. —Powers of Centralized Infrac-
tions Bureau
Subject to the limitations in Sections 44-25 and
44-26, the centralized infractions bureau shall
have the power to accept a plea of nolo conten-
dere and the payment of fines in cases which
have been designated by statute as infractions or
as violations which are payable by mail.
(P.B. 1978-1997, Sec. 1011.)
Sec. 44-30. —Hearing by Magistrates of
Infractions and Certain Motor Vehicle Vio-
lations
(a) Infractions and motor vehicle violations
which may be submitted to a magistrate pursuant
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to statute may be heard by magistrates in those
court locations where a magistrate has been
appointed by the chief court administrator, except
that magistrates may not conduct jury trials.
(b) Hearings by magistrates shall be conducted
in accordance with the criminal rules of evidence
and with the provisions of chapter 42 insofar as
the provisions of that chapter are applicable. A
magistrate shall sign all orders the magistrate
issues, such signature to be followed by the
word ‘‘magistrate.’’
(c) A decision of the magistrate, including any
penalty imposed, shall become a judgment of the
court if no demand for a trial de novo is filed. Such
decision of the magistrate shall become null and
void if a timely demand for a trial de novo is filed.
A demand for a trial de novo shall be filed with
the court clerk within five days of the date the
decision was rendered by the magistrate and, if
filed by the prosecuting authority, it shall include
a certification that a copy thereof has been served
on the defendant or his or her attorney, in accord-
ance with the rules of practice.
(d) If the defendant is charged with more than
one offense, and not all such offenses are motor
vehicle violations within the jurisdiction of a magis-
trate, a judicial authority shall hear and decide
such case.
(e) This section shall be inapplicable at any
court location to which a magistrate has not been
assigned by the chief court administrator.
(P.B. 1978-1997, Sec. 1011D.)
Sec. 44-31. Motion to Quash Subpoena Pur-
suant to Inquiry into Commission of Crime
(a) Whenever a subpoena has been issued to
compel the attendance of a witness or the produc-
tion of documents at an inquiry conducted by an
investigative grand jury, the person summoned
may file a motion to quash the subpoena with
the chief clerk of the judicial district wherein the
investigation is then being conducted. No fees or
costs shall be required or assessed.
(b) The motion shall be docketed as a criminal
matter. The party filing the motion shall be desig-
nated as the plaintiff and the state’s attorney for
such judicial district shall be designated as the
defendant. A prosecuting authority shall appear
and defend on behalf of the state’s attorney.
(c) Unless otherwise ordered by the judicial
authority before whom such hearing shall be con-
ducted, the hearing on the motion to quash shall
be conducted in public and the court file on the
motion to quash shall be open to public inspection.
(d) The motion shall be heard forthwith by a
judicial authority who is not a member of the panel
of judges which acted on the application, nor the
SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS Sec. 44-37
grand jury in the proceeding. The hearing date
and time shall be set by the clerk after consultation
with the judicial authority having responsibility for
the conduct of criminal business within the judicial
district. The clerk shall give notice to the parties
of the hearing so scheduled.
(P.B. 1978-1997, Sec. 1012A.)
Sec. 44-32. Fees and Expenses; Return of
Subpoenas
An officer or an indifferent person serving sub-
poenas in criminal cases will not be allowed fees
for returning the same to the court unless the
person returns them in person or actually pays
for their return, and then only the sum paid will be
allowed, not exceeding the legal fees for returning
civil process. No fee shall be paid to any police
officer for serving subpoenas.
(P.B. 1978-1997, Sec. 1014.)
Sec. 44-33. —Indigent Witnesses
An officer or any other person serving a sub-
poena or a capias in criminal cases on behalf of
the state on witnesses who are indigent and
unable to procure the means of traveling to the
court will be allowed a reasonable compensation
for providing transportation of such witnesses to
the court; a reasonable sum will be taxed for the
support of such witnesses during their necessary
attendance at court.
(P.B. 1978-1997, Sec. 1015.)
Sec. 44-34. —Fees for Witnesses
Witnesses in attendance in more cases than
one at the same time will be allowed fees for travel
and attendance in one case only. The travel of
nonresident witnesses will be computed and
taxed from the state line on the usual course of
travel in all cases where witnesses’ fees are not
paid under General Statutes § 54-82i or § 54-152.
(P.B. 1978-1997, Sec. 1016.)
Sec. 44-35. —Officer’s Fees on Extradition;
Habeas Corpus
Any officer having charge of a person who is
arrested upon an extradition warrant for delivery
to another state and required to attend court upon
a writ of habeas corpus shall be entitled to receive
the same fees and expenses as such officer would
receive for presenting a prisoner before the court
for trial, and such fees and expenses are to be
paid to such officer by the officer of such other
state upon the surrender of the prisoner or, if the
prisoner is released, they are to be taxed and
allowed him or her at the next term of the court
in the judicial district or geographical area where
such prisoner was held.
(P.B. 1978-1997, Sec. 1017.)
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Sec. 44-36. —Fee on Motion to Open Cer-
tain Judgments
Upon the filing of a motion to open judgment in
any case in which the defendant has been
charged with violation of a motor vehicle statute
and has failed to appear at the time and place
assigned for trial or, where applicable, has failed
to plead or pay the fine and additional fee by mail,
and the judicial authority has reported such failure
to the commissioner of motor vehicles, the movant
shall pay to the clerk the filing fee prescribed by
statute unless such fee has been waived by the
judicial authority.
(P.B. 1978-1997, Sec. 1020A.)
Sec. 44-37. Definition of Terms
Unless the context clearly requires otherwise:
(1) ‘‘Prosecuting authority’’ means any person
appointed or otherwise designated or charged
generally or specially with the duty of prosecuting
persons accused of criminal offenses in any court,
and includes, but is not limited to, the chief state’s
attorney and any deputies or assistants and each
state’s attorney of the superior court and any dep-
uties or assistants.
(2) ‘‘Public defender’’ means any attorney
appointed or otherwise designated or charged
generally or specially by the court with the duty
of representing persons accused of criminal
offenses in any court or of representing anyone
in habeas corpus proceedings or appeals, and
includes, but is not limited to, the chief public
defender and any deputies or assistants, and
each public defender and any deputies or
assistants.
(3) ‘‘Law enforcement officer’’ means any per-
son vested by law with a duty to maintain public
order or to make arrests for offenses, and
includes, but is not limited to, a member of the
state police department or an organized local
police department, a detective in the division of
criminal justice, a sheriff or deputy sheriff, a con-
servation officer or special conservation officer as
defined in General Statutes § 26-5, a constable
who performs criminal law enforcement duties, a
special policeman appointed under General Stat-
utes §§ 29-18, 29-18a or 29-19, or an official of
the department of correction authorized by the
commissioner of correction to make arrests in a
correctional institution or facility. ‘‘Law enforce-
ment officer’’ also includes state and judicial mar-
shals, but only where the use of that term in these
rules is consistent with the authority given to such
marshals by statute.
(4) ‘‘Offense’’ means any crime or violation
which constitutes a breach of any law of this state
SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERSSec. 44-37
or any local law or ordinance of a political subdivi-
sion of this state, for which a sentence of a term of
imprisonment or a fine, or both, may be imposed,
including infractions.
(5) ‘‘Crime’’ means a felony or a misdemeanor.
(6) ‘‘Violation’’ means an offense for which the
only sentence authorized is a fine and which is
not expressly designated as an infraction.
(7) ‘‘Felony’’ means an offense for which a per-
son may be sentenced to a term of imprisonment
in excess of one year.
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(8) ‘‘Misdemeanor’’ means an offense for which
a person may be sentenced to a term of imprison-
ment of not more than one year.
(9) ‘‘Infraction’’ means an act or a failure to act
which is designated by the General Statutes as
an infraction.
(10) ‘‘Trial’’ means that judicial proceeding at
which the guilt or innocence of the defendant to
the offense or offenses charged is to be
determined.
(P.B. 1978-1997, Sec. 1021.) (Amended June 25, 2001, to
take effect Jan. 1, 2002.)
RULES OF APPELLATE PROCEDURE Sec. 60-4
RULES OF APPELLATE PROCEDURE
CHAPTER 60
GENERAL PROVISIONS RELATING TO APPELLATE RULES
AND APPELLATE REVIEW
Sec. Sec.
60-1. Rules to Be Liberally Interpreted
60-2. Supervision of Procedure
60-3. Suspension of the Rules
60-4. Definitions
60-5. Review by the Court; Plain Error; Preservation of
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
The design of these rules being to facilitate busi-
ness and advance justice, they will be interpreted
liberally in any appellate matter where it shall be
manifest that a strict adherence to them will work
surprise or injustice.
(P.B. 1978-1997, Sec. 4182.) (Amended Oct. 18, 2017, to
take effect Jan. 1, 2018.)
HISTORY—2018: In 2018, ‘‘case’’ was deleted following
‘‘any’’ and ‘‘appellate matter’’ was added.
Sec. 60-2. Supervision of Procedure
The supervision and control of the proceedings
shall be in the court having appellate jurisdiction
from the time the appellate matter is filed, or ear-
lier, if appropriate, and, except as otherwise pro-
vided in these rules, any motion the purpose of
which is to complete or perfect the record of the
proceedings below for presentation on appeal
shall be made to the court in which the appeal is
pending. The court may, on its own motion or
upon motion of any party, modify or vacate any
order made by the trial court, or a judge thereof,
in relation to the prosecution of an appeal. It
may also, for example, on its own motion or upon
motion of any party: (1) order a judge to take any
action necessary to complete the trial court record
for the proper presentation of the appeal; (2) con-
sider any matter in the record of the proceedings
below necessary for the review of the issues pre-
sented by any appeal, regardless of whether the
matter has been included in the appendix of any
party; (3) order improper matter stricken from a
brief or appendix; (4) order a stay of any proceed-
ings ancillary to a case on appeal; (5) order that a
party for good cause shown may file a late appeal,
petition for certification, brief or any other docu-
ment unless the court lacks jurisdiction to allow
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60-6. Appellate Jurists Sitting as Superior Court Judges
60-7. Electronic Filing; Payment of Fees
60-8. Exemption from or Inapplicability of Electronic Filing;
Payment of Fees
60-9. Security for Costs
the late filing; (6) order that a hearing be held
to determine whether it has jurisdiction over a
pending matter; (7) order an appeal to be dis-
missed unless the appellant complies with specific
orders of the trial court, submits to the process of
the trial court, or is purged of contempt of the trial
court; (8) remand any pending matter to the trial
court for the resolution of factual issues where
necessary; or (9) correct technical or other minor
mistakes in a published opinion which do not
affect the rescript.
(P.B. 1978-1997, Sec. 4183.) (Amended June 5, 2013, to
take effect July 1, 2013; amended Oct. 18, 2017, to take effect
Jan. 1, 2018.)
HISTORY—2018: Prior to 2018, the first sentence read:
‘‘The supervision and control of the proceedings on appeal
shall be in the court having appellate jurisdiction from the time
the appeal is filed, or earlier, if appropriate, and, except as
otherwise provided in these rules, any motion the purpose of
which is to complete or perfect the record of the proceedings
below for presentation on appeal shall be made to the court
in which the appeal is pending.’’
Sec. 60-3. Suspension of the Rules
In the interest of expediting decision, or for other
good cause shown, the court in which the appel-
late matter is pending may suspend the require-
ments or provisions of any of these rules on
motion of a party or on its own motion and may
order proceedings in accordance with its direction.
(P.B. 1978-1997, Sec. 4187.) (Amended Oct. 18, 2017, to
take effect Jan. 1, 2018.)
HISTORY—2018: Prior to 2018, this section read: ‘‘In the
interest of expediting decision, or for other good cause shown,
the court in which the appeal is pending may suspend the
requirements or provisions of any of these rules in a particular
case on motion of a party or on its own motion and may order
proceedings in accordance with its direction.’’
Sec. 60-4. Definitions
‘‘Administrative appeal’’ shall mean an appeal
from a judgment of the superior court concerning
RULES OF APPELLATE PROCEDURESec. 60-4
the appeal to that court from a decision of any
officer, board, commission or agency of the state
or of any political subdivision of the state.
‘‘Appellant’’ shall mean the party, or parties if
an appeal is jointly filed, taking the appeal.
‘‘Appellee’’ shall mean all other parties in the
trial court at the time of judgment, unless after
judgment the matter was withdrawn as to them
or unless a motion for permission not to participate
in the appeal has been granted by the court.
‘‘Counsel of record’’ shall include all attorneys
and self-represented parties appearing in the trial
court at the time of the initial appellate filing,
unless an exception pursuant to Section 62-8
applies, all attorneys and self-represented parties
who filed the appellate matter, and all attorneys
and self-represented parties who file an appear-
ance in the appellate matter.
‘‘Court reporter’’ shall refer to all court reporters
and court reporting monitors.
‘‘Filed’’ shall mean the receipt by the appellate
clerk of a paper or document by electronic submis-
sion pursuant to Section 60-7. If an exemption to
electronic filing has been granted or if the elec-
tronic filing requirements do not apply, filed shall
mean receipt of the paper or document by hand
delivery, by first class mail or by express mail
delivered by the United States Postal Service or
an equivalent commercial service. If a document
must be filed by a certain date under these rules
or under any statutory provision, the document
must be received by the appellate clerk by the
close of business on that date; it is not sufficient
that a document be mailed by that date to the
appellate clerk unless a rule or statutory provision
expressly so computes the time.
‘‘Issues’’ shall include claims of error, certified
questions and questions reserved.
‘‘Motion’’ shall include applications and peti-
tions, other than petitions for certification. A preap-
peal motion is one that is filed prior to or
independent of an appeal.
‘‘Paper’’ and ‘‘Document’’ shall include an elec-
tronic submission that complies with the proce-
dures and standards established by the chief clerk
of the appellate system under the direction of the
administrative judge of the appellate system and
a paper or document created in or converted to
a digital format by the judicial branch.
‘‘Petition’’ does not include petitions for certifi-
cation unless the context clearly requires.
‘‘Record’’ shall include the case file, any deci-
sions, documents, transcripts, recordings and
exhibits from the proceedings below, and, in
appeals from administrative agencies, the record
returned to the trial court by the administrative
agency.
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‘‘Requests’’ shall include correspondence and
notices as permitted by these rules.
‘‘Signature’’ shall be made upon entry of an
attorney’s individual juris number or a self-repre-
sented party’s user identification number during
the filing transaction, unless an exemption from
the requirements of Section 60-7 (d) has been
granted or applies.
‘‘Submission’’ shall mean a ‘‘paper’’ or a ‘‘docu-
ment’’ and shall include an electronic submission
that complies with the procedures and standards
established by the chief clerk of the appellate sys-
tem under the direction of the administrative judge
of the appellate system.
(For additional definitions, see Secs. 62-2 and
76-6.)
(P.B. 1978-1997, Sec. 4001A.) (Amended June 5, 2013,
to take effect July 1, 2013; amended Sept. 16, 2015, to take
effect Jan. 1, 2016; amended June 15, 2016, to take effect
Aug. 1, 2016; amended Oct. 18, 2016, to take effect Jan.
1, 2017.)
COMMENTARY—August, 2016: Each self-represented
party receives a user identification number when that party
enrolls in E-Services. Entry of this number during the electronic
filing transaction constitutes the self-represented party’s sig-
nature.
TECHNICAL CHANGE—The definitions of ‘‘administrative
appeal’’ and ‘‘issues’’ were reordered. Also, the definition of
‘‘signature’’ now refers to subsection (d) of Section 60-7.
Sec. 60-5. Review by the Court; Plain Error;
Preservation of Claims
The court may reverse or modify the decision
of the trial court if it determines that the factual
findings are clearly erroneous in view of the evi-
dence and pleadings in the whole record, or that
the decision is otherwise erroneous in law.
The court shall not be bound to consider a claim
unless it was distinctly raised at the trial or arose
subsequent to the trial. The court may in the inter-
ests of justice notice plain error not brought to the
attention of the trial court.
In jury trials, where there is a motion, argument,
or offer of proof or evidence in the absence of the
jury, whether during trial or before, pertaining to
an issue that later arises in the presence of the
jury, and counsel has fully complied with the
requirements for preserving any objection or
exception to the judge’s adverse ruling thereon in
the absence of the jury, the matter shall be
deemed to be distinctly raised at the trial for pur-
poses of this rule without a further objection or
exception provided that the grounds for such
objection or exception, and the ruling thereon as
previously articulated, remain the same.
If the court deems it necessary to the proper
disposition of the cause, it may order a further
articulation of the basis of the trial court’s factual
findings or decision.
RULES OF APPELLATE PROCEDURE Sec. 60-8
It is the responsibility of the appellant to provide
an adequate record for review as provided in Sec-
tion 61-10.
(P.B. 1978-1997, Sec. 4061.) (Amended July 8, 2015, to
take effect Jan. 1, 2016.)
Sec. 60-6. Appellate Jurists Sitting as Supe-
rior Court Judges
Without the permission of the chief justice, the
justices of the supreme court and the judges of the
appellate court will not, as judges of the superior
court, in vacation, or when the superior court is
not in session, pass orders which may be the
subject of an appeal, unless it appears that there
is a necessity for prompt action, and that no other
judges having jurisdiction over the matter can con-
veniently act.
(P.B. 1978-1997, Sec. 4186.)
Sec. 60-7. Electronic Filing; Payment of
Fees
(a) Counsel of record must file all appellate
papers electronically unless the court grants a
request for exemption. Papers may be filed,
signed or verified by electronic means that comply
with procedures and standards established by the
chief clerk of the appellate system under the direc-
tion of the administrative judge of the appellate
system. A paper filed by electronic means in
compliance with such procedures and standards
constitutes a written paper for the purpose of
applying these rules.
(b) At the time of filing, the appellant must (1)
pay all required fees; or (2) upload a signed appli-
cation for waiver of fees and the order of the trial
court granting the fee waiver; or (3) certify that no
fees are required. Any document that requires
payment of a fee as a condition of filing may be
returned by the appellate clerk or rejected by the
court upon review for compliance with the rules
of appellate procedure.
(c) All self-represented parties must have an
account with E-Services and submit an appellate
access form (JD-AC-15), unless exempt from
electronic filing pursuant to Section 60-8.
(d) The requirements of this section do not apply
to documents filed by incarcerated self-repre-
sented parties, the clerk of the trial court, the offi-
cial court reporter, or the clerk of the court for any
other state, federal or tribal court. This section
also does not apply to any state board or commis-
sion filing documents with the appellate clerk pur-
suant to Sections 68-1, 74-2A, 74-3A, 75-4, 76-
3, or 76-5.
(Adopted Sept. 16, 2015, to take effect Jan. 1, 2016;
amended June 15, 2016, to take effect Aug. 1, 2016; amended
Oct. 18, 2017, to take effect Jan. 1, 2018.)
COMMENTARY—August, 2016: The electronic filing
requirements do not apply to incarcerated self-represented
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parties at this time. All other self-represented parties and attor-
neys are required to file all papers electronically unless an
exemption or exclusion from electronic filing requirements has
been granted.
HISTORY—2018: In 2018, what is now subsection (c) was
added and what had been subsection (c) was designated
subsection (d).
Sec. 60-8. Exemption from or Inapplicability
of Electronic Filing; Payment of Fees
(Amended June 15, 2016, to take effect Aug. 1, 2016.)
Parties seeking an exemption from the elec-
tronic filing requirements shall follow the proce-
dures established by the office of the chief clerk
of the appellate system and set forth in the Appel-
late E-filing Procedures and Technical Standards.
When an exemption from electronic filing has
been granted or if electronic filing requirements
do not apply pursuant to Section 60-7 (d), papers
shall be filed with the appellate clerk and must be
accompanied by (1) a receipt showing that all
required fees have been paid; or (2) a signed
application for waiver of fees and the order of the
trial court granting the fee waiver; or (3) certifica-
tion that no fee is required.
With the exception of any fees related to
appeals in child protection matters and appeals
from interlocutory orders as permitted by law, all
appellate filing fees under this section may be
paid to the clerk of any trial court in the state. In
child protection matters and appeals from interloc-
utory orders as permitted by law, all fees under
this section must be paid to the clerk of the original
trial court or the clerk of the court to which the
case was transferred.
(Adopted Sept. 16, 2015, to take effect Jan. 1, 2016;
amended June 15, 2016, to take effect Aug. 1, 2016.)
COMMENTARY—January, 2016: Appellate filing fees must
be paid to the trial court clerk if electronic filing requirements
do not apply or if an e-filing exemption has been granted.
When fees are paid to the trial court clerk, the filer will receive
a receipt from the clerk indicating the name of the document,
the trial court docket number and the amount paid. It is not
necessary for the filer to present an appeal form to the trial
court clerk for signature. The filer must then file the paper
appeal form or appellate document and the receipt of payment,
if required, with the appellate clerk. An appeal is not filed upon
payment of the filing fee; instead, an appeal is filed when the
appeal form has been timely filed withthe office of the appellate
clerk accompanied by receipt of payment or proof of waiver
of fees.
COMMENTARY—August, 2016: It is not necessary to pro-
vide a certification that no filing fee is required unless the filing
requires payment of a fee. For example, a party does not
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
requirement to pay a fee for those filings. A party who files a
petition for certification to the Supreme Court in a worker’s
compensation matter, however, would be required to certify
that no fee is required since a petition for certification requires
a filing fee.
TECHNICAL CHANGE—The second sentence now refers
to subsection (d) of Section 60-7.
RULES OF APPELLATE PROCEDURESec. 60-9
Sec. 60-9. Security for Costs
Security for costs is not required to file an
appeal, but security for costs may at any time, on
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motion and notice to the parties, be ordered by
the court. Such security shall be filed with the
trial court.
(Adopted Sept. 16, 2015, to take effect Jan. 1, 2016.)
RULES OF APPELLATE PROCEDURE Sec. 61-3
CHAPTER 61
REMEDY BY APPEAL
Sec. Sec.
61-1. Right of Appeal
61-2. Appeal of Judgment on Entire Complaint, Counter-
claim or Cross Complaint
61-3. Appeal of Judgment on Part of Complaint, Counter-
claim or Cross Complaint that Disposes of All
Claims in that Pleading Brought by or against
One or More Parties
61-4. Appeal of Judgment that Disposes of at Least One
Cause of Action while Not Disposing of Either
(1) An Entire Complaint, Counterclaim or Cross
Complaint, or (2) All the Causes of Action in a
Pleading Brought by or against a Party
61-5. Deferring Appeal until Judgment Rendered that
Disposes of Case for All Purposes and as to
All Parties
61-6. Appeal of Judgment or Ruling in Criminal 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
An aggrieved party may appeal from a final
judgment, except as otherwise provided by law.
(P.B. 1978-1997, Sec. 4000.)
Sec. 61-2. Appeal of Judgment on Entire
Complaint, Counterclaim or Cross Com-
plaint
When judgment has been rendered on an entire
complaint, counterclaim or cross complaint,
whether by judgment on the granting of a motion
to strike pursuant to Section 10-44, by dismissal
pursuant to Section 10-30, by summary judgment
pursuant to Section 17-44, or otherwise, such
judgment shall constitute a final judgment.
If at the time a judgment referred to in this sec-
tion is rendered, an undisposed complaint, coun-
terclaim or cross complaint remains in the case,
appeal from such a judgment may be deferred
(unless the appellee objects as set forth in Section
61-5) until the entire case is concluded by the
rendering of judgment on the last such outstand-
ing complaint, counterclaim or cross complaint.
If the judgment disposing of the complaint,
counterclaim or cross complaint resolves all
causes of action brought by or against a party
who is not a party in any remaining complaint,
counterclaim, or cross complaint, a notice of intent
to appeal in accordance with the provisions of
Section 61-5 must be filed in order to preserve
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61-7. Joint and Consolidated Appeals
61-8. Cross Appeals
61-9. Decisions Subsequent to Filing of Appeal;
Amended Appeals
61-10. Responsibility of Appellant to Provide Adequate
Record for Review
61-11. Stay of Execution in Noncriminal Cases
61-12. Discretionary Stays
61-13. Stay of Execution in Criminal Case
61-14. Review of Order concerning Stay; When Stay May
Be Requested from Court Having Appellate Juris-
diction
61-15. Stay of Execution in Death Penalty Case
61-16. Notice of (1) Bankruptcy Filing, (2) Disposition of
Bankruptcy Case and (3) Order of Bankruptcy
Court Granting Relief from Automatic Stay
the right to appeal such a judgment at the conclu-
sion of the case.
(P.B. 1978-1997, Sec. 4002A.)
Sec. 61-3. Appeal of Judgment on Part of
Complaint, Counterclaim or Cross Com-
plaint that Disposes of All Claims in that
Pleading Brought by or against One or
More Parties
A judgment disposing of only a part of a com-
plaint, counterclaim, or cross complaint is a final
judgment if that judgment disposes of all causes
of action in that complaint, counterclaim, or cross
complaint brought by or against a particular party
or parties.
Such a judgment shall be a final judgment
regardless of whether judgment was rendered on
the granting of a motion to strike pursuant to Sec-
tion 10-44, by dismissal pursuant to Section 10-
30, by summary judgment pursuant to Section 17-
44, or otherwise. The appeal from such judgment
may be deferred (unless an objection is filed pur-
suant to Section 61-5) until the final judgment that
disposes of the case for all purposes and as to
all parties is rendered. If the appeal from such a
judgment is to be deferred, a notice of intent to
appeal must be filed in accordance with the provi-
sions of Section 61-5.
A party entitled to appeal under this section
may appeal regardless of which party moved for
the judgment to be made final.
(P.B. 1978-1997, Sec. 4002B.)
RULES OF APPELLATE PROCEDURESec. 61-4
Sec. 61-4. Appeal of Judgment that Dis-
poses of at Least One Cause of Action while
Not Disposing of Either (1) An Entire Com-
plaint, Counterclaim or Cross Complaint, or
(2) All the Causes of Action in a Pleading
Brought by or against a Party
(Amended July 23, 1998, to take effect Jan. 1, 1999.)
(a) Judgment not final unless trial court
makes written determination and chief justice
or chief judge concurs
This section applies to a trial court judgment
that disposes of at least one cause of action where
the judgment does not dispose of either of the
following: (1) an entire complaint, counterclaim,
or cross complaint, or (2) all the causes of action
in a complaint, counterclaim or cross complaint
brought by or against a party. If the order sought
to be appealed does not meet these exact criteria,
the trial court is without authority to make the
determination necessary to the order’s being
immediately appealed.
This section does not apply to a judgment that
disposes of an entire complaint, counterclaim, or
cross complaint (see Section 61-2); and it does
not apply to a trial court judgment that partially
disposes of a complaint, counterclaim, or cross
complaint, if the order disposes of all the causes
of action in that pleading brought by or against
one or more parties (see Section 61-3).
When the trial court renders a judgment to
which this section applies, such judgment shall not
ordinarily constitute an appealable final judgment.
Such a judgment shall be considered an appeal-
able final judgment only if the trial court makes a
written determination that the issues resolved by
the judgment are of such significance to the deter-
mination of the outcome of the case that the delay
incident to the appeal would be justified, and the
chief justice or chief judge of the court having
appellate jurisdiction concurs.
If the procedure outlined in this section is fol-
lowed, such judgment shall be an appealable final
judgment, regardless of whether judgment was
rendered on the granting of a motion to strike
pursuant to Section 10-44, by dismissal pursuant
to Section 10-30, by summary judgment pursuant
to Section 17-44, or otherwise.
A party entitled to appeal under this section
may appeal regardless of which party moved for
the judgment to be made final.
(b) Procedure for obtaining written determi-
nation and chief justice’s or chief judge’s con-
currence; when to file appeal
If the trial court renders a judgment described
in this section without making a written determina-
tion, any party may file a motion in the trial court for
such a determination within the statutory appeal
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period, or, if there is no applicable statutory appeal
period, within twenty days after notice of the partial
judgment has been sent to counsel. Papers
opposing the motion may be filed within ten days
after the filing of the motion.
Within twenty days after notice of such a deter-
mination in favor of appealability has been sent
to counsel, any party intending to appeal shall file
a motion for permission to file an appeal with the
clerk of the court having appellate jurisdiction. The
motion shall state the reasons why an appeal
should be permitted. Papers opposing the motion
may be filed within ten days after the filing of the
motion. The motion and any opposition papers
shall be referred to the chief justice or chief judge
to rule on the motion. If the chief justice or chief
judge is unavailable or disqualified, the most
senior justice or judge who is available and is not
disqualified shall rule on the motion.
The appellate clerk shall send notice to the par-
ties of the decision of the chief justice or chief
judge on the motion for permission to file an
appeal. For purposes of counting the time within
which the appeal must be filed, the date of the
issuance of notice of the decision on this motion
shall be considered the date of issuance of notice
of the rendition of the judgment or decision from
which the appeal is filed.
(P.B. 1978-1997, Sec. 4002C.) (Amended July 23, 1998,
to take effect Jan. 1, 1999; amended Sept. 16, 2015, to take
effect Jan. 1, 2016.)
Sec. 61-5. Deferring Appeal until Judgment
Rendered that Disposes of Case for All Pur-
poses and as to All Parties
(a) When notice of intent to appeal required;
procedure for filing
An appeal of a judgment described in Sections
61-2 or 61-3 may be deferred until the judgment
that disposes of the case for all purposes and
as to all parties is rendered. In the following two
instances only, a notice of intent to appeal must
be filed in order to defer the taking of an appeal
until the final judgment that disposes of the case
for all purposes and as to all parties is rendered:
(1) when the deferred appeal is to be filed from
a judgment that not only disposes of an entire
complaint, counterclaim or cross complaint but
also disposes of all the causes of action brought
by or against a party or parties so that that party or
parties are not parties to any remaining complaint,
counterclaim or cross complaint; or
(2) when the deferred appeal is to be filed from a
judgment that disposes of only part of a complaint,
counterclaim, or cross complaint but nevertheless
disposes of all causes of action in that pleading
brought by or against a particular party or parties.
RULES OF APPELLATE PROCEDURE Sec. 61-6
In the event that the party aggrieved by a judg-
ment described in (1) or (2) above elects to defer
the taking of the appeal until the disposition of the
entire case, the aggrieved party must, within the
appeal period provided by statute, or, if there is no
applicable statutory appeal period, within twenty
days after issuance of notice of the judgment
described in (1) or (2) above, file in the trial court
a notice of intent to appeal the judgment, accom-
panied by a certification that a copy thereof has
been delivered to each counsel of record in
accordance with the provisions of Section 62-7.
When a notice of intent to appeal has been filed
in accordance with this subsection, an objection
to the deferral of the appeal may be made by (1)
any party who, after the rendering of judgment on
an entire complaint, counterclaim or cross com-
plaint, is no longer a party to any remaining com-
plaint, counterclaim, or cross complaint, or (2) any
party who, by virtue of a judgment on a portion
of any complaint, counterclaim, or cross com-
plaint, is no longer a party to that complaint, coun-
terclaim, or cross complaint. Objection shall be
filed in the trial court, within twenty days of the
filing of the notice of intent to appeal, accompa-
nied by a certification that a copy thereof has been
delivered to each counsel of record in accordance
with the provisions of Section 62-7.
When such a party has filed a notice of objection
to the deferral of the appeal, the appeal shall not
be deferred, and the appellant shall file the appeal
within twenty days of the filing of such notice of
objection.
(b) Effect of failure to file notice of intent to
appeal when required; effect of filing notice of
intent to appeal when not required
If an aggrieved party, without having filed a
timely notice of intent to appeal, files an appeal
claiming that a judgment described in (1) or (2)
of subsection (a) of this section was rendered
improperly, the issues relating to such earlier judg-
ment will be subject to dismissal as untimely.
The use of the notice of intent to appeal is abol-
ished in all instances except as provided in sub-
section (a) of this section, which sets forth the two
instances in which a notice of intent must be filed.
Except as provided in subsection (a), the filing
of a notice of intent to appeal will preserve no
appeal rights.
(P.B. 1978-1997, Sec. 4002D.) (Amended Sept. 16, 2015,
to take effect Jan. 1, 2016.)
Sec. 61-6. Appeal of Judgment or Ruling in
Criminal Case
(Amended July 26, 2000, to take effect Jan. 1, 2001.)
(a) Appeal by defendant
(1) Appeal from final judgment
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The defendant may appeal from a conviction
for an offense when the conviction has become
a final judgment. The conviction becomes a final
judgment after imposition of sentence. In cases
where a final judgment has been rendered on
fewer than all counts in the information or com-
plaint, the defendant may appeal from that judg-
ment at the time it is rendered.
(2) Appeal of ruling following judgment ren-
dered upon conditional plea of nolo con-
tendere
(A) On motion to dismiss or suppress
When a defendant, prior to the commencement
of trial, enters a plea of nolo contendere condi-
tional on the right to file an appeal from the court’s
denial of the defendant’s motion to suppress or
motion to dismiss, the defendant, after the imposi-
tion of sentence, may file an appeal within the time
prescribed by law. The issue to be considered in
such appeal shall be limited to whether it was
proper for the court to have denied the motion to
suppress or the motion to dismiss. A plea of nolo
contendere by a defendant under this subsection
shall not constitute a waiver by the defendant of
nonjurisdictional defects in the criminal prosecu-
tion. The court shall not accept a nolo contendere
plea pursuant to this subsection where the denial
of the motion to suppress or motion to dismiss
would not be dispositive of the case in the trial
court. The court shall also decline to accept such
a nolo contendere plea where the record available
for review of the denial of the motion to suppress
or motion to dismiss is inadequate for appellate
review of the court’s determination thereof.
(B) On any motion made prior to close of
evidence
With the approval of the court, after a hearing
to consider any objections thereto, a defendant
may enter a conditional plea of guilty or nolo con-
tendere, reserving in writing the right, on appeal
from the judgment, to review of the adverse deter-
mination of any motion made prior to the close of
evidence, which motion must be specified in such
written reservation. If the defendant prevails on
appeal, the judgment shall be set aside and the
defendant shall be allowed to withdraw the condi-
tional plea of guilty or nolo contendere after the
case has been remanded to the trial court. A plea
of guilty or nolo contendere under this subsection
shall not constitute a waiver of nonjurisdictional
defects in the criminal prosecution. The court shall
not accept a plea of guilty or nolo contendere
pursuant to this subsection where the adverse
determination of the specified motion would not
be dispositive of the case in the trial court. The
court shall also decline to accept such a nolo
RULES OF APPELLATE PROCEDURESec. 61-6
contendere or guilty plea where the record avail-
able for review of the ruling upon the specified
motion is inadequate for appellate review of the
court’s determination thereof.
(b) Appeal by state
The state, with the permission of the presiding
judge of the trial court and as provided by law,
may appeal from a final judgment. In cases where
an appealable judgment has been rendered on
fewer than all counts of the information or com-
plaint, the state may appeal from the judgment at
the time it is rendered.
(c) Appeal from a ruling
To the extent provided by law, the defendant
or the state may appeal from a ruling that is not
a final judgment or from an interlocutory ruling
deemed to be a final judgment.
(P.B. 1978-1997, Sec. 4003.) (Amended July 26, 2000, to
take effect Jan. 1, 2001; amended June 17, 2008, to take
effect Jan. 1, 2009; amended Sept. 16, 2015, to take effect
Jan. 1, 2016.)
Sec. 61-7. Joint and Consolidated Appeals
(a) (1) Two or more plaintiffs or defendants in
the same case may appeal jointly or severally.
Separate cases heard together and involving at
least one common party may as of right be
appealed jointly, provided all the trial court docket
numbers are shown on the appeal form (JD-SC-
28 and JD-SC-29).
(2) Prior to the filing of an appeal, the trial court,
on motion of any party or on its own motion, may
order that a joint appeal be filed in any situation
not covered by the preceding paragraph.
(3) In the case of a joint appeal, only one entry
fee is required. The appellant filing the appeal
shall pay the fee and any additional appellants
represented by other counsel or self-represented
shall file a signed joint appeal consent form (JD-
SC-35) within ten days of the filing of the appeal.
(b) (1) The supreme court, on motion of any
party or on its own motion, may order that appeals
pending in the supreme court be consolidated.
(2) When an appeal pending in the supreme
court involves the same cause of action, transac-
tion or occurrence as an appeal pending in the
appellate court, the supreme court may, on motion
of any party or on its own motion, order that the
appeals be consolidated in the supreme court.
The court may order consolidation at any time
before the assignment of the appeals for hearing.
(3) The appellate court, on motion of any party
or on its own motion, may order that appeals
pending in the appellate court be consolidated.
(4) There shall be no refund of fees if appeals
are consolidated.
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(c) Whenever appeals are jointly filed or are
consolidated, all appellants shall file a single, con-
solidated brief and appendix. All appellees shall
file a single, consolidated brief or, if applicable,
a single, consolidated brief and appendix. If the
parties cannot agree upon the contents of the brief
and appendix, or if the issues to be briefed are
not common to the joint parties, any party may
file a motion for permission to file a separate brief
and appendix.
(P.B. 1978-1997, Sec. 4004.) (Amended June 5, 2013, to
take effect July 1, 2013; amended Sept. 16, 2015, to take
effect Jan. 1, 2016.)
Sec. 61-8. Cross Appeals
Any appellee or appellees aggrieved by the
judgment or decision from which the appellant
has appealed may jointly or severally file a cross
appeal within ten days from the filing of the appeal.
Except where otherwise provided, the filing and
form of cross appeals, extensions of time for filing
them, and all subsequent proceedings shall be
the same as though the cross appeal were an
original appeal. No entry fee is required.
(P.B. 1978-1997, Sec. 4005.) (Amended Sept. 16, 2015,
to take effect Jan. 1, 2016.)
(Commentary applicable to appeals filed on or after July
1, 2013.)
COMMENTARY—July, 2013: With respect to cross
appeals, the cross appellant shall have all the obligations of
the appellant with respect to the preparation and filing of part
one of the appendix.
Sec. 61-9. Decisions Subsequent to Filing of
Appeal; Amended Appeals
Should the trial court, subsequent to the filing
of a pending appeal, make a decision that the
appellant desires to have reviewed, the appellant
shall file an amended appeal within twenty days
from the issuance of notice of the decision as
provided for in Section 63-1.
The amended appeal shall be filed in the same
manner as an original appeal pursuant to Section
63-3. No additional fee is required to be paid upon
the filing of an amended appeal.
Within ten days of filing the amended appeal,
the appellant shall file with the appellate clerk
either a certificate stating that there are no
changes to the Section 63-4 papers filed with the
original appeal or any amendments to those
papers. Any other party may file responsive Sec-
tion 63-4 papers within twenty days of the filing
of the certificate or the amendments.
If the original appeal is dismissed for lack of
jurisdiction, the amended appeal shall remain
pending if it was filed from a judgment or order
from which an original appeal properly could have
been filed.
RULES OF APPELLATE PROCEDURE Sec. 61-11
After disposition of an appeal where no
amended appeals related to that appeal are pend-
ing, a subsequent appeal shall be filed as a
new appeal.
If the amended appeal is filed after the filing of
the appellant’s brief and appendix but before the
filing of the appellee’s brief and appendix, the
appellant may move for leave to file a supplemen-
tal brief and appendix. If the amended appeal is
filed after the filing of the appellee’s brief and
appendix, either party may move for such leave.
In any event, the court may order that an amended
appeal be briefed or heard separately from the
original appeal.
If the appellant files a subsequent appeal from
a trial court decision in a case where there is a
pending appeal, the subsequent appeal shall be
treated as an amended appeal, and there shall
be no refund of the fees paid.
(P.B. 1978-1997, Sec. 4006.) (Amended July 30, 2009, to
take effect Jan. 1, 2010; amended July 11, 2012, to take effect
Jan. 1, 2013; amended June 5, 2013, to take effect July 1,
2013; amended April 30, 2014, to take effect Aug. 1, 2014;
amended Sept. 16, 2015, to take effect Jan. 1, 2016.)
Sec. 61-10. Responsibility of Appellant to
Provide Adequate Record for Review
(a) It is the responsibility of the appellant to
provide an adequate record for review. The appel-
lant shall determine whether the entire record is
complete, correct and otherwise perfected for pre-
sentation on appeal.
(b) The failure of any party on appeal to seek
articulation pursuant to Section 66-5 shall not be
the sole ground upon which the court declines to
review any issue or claim on appeal. If the court
determines that articulation of the trial court deci-
sion is appropriate, it may, pursuant to Section
60-5, order articulation by the trial court within a
specified time period. The trial court may, in its
discretion, require assistance from the parties in
order to provide the articulation. Such assistance
may include, but is not limited to, supplemental
briefs, oral argument and provision of copies of
transcripts and exhibits.
(P.B. 1978-1997, Sec. 4007.) (Amended Oct. 18, 2012, to
take effect Jan. 1, 2013; amended June 5, 2013, to take effect
July 1, 2013; amended July 8, 2015, to take effect Jan. 1,
2016.)
COMMENTARY—January, 2013: Subsection (b) was
adopted to effect a change in appellate procedure by limiting
the use of the forfeiture sanction imposed when an appellant
fails to seek an articulation from the trial court pursuant to
Section 66-5 with regard to an issue on appeal, and the court
therefore declines to review the issue for lack of an adequate
record for review. In lieu of refusing to review the issue, when
the court determines that articulation is appropriate, the court
may now order an articulation and then address the merits
of the issue after articulation is provided. The adoption of
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subsection (b) is not intended to preclude the court from declin-
ing to review an issue where the record is inadequate for
reasons other than solely the failure to seek an articulation,
such as, for example, the failure to procure the trial court’s
decision pursuant to Section 64-1 (b) or the failure to provide
a transcript, exhibits or other documents necessary for appel-
late review.
Sec. 61-11. Stay of Execution in Noncrimi-
nal Cases
(Amended July 21, 1999, to take effect Jan. 1, 2000.)
(a) Automatic stay of execution
Except where otherwise provided by statute or
other law, proceedings to enforce or carry out the
judgment or order shall be automatically stayed
until the time to file an appeal has expired. If an
appeal is filed, such proceedings shall be stayed
until the final determination of the cause. If the
case goes to judgment on appeal, any stay there-
after shall be in accordance with Section 71-6
(motions for reconsideration), Section 84-3 (peti-
tions for certification by the Connecticut supreme
court), and Section 71-7 (petitions for certiorari by
the United States supreme court).
(b) Matters in which no automatic stay is
available under this rule
Under this section, there shall be no automatic
stay in actions concerning attorneys pursuant to
chapter 2 of these rules, in juvenile matters
brought pursuant to chapters 26 through 35a, or
in any administrative appeal except as otherwise
provided in this subsection.
Unless a court shall otherwise order, any stay
that was in effect during the pendency of any
administrative appeal in the trial court shall con-
tinue until the filing of an appeal or the expiration
of the appeal period, or any new appeal period,
as provided in Section 63-1. If an appeal is filed,
any further stay shall be sought pursuant to Sec-
tion 61-12.
For purposes of this rule, ‘‘administrative
appeal’’ means an appeal filed from a final judg-
ment of the trial court or the compensation review
board rendered in an appeal from a decision of
any officer, board, commission, or agency of the
state or of any political subdivision thereof. In addi-
tion to appeals filed pursuant to the Uniform
Administrative Procedure Act, ‘‘administrative
appeal’’ includes, among other matters, zoning
appeals, teacher tenure appeals, tax appeals and
unemployment compensation appeals.
(c) Stays in Family Matters and Appeals from
Decisions of the Superior Court in Family Sup-
port Magistrate Matters
Unless otherwise ordered, no automatic stay
shall apply to orders of relief from physical abuse
pursuant to General Statutes § 46b-15, to orders
for exclusive possession of a residence pursuant
RULES OF APPELLATE PROCEDURESec. 61-11
to General Statutes §§ 46b-81 or 46b-83 or to
orders of periodic alimony, support, custody or
visitation in family matters brought pursuant to
chapter 25, or to any decision of the superior court
in an appeal of a final determination of a support
order by a family support magistrate brought pur-
suant to chapter 25a, or to any later modification
of such orders. The automatic orders set forth in
Section 25-5 (b) (1), (2), (3), (5) and (7) shall
remain in effect during any appeal period and, if
an appeal is filed, until the final determination of
the cause unless terminated, modified or
amended further by order of a judicial authority
upon motion of either party.
Any party may file a motion to terminate or
impose a stay in matters covered by this subsec-
tion, either before or after judgment is rendered,
based upon the existence or expectation of an
appeal. Such a motion shall be filed in accordance
with the procedures in subsection (e) of this rule
or Section 61-12. The judge hearing such motion
may terminate or impose a stay of any order,
pending appeal, as appropriate, after considering
(1) the needs and interests of the parties, their
children and any other persons affected by such
order; (2) the potential prejudice that may be
caused to the parties, their children and any other
persons affected, if a stay is entered, not entered
or is terminated; (3) if the appeal is from a judg-
ment of dissolution, the need to preserve, pending
appeal, the mosaic of orders established in the
judgment; (4) the need to preserve the rights of
the party taking the appeal to obtain effective relief
if the appeal is successful; (5) the effect, if any,
of the automatic orders under Section 25-5 on
any of the foregoing considerations; and (6) any
other factors affecting the equities of the parties.
The judge who entered the order in a family
matter from which an appeal lies may terminate
any stay in that matter upon motion of a party as
provided in this subsection or sua sponte, after
considering the factors set forth in this subsection
or if the judge is of the opinion that an extension
of time to appeal is sought or the appeal is filed
only for delay. Whether acting on a motion of a
party or sua sponte, the judge shall hold a hearing
prior to terminating the stay.
(d) Termination of stay
In all cases not governed by subsection (c),
termination of a stay may be sought in accordance
with subsection (e) of this rule. If the judge who
tried the case is of the opinion that (1) an exten-
sion to appeal is sought, or the appeal is filed,
only for delay or (2) the due administration of
justice so requires, the judge may at any time,
upon motion or sua sponte, order that the stay be
terminated. Whether acting on a motion of a party
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or sua sponte, the judge shall hold a hearing prior
to terminating the stay.
(e) Motions to terminate stay
A motion to terminate a stay of execution filed
before judgment is entered shall be filed with the
trial court, and the judge who tried or presided
over the matter may rule upon the motion when
judgment is entered. If such a motion is filed after
judgment but before an appeal is filed, the motion
shall be filed with the clerk of the trial court and
may be ruled upon by the trial judge thereafter.
After an appeal is filed, such a motion shall be filed
with the appellate clerk and shall be forwarded by
the appellate clerk to the trial judge for a decision.
If the judge who tried or presided over the case
is unavailable, the motion shall be forwarded to
the clerk of the trial court in which the case was
tried, who shall assign the motion for a hearing
and decision to any judge of the superior court.
Upon hearing and consideration of the motion,
the trial court shall file with the clerk of the trial
court its written or oral memorandum of decision
that shall include the factual and legal basis there-
for. If oral, the decision shall be transcribed by
the court reporter and signed by the trial court. If
an appeal has not been filed, the clerk shall enter
the decision on the trial court docket and shall
send notice of the decision to counsel of record.
If an appeal has been filed, the clerk of the trial
court shall enter the decision on the trial court
docket and send notice of the decision to the
appellate clerk, and the appellate clerk shall issue
notice of the decision to all counsel of record.
(f) Motions to request stay
Requests for a stay pending appeal where there
is no automatic stay shall be governed by Section
61-12.
(For stays of execution in criminal cases, see
Section 61-13; for stays in death penalty cases,
see Section 61-15.)
(g) Strict Foreclosure—Motion Rendering
Ineffective a Judgment of Strict Foreclosure
In any action for foreclosure in which the owner
of the equity has filed, and the court has denied,
at least two prior motions to open or other similar
motion, no automatic stay shall arise upon the
court’s denial of any subsequent contested motion
by that party, unless the party certifies under oath,
in an affidavit accompanying the motion, that the
motion was filed for good cause arising after the
court’s ruling on the party’s most recent motion.
Such affidavit shall recite the specific facts relied
on in support of the moving party’s claim of good
cause. If, notwithstanding the submission of such
an affidavit of good cause, the plaintiff contends
that there is no good cause to stay the court’s
judgment of strict foreclosure pending resolution
RULES OF APPELLATE PROCEDURE Sec. 61-13
of the appeal, the plaintiff may seek termination
of the automatic stay by filing a motion requesting
such relief accompanied by an affidavit stating the
basis for the plaintiff’s claim. In the event such a
motion to terminate stay is filed, it shall be set
down for argument and the taking of evidence,
if necessary, on the second short calendar next
following the filing of the motion. There shall be
no automatic appellate stay in the event that the
court grants the motion to terminate the stay and,
if necessary, sets new law dates. There shall be
no automatic stay pending a motion for review of
an order terminating a stay under this subsection.
(h) Foreclosure by Sale—Motion Rendering
Ineffective a Judgment of Foreclosure by Sale
In any action for foreclosure in which the owner
of the equity has filed a motion to open or other
similar motion, which motion was denied fewer
than twenty days prior to the scheduled auction
date, the auction shall proceed as scheduled not-
withstanding the court’s denial of the motion, but
no motion for approval of the sale shall be filed
until the expiration of the appeal period following
the denial of the motion without an appeal having
been filed. The trial court shall not vacate the
automatic stay following its denial of the motion
during such appeal period.
(P.B. 1978-1997, Sec. 4046.) (Amended July 23, 1998, to
take effect Jan. 1, 1999; amended July 21, 1999, to take effect
Jan. 1, 2000; amended July 26, 2000, to take effect Jan. 1,
2001; amended Oct. 10, 2001, to take effect Jan. 1, 2002;
amended May 12, 2004, to take effect Jan. 1, 2005; amended
July 26, 2012, to take effect Jan. 1, 2013; amended July 11,
2013, to take effect Oct. 1, 2013; amended Sept. 16, 2015,
to take effect Jan. 1, 2016; amended March 15, 2017, to take
effect June 15, 2017.)
HISTORY—June, 2017: Prior to amendment, subsection
(c) was titled ‘‘Stays in Family Matters.’’ In 2017, ‘‘, or to any
decision of the superior court in an appeal of a final determina-
tion of a support order by a family support magistrate brought
pursuant to chapter 25a,’’ was added to subsection (c).
COMMENTARY—June, 2017: The changes to this section
clarify that there is no automatic stay of orders of support from
superior court decisions in appeals from support orders in
family support magistrate matters brought pursuant to chap-
ter 25a.
Sec. 61-12. Discretionary Stays
(Amended July 21, 1999, to take effect Jan. 1, 2000.)
In noncriminal matters in which the automatic
stay provisions of Section 61-11 are not applicable
and in which there are no statutory stay provi-
sions, any motion for a stay of the judgment or
order of the superior court pending appeal shall
be filed in the trial court. If the judge who tried the
case is unavailable, the motion may be decided
by any judge of the superior court. Such a motion
may also be filed before judgment and may be
ruled upon at the time judgment is rendered
unless the court concludes that a further hearing
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or consideration of such motion is necessary. A
temporary stay may be ordered sua sponte or
on written or oral motion, ex parte or otherwise,
pending the filing or consideration of a motion for
stay pending appeal. The motion shall be consid-
ered on an expedited basis and the granting of a
stay of an order for the payment of money may
be conditional on the posting of suitable security.
In the absence of a motion filed under this sec-
tion, the trial court may order, sua sponte, that
proceedings to enforce or carry out the judgment
or order be stayed until the time to file an appeal
has expired or, if an appeal has been filed, until
the final determination of the cause. A party may
file a motion to terminate such a stay pursuant to
Section 61-11.
In determining whether to impose a stay in a
family matter, the court shall consider the factors
set forth in Section 61-11 (c).
(P.B. 1978-1997, Sec. 4047.) (Amended July 21, 1999, to
take effect Jan. 1, 2000; amended July 26, 2012, to take effect
Jan. 1, 2013; amended Sept. 16, 2015, to take effect Jan.
1, 2016.)
Sec. 61-13. Stay of Execution in Criminal
Case
(Amended July 21, 1999, to take effect Jan. 1, 2000.)
Except as otherwise provided in this rule, a
judgment in a criminal case shall be stayed from
the time of the judgment until the time to file an
appeal has expired, and then, if an appeal is filed,
until ten days after its final determination. The stay
provisions apply to an appeal from a judgment,
to an appeal from a judgment on a petition for a
new trial and to a writ of error, where those matters
arise from a criminal conviction or sentence.
Unless otherwise provided in this rule, all stays
are subject to termination under subsection (d).
(a) Appeal by defendant arising from a
sentence
(1) Sentence of imprisonment
A sentence of imprisonment shall be stayed
automatically by an appeal, provided the defend-
ant is released on bail.
(2) Sentence of probation or conditional dis-
charge
Upon motion by the defendant to the trial court,
a sentence of probation or conditional discharge
may be stayed if an appeal is filed. If the sentence
is stayed, the court shall fix the terms of the stay.
If the sentence on appeal is not stayed, the court
shall specify when the term of probation shall com-
mence. If the sentence is not stayed and a condi-
tion of the sentence is restitution or other payment
of money, the court shall order that such payments
be made to the clerk of the trial court to be held
by said clerk until ten days after final determination
of the appeal.
RULES OF APPELLATE PROCEDURESec. 61-13
(3) Sentence of a fine
A sentence to pay a fine shall be stayed auto-
matically by an appeal, and the stay shall not be
subject to termination.
(4) Sentencing sanctions of restitution and
forfeiture
The execution of a sanction of restitution or
forfeiture of property, which was imposed as part
of a sentence, shall be stayed automatically by
an appeal. Upon motion by the state or upon its
own motion, the trial court may issue orders rea-
sonably necessary to ensure compliance with the
sanction upon final disposition of the appeal.
(5) Other sentencing sanctions
Upon motion by the defendant, other sanctions
imposed as part of a sentence, including those
imposed under General Statutes §§ 53a-40c,
53a-40e, 54-102b, 54-102g, and 54-260, may be
stayed by an appeal. If the sanction is stayed, the
trial court may issue orders reasonably necessary
to ensure compliance with the sanction upon final
disposition of the appeal.
(b) Appeal by defendant from presentence
order
In an appeal from a presentence order where
the defendant claims that an existing right, such
as a right not to be tried, will be irreparably lost if
the order is not reviewed immediately, the appeal
shall stay automatically further proceedings in the
trial court.
(c) Appeal by the state from a judgment
In an appeal by the state, the appeal shall stay
automatically further proceedings in the trial court
until ten days after the final determination of the
appeal. The defendant shall be released pending
determination of an appeal by the state from any
judgment not resulting in a sentence, the effect
of which is to terminate the entire prosecution.
(d) Motion for stay or to terminate a stay
A motion for stay or a motion to terminate a
stay filed before an appeal is filed shall be filed
with the trial court. After an appeal is filed, such
motions shall be filed with the appellate clerk and
shall be forwarded by the appellate clerk to the
trial judge for a decision. If the judge who tried or
presided over the case is unavailable, the motion
shall be forwarded to the clerk of the court in which
the case was tried and shall be assigned for a
hearing and decision to any judge of the superior
court. Upon hearing and consideration of the
motion, the trial court shall file with the clerk of
the trial court a written or oral memorandum of
decision that shall include the factual and legal
basis therefor. If oral, the decision shall be tran-
scribed by the court reporter and signed by the
trial court. The trial court shall send notice of the
decision to the appellate clerk who shall issue
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notice of the decision to all counsel of record. If
an appeal has not been filed, the clerk of the trial
court shall enter the decision on the trial court
docket and shall send notice of the decision to
counsel of record. Pending the filing or consider-
ation of a motion for stay, a temporary stay may
be ordered sua sponte or on written or oral motion.
In appeals by the defendant from a presentence
order and appeals by the state from a judgment,
the judge who tried the case may terminate any
stay, upon motion and hearing, if the judge is of
the opinion that (1) an extension to appeal is
sought, or the appeal is filed only for delay, or (2)
the due administration of justice so requires.
(For stays of execution in death penalty cases,
see Section 61-15.)
(P.B. 1978-1997, Sec. 4048.) (Amended July 21, 1999, to
take effect Jan. 1, 2000; amended Oct. 10, 2001, to take effect
Jan. 1, 2002; amended Sept. 16, 2015, to take effect Jan.
1, 2016.)
Sec. 61-14. Review of Order concerning
Stay; When Stay May Be Requested from
Court Having Appellate Jurisdiction
(Amended July 23, 1998, to take effect Jan. 1, 1999.)
The sole remedy of any party desiring the court
to review an order concerning a stay of execution
shall be by motion for review under Section 66-
6. Execution of an order of the court terminating
a stay of execution shall be stayed for ten days
from the issuance of notice of the order, and if a
motion for review is filed within that period, the
order shall be stayed pending decision of the
motion, unless the court having appellate jurisdic-
tion rules otherwise.
A motion for extension of time to file a motion
for review of a ruling concerning a stay of execu-
tion must be filed in the trial court but shall not
automatically stay the execution after the ten days
has expired, except that the trial judge may order
a stay pending a ruling on the motion for extension
of time.
A ruling concerning a stay is a judgment in a
trial to the court for purposes of Section 64-1, and
the trial court making such a ruling shall state its
decision, either orally or in writing, in accordance
with the requirements of that section.
In any case in which there is no automatic stay
of execution and in which the trial court denies, or
refuses to rule on, a motion for stay, an aggrieved
party may file a motion requesting a stay of execu-
tion of the judgment from the court having appel-
late jurisdiction pending the filing of and ruling
upon a motion for review. The motion must be
filed with the appellate clerk.
(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
Sept. 16, 2015, to take effect Jan. 1, 2016.)
RULES OF APPELLATE PROCEDURE Sec. 61-16
Sec. 61-15. Stay of Execution in Death Pen-
alty Case
If the defendant is sentenced to death, the sen-
tence shall be stayed for the period within which
to file an appeal. If the defendant has taken an
appeal to the supreme or appellate court of this
state or to the United States supreme court or
brought a writ of error, writ of certiorari, writ of
habeas corpus, application for a pardon or petition
for a new trial, the taking of the appeal, the making
of the application for a writ of certiorari or for a
pardon, or the return into court of the writ of error,
writ of habeas corpus, or petition for a new trial
shall, unless, upon application by the state’s attor-
ney and after hearing, the supreme court other-
wise orders, stay the execution of the death
penalty until the clerk of the court where the trial
was had has received notification of the termina-
tion of any such proceeding by decision or other-
wise, and for thirty days thereafter. Upon motion
by the defendant, filed with the appellate clerk,
the supreme court may grant a stay of execution
to prepare a writ of error, a writ of certiorari, writ
of habeas corpus, application for a pardon or peti-
tion for a new trial. Upon motion by the defendant
and after hearing, the supreme court may extend
a stay of execution beyond the time limits stated
within this rule for good cause shown. No appel-
late procedure shall be deemed to have termi-
nated until the end of the period allowed by law
for the filing of a motion for reconsideration, or, if
such motion is filed, until the proceedings conse-
quent thereon are finally determined. When exe-
cution is stayed under the provisions of this
section, the clerk of the court shall forthwith give
notice thereof to the warden of the institution in
which such defendant is in custody. If the original
judgment of conviction has been affirmed or
remains in full force at the time when the clerk
has received the notification of the termination of
any proceedings by appeal, writ of certiorari, writ
of error, writ of habeas corpus, application for a
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pardon or petition for a new trial, and the day
designated for the infliction of the death penalty
has then passed or will pass within thirty days
thereafter, the defendant shall, within said period
of thirty days, upon an order of the court in which
the judgment was rendered at a regular or special
criminal session thereof, be presented before said
court by the warden of the institution in which the
defendant is in custody or his deputy, and the
court, with the judge assigned to hold the session
presiding, shall thereupon designate a day for the
infliction of the death penalty and the clerk of the
court shall issue a warrant of execution, reciting
therein the original judgment, the fact of the stay
of execution and the final order of the court, which
warrant shall be forthwith served upon the warden
or his deputy. (For stays of execution in other
criminal cases, see Section 61-13.)
(Adopted July 21, 1999, to take effect Jan. 1, 2000;
amended Sept. 16, 2015, to take effect Jan. 1, 2016.)
Sec. 61-16. Notice of (1) Bankruptcy Filing,
(2) Disposition of Bankruptcy Case and (3)
Order of Bankruptcy Court Granting Relief
from Automatic Stay
(Amended Sept. 16, 2015, to take effect Jan. 1, 2016.)
(a) If a party to an appeal files a bankruptcy
petition, that party shall immediately file a notice
with the appellate clerk. The notice shall set forth
the date the bankruptcy petition was filed, the
bankruptcy court in which the petition was filed,
the name of the bankruptcy debtor and the docket
number of the bankruptcy case.
(b) Upon resolution of the bankruptcy case, the
party who filed for bankruptcy protection shall
immediately file a notice with the appellate clerk
that the case has been resolved in the bankruptcy
court. If the bankruptcy court grants relief from
the automatic bankruptcy stay, the party obtaining
such relief shall immediately file a notice with the
appellate clerk of the termination of the auto-
matic stay.
(Adopted July 24, 2002, to take effect Oct. 1, 2002;
amended Sept. 16, 2015, to take effect Jan. 1, 2016.)
RULES OF APPELLATE PROCEDURESec. 62-1
CHAPTER 62
CHIEF JUDGE, APPELLATE CLERK AND DOCKET: GENERAL
ADMINISTRATIVE MATTERS
Sec. Sec.
62-1. Chief Judge
62-2. Clerk
62-3. Entry of Cases
62-4. Case to Remain on Docket of Trial Court
62-5. Changes in Parties
62-6. Signature on Documents
62-7. Matters of Form; Filings; Delivery and Certification
to Counsel of Record
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
(a) The chief justice shall designate one of the
judges of the appellate court as chief judge of the
appellate court.
(b) With the approval of the chief justice, the
chief judge shall (1) schedule such sessions as
may be necessary, at such locations as the facili-
tation of court business requires, (2) designate as
many panels as may be necessary, and assign
three judges to each panel, and (3) designate a
presiding judge for each panel on which the chief
judge does not sit.
(P.B. 1978-1997, Sec. 4028.)
Sec. 62-2. Clerk
The justices of the supreme court shall appoint
an appellate clerk who shall be the chief clerk of
the supreme court and of the appellate court, but
who shall not be the chief clerk of any judicial
district. As used in these rules, the clerk of any
trial court from which an appeal is filed shall be
referred to as the clerk of the trial court.
(P.B. 1978-1997, Sec. 4029.) (Amended Sept. 16, 2015,
to take effect Jan. 1, 2016.)
Sec. 62-3. Entry of Cases
Appeals, reservations, writs of error, original
jurisdiction actions, and other matters filed in
accordance with the procedures set forth in Sec-
tions 60-7, 60-8, and 63-3, shall be docketed upon
filing subject to return by the appellate clerk or
rejection by the court upon review for compliance
with the rules of appellate procedure.
(P.B. 1978-1997, Sec. 4031.) (Amended Sept. 16, 2015,
to take effect Jan. 1, 2016.)
Sec. 62-4. Case to Remain on Docket of
Trial Court
A case that has been appealed shall remain on
the docket of the court where it was tried until the
appeal is decided or terminated.
(P.B. 1978-1997, Sec. 4032.)
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62-8. Names of Counsel; Appearance
62-8A. Attorneys of Other Jurisdictions Participating Pro
Hac Vice on Appeal
62-9. Withdrawal of Appearance
62-9A. Hybrid Representation; Removal or Substitution of
Counsel in Criminal and Habeas Corpus Appeals
62-10. Files to Be Available to Parties
62-11. Files and Records Not to Be Removed
Sec. 62-5. Changes in Parties
Any change in the parties to an action pending
an appeal shall be made in the court in which the
appeal is pending. The appellate clerk shall notify
the clerk of the trial court of any change.
(P.B. 1978-1997, Sec. 4033.)
Sec. 62-6. Signature on Documents
(Amended March 15, 2017, to take effect June 15, 2017.)
All documents shall be signed by counsel of
record. Attorneys shall sign electronically filed
documents and electronically submitted briefs by
entering their individual juris number during the
filing transaction. Self-represented parties shall
sign electronically filed documents and electroni-
cally submitted briefs by entering their self-repre-
sented party user identification number during the
filing transaction. See Section 60-4.
Paper briefs and appendices and documents
filed by counsel of record who are exempt from
electronic filing requirements shall be signed and
shall set forth the signer’s telephone number,
mailing address, and e-mail address below the
signature.
(P.B. 1978-1997, Sec. 4030.) (Amended Sept. 16, 2015,
to take effect Jan. 1, 2016; amended June 15, 2016, to take
effect Aug. 1, 2016; amended Oct. 18, 2016, to take effect
Jan. 1, 2017; amended March 15, 2017, to take effect June
15, 2017.)
HISTORY—June, 2017: Prior to amendment, this section
was titled ‘‘Signature on Papers.’’ Prior to amendment, this
section read: ‘‘All papers including original copies of briefs
shall be signed by counsel of record. Each pleading or other
document filed shall set forth the signer’s telephone and fac-
simile numbers, mailing address, e-mail address, and, if appli-
cable, the signer’s juris number or self-represented party user
identification number. Attorneys shall sign electronically filed
documents by entering their individual juris number during the
filing transaction. Self-represented parties shall sign electroni-
cally filed documents by entering their self-represented party
user identification number during the filing transaction. See
Section 60-4.’’
RULES OF APPELLATE PROCEDURE Sec. 62-8
Sec. 62-7. Matters of Form; Filings; Delivery
and Certification to Counsel of Record
(a) It is the responsibility of counsel of record
to file papers in a timely manner and in the proper
form. The appellate clerk may return any papers
filed in a form not in compliance with these rules;
in returning, the appellate clerk shall indicate how
the papers have failed to comply. The clerk shall
note the date on which they were received before
returning them, and shall retain an electronic copy
thereof. Any papers correcting a noncomplying
filing shall be deemed to be timely filed if a comply-
ing document is refiled with the appellate clerk
within fifteen days. The time for responding to any
such paper shall not start to run until the correcting
paper is filed.
(b) All papers except the transcript and regula-
tions filed pursuant to Section 81-6 shall contain:
(1) certification that a copy has been delivered to
each other counsel of record, except as provided
in Section 63-4 (a) (3), which certification shall
include names, addresses, e-mail addresses, and
telephone numbers; (2) certification that the docu-
ment has been redacted or does not contain any
names or other personal identifying information
that is prohibited from disclosure by rule, statute,
court order or case law; and (3) certification that
the document complies with all applicable rules
of appellate procedure.
Electronic papers shall contain a certification
as set forth in subsection (b) (1), but filers can
comply with the certification requirements set forth
in subsections (b) (2) and (b) (3) during the elec-
tronic filing process. Any request to deviate from
the requirement regarding personal identifying
information shall be filed with the appellate clerk
pursuant to Section 67-2 (k). Briefs and appendi-
ces require additional certifications pursuant to
Section 67-2 (g) and (i). Other certification
requirements may be required by the rules under
which specific documents are filed.
(c) Any counsel of record who files a document
electronically with the court must deliver it elec-
tronically to all other counsel of record, except
as provided in Section 63-4 (a) (3), unless the
intended recipient has notified the appellate clerk
and all other counsel of record in writing that the
recipient declines to accept electronic delivery of
documents or the intended recipient is exempt
from the requirements of electronic filing pursuant
to Section 60-8. Any counsel of record who has
signed an electronically filed document shall be
deemed to have consented to electronic delivery
under this section. Delivery by e-mail is complete
upon sending the electronic notice unless the
party sending notice learns that the attempted
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delivery did not reach the e-mail address of the
intended recipient.
If the intended recipient has declined to accept
electronic delivery or is exempt from the require-
ments of electronic filing, a document may be
delivered to counsel of record by hand or by first
class or express mail delivered by the United
States Postal Service or an equivalent commer-
cial service, postage prepaid, to the last known
address of the intended recipient.
(P.B. 1978-1997, Sec. 4014.) (Amended July 23, 1998, to
take effect Jan. 1, 1999; amended July 24, 2002, to take effect
Oct. 1, 2002; amended May 15, 2003, to take effect Jan. 1,
2004; amended June 5, 2013, to take effect July 1, 2013;
amended June 18, 2014, to take effect Sept. 1, 2014; amended
Sept. 16, 2015, to take effect Jan. 1, 2016; amended July 19,
2017, to take effect Oct. 8, 2017; amended Oct. 18, 2017, to
take effect Jan. 1, 2018.)
Note that this section was amended twice in 2017.
HISTORY—October, 2017: In subsection (b) (1), ‘‘and fac-
simile" was deleted after ‘‘telephone.’’ In addition, a paragraph
break was added to subsection (b) following the first sentence
and what are now the second and fourth sentences of subsec-
tion (b) were added. In the final sentence of subsection (b),
‘‘Additional’’ was deleted and ‘‘Other’’ was added.
HISTORY—2018: In subsection (b) (1), ‘‘except as pro-
vided in Section 63-4 (a) (3), which certification shall’’ was
added following ‘‘record,’’ and ‘‘including’’ became ‘‘include’’
thereafter.
Also, in the first sentence of subsection (c), ‘‘as defined by
Section 60-4’’ was deleted following the second instance of
‘‘record’’ and ‘‘except as provided in Section 63-4 (a) (3)’’ was
added instead.
Sec. 62-8. Names of Counsel; Appearance
Counsel of record for all parties appearing in
the trial court at the time of the appellate filing
shall be deemed to have appeared in the appeal
unless permission to withdraw has been granted
pursuant to Section 62-9 or unless an in place of
appearance pursuant to Section 3-8 has been
filed by other counsel or unless the other provi-
sions of Section 3-9 apply. Counsel of record who
filed the appeal or filed an appearance in the
appellate court after the appeal was filed shall be
deemed to have appeared in the trial court for the
limited purpose of prosecuting or defending the
appeal. Unless otherwise provided by statute or
rule, counsel who have so appeared shall be enti-
tled to review all trial court docket sheets and
files, including sealed files, and shall be entitled
to participate in proceedings in the trial court on
motions filed in the trial court pursuant to Section
66-1 and motions filed in the appellate court but
referred to the trial court for decision.
An appearance filed after the case is ready pur-
suant to Section 69-2 requires permission of
the court.
This rule shall not be deemed to permit appel-
late counsel to review records that were sealed
RULES OF APPELLATE PROCEDURESec. 62-8
as to trial counsel but retained in the trial court
file for appellate review.
This rule shall not be deemed to excuse trial
counsel with respect to preserving a defendant’s
right to appeal pursuant to Section 63-7; nor shall
this rule prevent trial counsel from moving for a
withdrawal of appearance pursuant to Section
62-9.
(P.B. 1978-1997, Sec. 4034.) (Amended Sept. 8, 2004, to
take effect Jan. 1, 2005; amended May 4, 2006, to take effect
Jan. 1, 2007; amended Jan. 4, 2007, to take effect Jan. 1,
2008; amended Sept. 16, 2015, to take effect Jan. 1, 2016;
amended Oct. 18, 2016, to take effect Jan. 1, 2017.)
Sec. 62-8A. Attorneys of Other Jurisdictions
Participating Pro Hac Vice on Appeal
(a) An attorney, who upon written application
pursuant to Section 2-16 has been permitted by
a judge of the superior court to participate in the
presentation of a cause or appeal pending in this
state, shall be allowed to participate in any appeal
of said cause without filing a written application
to the court having jurisdiction over the appeal.
All terms, conditions and obligations set forth in
Section 2-16 shall remain in full effect. The chief
clerk of the superior court for the judicial district
in which the cause originated shall continue to
serve as the agent upon whom process and notice
of service may be served.
(b) Any attorney who is in good standing at the
bar of another state and who has not appeared
pro hac vice in the superior court to participate in
the cause now pending on appeal, may for good
cause shown, upon written application presented
by a member of the bar of this state, be permitted
in the discretion of the court having jurisdiction
over the appeal to participate in the presentation
of the appeal, provided, however, that:
(1) such application shall be accompanied by
an affidavit
(A) stating whether an application was filed pur-
suant to Section 2-16 in the superior court and,
if so, the disposition of said application;
(B) certifying whether such applicant has a
grievance pending against him or her in any other
jurisdiction, has ever been reprimanded, sus-
pended, placed on inactive status, disbarred or
otherwise disciplined, or has resigned from the
practice of law and, if so, setting forth the circum-
stances concerning such action;
(C) certifying that the applicant has paid the
client security fund fee due for the calendar year
in which the application is made;
(D) designating the chief clerk of the superior
court for the judicial district in which the cause
originated as his or her agent upon whom process
and notice of service may be served;
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(E) certifying that the applicant agrees to regis-
ter with the statewide grievance committee in
accordance with the provisions of chapter 2 of the
rules of practice while appearing in the appeal and
for two years after the completion of the matter
in which the attorney appeared and to notify the
statewide grievance committee of the expiration
of the two year period;
(F) identifying the number of attorneys in his
or her firm who are appearing pro hac vice in the
cause now on appeal or who have filed or intend
to file an application to appear pro hac vice in this
appeal; and
(G) identifying the number of cases in which
the attorney has appeared pro hac vice in any
court of this state since the attorney first appeared
pro hac vice in this state; and provided
(2) a member of the bar of this state must be
present at all proceedings and arguments and
must sign all motions, briefs and other papers filed
with the court having jurisdiction over the appeal
and assume full responsibility for them and for the
conduct of the appeal and of the attorney to whom
such privilege is accorded. Good cause for
according such privilege may include a showing
that by reason of a long-standing attorney-client
relationship, predating the cause of action or sub-
ject matter of the appeal, the attorney has
acquired a specialized skill or knowledge with
respect to issues on appeal or to the client’s affairs
that are important to the appeal, or that the litigant
is unable to secure the services of Connecticut
counsel. Upon the granting of an application to
appear pro hac vice, the clerk of the court in which
the application is granted shall immediately notify
the statewide grievance committee of such action.
(c) No application to appear pro hac vice shall
be permitted after the due date of the final reply
brief as set forth in Section 67-3 without leave of
the court.
(Adopted May 4, 2006, to take effect Jan. 1, 2007; amended
Jan. 4, 2007, to take effect Jan. 1, 2008; amended June 27,
2013, to take effect Oct. 1, 2013; amended Sept. 16, 2015,
to take effect Jan. 1, 2016; amended July 19, 2017, to take
effect Oct. 8, 2017.)
HISTORY—October, 2017: Subparagraph (C) of subsec-
tion (b) (1) was deleted, and what had been subparagraphs
(D) through (H) were designated (C) through (G), respectively.
Prior to amendment, what had been subparagraph (C) read:
‘‘certifying that the applicant has paid to the clerk of the superior
court any fee required by the General Statutes for admission
pro hac vice.’’ Also, the October, 2013 commentary was
replaced.
COMMENTARY—2017: A member of the bar of this state
pays the fee required by General Statutes § 52-259 (i) when
presenting the pro hac vice application.
Sec. 62-9. Withdrawal of Appearance
(a) An attorney or party whose appearance has
been filed shall be deemed to have withdrawn
RULES OF APPELLATE PROCEDURE Sec. 62-10
such appearance upon failure to file a written
objection within ten days after written notice has
been given or mailed to such attorney or party
that a new appearance has been filed in place
of the appearance of such attorney or party in
accordance with Section 62-8.
(b) An attorney may, by motion, withdraw his
or her appearance for a party after an additional
appearance representing the same party has
been entered on the docket. A motion to withdraw
pursuant to this subsection shall state that an
additional appearance has been entered on
appeal. The appellate clerk may as of course grant
the motion if the additional appearance has
been entered.
(c) Except as provided in subsections (a) and
(b), no attorney whose appearance has been
entered on the docket shall withdraw his or her
appearance without leave of the court. A motion
for leave to withdraw shall be filed with the appel-
late clerk in accordance with Sections 66-2 and
66-3. The motion shall include the current address
of the party as to whom the attorney seeks to
withdraw. No motion for leave to withdraw shall be
granted until the court is satisfied that reasonable
notice has been given to the party being repre-
sented and to other counsel of record. Reason-
able notice to the party or parties may be satisfied
by filing along with the motion, a certified or regis-
tered mail return receipt signed by the individual
party or parties represented by the attorney.
(d) (1) A motion for leave to withdraw appear-
ance of appointed appellate counsel filed pursu-
ant to Sections 23-41 (a) or 43-34, and supporting
documentation, shall be filed under seal with the
appellate clerk. Except as otherwise provided
herein, the form of the motion shall comply with
Sections 66-2 and 66-3. The brief or memoran-
dum of law accompanying the motion shall comply
with Sections 23-41 (b) or 43-35 in form and sub-
stance. The transcript of the relevant proceedings
shall be filed concurrently with the motion to
withdraw.
(2) The motion and supporting brief or memo-
randum of law shall be delivered to the petitioner
or defendant. Counsel shall deliver a notice that a
motion for leave to withdraw as appointed counsel
has been filed, but shall not deliver a copy of the
motion and supporting brief or memorandum of
law to opposing counsel of record. The motion
shall contain a certification that such notice has
been delivered to opposing counsel of record and
that a copy of the motion and supporting brief or
memorandum of law has been delivered to the
petitioner or defendant.
(3) The motion, brief or memorandum of law,
and transcript shall be referred to the trial court
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for decision. If the trial court grants the motion to
withdraw, counsel shall immediately notify his or
her former client, by letter, of the status of the
appeal and the responsibilities necessary to pros-
ecute the appeal. Counsel shall file a copy of the
letter with the appellate clerk. The trial court’s
decision shall be sealed and may be reviewed
pursuant to Section 66-6. Subsequent motions
regarding the trial court’s decision on the motion
to withdraw appointed counsel shall also be filed
under seal.
(4) The appellate clerk shall maintain all filings
and related decisions pursuant to this subsection
under seal. The panel hearing the merits of the
appeal shall not view any briefs and materials filed
under seal pursuant to this subsection.
(P.B. 1978-1997, Sec. 4035.) (Amended Jan. 29, 2009, to
take effect March 1, 2009; amended Sept. 16, 2015, to take
effect Jan. 1, 2016; amended Oct. 18, 2016, to take effect
Jan. 1, 2017.)
Sec. 62-9A. Hybrid Representation; Remov-
al or Substitution of Counsel in Criminal and
Habeas Corpus Appeals
(Amended Jan. 29, 2009, to take effect March 1, 2009.)
On appeal, a defendant or habeas petitioner
has no right to self-representation while repre-
sented by counsel. If an indigent defendant or
habeas petitioner wishes to replace appointed
counsel or remove appointed counsel and appear
as a self-represented party, in lieu of such coun-
sel, the defendant or habeas petitioner shall file
a motion with the appellate clerk making such
request and setting forth the reasons therefor. A
copy of such motion shall be delivered, in accord-
ance with Section 62-7, to the attorney sought to
be removed or replaced and to the state.
The appellate clerk shall forward the motion to
the trial judge, who shall conduct a hearing and
enter appropriate orders consistent with the rele-
vant provisions of chapter 44 of these rules. The
trial court shall send notice of the order to all
counsel of record and to the appellate clerk.
(Adopted Sept. 8, 2004, to take effect Jan. 1, 2005;
amended Jan. 29, 2009, to take effect March 1, 2009;
amended Sept. 16, 2015, to take effect Jan. 1, 2016.)
Sec. 62-10. Files to Be Available to Parties
Subject to the provisions of Section 62-11, the
clerk of the trial court and the appellate clerk or
the appellate messenger having custody of the
files, evidence and exhibits in any case shall make
them available for the use of any party or counsel
to that party, whether or not the file is sealed. This
provision applies to counsel who have appeared
in either the trial court or the appellate court. This
rule shall not be deemed to permit appellate coun-
sel to review records that were sealed as to trial
RULES OF APPELLATE PROCEDURESec. 62-10
counsel but retained in the trial court file for appel-
late review.
(P.B. 1978-1997, Sec. 4036.) (Amended Sept. 8, 2004, to
take effect Jan. 1, 2005; amended June 15, 2016, to take
effect Aug. 1, 2016.)
COMMENTARY—August, 2016: In civil and criminal cases
that were filed on or after January 1, 2016, and that do not
contain protected information, a case summary page and elec-
tronically filed documents in that case are available to the
public on the Judicial Branch website. In family and child pro-
tection matters and in cases that contain protected information,
attorneys and self-represented parties who have valid appear-
ances in the case may view the case summary page and
electronically filed documents in that case through E-Services.
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The applicable procedures for obtaining on-line access to
these documents, set forth in the Appellate E-filing Procedures
and Technical Standards, require a self-represented party to
submit an ‘‘Appellate Electronic Access Form’’ and to provide
the appellate clerk’s office with a valid photo identification.
Sec. 62-11. Files and Records Not to Be
Removed
No files, records or exhibits in the custody of
officers of the court shall be removed from the
court except by the appellate clerk, the reporter
of judicial decisions or by order or permission of
an appellate jurist.
(P.B. 1978-1997, Sec. 4037.)
RULES OF APPELLATE PROCEDURE Sec. 63-1
CHAPTER 63
FILING THE APPEAL; WITHDRAWALS
Sec. Sec.
63-1. Time to Appeal
63-2. Expiration of Time Limitations; Counting Days;
Hours of Operation
63-3. Filing of Appeal
63-3A. Appeals in E-Filed Cases [Repealed]
63-4. Additional Papers to Be Filed by Appellant and
Appellee when Filing Appeal
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
(a) General provisions
Unless a different time period is provided by
statute, an appeal must be filed within twenty days
of the date notice of the judgment or decision
is given. The appeal period may be extended if
permitted by Section 66-1 (a). If circumstances
give rise to a new appeal period as provided in
subsection (c) of this rule, such new period may
be similarly extended as long as no extension of
the original appeal period was obtained.
If a motion is filed within the appeal period that
might give rise to a new appeal period as provided
in subsection (c) of this rule, the appeal may be
filed either in the original appeal period, which
continues to run, or in the new appeal period.
As used in this rule, ‘‘appeal period’’ includes
any extension of such period obtained pursuant
to Section 66-1 (a).
(b) When appeal period begins
If notice of the judgment or decision is given in
open court, the appeal period shall begin on that
day. If notice is given only by mail or by electronic
delivery, the appeal period shall begin on the day
that notice was sent to counsel of record by the
clerk of the trial court. The failure to give notice
of judgment to a nonappearing party shall not
affect the running of the appeal period.
In criminal cases where the appeal is from a
judgment of conviction, the appeal period shall
begin when sentence is pronounced in open court.
In civil jury cases, the appeal period shall begin
when the verdict is accepted.
(c) New appeal period
(1) How new appeal period is created
If a motion is filed within the appeal period that,
if granted, would render the judgment, decision
or acceptance of the verdict ineffective, either a
new twenty day period or applicable statutory time
period for filing the appeal shall begin on the day
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63-5. Fees [Repealed]
63-6. Waiver of Fees, Costs and Security—Civil Cases
63-7. Waiver of Fees, Costs and Security—Criminal
Cases
63-8. Ordering and Filing of Paper Transcripts
63-8A. Electronic Copies of Transcripts
63-9. Filing Withdrawals of Appeals or Writs of Error
63-10. Preargument Conferences
that notice of the ruling is given on the last such
outstanding motion, except as provided for additur
or remittitur in the next paragraph.
If a motion for additur or remittitur is filed within
the appeal period and granted, a new twenty day
appeal period shall begin upon the earlier of (A)
acceptance of the additur or remittitur or (B) expi-
ration of the time set for the acceptance. If the
motion is denied, the new appeal period shall
begin on the day that notice of the ruling is given.
Motions that, if granted, would render a judg-
ment, decision or acceptance of the verdict inef-
fective include, but are not limited to, motions that
seek: the opening or setting aside of the judgment;
a new trial; the setting aside of the verdict; judg-
ment notwithstanding the verdict; reargument of
the judgment or decision; collateral source reduc-
tion; additur; remittitur; or any alteration of the
terms of the judgment.
Motions that do not give rise to a new appeal
period include those that seek: clarification or
articulation, as opposed to alteration, of the terms
of the judgment or decision; a written or tran-
scribed statement of the trial court’s decision; or
reargument of a motion listed in the previous
paragraph.
If, within the appeal period, any motion is filed,
pursuant to Section 63-6 or 63-7, seeking waiver
of fees, costs and security or appointment of coun-
sel, a new twenty day appeal period or statutory
period for filing the appeal shall begin on the day
that notice of the ruling is given on the last such
outstanding motion. If a party files, pursuant to
Section 66-6, a motion for review of any such
motion, the new appeal period shall begin on the
day that notice of the ruling is given on the motion
for review.
(2) Who may appeal during new appeal
period
If a new appeal period arises due to the filing of
a motion that, if granted, would render a judgment,
RULES OF APPELLATE PROCEDURESec. 63-1
decision or acceptance of the verdict ineffective,
any party may file an appeal during the new
appeal period regardless of who filed or prevailed
upon such motion. If, however, a new appeal
period arises due to the filing of a motion for waiver
of fees, costs and security or a motion for appoint-
ment of counsel, only the party who filed such
motion may file an appeal during the new
appeal period.
(3) What may be appealed during new
appeal period
The new appeal period may be used for appeal-
ing the original judgment or decision and/or for
appealing any order that gave rise to the new
appeal period. Such period may also be used for
amending an existing appeal pursuant to Section
61-9 to challenge the ruling that gave rise to the
new appeal period. Rulings on motions for waiver
of fees, costs and security or motions for appoint-
ment of counsel may not be appealed during the
new appeal period but may be challenged by
motion for review in accordance with Section 66-6.
(d) When motion to stay briefing obligations
may be filed
If, after an appeal has been filed but before the
appeal period has expired, any motion is filed that,
if granted, would render the judgment, decision
or acceptance of the verdict ineffective, any party
may move to stay the briefing obligations of the
parties in accordance with Section 67-12.
(e) Simultaneous filing of motions
Any party filing more than one motion that, if
granted, would render the judgment, decision or
acceptance of the verdict ineffective, shall file
such motions simultaneously insofar as simulta-
neous filing is possible.
(P.B. 1978-1997, Sec. 4009.) (Amended July 21, 1999, to
take effect Jan. 1, 2000; amended Sept. 22, 2004, to take
effect Jan. 1, 2005; amended June 17, 2008, to take effect
Jan. 1, 2009; amended Sept. 16, 2015, to take effect Jan. 1,
2016; amended July 19, 2017, to take effect Oct. 8, 2017.)
HISTORY—October, 2017: Prior to amendment, the sec-
ond sentence of subsection (b) read: ‘‘If notice is given only
by mail, the appeal period shall begin on the day that notice
was mailed to counsel of record by the clerk of the trial court.’’
Sec. 63-2. Expiration of Time Limitations;
Counting Days; Hours of Operation
(Amended Oct. 18, 2016, to take effect Jan. 1, 2017.)
In determining the last day for filing any docu-
ments, the last day shall, and the first day shall
not, be counted. Time shall be counted by calen-
dar, not working, days. When the last day of any
limitation of time for filing any document under
these rules or an order of the court falls on a day
when the office of the clerk of the trial court or of
the appellate clerk is closed, the document may
be filed on the next day when such office is open.
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The appellate clerk’s office shall be open from
8:30 a.m. until 5 p.m. on weekdays, with the
exception of legal holidays and closures for exi-
gent circumstances. The window at the appellate
clerk’s office shall be open from 8:30 a.m. until
4:30 p.m. From 4:30 p.m. until 5 p.m., paper briefs,
transcripts filed pursuant to Section 63-8 (e) (1),
and paper documents filed by counsel of record
who have received an exemption from the elec-
tronic filing requirements pursuant to Section 60-
8, shall be placed in the lobby of the appellate
clerk’s office. All submissions placed in the lobby
shall be considered filed as of that date. Upon
review, the appellate clerk may return any non-
compliant submission pursuant to Section 62-7
(a).
A document that is electronically received by
the appellate clerk’s office for filing after 5 p.m.
on a day in which that office was open or is elec-
tronically received by that office for filing at any
time on a day in which that office is closed, shall
be deemed filed on the next business day that
office is open. If a party is unable to electronically
file a document because the court’s electronic
filing system is nonoperational for thirty consecu-
tive minutes from 9 a.m. to 3 p.m. or for any period
of time from 3 p.m. to 5 p.m. on the day on which
the electronic filing is attempted, and such day is
the last day for filing the document, the document
shall be deemed to be timely filed if received by
the appellate clerk’s office on the next business
day the electronic filing system is operational.
(P.B. 1978-1997, Sec. 4010.) (Amended Sept. 16, 2015,
to take effect Jan. 1, 2016; amended Oct. 18, 2016, to take
effect Jan. 1, 2017.)
Sec. 63-3. Filing of Appeal
(Amended July 30, 2009, to take effect Jan. 1, 2010;
amended Sept. 16, 2015, to take effect Jan. 1, 2016.)
All appeals shall be filed and all fees paid in
accordance with the provisions of Sections 60-7
or 60-8. The appeal will be docketed upon filing
but may be returned by the appellate clerk or
rejected by the court upon review for compliance
with the rules of appellate procedure.
The appellant must certify that a copy of the
appeal form generated at the time of electronic
filing and bearing the assigned docket number
and electronic signature of the filer will immedi-
ately be delivered pursuant to Section 62-7 (c) to
all counsel of record and, in criminal and habeas
corpus matters, to the office of the chief state’s
attorney, appellate bureau. The appellate clerk,
upon receipt of the foregoing, shall deliver a copy
of the appeal form to the clerk of the original trial
court, to the clerk of any trial courts to which the
matter was transferred, and to each party to the
appeal. In criminal and habeas corpus matters,
RULES OF APPELLATE PROCEDURE Sec. 63-4
the appellate clerk shall deliver a copy of the
appeal form to the office of the chief state’s attor-
ney, appellate bureau, or to the attorney general,
as appropriate.
(P.B. 1978-1997, Sec. 4012.) (Amended July 30, 2009, to
take effect Jan. 1, 2010; amended March 25, 2010, to take
effect May 1, 2010; amended June 27, 2013, to take effect
Oct. 1, 2013; amended Sept. 16, 2015, to take effect Jan.
1, 2016.)
COMMENTARY—2016: This section has been rewritten to
reflect the requirement that all appeals shall be electronically
filed unless the electronic filing requirements do not apply to
the filer or unless an exemption to the electronic filing require-
ments has been granted.
Sec. 63-3A. Appeals in E-Filed Cases
[Repealed as of Jan. 1, 2016.]
Sec. 63-4. Additional Papers to Be Filed by
Appellant and Appellee when Filing Appeal
(a) Within ten days of filing an appeal, the appel-
lant shall also file with the appellate clerk the fol-
lowing:
(1) A preliminary statement of the issues
intended for presentation on appeal. If any appel-
lee wishes to: (A) present for review alternative
grounds upon which the judgment may be
affirmed; (B) present for review adverse rulings
or decisions of the court which should be consid-
ered on appeal in the event the appellant is
awarded a new trial; or (C) claim that a new trial
rather than a directed judgment should be ordered
if the appellant is successful on the appeal, that
appellee shall file a preliminary statement of
issues within twenty days from the filing of the
appellant’s preliminary statement of the issues.
Whenever the failure to identify an issue in a
preliminary statement of issues prejudices an
opposing party, the court may refuse to consider
such issue.
(2) A certificate stating that no transcript is
deemed necessary, or a copy of the transcript
order acknowledgment form (JD-ES-38) with sec-
tion I thereof completed, filed with the official
reporter pursuant to Section 63-8. If any other
party deems any other parts of the transcript nec-
essary, that party shall, within twenty days from
the filing of the appellant’s transcript papers, file
a copy of the order form (JD-ES-38), which that
party has placed in compliance with Section 63-8.
If the appellant is to rely on transcript delivered
prior to the taking of the appeal, an order form
(JD-ES-38) shall be filed stating that an electronic
version of a previously delivered transcript has
been ordered. The detailed statement of the tran-
script to be relied on required by Section 63-8
also must be filed. If any other party deems any
other parts of the transcript necessary, and those
parts have not been delivered at the time of the
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taking of the appeal, that party shall have twenty
days to order those additional parts. If any other
party is to rely on transcript delivered prior to the
taking of the appeal, an order form (JD-ES-38)
shall be filed within twenty days, stating that an
electronic version of a previously delivered tran-
script has been ordered.
(3) A docketing statement containing the follow-
ing information to the extent known or reasonably
ascertainable by the appellant: (A) the names and
addresses of all parties to the appeal, the names,
addresses, and e-mail addresses of trial and
appellate counsel of record, and the names and
addresses of all persons having a legal interest
in the cause on appeal sufficient to raise a sub-
stantial question whether a judge should be dis-
qualified from participating in the decision on the
case by virtue of that judge’s personal or financial
interest in any such persons; (B) the case names
and docket numbers of all pending appeals to the
supreme court or appellate court which arise from
substantially the same controversy as the cause
on appeal, or involve issues closely related to
those presented by the appeal; (C) whether there
were exhibits in the trial court; and (D) in criminal
cases, the defendant’s conviction(s) and senten-
ce(s) that are the subject of the appeal, and
whether the defendant is incarcerated as a result
of the proceedings in which the appeal is being
filed. If additional information is or becomes
known to, or is reasonably ascertainable by the
appellee, the appellee shall file a docketing state-
ment supplementing the information required to
be provided by the appellant.
When an appellant or an appellee is aware that
one or more appellees have no interest in partici-
pating in the appeal, the appellant and any other
appellees may be relieved of the requirement of
certifying copies of filings to those appellees by
designating the nonparticipating appellee(s) in a
section of the docketing statement named ‘‘Non-
participating Appellee(s).’’ This designation shall
indicate that if no docketing statement in disagree-
ment is filed, subsequent filings will not be certified
to those appellees.
If an appellee disagrees with the nonparticipat-
ing designation, that appellee shall file a docketing
statement indicating such disagreement within
twenty days of the filing of that designation. All
documents filed on or before the expiration of the
time for an appellee to file a docketing statement
in disagreement as stated above shall be deliv-
ered pursuant to Section 62-7 (b) to all counsel
of record. If no docketing statement in disagree-
ment is filed, subsequent filings need not be certi-
fied to nonparticipating appellees.
RULES OF APPELLATE PROCEDURESec. 63-4
(4) In all noncriminal matters, except for matters
exempt from a preargument conference pursuant
to Section 63-10, a preargument conference
statement.
(5) A constitutionality notice, in all noncriminal
cases where the constitutionality of a statute has
been challenged. Said notice shall identify the
statute, the name and address of the party chal-
lenging it, and whether the statute’s constitutional-
ity was upheld by the trial court. The appellate
clerk shall deliver a copy of such notice to the
attorney general. This section does not apply to
habeas corpus matters based on criminal convic-
tions, or to any case in which the attorney general
is a party, has appeared on behalf of a party, or
has filed an amicus brief in proceedings prior to
the appeal.
(6) In matters in which documents are under
seal, conditionally or otherwise, or limited as to
disclosure, a copy of the time, date, scope and
duration of sealing order form (JD-CL-76). (See
Section 77-2.)
(b) Except as otherwise provided, a party may
as of right file amendments to the preliminary
statement of issues at any time until that party’s
brief is filed. Amendments to the docketing state-
ment may be filed at any time. Amendments to
the transcript statement may be made only with
leave of the court. If leave to file such an amend-
ment is granted, the adverse party shall have the
right to move for permission to file a supplemental
brief and for an extension of time. Amendments
to the preargument conference statement shall
not be presented in writing but may be presented
orally at the preargument conference, if one is
held.
(c) Failure to comply with this rule shall be
deemed as sufficient reason to schedule a case
for sanctions under Section 85-3 or for dismissal
under Section 85-1.
(P.B. 1978-1997, Sec. 4013.) (Amended April 3, 2002, to
take effect Nov. 1, 2002; amended Oct. 14, 2003, to take
effect Jan. 1, 2004; amended Jan. 4, 2007, to take effect Jan.
1, 2008; amended April 6, 2011, to take effect Jan. 1, 2012;
amended June 5, 2013, to take effect July 1, 2013; amended
Sept. 16, 2015, to take effect Jan. 1, 2016; amended March
15, 2017, to take effect June 15, 2017; amended Oct. 18,
2017, to take effect Jan. 1, 2018.)
COMMENTARY—2016: Counsel of record should no
longer file a draft judgment file with the appellate clerk; instead,
a draft judgment file should be filed with the trial court clerk.
Counsel should prepare a draft judgment file in accordance
with Sections 6-2 and 6-3, file it with the trial court clerk, and
deliver a copy to opposing counsel. Opposing counsel may
submit any response or opposition to the trial court clerk. The
trial court clerk then signs the judgment file, places it in the
trial court file and provides a copy to counsel of record for
inclusion in part one of the appendix to the appellant’s brief.
Subsequently, any objections to the form of the judgment file
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may be raised only by a motion for rectification pursuant to
Section 66-5.
Note that this section was amended twice in 2017.
HISTORY—June, 2017: In subsection (a) (3) (D), ‘‘the
defendant’s conviction(s) and sentence(s) that are the subject
of the appeal, and’’ was added after ‘‘cases.’’
HISTORY—2018: In subsection (a) (3), what are now the
second and third paragraphs was added.
COMMENTARY—2018: The designation of an appellee
as nonparticipating pursuant to Section 63-4 (a) (3) in no way
affects that appellee’s status in the appeal. The appellate clerk
will continue to send notice to all parties pursuant to Section
60-4.
Sec. 63-5. Fees
[Repealed as of Jan. 1, 2016.]
Sec. 63-6. Waiver of Fees, Costs and Secu-
rity—Civil Cases
If a party in any case where fees and costs
may lawfully be waived is indigent and desires to
appeal, that party may, within the time provided
by the rules for taking an appeal, make written
application to the trial court for relief from payment
of fees, costs and expenses. The application must
be under oath and recite, or it must be accompa-
nied by an affidavit reciting, the grounds upon
which the applicant proposes to appeal and the
facts concerning the applicant’s financial status.
Where an application arises out of a habeas cor-
pus proceeding, the application shall be handled
pursuant to Section 63-7. Where an application
arises out of a child protection matter, the applica-
tion shall be handled pursuant to Section 79a-4.
The judicial authority shall act promptly on the
application for waiver of fees, costs and expenses.
If the application is denied in whole or in part, and
the applicant wishes to challenge that denial, the
applicant shall file a written request for a hearing,
pursuant to Section 8-2, within ten days of the
issuance of notice of the denial of the application.
The clerk of the trial court shall assign the applica-
tion for a hearing within twenty days of the filing
of the request and the judicial authority shall act
promptly on the application following the hearing.
If the court is satisfied that the applicant is indi-
gent and has a statutory or constitutional right to
court appointed counsel or a statutory right to
appeal without payment of fees, costs and
expenses, the court may (1) waive payment by
the applicant of fees specified by statute and of
taxable costs, and (2) order that the necessary
expenses of prosecuting the appeal be paid by
the state. The court may not consider the relative
merits of a proposed appeal in acting upon an
application pursuant to this section except that
the court may consider the criteria contained in
General Statutes § 52-259b.
RULES OF APPELLATE PROCEDURE Sec. 63-8
Before incurring any expense in excess of $100,
including the expense of obtaining a transcript
of the necessary proceedings or testimony, the
applicant shall obtain the permission of the judge
who presided at the applicant’s trial. The judge
shall authorize a transcript at state expense only
of the portions of testimony or proceedings which
may be pertinent to the issues on appeal.
The sole remedy of any party desiring the court
to review an order concerning the waiver of fees,
costs and security shall be by motion for review
under Section 66-6.
(P.B. 1978-1997, Sec. 4017.) (Amended July 21, 1999, to
take effect Jan. 1, 2000; amended June 2, 2005, to take effect
Jan. 1, 2006; amended June 18, 2014, to take effect Sept. 1,
2014; amended Sept. 16, 2015, to take effect Jan. 1, 2016.)
Sec. 63-7. Waiver of Fees, Costs and Secu-
rity—Criminal Cases
Any defendant in a criminal case who is indigent
and desires to appeal, and has not previously
been determined to be indigent, may, within the
time provided by the rules for taking an appeal,
make written application to the trial court for relief
from payment of fees, costs and expenses. The
application must be under oath and recite, or it
must be accompanied by an affidavit reciting, the
grounds upon which the applicant proposes to
appeal and the facts concerning the applicant’s
financial status.
The application must be sent to the public
defender’s office for investigation. The judicial
authority shall assign the request for waiver of
fees, costs and expenses for hearing within twenty
days after filing, and the trial counsel, the trial
public defender’s office to which the application
had been sent for investigation and the chief of
legal services of the public defender’s office shall
be notified in writing by the clerk’s office of the
date of such hearing.
The judicial authority shall act promptly on the
application following the hearing. Upon determi-
nation by the judicial authority that a defendant in
a criminal case is indigent, the trial court may (1)
waive payment by the defendant of fees specified
by statute and of taxable costs, (2) order that the
necessary expenses of prosecuting the appeal be
paid by the state, and (3) appoint appellate coun-
sel and permit the withdrawal of the trial attorney’s
appearance provided the judicial authority is satis-
fied that that attorney has cooperated fully with
appellate counsel in the preparation of the defend-
ant’s appeal as set forth in Section 43-33.
When the judicial authority has appointed an
attorney in private practice to represent the
defendant upon appeal, the attorney shall obtain
the approval of the judicial authority who presided
at the trial before incurring any expense in excess
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of $100, including the expense of obtaining a tran-
script of the necessary proceedings or testimony.
The judicial authority shall authorize a transcript
at state expense only of the portions of proceed-
ings or testimony which may be pertinent to the
issues on appeal.
The sole remedy of any defendant desiring the
court to review an order concerning the waiver of
fees, costs and security or the appointment of
counsel shall be by motion for review under Sec-
tion 66-6.
(P.B. 1978-1997, Sec. 4018.) (Amended July 21, 1999, to
take effect Jan. 1, 2000; amended Sept. 16, 2015, to take
effect Jan. 1, 2016.)
Sec. 63-8. Ordering and Filing of Paper Tran-
scripts
(Amended Sept. 16, 2015, to take effect Jan. 1, 2016.)
(a) On or before the date of the filing of the
Section 63-4 papers, the appellant shall, subject
to Section 63-6 or 63-7 if applicable, order, using
form JD-ES-38, from the official reporter a tran-
script of the parts of the proceedings not already
on file which the appellant deems necessary for
the proper presentation of the appeal. Such order
shall specify the case name, docket number,
judge’s name(s), and hearing date(s), and include
a brief, detailed statement describing the parts of
the proceedings of which a transcript has been
ordered. If any other party deems other parts of
the transcript necessary, that party shall, within
twenty days from the filing of the appellant’s tran-
script papers, similarly order those parts in writing
from the official reporter.
(b) A party shall promptly make satisfactory
arrangements for payment of the costs of the tran-
script, pursuant to guidelines established by the
chief court administrator. After those arrange-
ments have been made, the official reporter shall
deliver to the ordering party a written acknowledg-
ment of the order, with an estimated date of deliv-
ery and the number of pages in the transcript. The
ordering party shall file it with the appellate clerk
with certification pursuant to Section 62-7. The
official reporter shall also immediately deliver a
copy of the acknowledgment to court transcript
services. If the final portion of the transcript cannot
be delivered on or before the estimated delivery
date on the acknowledgment, the official reporter
will, not later than the next business day, issue
to the ordering party an amended transcript order
acknowledgment form (JD-ES-38A) with a revised
estimated delivery date and shall also immedi-
ately deliver a copy of the amended acknowledg-
ment form to court transcript services. The
ordering party shall file the amended acknowledg-
ment form immediately with the appellate clerk
with certification pursuant to Section 62-7.
RULES OF APPELLATE PROCEDURESec. 63-8
(c) The official reporter shall cause each court
reporter involved in the production of the transcript
to prepare a certificate of delivery stating the num-
ber of pages in the transcript and the date of its
delivery to the party who ordered it. If delivery is
by mail, the transcript shall be mailed first class
certified, return receipt requested. The date of
mailing is the date of delivery. If delivery is by
hand, the court reporter shall obtain a receipt
acknowledging delivery. The date of the receipt
is the date of delivery. Each court reporter shall
forward the certificates of delivery to the official
reporter with a copy to court transcript services.
Upon receipt of all the certificates of delivery, the
official reporter shall deliver to the ordering party
a certificate of completion stating the total number
of pages in the entire transcript and the date of
final delivery of the transcript. The official court
reporter shall also immediately deliver a copy of
the certificate of completion to court transcript
services.
(d) Upon receipt of the certificate of completion
from the official reporter, the ordering party shall
file with the appellate clerk the certificate of com-
pletion along with a certification that a copy of the
certificate of completion has been delivered to
all counsel of record in accordance with Section
62-7.
(e) (1) The appellant is required, either before
or simultaneously with the filing of the appellant’s
brief, to file with the appellate clerk one unmarked,
nonreturnable copy of the transcript, including a
copy of the court reporter’s certification page,
ordered pursuant to subsection (a).
(2) All other parties are likewise required, either
before or simultaneously with the filing of their
briefs, to file those additional portions ordered pur-
suant to subsection (a) but shall not include the
portions already filed by the appellant.
(3) The party filing the transcript shall provide
the appellate clerk and all opposing counsel with
a list of the number, and inclusive dates, of the
volumes being filed. Form JD-CL-62, or one simi-
lar to it, should be used to satisfy this subsection.
(P.B. 1978-1997, Sec. 4019.) (Amended April 3, 2002, to
take effect Nov. 1, 2002; amended July 11, 2012, to take effect
Jan. 1, 2013; amended Sept. 16, 2015, to take effect Jan. 1,
2016; amended Oct. 18, 2016, to take effect Jan. 1, 2017.)
Sec. 63-8A. Electronic Copies of Tran-
scripts
In addition to the requirements of Section 63-8:
(a) Any party ordering a transcript of evidence
as part of an appeal, a writ of error, or a motion
for review shall, at the same time, order from the
court reporter an electronic version of the tran-
script. If the party received the paper transcript
prior to the filing of the appeal, the party shall
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order an electronic version of the transcript within
the period specified by these rules for the ordering
of a transcript.
(b) Whenever an electronic transcript is ordered
in accordance with this section, the court reporter
shall produce an electronic version of the tran-
script and deliver it to the ordering party and the
official court reporter. Upon receipt of all electronic
versions of the transcript ordered, the official court
reporter shall deliver them to the appellate clerk,
with a certification that the electronic version of
the transcript is accurate and a copy of the certifi-
cate of completion.
(Adopted Sept. 12, 2002, to take effect Nov. 1, 2002;
amended Sept. 16, 2015, to take effect Jan. 1, 2016; amended
Oct. 18, 2016, to take effect Jan. 1, 2017.)
Sec. 63-9. Filing Withdrawals of Appeals or
Writs of Error
Prior to oral argument or the date the appeal
is assigned for disposition without oral argument,
an appeal or writ of error may be withdrawn as
of right by filing form JD-AC-008 with the appellate
clerk. The appellate clerk shall forward a copy to
the trial judge and the clerk of the trial court.
After oral argument or the date the appeal is
assigned for disposition without oral argument, an
appeal or writ of error may be withdrawn only on
the granting of a motion to the court in which the
matter is pending.
Unless an appeal or writ of error is withdrawn
on the consent of the appellee without costs, costs
shall be taxed as if the trial court judgment had
been affirmed.
(P.B. 1978-1997, Sec. 4038.) (Amended Sept. 16, 2015,
to take effect Jan. 1, 2016; amended June 15, 2016, to take
effect Sept. 30, 2016.)
Sec. 63-10. Preargument Conferences
The chief justice or the chief judge or a designee
may, in cases deemed appropriate, direct that
conferences of the parties be scheduled in
advance of oral argument. All civil cases are eligi-
ble for preargument conferences except habeas
corpus appeals; appeals involving juveniles, such
as delinquency and termination of parental rights
cases; and appeals from the suspension of a
motor vehicle license due to operating under the
influence of liquor or drugs. A party in an exempt
case may file a request for a preargument confer-
ence with the appellate clerk explaining why the
case should not be exempt. The chief justice may
designate a judge trial referee or senior judge to
preside at a conference. The scheduling of or
attendance at a preargument conference shall not
affect the duty of the parties to adhere to the times
set for the filing of briefs. Failure of counsel to
attend a preargument conference may result in
RULES OF APPELLATE PROCEDURE Sec. 63-10
the imposition of sanctions under Section 85-2.
Unless other arrangements have been approved
in advance by the conference judge, parties shall
be present at the conference site and available
for consultation. When a party against whom a
claim is made is insured, an insurance adjuster
for such insurance company shall be available
by telephone at the time of such preargument
conference unless the conference judge, in his
or her discretion, requires the attendance of the
adjuster at the conference. The conference pro-
ceedings shall not be brought to the attention of
the court by the presiding officer or any of the
parties unless the conference results in a final
disposition of the appeal.
The following matters may be considered:
(1) Possibility of settlement;
(2) Simplification of issues;
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(3) Amendments to the preliminary statement
of issues;
(4) Transfer to the supreme court;
(5) Timetable for the filing of briefs;
(6) En banc review; and
(7) Such other matters as the conference judge
shall consider appropriate.
All matters scheduled for a preargument confer-
ence before a judge trial referee are referred to
that official by the chief court administrator pursu-
ant to General Statutes § 52-434a, which vests
judge trial referees with the same powers and
jurisdiction as superior court judges and senior
judges, including the power to implement settle-
ments by opening and modifying judgments.
(P.B. 1978-1997, Sec. 4103.) (Amended July 21, 1999, to
take effect Jan. 1, 2000; amended April 6, 2011, to take effect
Jan. 1, 2012; amended July 8, 2015, to take effect Jan. 1,
2016.)
RULES OF APPELLATE PROCEDURESec. 64-1
CHAPTER 64
PROCEDURE CONCERNING MEMORANDUM OF DECISION
Sec. Sec.
64-1. Statement of Decision by Trial Court; When
Required; 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
Court; When Required; How Stated;
Contents
(Amended July 23, 1998, to take effect Jan. 1, 1999.)
(a) The trial court shall state its decision either
orally or in writing, in all of the following: (1) in
rendering judgments in trials to the court in civil
and criminal matters, including rulings regarding
motions for stay of executions, (2) in ruling on
aggravating and mitigating factors in capital pen-
alty hearings conducted to the court, (3) in ruling
on motions to dismiss under Section 41-8, (4) in
ruling on motions to suppress under Section 41-
12, (5) in granting a motion to set aside a verdict
under Section 16-35, and (6) in making any other
rulings that constitute a final judgment for pur-
poses of appeal under Section 61-1, including
those that do not terminate the proceedings. The
court’s decision shall encompass its conclusion
as to each claim of law raised by the parties and
the factual basis therefor. If oral, the decision shall
be recorded by a court reporter, and, if there is
an appeal, the trial court shall create a memoran-
dum of decision for use in the appeal by ordering
a transcript of the portion of the proceedings in
which it stated its oral decision. The transcript of
the decision shall be signed by the trial judge and
filed with the clerk of the trial court. This section
does not apply in small claims actions and to mat-
ters listed in Section 64-2.
(b) If the trial judge fails to file a memorandum
of decision or sign a transcript of the oral decision
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64-2. Exceptions to Section 64-1
in any case covered by subsection (a), the appel-
lant may file with the appellate clerk a notice that
the decision has not been filed in compliance with
subsection (a). The notice shall specify the trial
judge involved and the date of the ruling for which
no memorandum of decision was filed. The appel-
late clerk shall promptly notify the trial judge of
the filing of the appeal and the notice. The trial
court shall thereafter comply with subsection (a).
(P.B. 1978-1997, Sec. 4059.) (Amended July 23, 1998, to
take effect Jan. 1, 1999; amended June 2, 2010, to take effect
Jan. 1, 2011; amended Sept. 16, 2015, to take effect Jan.
1, 2016.)
Sec. 64-2. Exceptions to Section 64-1
(a) In any uncontested matter where no aspect
of the matter is in dispute, in any pendente lite
family relations matter whether contested or
uncontested, or in any dismissal under Section
14-3, the oral or written decision as provided in
Section 64-1 is not required. The trial clerk shall,
however, promptly notify the trial judge of the filing
of the appeal.
(b) Within twenty days from the filing of an
appeal from a contested pendente lite order or
from a dismissal under Section 14-3 in which an
oral or written decision has not been made pursu-
ant to subsection (a), each party to the appeal
shall file a brief with the trial court discussing the
legal and factual issues in the matter. Within
twenty days after the briefs have been filed by
the parties, the court shall file a written memoran-
dum of decision stating the factual basis for its
decision on the issues in the matter and its conclu-
sion as to each claim of law raised by the parties.
(P.B. 1978-1997, Sec. 4060.)
RULES OF APPELLATE PROCEDURE Sec. 65-4
CHAPTER 65
TRANSFER OF CASES
Sec. Sec.
65-1. Transfer of Cases by Supreme Court
65-2. Motion for Transfer from Appellate Court to
Supreme Court
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 Cases by Supreme
Court
When, pursuant to General Statutes § 51-199
(c), the supreme court (1) transfers to itself a
cause in the appellate court, or (2) transfers a
cause or a class of causes from itself to the appel-
late court, the appellate clerk shall notify all parties
and the clerk of the trial court that the appeal has
been transferred. A case so transferred shall be
entered upon the docket of the court to which it
has been transferred. There shall be no fee on
such transfer. The appellate clerk may require the
parties to take such steps as may be necessary
to make the appeal conform to the rules of the
court to which it has been transferred, for exam-
ple, supply the court with additional copies of the
briefs and appendices.
(P.B. 1978-1997, Sec. 4023.) (Amended June 5, 2013, to
take effect July 1, 2013.)
Sec. 65-2. Motion for Transfer from Appel-
late Court to Supreme Court
After the filing of an appeal in the appellate
court, but in no event after the case has been
assigned for hearing, any party may move for
transfer to the supreme court. The motion,
addressed to the supreme court, shall specify, in
accordance with provisions of Section 66-2, the
reasons why the party believes that the supreme
court should hear the appeal directly. A copy of
the memorandum of decision of the trial court, if
any, shall be attached to the motion. The filing of
a motion for transfer shall not stay proceedings
in the appellate court.
If, at any time before the final determination of
an appeal, the appellate court is of the opinion
that the appeal is appropriate for supreme court
review, the appellate court may notify the supreme
court of the reasons why transfer is appropriate.
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65-3. Transfer of Petitions for Review of Bail Orders from
Appellate Court to Supreme Court
65-4. Transfer of Matters Brought to Wrong Court
If the supreme court transfers the case to itself,
the appellate clerk shall promptly notify the par-
ties. The appellate clerk may require the parties
to take such steps as may be necessary to make
the appeal conform to the rules of the court to
which it has been transferred.
(P.B. 1978-1997, Secs. 4024; 4135.) (Amended Sept. 16,
2015, to take effect Jan. 1, 2016.)
Sec. 65-3. Transfer of Petitions for Review
of Bail Orders from Appellate Court to
Supreme Court
Whenever a petition for review of an order of
the superior court concerning release is filed in
the appellate court pursuant to General Statutes
§ 54-63g in any case on appeal to the supreme
court or where the defendant could appeal to the
supreme court if convicted, such petition shall be
transferred to the supreme court pursuant to the
exercise of the supreme court’s transfer jurisdic-
tion under General Statutes § 51-199 (c) for
review of such order.
(P.B. 1978-1997, Sec. 4025.)
Sec. 65-4. Transfer of Matters Brought to
Wrong Court
Any appeal or cause brought to the supreme
court or the appellate court which is not properly
within the jurisdiction of the court to which it is
brought shall not be dismissed for the reason that
it was brought to the wrong court but shall be
transferred by the appellate clerk to the court with
jurisdiction and entered on its docket. Any timely
filed appeal or cause transferred shall be consid-
ered timely filed in the appropriate court. The
appellate clerk shall notify all parties and the clerk
of the trial court that the appeal or cause has been
transferred. In the event that an appeal or cause
is so transferred, no additional fees will be due.
(P.B. 1978-1997, Sec. 4027.) (Amended Sept. 16, 2015,
to take effect Jan. 1, 2016.)
RULES OF APPELLATE PROCEDURESec. 66-1
CHAPTER 66
MOTIONS AND OTHER PROCEDURES
Sec. Sec.
66-1. Extension of Time
66-2. Motions, Petitions and Applications; Supporting
Memoranda
66-2A. Supreme Court Briefs on Compact Disc; Hyperlink-
ing [Repealed]
66-3. Motion Procedures and Filing
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
(a) Motions to extend the time limit for filing an
appeal shall be filed with the clerk of the trial court.
Except as otherwise provided in these rules, the
judge who tried the case may, for good cause
shown, extend the time limit provided for filing the
appeal, except that such extension shall be of no
effect if the time within which the appeal must be
filed is set by statute and is a time limit that the
legislature intended as a limit on the subject mat-
ter jurisdiction of the court in which the appeal is
filed. In no event shall the trial judge extend the
time for filing the appeal to a date which is more
than twenty days from the expiration date of the
appeal period. Where a motion for extension of
the period of time within which to appeal has been
filed at least ten days before expiration of the time
limit sought to be extended, the party seeking
to appeal shall have no less than ten days from
issuance of notice of denial of the motion to file
the appeal.
(b) Motions to extend the time limit for filing any
appellate document, other than the appeal, shall
be filed with the appellate clerk. The motion shall
set forth the reason for the requested extension
and shall be accompanied by a certification that
complies with Section 62-7. An attorney filing such
a motion on a client’s behalf shall also indicate
that a copy of the motion has been delivered to
each of his or her clients who are parties to the
appeal. The moving party shall also include a
statement as to whether the other parties consent
or object to the motion. A motion for extension of
time to file a brief must specify the current status
of the brief or preparations therefor, indicate the
estimated date of completion, and, in criminal
cases, state whether the defendant is incarcer-
ated as a result of the proceeding in which the
appeal has been filed.
(c) The appellate clerk is authorized to grant or
to deny motions for extension of time promptly
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66-4. Hearings on Motions
66-5. Motion for Rectification; Motion for Articulation
66-6. Motion for Review; In General
66-7. Motion for Review of Motion for Rectification of
Appeal or Articulation
66-8. Motion to Dismiss
upon their filing. Motions for extension of time to
complete any step necessary to prosecute or to
defend the appeal, to move for or to oppose a
motion for reconsideration, or to petition for or to
oppose a petition for certification will not be
granted except for good cause. Claims of good
cause shall be raised promptly after the cause
arises.
(d) An opposing party who objects to a motion
for extension of time filed pursuant to subsection
(b) of this section shall file an objection with rea-
sons in support thereof with the appellate clerk
within five days from the filing of the motion.
(e) A motion for extension of time shall be filed
at least ten days before the expiration of the time
limit sought to be extended or, if the cause for
such extension arises during the ten day period,
as soon as reasonably possible after such cause
has arisen. No motion under this rule shall be
granted unless it is filed before the time limit
sought to be extended by such motion has
expired.
(f) Any action by the trial judge pursuant to sub-
section (a) of this section or the appellate clerk
pursuant to subsection (c) of this section is review-
able pursuant to Section 66-6.
(P.B. 1978-1997, Sec. 4040.) (Amended July 21, 1999, to
take effect Jan. 1, 2000; amended Feb. 1, 2005, to take effect
Jan. 1, 2006; amended Jan. 29, 2009, to take effect March
1, 2009; amended July 30, 2009, to take effect Jan. 1, 2010;
amended Sept. 16, 2015, to take effect Jan. 1, 2016.)
Sec. 66-2. Motions, Petitions and Applica-
tions; Supporting Memoranda
(a) Motions, petitions and applications shall be
specific. No motion, petition or application will be
considered unless it clearly sets forth in separate
paragraphs appropriately captioned: (1) a brief
history of the case; (2) the specific facts upon
which the moving party relies; and (3) the legal
grounds upon which the moving party relies. A
separate memorandum of law may but need not
RULES OF APPELLATE PROCEDURE Sec. 66-3
be filed. If the moving party intends to file a memo-
randum of law in support of the motion, petition
or application, however, such memorandum shall
be filed either as an appendix to or as a part of the
motion, petition or application. A party intending
to oppose a motion, petition or application shall file
a brief statement clearly setting forth in separate
paragraphs appropriately captioned the factual
and legal grounds for opposition within ten days
after the filing of the motion, petition or application.
If an opposing party chooses to file a memoran-
dum of law in opposition to a motion, petition or
application, that party shall do so within ten days
after the filing of the motion, petition or application.
An opposition shall not include any request for
relief that should be filed as a separate motion
by the opposing party to the motion, petition or
application. Responses to oppositions are not per-
mitted. Except as provided in subsection (e)
below, no proposed order is required.
(b) Except with special permission of the appel-
late clerk, the motion, petition or application and
memorandum of law filed together shall not
exceed ten pages, and the memorandum of law
in opposition thereto shall not exceed ten pages.
(c) Where counsel for the moving party certifies
that all other parties to the appeal have consented
to the granting of the motion, petition or applica-
tion, the motion, petition or application may be
submitted to the court immediately upon filing and
may be acted upon without awaiting expiration of
the time for filing opposition papers. Notice of such
consent certification shall be indicated on the first
page of the document.
(d) Motions which are not dispositive of the
appeal may be ruled upon by one or more mem-
bers of the court subject to review by a full panel
upon a motion for reconsideration pursuant to
Section 71-5.
(e) Motions that are directed to the trial court,
such as motions to terminate stay pursuant to
Section 61-11 or motions for rectification or articu-
lation pursuant to Section 66-5, shall: (1) include
both the trial court and the appellate court docket
numbers in the caption of the case; (2) state in
the first paragraph the name of the trial judge, or
panel of judges, who issued the order or orders
to be reviewed; (3) include a proper order for the
trial court if required by Section 11-1; and (4) com-
ply with the requirements of Section 66-3. Such
motions will be forwarded to the trial court by the
appellate clerk.
(f) When the appellate clerk issues an order on
a motion, petition or application, the official notice
date shall be the date indicated on the order for
notice to the clerk of the trial court and all counsel
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of record. The official notice date is not the date
that such order is received.
(P.B. 1978-1997, Sec. 4041.) (Amended June 2, 2010, to
take effect Jan. 1, 2011; amended July 26, 2012, to take effect
Jan. 1, 2013; amended Sept. 16, 2015, to take effect Jan. 1,
2016; amended Oct. 18, 2017, to take effect Jan. 1, 2018.)
HISTORY—2018: In subsection (a), what is now the fifth
sentence was added. Also in 2018, what is now subsection
(f) was added.
COMMENTARY—2018: For the official release date of an
opinion or memorandum decision, see Section 71-4.
Sec. 66-2A. Supreme Court Briefs on Com-
pact Disc; Hyperlinking
[Repealed as of Jan. 1, 2016.]
Sec. 66-3. Motion Procedures and Filing
All motions, petitions, applications, memoranda
of law, stipulations, and oppositions shall be filed
with the appellate clerk in accordance with the
provisions of Sections 60-7 and 60-8 and dock-
eted upon filing. The submission may be returned
by the appellate clerk or rejected by the court upon
review for compliance with the rules of appellate
procedure. All papers shall contain a certification
that a copy has been delivered to each other coun-
sel of record in accordance with the provisions of
Section 62-7.
No paper mentioned above shall be filed after
expiration of the time for its filing unless the filer
demonstrates good cause for its untimeliness in
a separate section captioned ‘‘good cause for late
filing.’’ No motion directed to the trial court that is
required to be filed with the appellate clerk shall
be filed after expiration of the time for its filing,
except on separate written motion accompanied
by the proposed trial court motion and by consent
of the supreme or appellate court. No amendment
to any of the above mentioned papers shall be
filed except on written motion and by consent of
the court.
Motions shall be typewritten and fully double
spaced, and shall not exceed three lines to the
vertical inch or twenty-seven lines to the page.
Footnotes and block quotations may be single
spaced. Only the following two typefaces, of 12
point or larger size, are approved for use in
motions: arial and univers. Each page of a motion,
petition, application, memorandum of law, stipula-
tion and opposition shall have as a minimum the
following margins: top, 1 inch; left, 1 and 1/4inch;
right, 1/2inch; and bottom, 1 inch.
(P.B. 1978-1997, Sec. 4042.) (Amended Oct. 16, 2002, to
take effect Jan. 1, 2003; amended May 15, 2003, to take effect
Jan. 1, 2004; amended Sept. 16, 2015, to take effect Jan. 1,
2016; amended June 15, 2016, to take effect Sept. 30, 2016.)
COMMENTARY—September, 2016: These amendments
eliminate the requirement of filing a motion for permission to
file a late paper in the supreme or appellate court. For example,
a party may file a late motion for review, provided that the
RULES OF APPELLATE PROCEDURESec. 66-3
motion includes a separate section demonstrating good cause
for its untimeliness. Motions that are directed to the trial court
that are filed with the appellate clerk’s office, for example,
motions for articulation or rectification, still require a separate
motion for permission to file late andmust include the proposed
trial court motion. This section does not apply to the late filing
of the following: briefs, preliminary papers, writs of error, reser-
vations, appeals, certified questions, and certification pursuant
to General Statutes § 52-265a. See Section 60-2.
Sec. 66-4. Hearings on Motions
Hearings on motions will be assigned only upon
order of the court and only in exceptional cases.
In cases involving incarcerated self-represented
parties, hearings on motions may be conducted
by videoconference upon direction of the court.
(P.B. 1978-1997, Sec. 4043.) (Amended April 6, 2011, to
take effect Jan. 1, 2012; amended June 15, 2016, to take
effect Sept. 30, 2016.)
Sec. 66-5. Motion for Rectification; Motion
for Articulation
A motion seeking corrections in the transcript
or the trial court record or seeking an articulation
or further articulation of the decision of the trial
court shall be called a motion for rectification or
a motion for articulation, whichever is applicable.
Any motion filed pursuant to this section shall state
with particularity the relief sought and shall be
filed with the appellate clerk. Any other party may
oppose the motion by filing an opposition with the
appellate clerk within ten days of the filing of the
motion for rectification or articulation. The trial
court may, in its discretion, require assistance
from the parties in providing an articulation. Such
assistance may include, but is not limited to, provi-
sion of copies of transcripts and exhibits.
The appellate clerk shall forward the motion for
rectification or articulation and the opposition, if
any, to the trial judge who decided, or presided
over, the subject matter of the motion for rectifica-
tion or articulation for a decision on the motion. If
any party requests it and it is deemed necessary
by the trial court, the trial court shall hold a hearing
at which arguments may be heard, evidence taken
or a stipulation of counsel received and approved.
The trial court may make such corrections or addi-
tions as are necessary for the proper presentation
of the issues. The clerk of the trial court shall list
the decision on the trial court docket and shall
send notice of the court’s decision on the motion
to the appellate clerk, and the appellate clerk shall
issue notice of the decision to all counsel of
record.
Nothing herein is intended to affect the existing
practice with respect to opening and correcting
judgments and the records on which they are
based. The trial court shall file any such order
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changing the judgment or the record with the
appellate clerk.
Corrections or articulations made before the
appellant’s brief and appendix are prepared shall
be included in the appellant’s appendix. Correc-
tions or articulations made after the appellant’s
brief and appendix have been filed, but before the
appellee’s brief and appendix have been filed,
shall be included in the appellee’s appendix.
When corrections or articulations are made after
both parties’ briefs and appendices have been
filed, the appellant shall file the corrections or
articulations as an addendum to its appendix. Any
addendum shall be filed within ten days after issu-
ance of notice of the trial court’s order correcting
the record or articulating the decision.
The sole remedy of any party desiring the court
having appellate jurisdiction to review the trial
court’s decision on the motion filed pursuant to
this section or any other correction or addition
ordered by the trial court during the pendency of
the appeal shall be by motion for review under
Section 66-7.
Upon the filing of a timely motion pursuant to
Section 66-1, the appellate clerk may extend the
time for filing briefs until after the trial court has
ruled on a motion made pursuant to this section
or until a motion for review under Section 66-7
is decided.
Any motion for rectification or articulation shall
be filed within thirty-five days after the delivery of
the last portion of the transcripts or, if none, after
the filing of the appeal, or, if no memorandum of
decision was filed before the filing of the appeal,
after the filing of the memorandum of decision. If
the court, sua sponte, sets a different deadline
from that provided in Section 67-3 for filing the
appellant’s brief, a motion for rectification or artic-
ulation shall be filed ten days prior to the deadline
for filing the appellant’s brief, unless otherwise
ordered by the court. The filing deadline may be
extended for good cause. No motion for rectifica-
tion or articulation shall be filed after the filing of
the appellant’s brief except for good cause shown.
A motion for further articulation may be filed by
any party within twenty days after issuance of
notice of the filing of an articulation by the trial
judge. A motion for extension of time to file a
motion for articulation shall be filed in accordance
with Section 66-1.
(P.B. 1978-1997, Sec. 4051.) (Amended July 21, 1999, to
take effect Jan. 1, 2000; amended July 24, 2002, to take effect
Oct. 1, 2002; amended June 5, 2013, to take effect July 1,
2013; amended Sept. 16, 2015, to take effect Jan. 1, 2016;
amended March 15, 2017, to take effect June 15, 2017.)
HISTORY—June, 2017: What are now the final two sen-
tence of the first paragraph were added.
RULES OF APPELLATE PROCEDURE Sec. 66-8
Sec. 66-6. Motion for Review; In General
The court may, on written motion for review
stating the grounds for the relief sought, modify
or vacate any order made by the trial court under
Section 66-1 (a); any action by the appellate clerk
under Section 66-1 (c); any order made by the
trial court, or by the workers’ compensation com-
missioner in cases arising under General Statutes
§ 31-290a (b), relating to the perfecting of the
record for an appeal or the procedure of prosecut-
ing or defending against an appeal; any order
made by the trial court concerning a stay of execu-
tion in a case on appeal; any order made by the
trial court concerning the waiver of fees, costs
and security under Section 63-6 or 63-7; or any
order concerning the withdrawal of appointed
appellate counsel pursuant to Section 62-9 (d).
Motions for review shall be filed within ten days
from the issuance of notice of the order sought
to be reviewed. Motions for review of the clerk’s
taxation of costs under judgments of the court
having appellate jurisdiction shall be governed by
Section 71-3.
If a motion for review of a decision depends on
a transcript of evidence or proceedings taken by
a court reporter, the moving party shall file with
the motion either a transcript or a copy of the
transcript order form (JD-ES-38). The opposing
party may, within one week after the transcript or
the copy of the order form is filed by the moving
party, file either a transcript of additional evidence
or a copy of the order form. Parties filing or order-
ing a transcript shall order an electronic version
of the transcript in accordance with Section 63-8A.
(P.B. 1978-1997, Sec. 4053.) (Amended April 3, 2002, to
take effect Nov. 1, 2002; amended June 2, 2005, to take effect
Jan. 1, 2006.)
TECHNICAL CHANGE: In the first sentence, the reference
to subdivision (2) of Section 66-1 (c) was deleted.
Sec. 66-7. Motion for Review of Motion for
Rectification of Appeal or Articulation
Any party aggrieved by the action of the trial
judge regarding rectification of the appeal or artic-
ulation under Section 66-5 may, within ten days
of the issuance of notice by the appellate clerk
of the decision from the trial court sought to be
reviewed, file a motion for review with the appel-
late clerk, and the court may, upon such a motion,
direct any action it deems proper. If the motion
depends upon a transcript of evidence or pro-
ceedings taken by a court reporter, the procedure
set forth in Section 66-6 shall be followed. Correc-
tions or articulations which the trial court makes
or orders made pursuant to this section shall be
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included in the appendices as indicated in Section
66-5.
(P.B. 1978-1997, Sec. 4054.) (Amended June 5, 2013, to
take effect July 1, 2013; amended Sept. 16, 2015, to take
effect Jan. 1, 2016.)
Sec. 66-8. Motion to Dismiss
Any claim that an appeal or writ of error should
be dismissed, whether based on lack of jurisdic-
tion, failure to file papers within the time allowed
or other defect, shall be made by a motion to
dismiss the appeal or writ. Any such motion must
be filed in accordance with Sections 66-2 and 66-
3. A motion to dismiss an appeal or writ of error
that claims a lack of jurisdiction may be filed at
any time. A motion for sanctions filed pursuant
to Sections 85-1, 85-2 or 85-3 may be filed at
any time.
A motion to dismiss an appeal that claims any
defect other than a lack of jurisdiction must be
filed within ten days after the filing of the appeal.
A motion to dismiss a writ of error that claims
any defect other than a lack of jurisdiction must
be filed within ten days after the filing of an elec-
tronically filed writ of error or, if the plaintiff in error
is exempt from the electronic filing requirements,
within ten days after the return day. If a defendant
in error was not a party to any action underlying
the writ of error, and such defendant in error
claims a defect in the writ other than lack of juris-
diction, a motion to dismiss must be filed within
thirty days after the return day.
If the ground alleged for dismissal of an appeal
or writ of error, other than a lack of jurisdiction,
subsequently arises, a motion to dismiss must be
filed within ten days after such ground for dis-
missal arises.
The court may on its own motion order that an
appeal or writ of error be dismissed for lack of
jurisdiction or other defect.
(P.B. 1978-1997, Sec. 4056.) (Amended July 19, 2017, to
take effect Oct. 8, 2017.)
HISTORY—October, 2017: Prior to amendment, this sec-
tion read: ‘‘Any claim that an appeal or writ of error should be
dismissed, whether based on lack of jurisdiction, failure to file
papers within the time allowed or other defect, shall be made
by a motion to dismiss the appeal or writ. Any such motion
must be filed in accordance with Sections 66-2 and 66-3 within
ten days after the filing of the appeal or the return day of the
writ, or if the ground alleged subsequently occurs, within ten
days after it has arisen, provided that a motion based on lack
of jurisdiction may be filed at any time. The court may on
its own motion order that an appeal be dismissed for lack
of jurisdiction.’’
COMMENTARY—October, 2017: The rule was significantly
amended to make it clear that the limitation period for filing a
motion to dismiss that does not claim a lack of jurisdiction is
measured differently for appeals and for writs of error-and for
electronically filed writs of error and writs of error filed by those
who are exempt from the electronic filing requirements. The
rule was also amended to give a defendant in error who was
RULES OF APPELLATE PROCEDURESec. 66-8
not a party to an underlying action, such as the Superior Court
when it is properly made a defendant to a writ of error brought
to challenge a judgment of summary criminal contempt, more
time to file a motion that raises a nonjurisdictional ground for
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dismissal. The thirty day period afforded to new parties to
the litigation comports with the thirty day period in Practice
Book § 10-30, which governs motions to dismiss in the supe-
rior court.
RULES OF APPELLATE PROCEDURE Sec. 67-2
CHAPTER 67
BRIEFS
Sec. Sec.
67-1. Brief and Appendix
67-2. Format of Briefs and Appendices; Copies; Elec-
tronic Briefing Requirement
67-3. Page Limitations; Time for Filing Briefs and
Appendices
67-4. The Appellant’s Brief; Contents and Organization
67-5. The Appellee’s Brief; Contents and Organization
67-6. Statutory (§ 53a-46b) Review of Death Sentences
67-7. The Amicus Curiae Brief
67-8. The Appendix; Contents and Organization
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
In any brief or appendix, the plaintiff and
defendant shall be referred to as such rather than
as appellant and appellee, wherever it is possible
to do so; on a reservation the plaintiff below shall
be regarded as the appellant.
Each brief shall contain a concise statement of
the principal issue or issues involved in the
appeal. The statement ordinarily should not
exceed one page in length and should be on a
page by itself. The court may refuse to receive a
brief not complying with this requirement.
(P.B. 1978-1997, Sec. 4064.) (Amended June 5, 2013, to
take effect July 1, 2013; amended June 18, 2014, to take
effect Sept. 1, 2014.)
Sec. 67-2. Format of Briefs and Appendices;
Copies; Electronic Briefing Requirement
(Amended Jan. 29, 2009, to take effect March 1, 2009;
amended June 5, 2013, to take effect July 1, 2013; amended
June 18, 2014, to take effect Sept. 1, 2014.)
(a) Briefs and appendices shall be typewritten
or clearly photocopied from a typewritten original
on white 8 1/2by 11 inch paper. Unless ordered
otherwise, briefs shall be copied on one side of
the page only. Appendices may be copied on both
sides of the page. The page number for briefs
and appendices shall be centered on the bottom
of each page. The brief shall be fully double
spaced and shall not exceed three lines to the
vertical inch or twenty-seven lines to the page;
footnotes and block quotations may, however, be
single spaced. Only the following two typefaces,
of 12 point or larger size, are approved for use in
briefs: arial and univers. Each page of a brief or
appendix shall have as a minimum the following
margins: top, 1 inch; left, 1 and 1/4inch; right, 1/2
inch; and bottom, 1 inch. Briefs and appendices
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67-8A. The Appendix in Administrative Appeals; Excep-
tions (Transferred from Section 68-10.)
67-9. Citation of Unreported Decisions
[Repealed only as to appeals filed on or after July
1, 2013.]
67-10. Citation of Supplemental Authorities after Brief Is
Filed
67-11. Table of Authorities; Citation of Cases
67-12. Stay of Briefing Obligations upon Filing of Certain
Motions after Appeal Is Filed
67-13. Briefs in Family and Juvenile Matters and Other
Matters involving Minor Children
shall be firmly bound 1/4inch from the left side,
at points approximately 1/4,1/2and 3/4of the length
of the page, so as to make an easily opened
volume.
(b) When possible, parts one and two of the
appendix shall be bound together. In addition,
parts one and two of the appendix may be bound
together with the brief. When, however, binding
the brief and appendix together would affect the
integrity of the binding, the appendix shall be
bound separately from the brief. When either part
of the appendix exceeds one hundred and fifty
pages, parts one and two of the appendix shall
be separately bound.
(c) An appendix shall be paginated separately
from the brief. The appendix shall be numbered
consecutively, beginning with the first page of part
one and ending with the last page of part two,
and preceded by the letter ‘‘A’’ (e.g., A1 . . . A25
. . . A53). An appendix shall have an index of
the names of witnesses whose testimony is cited
within it. If any part of the testimony of a witness
is omitted, this shall be indicated by asterisks.
After giving the name of a witness, the party who
called that witness shall be designated, and it shall
be stated whether the testimony quoted was given
on direct, cross or other examination.
(d) If constitutional provisions, statutes, ordi-
nances, regulations or portions of the transcript
are contained in an appendix, they may be repro-
duced in their original form so long as the docu-
ment is not reduced to less than 75 percent of its
original form.
(e) Briefs and separately bound appendices
shall have a suitable front cover of heavy paper
in the color indicated: briefs for appellants and
plaintiffs in error, light blue; briefs for appellees
RULES OF APPELLATE PROCEDURESec. 67-2
and defendants in error, pink; reply briefs, white;
briefs for amicus curiae, light green. Covers of
briefs filed for cross appeals shall be of the same
color as indicated for that party on the original
appeal briefs. If a supplemental brief is ordered
or permitted by the court, the cover shall be the
same color as indicated for that party’s original
brief. A back cover is not necessary; however, if
one is used, it must be white.
(f) Briefs and separately bound appendices
must bear on the cover, in the following order,
from the top of the page: (1) the name of the court;
(2) the number of the case; (3) the name of the
case as it appears in the judgment file of the trial
court; (4) the nature of the brief (e.g., brief of the
defendant-appellant; brief of the plaintiff-appellee
on the appeal and of the plaintiff-cross appellant
on the cross appeal); and (5) the name, address,
telephone and facsimile numbers and e-mail
address of individual counsel who is to argue the
appeal and, if different, the name, address, tele-
phone and facsimile numbers and e-mail address
of the party’s counsel of record. The foregoing
shall be displayed in the upper case of an arial
or univers typeface of 12 point or larger size.
(g) Counsel of record filing a brief shall submit
an electronic version of the brief and appendix
in accordance with guidelines established by the
court and published on the judicial branch web-
site. Where paper copies of the brief and appendix
are bound together, the brief and appendix shall
be submitted electronically as separate docu-
ments. The electronic version shall be submitted
prior to the timely filing of the party’s paper brief
and appendix pursuant to subsection (h) of this
section. Counsel of record must certify that elec-
tronically submitted briefs and appendices: (1)
have been delivered electronically to the last
known e-mail address of each counsel of record
for whom an e-mail address has been provided;
and (2) have been redacted or do not contain any
names or other personal identifying information
that is prohibited from disclosure by rule, statute,
court order or case law.
(h) If the appeal is in the supreme court, fifteen
legible photocopies of each brief and appendix,
if any, shall be filed with the appellate clerk. If
the appeal is in the appellate court, ten legible
photocopies of each brief and appendix, if any,
shall be filed with the appellate clerk.
(i) All copies of the brief filed with the supreme
court or the appellate court must be accompanied
by: (1) certification that a copy of the brief and
appendix has been sent to each counsel of record
in compliance with Section 62-7; (2) certification
that the brief and appendix being filed with the
appellate clerk are true copies of the brief and
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appendix that were submitted electronically pur-
suant to subsection (g) of this section; (3) certifica-
tion that the brief and appendix have been
redacted or do not contain any names or other
personal identifying information that is prohibited
from disclosure by rule, statute, court order or
case law; and (4) certification that the brief com-
plies with all provisions of this rule. The certifica-
tion that a copy of the brief and appendix has
been sent to each counsel of record in compliance
with Section 62-7 may be signed by counsel of
record or the printing service, if any. All other
certifications pursuant to this subsection shall be
signed by counsel of record only.
(j) A copy of the electronic confirmation receipt
indicating that the brief and appendix were submit-
ted electronically in compliance with subsection
(g) of this section shall be filed with the briefs.
(k) Any request for deviation from the above
requirements, including requests to deviate from
the requirement to redact or omit personal identi-
fying information or information that is prohibited
from disclosure by rule, statute, court order or
case law, shall be filed with the appellate clerk.
(P.B. 1978-1997, Sec. 4064A.) (Amended June 7, 2001,
to take effect Sept. 1, 2001; amended Jan. 29, 2009, to take
effect March 1, 2009; amended June 2, 2010, to take effect
Jan. 1, 2011; amended June 5, 2013, to take effect July 1,
2013; amended June 18, 2014, to take effect Sept. 1, 2014;
amended Sept. 16, 2015, to take effect Jan. 1, 2016; amended
June 15, 2016, to take effect Aug. 1, 2016; amended Oct. 18,
2017, to take effect Jan. 1, 2018.)
HISTORY—2018: In the first sentence of subsection (a),
‘‘Original’’ was deleted before ‘‘briefs’’ and the ‘‘b’’ in ‘‘briefs’’
was capitalized.
Also in 2018, what is now the second sentence of subsec-
tion (g) was added.
In addition, in each sentence of subsection (h), ‘‘the original
and’’ was deleted following ‘‘court.’’
Prior to 2018, subsection (i) (1) read: ‘‘The original and all
copies of the brief filed with the supreme court or the appellate
court must be accompanied by: (1) certification that a copy of
the brief and appendix has been sent to each counsel of record
in compliance with Section 62-7 and to any trial judge who
rendered a decision that is the subject matter of the appeal.’’
Also, in the second sentence of subsection (i), ‘‘, and to any
trial judge who rendered a decision that is the subject matter
of the appeal’’ was deleted following ‘‘Section 62-7.’’
Also in 2018, in subsection (j), ‘‘original’’ was deleted follow-
ing ‘‘with the’’ and ‘‘brief’’ was made plural.
Sec. 67-3. Page Limitations; Time for Filing
Briefs and Appendices
Except as otherwise ordered, the brief of the
appellant shall not exceed thirty-five pages and
shall be filed with the appendix within forty-five
days after the delivery date of the transcript
ordered by the appellant. In cases where no tran-
script is required or the transcript has been
received by the appellant prior to the filing of the
appeal, the appellant’s brief and appendix shall
RULES OF APPELLATE PROCEDURE Sec. 67-4
be filed within forty-five days of the filing of the
appeal.
The delivery date of the paper—not electronic—
transcript shall be used, where applicable, in
determining the filing date of briefs.
Any party whose interest in the judgment will
not be affected by the appeal and who intends
not to file a brief shall inform the appellate clerk
of this intent prior to the deadline for the filing of
the appellee’s brief. In the case of multiple appel-
lees, an appellee who supports the position of the
appellant shall meet the appellant’s time schedule
for filing a brief.
Except as otherwise ordered, the brief of the
appellee shall not exceed thirty-five pages, and
shall be filed with any appendix within thirty days
after the filing of the appellant’s brief or the deliv-
ery date of the portions of the transcript ordered
only by that appellee, whichever is later.
The appellant may within twenty days after the
filing of the appellee’s brief file a reply brief which
shall not exceed fifteen pages.
Where there is a cross appeal, the brief and
appendix of the cross appellant shall be combined
with the brief and appendix of the appellee. The
brief shall not exceed fifty pages and shall be filed
with any appendix at the time the appellee’s brief
is due. The brief and appendix of the cross appel-
lee shall be combined with the appellant’s reply
brief, if any. This brief shall not exceed forty pages
and shall be filed within thirty days after the filing
of the original appellee’s brief. The cross appellant
may within twenty days after the filing of the cross
appellee’s brief file a cross appellant’s reply brief
which shall not exceed fifteen pages.
Where cases are consolidated or a joint appeal
has been filed, the brief of the appellants and
that of the appellees shall not exceed the page
limitations specified above.
All page limitations shall be exclusive of appen-
dices, the statement of issues, the table of authori-
ties, the table of contents, if any, and, in the case
of an amicus brief, the statement of the interest
of the amicus curiae required by Section 67-7. The
last page of a brief shall likewise not be counted if
it contains only the signature of counsel of record.
Briefs shall not exceed the page limitations set
forth herein except by permission of the chief jus-
tice or chief judge. Requests for permission to
exceed the page limitations shall be filed with the
appellate clerk, stating both the compelling reason
for the request and the number of additional
pages sought.
Where a claim relies on the state constitution
as an independent ground for relief, the clerk shall,
upon request, grant an additional five pages for
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the appellant and appellee briefs, and an addi-
tional two pages for the reply brief, which pages
are to be used for the state constitutional argu-
ment only.
(P.B. 1978-1997, Sec. 4064B.) (Amended June 2, 2010,
to take effect Jan. 1, 2011; amended June 5, 2013, to take
effect July 1, 2013; amended Sept. 16, 2015, to take effect
Jan. 1, 2016.)
Sec. 67-4. The Appellant’s Brief; Contents
and Organization
The appellant’s brief shall contain the following:
(a) A concise statement setting forth, in sepa-
rately numbered paragraphs, without detail or dis-
cussion, the principal issue or issues involved in
the appeal, with appropriate references to the
page or pages of the brief where the issue is
discussed, pursuant to subsection (d) hereof. The
court may refuse to receive a brief not complying
with this requirement. Such statement shall be
deemed in replacement of and shall supersede
the preliminary statement of issues.
(b) A table of authorities cited in the brief, with
references to the page or pages of the brief where
the citations to those authorities appear. Citations
shall be in the form provided in Section 67-11.
(c) A statement of the nature of the proceedings
and of the facts of the case bearing on the issues
raised. The statement of facts shall be in narrative
form, shall be supported by appropriate refer-
ences to the page or pages of the transcript or to
the document upon which the party relies and
shall not be unnecessarily detailed or voluminous.
(d) The argument, divided under appropriate
headings into as many parts as there are points
to be presented, with appropriate references to
the statement of facts or to the page or pages of
the transcript or to the relevant document. The
argument on each point shall include a separate,
brief statement of the standard of review the
appellant believes should be applied.
(1) When error is claimed in the trial court’s
refusal to charge the jury as requested, the party
claiming such error shall include in the brief of
that party or the appendix thereto a verbatim
statement of the relevant portions of the charge
as requested and as given by the court and any
relevant exceptions to the charge as given and
shall recite in narrative form any evidence which
it is claimed would entitle that party to the charge
as requested, with appropriate references to the
page or pages of the transcript.
(2) When error is claimed in the charge to the
jury, the brief or appendix shall include a verbatim
statement of all relevant portions of the charge
and all relevant exceptions to the charge. Unless
essential to review of a claimed error, a verbatim
statement of the entire charge to the jury should
RULES OF APPELLATE PROCEDURESec. 67-4
not be included in the brief or appendix. Evidence
relevant to the claimed error shall be recited in
narrative form with appropriate references to the
page or pages of the transcript.
(3) When error is claimed in any evidentiary
ruling in a court or jury case, the brief or appendix
shall include a verbatim statement of the following:
the question or offer of exhibit; the objection and
the ground on which it was based; the ground on
which the evidence was claimed to be admissible;
the answer, if any; and the ruling.
(4) When error is claimed in any other ruling in
a court or jury case, the brief or appendix shall
include the pertinent motion or pleading as well
as any other pertinent documents which are a part
of the record of the proceedings below.
(5) When the basis of an evidentiary or other
ruling referred to in subsection (d) (3) or (d) (4)
cannot be understood without knowledge of the
evidence or proceeding which preceded or fol-
lowed the ruling, a brief narrative or verbatim
statement of the evidence or proceeding should
be made. A verbatim excerpt from the transcript
should not be used if a narrative statement will
suffice. When the same ruling is repeated, the
brief should contain only a single ruling unless
the other rulings are further illustrative of the rule
which determined the action of the trial court or
establish the materiality or harmfulness of the
error claimed. The statement of rulings in the brief
shall include appropriate references to the page
or pages of the transcript.
(e) A short conclusion stating the precise
relief sought.
(f) The text of the pertinent portions of any con-
stitutional provision, statute, ordinance or regula-
tion at issue or on which the appellant relies. Such
text need not be included in the brief if it is included
in the appendix to the appellant’s brief.
(g) In appeals filed pursuant to Section 81-4, a
statement identifying the version of the land use
regulations filed with the appellate clerk.
(h) The appellant’s brief shall be organized in
the following order: table of contents, if any; state-
ment of issues; table of authorities; if the appeal
was filed pursuant to Section 81-4, statement
identifying version of land use regulations filed
with the appellate clerk; statement of facts; argu-
ment; conclusion and statement of relief
requested; signature; and certification pursuant to
Section 62-7.
(P.B. 1978-1997, Sec. 4064C.) (Amended July 21, 1999,
to take effect Jan. 1, 2000; amended July 24, 2002, to take
effect Oct. 1, 2002; amended July 30, 2009, to take effect
Jan. 1, 2010; amended June 2, 2010, to take effect Jan. 1,
2011; amended June 5, 2013, to take effect July 1, 2013.)
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Sec. 67-5. The Appellee’s Brief; Contents
and Organization
The brief of the appellee shall contain, in a form
corresponding to that stated in Section 67-4,
the following:
(a) A counter statement of any issue involved
as to which the appellee disagrees with the state-
ment of the appellant or a statement of any other
grounds which were properly raised by an appel-
lee under Section 63-4. Such statement shall be
deemed in replacement of and shall supersede
the preliminary statement of the issues.
(b) A table of authorities cited in the brief, with
references to the page or pages of the brief where
the citations to those authorities appear. Citations
shall be in the form provided in Section 67-11.
(c) A counter statement of any fact as to which
the appellee disagrees with the statement of the
appellant. The counter statement of facts shall
be in narrative form and shall be supported by
appropriate references to the page or pages of
the transcript or to the relevant document upon
which the appellee relies. An appellee may not
rely on any fact unless it is set forth in the appel-
lee’s counter statement of facts or in the appel-
lant’s statement of facts or is incorporated in any
brief of the parties in accordance with Section
67-4 (d) or with subsection (d) hereof.
(d) The argument of the appellee, divided as
provided in Section 67-4 (d). The argument on
each point shall include a separate, brief state-
ment of the standard of review the appellee
believes should be applied. The argument may
augment or take exception to the appellant’s pre-
sentation of rulings or the charge by reference to
any relevant part of the court’s charge or any other
evidence in narrative or verbatim form which is
relevant to such question, with appropriate refer-
ences to the statements of facts or to the page
or pages of the transcript or to the relevant
document.
(e) Claims, if any, directed to any rulings or
decisions of the trial court adverse to the appellee.
These shall be made in the manner provided in
Section 67-4 (d).
(f) A short conclusion stating the precise
relief sought.
(g) The text of the pertinent portions of any
constitutional provision, statute, ordinance or reg-
ulation at issue or on which the appellee relies.
Such text need not be included in the brief if it is
included in the appellant’s brief or appendix or in
the appendix to the appellee’s brief.
(h) In appeals filed pursuant to Section 81-4, a
statement as to whether the appellee disputes
the applicability of the version of the land use
regulations filed with the appellate clerk. If the
RULES OF APPELLATE PROCEDURE Sec. 67-7
appellee disputes the applicability of such regula-
tions, it shall set forth its basis for maintaining that
such regulations do not apply.
(i) The appellee’s brief shall be organized in the
following order: table of contents, if any; statement
of issues; table of authorities; statement of facts;
argument; conclusion and statement of relief
requested; signature; and certification pursuant to
Section 62-7.
(j) When the appellee is also the cross appel-
lant, the issues on the cross appeal shall be
briefed in accordance with Section 67-4. In such
a case, the briefs shall clearly label which sections
of the brief refer to the appeal and which refer to
the cross appeal.
(P.B. 1978-1997, Sec. 4064D.) (Amended July 21, 1999,
to take effect Jan. 1, 2000; amended July 24, 2002, to take
effect Oct. 1, 2002; amended June 2, 2005, to take effect Jan.
1, 2006; amended July 30, 2009, to take effect Jan. 1, 2010;
amended June 2, 2010, to take effect Jan. 1, 2011; amended
June 5, 2013, to take effect July 1, 2013.)
Sec. 67-6. Statutory (§ 53a-46b) Review of
Death Sentences
(a) When a sentence of death has been
imposed upon a defendant, following a conviction
of a capital felony in violation of General Statutes
§ 53a-54b and the hearing upon imposition of the
death penalty pursuant to General Statutes § 53a-
46a, the briefs of the parties shall include a discus-
sion of the issues set forth in General Statutes
§ 53a-46b (b), to wit, whether (1) the sentence
was the product of passion, prejudice or any other
arbitrary factor; (2) the evidence fails to support
the finding of an aggravating circumstance speci-
fied in subsection (h) of § 53a-46a; and (3) the
sentence is excessive or disproportionate to the
penalty imposed in similar cases, considering
both the circumstances of the crime and the char-
acter and record of the defendant.
(b) For the purpose of reviewing the issue of
disproportionality pursuant to General Statutes
§ 53a-46b (b), the briefs of the parties shall con-
tain appendices setting forth the circumstances
of the crimes that are claimed to be similar to that
of which the defendant has been convicted and
the characters and records of the defendants
involved therein so far as these are ascertainable
from the transcripts of those trials and hearings
on the imposition of the death penalty or may be
judicially noticed. Only those capital felony cases
that have been prosecuted in this state after Octo-
ber 1, 1973, and in which hearings on the imposi-
tion of the death penalty have taken place,
whether or not the death penalty has been
imposed, shall be deemed eligible for consider-
ation as ‘‘similar cases,’’ unless the court, on appli-
cation of a party claiming that the resulting pool of
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eligible cases is inadequate for disproportionality
review, shall modify this limitation in a particular
case. Any such application shall identify the addi-
tional case or cases claimed to be similar and set
forth, in addition to the circumstances of the crime
and the character and record of the defendant
involved, the provisions of the applicable statutes
pertaining to the imposition of the death penalty
with citations of pertinent decisions interpreting
such provisions.
Any such application shall be filed within thirty
days after the delivery date of the transcript
ordered by the appellant, or, if no transcript is
required or the transcript has been received by
the appellant prior to the filing of the appeal, such
application shall be filed within thirty days after
filing the appeal.
(P.B. 1978-1997, Sec. 4064E.)
Sec. 67-7. The Amicus Curiae Brief
A brief of an amicus curiae in cases before the
court on the merits may be filed only with the
permission of the court. An application for permis-
sion to appear as amicus curiae and to file a brief
shall be filed within twenty days after the filing of
the brief of the party, if any, whom the applicant
intends to support, and if there is no such party,
then the application shall be filed no later than
twenty days after the filing of the appellee’s brief.
The application shall state concisely the nature
of the applicant’s interest and the reasons why a
brief of an amicus curiae should be allowed. The
length of the brief shall not exceed ten pages
unless a specific request is made for a brief of
more than that length. The application shall con-
form to the requirements set forth in Sections 66-
2 and 66-3. The amicus application should specifi-
cally set forth reasons to justify the filing of a brief
in excess of ten pages. A party in receipt of an
application may, within ten days after the filing of
the application, file an objection concisely stating
the reasons therefor.
All briefs filed under this section shall comply
with the applicable provisions of this chapter and
shall set forth the interest of the amicus curiae.
An amicus curiae may argue orally only when
a specific request for such permission is granted
by the court in which the appeal is pending.
With the exception of briefs filed by the attorney
general as provided by this rule, all briefs shall
indicate whether counsel for a party wrote the
brief in whole or in part and whether such counsel
or a party contributed to the cost of the preparation
or submission of the brief and shall identify those
persons, other than the amicus curiae, its mem-
bers or its counsel, who made such monetary
RULES OF APPELLATE PROCEDURESec. 67-7
contribution. The disclosure shall be made in the
first footnote on the first page of text.
Except for habeas corpus matters based on
criminal convictions, if an appeal in a noncriminal
matter involves an attack on the constitutionality
of a state statute, the attorney general may appear
and file a brief amicus curiae as of right. Any such
appearance by the attorney general shall be filed
no later than the date on which the brief of the
party that the attorney general supports is filed,
and the attorney general’s brief will be due twenty
days after the filing of the brief of the party that
the attorney general supports.
(P.B. 1978-1997, Sec. 4064F.) (Amended June 17, 2008,
to take effect Jan. 1, 2009; amended Sept. 16, 2015, to take
effect Jan. 1, 2016.)
Sec. 67-8. The Appendix; Contents and
Organization
(a) An appendix shall be prepared in accord-
ance with Section 67-2.
(b) The appellant’s appendix shall be divided
into two parts.
(1) Part one of the appellant’s appendix shall
contain: a table of contents giving the title or
nature of each item included; the docket sheets,
a case detail, or court action entries in the pro-
ceedings below; in chronological order, all rele-
vant pleadings, motions, requests, findings, and
opinions or decisions of the trial court or other
decision-making body (see Sections 64-1 and 64-
2); the signed judgment file, if applicable, pre-
pared in the form prescribed by Section 6-2 et
seq.; the appeal form, in accordance with Section
63-3; the docketing statement filed pursuant to
Section 63-4 (a) (3); any relevant appellate
motions or orders that complete or perfect the
record on appeal; and, in appeals to the supreme
court upon grant of certification for review, the
order granting certification and the opinion or
order of the appellate court under review.
A signed judgment file is not required in the
following noncriminal matters: habeas corpus
matters based on criminal convictions; pre- and
postjudgment orders in matters claiming dissolu-
tion of marriage, legal separation or annulment;
prejudgment remedies under chapter 903a of the
General Statutes; and actions of foreclosure of
title to real property.
In administrative appeals, part one of the appel-
lant’s appendix also shall meet the requirements
of Section 67-8A (a). In criminal or habeas
appeals filed by incarcerated self-represented
parties, part one of the appendix shall be prepared
by the appellee. See Section 68-1. In these
appeals, the filing of an appendix by incarcerated
self-represented parties shall be in accordance
with subsection (c) of this rule.
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(2) Part two of the appellant’s appendix may
contain any other portions of the proceedings
below that the appellant deems necessary for the
proper presentation of the issues on appeal. Part
two of the appellant’s appendix may be used to
excerpt lengthy exhibits, or to excerpt quotations
from the transcripts deemed necessary by any
parties pursuant to Section 63-4 (a) (2), or to com-
ply with other provisions of the Practice Book that
require the inclusion of certain materials in the
appendix. To reproduce a full transcript or lengthy
exhibit when an excerpt would suffice is a misuse
of an appendix. Where an opinion is cited that is
not officially published, the text of the opinion shall
be included in part two of the appendix.
(c) The appellee’s appendix should not include
the portions of the proceedings below already
included in the appellant’s appendix. If the appel-
lee determines that part one of the appellant’s
appendix does not contain portions of the pro-
ceedings below, the appellee shall include any
such items that are required to be included pursu-
ant to Section 67-8 (b) (1) in part one of its appen-
dix. Where an appellee cites an opinion that is
not officially published and is not included in the
appellant’s appendix, the text of the opinion shall
be included in part two of the appellee’s appendix.
Part two of the appellee’s appendix may also con-
tain any other portions of the proceedings below
that the appellee deems necessary for the proper
presentation of the issues on appeal.
(d) In appeals where personal identifying infor-
mation is protected by rule, statute, court order or
case law, and in appeals that have been ordered
sealed in part or in their entirety or are subject to
limited disclosure pursuant to Section 77-2, all
briefs and appendices shall be prepared in
accordance with Section 67-1.
(P.B. 1978-1997, Sec. 4064G.) (Amended Jan. 29, 2009,
to take effect March 1, 2009; amended June 5, 2013, to take
effect July 1, 2013; amended Sept. 16, 2015, to take effect
Jan. 1, 2016; amended March 15, 2017, to take effect June
15, 2017; amended July 19, 2017, to take effect Oct. 8, 2017.)
COMMENTARY—July, 2013: The appellate clerk pre-
viously had responsibility for compiling the prepared record.
This rule has been amended to reflect that documents pre-
viously contained in the prepared record should now be
included in part one of the appellant’s appendix. The appellant
should include nothing in part one of the appendix which is
not necessary for the proper presentation of the issues and
was not part of the proceedings below. Generally,the appellate
clerk did not include in the prepared record lengthy memo-
randa of law in support of motions, objections and replies,
and that material should not be contained in part one of the
appendix. In addition, the appellate clerk did not include
lengthy exhibits attached to included complaints or motions
that were not relevant to the issues on appeal. In the past,
the prepared record always contained affidavits attached to
included motions for summary judgment, as well as some
affidavits attached to other motions deemed relevant to the
RULES OF APPELLATE PROCEDURE Sec. 67-11
issues on appeal. No officer’s return or exhibit shall be included
in part one of the appendix unless it is at issue in the appeal.
The appellant must file part one of the appendix in all appeals,
with the exception of criminal and habeas appeals filed by
incarcerated self-represented parties, in which case part one
is filed by the appellee. In all other cases, the appellee is not
required to file part one of the appendix unless the appellee
believes that part one of the appellant’s appendix is incomplete
or inadequate. Part two of the appendix is optional for all
parties.
COMMENTARY—2016: Effective January 1, 2016, the
appellant’s appendix must include a copy of the signed judg-
ment file, prepared in accordance with Sections 6-2 and 6-3.
This requirement replaces the former requirement to file a
draft judgment file pursuant to Section 63-4. It is the appellant’s
responsibility to contact the trial court in order to obtain a copy
of the signed judgment file well in advance of the date for filing
the appendix.
Note that this section was amended twice in 2017.
HISTORY—June, 2017: What is now the second para-
graph of subsection (b) (1) was added, and a paragraph break
was added thereafter.
HISTORY—October, 2017: In the second sentence of sub-
section (b) (2), ‘‘to excerpt’’ was added prior to ‘‘quotations’’
and ‘‘deemed necessary by any parties pursuant to Section
63-4 (a) (2),’’ was added following ‘‘transcripts.’’
Sec. 67-8A. The Appendix in Administrative
Appeals; Exceptions
[Transferred from Section 68-10.]
(a) Except as provided in subsection (c), in
appeals from administrative agencies, part one of
the appellant’s appendix shall include the materi-
als required by Section 67-8, the part of the return
of the administrative agency which identifies the
papers returned to the trial court, and also such
of the papers returned as consist of: (1) the appli-
cation or appeal to the agency; (2) the notice of
hearing and the affidavit of publication, if they are
in issue on the appeal; and (3) any minutes or
decision showing the action taken by the agency,
the reasons assigned for that action, and any find-
ings and conclusions of fact made by the agency.
(b) The appellee’s appendix, if any, shall be
prepared in accordance with the provisions of
Section 67-8 (c).
(c) Subsection (a) shall not apply to the follow-
ing administrative appeals:
(1) Appeals from municipal boards of tax review
filed pursuant to General Statutes §§ 12-117a and
12-119.
(2) Appeals from municipal assessors filed pur-
suant to General Statutes § 12-103.
(3) Appeals from the commissioner of reve-
nue services.
(4) Appeals from the insurance commissioner
filed pursuant to General Statutes § 38a-139.
(5) Any other appeal in which the parties
received a trial de novo in the superior court.
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The appendices in these matters shall be pre-
pared in accordance with the provisions of Section
67-8.
(Adopted June 5, 2013, to take effect July 1, 2013; amended
Sept. 16, 2015, to take effect Jan. 1, 2016.)
Sec. 67-9. Citation of Unreported Decisions
[Repealed only as to appeals filed on or after
July 1, 2013.]
Sec. 67-10. Citation of Supplemental
Authorities after Brief Is Filed
When pertinent and significant authorities come
to the attention of a party after the party’s brief
has been filed, or after oral argument but before
decision, a party may promptly file with the appel-
late clerk a notice listing such supplemental
authorities, including citations, with a copy certi-
fied to all counsel of record in accordance with
Section 62-7. If the authority is an unreported deci-
sion, a copy of the text of the decision must
accompany the filing, which shall concisely and
without argument state the relevance of the sup-
plemental citations and shall include, where appli-
cable, reference to the pertinent page(s) of the
brief. Any response shall be made promptly and
shall be similarly limited.
This section may not be used after oral argu-
ment to elaborate on points made or to address
points not made.
(P.B. 1978-1997, Sec. 4064J.) (Amended July 23, 1998,
to take effect Jan. 1, 1999; amended July 9, 2008, to take
effect Jan. 1, 2009; amended Sept. 16, 2015, to take effect
Jan. 1, 2016.)
Sec. 67-11. Table of Authorities; Citation of
Cases
(a) In the table of authorities, citations to state
cases shall be to the official reporter first, if avail-
able, followed by the regional reporter. Citations to
cases from jurisdictions having no official reporter
shall identify the court rendering the decision.
Citations to opinions of the United States
Supreme Court shall be to the United States
Reports, if therein; otherwise, such citations shall
be to the Supreme Court Reporter, the Lawyer’s
Edition, or United States Law Week, in that order
of preference.
(b) In the argument portion of a brief, citations to
Connecticut cases shall be to the official reporter
only. Citations to other state cases may be to
either the official reporter or the regional reporter.
United States Supreme Court cases should be
cited as they appear in the table of authorities.
(c) If a case is not available in print and is avail-
able on an electronic database, such as LEXIS,
Westlaw, or CaseBase, the case shall be cited to
that database. In the table of authorities, citations
to such cases shall include the case name; docket
RULES OF APPELLATE PROCEDURESec. 67-11
number; name of the database and, if applicable,
numeric identifiers unique to the database; court
name; and full date of the disposition of the case.
Screen, page or paragraph numbers shall be pre-
ceded by an asterisk. In the argument portion of
a brief, such cases shall be cited only by name
and database. If such a case is published in a
print reporter after the filing of the party’s brief,
but prior to the case on appeal being orally argued
or submitted for decision on the record and briefs,
the party who cited the unreported case shall, by
letter, inform the chief clerk of the print citation of
that case.
(Adopted July 21, 1999, to take effect Jan. 1, 2000.)
Sec. 67-12. Stay of Briefing Obligations
upon Filing of Certain Motions after Appeal
Is Filed
(Amended Sept. 16, 2015, to take effect Jan. 1, 2016.)
As provided in Section 63-1, if, after an appeal
has been filed but before the appeal period has
expired, a motion is filed that would render the
judgment, decision or acceptance of the verdict
ineffective, any party may move to stay the brief-
ing obligations of the parties. The appellate clerk
may grant such motions for up to sixty days. Any
further request for stay must be made by motion
to the appellate court having jurisdiction prior to
the expiration of the stay granted by the appellate
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clerk. Such request must describe the status of
the motion in the trial court and must demonstrate
that a resolution of the motion is being actively
pursued. After all such motions have been
decided by the trial court, the appellant shall,
within ten days of notice of the ruling on the last
such outstanding motion, file a notice with the
appellate clerk that such motions have been
decided, together with a copy of the decisions on
any such motions. The filing of such notice shall
reinstate the appellate obligations of the parties,
and the date of notice of the ruling on the last
outstanding motion shall be treated as the date
of the filing of the appeal for the purpose of briefing
pursuant to Section 67-3.
(Adopted July 21, 1999, to take effect Jan. 1, 2000;
amended Sept. 16, 2015, to take effect Jan. 1, 2016.)
Sec. 67-13. Briefs in Family and Juvenile
Matters and Other Matters involving Minor
Children
In family and juvenile matters and other matters
involving minor children, counsel for the minor
child and/or counsel for the guardian ad litem
shall, within ten days of the filing of the appellee’s
brief, file either: (1) a brief, (2) a statement adopt-
ing the brief of either the appellant or an appellee,
or (3) a detailed statement that the factual or legal
issues on appeal do not implicate the child’s
interests.
(Adopted Nov. 4, 2004, to take effect Jan. 1, 2005.)
RULES OF APPELLATE PROCEDURE Sec. 68-1
CHAPTER 68
CASE FILE
(Amended June 5, 2013, to take effect July 1, 2013.)
Sec. Sec.
68-1. Responsibilities of Clerk of the Trial Court regard-
ing Copying Case File and Additions to Case
File Made after Appeal Is Filed; Exhibits and
Lodged Records
68-2. Record Preparation
[Repealed only as to appeals filed on or after July
1, 2013.]
68-3. Record Contents
[Repealed only as to appeals filed on or after July
1, 2013.]
68-4. Record Format
[Repealed only as to appeals filed on or after July
1, 2013.]
68-5. Record where More than One Appeal
[Repealed only as to appeals filed on or after July
1, 2013.]
68-6. Record where Several Cases Present Same
Question
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
Trial Court regarding Copying Case File and
Additions to Case File Made after Appeal Is
Filed; Exhibits and Lodged Records
(Amended Sept. 16, 2015, to take effect Jan. 1, 2016.)
(a) With the exception of those appeals in which
the contents of the case file consist solely of
papers filed by electronic means, the clerk of the
trial court shall, within ten days of the filing of the
appeal, prepare and forward to the appellate clerk
one complete copy of the case file, including the
case detail page for noncriminal cases and all
written requests to charge. No omissions may be
made from the case file except upon the authori-
zation of the appellate clerk. The appellate clerk
may direct the clerk of the trial court to prepare
and to forward a case file in any other instance
in which it is needed. The clerk of the trial court
shall forward to the appellate clerk one copy of
all additions made to the case file after the initial
preparation and transmittal of the case file.
(b) (1) In criminal appeals filed by incarcerated
self-represented parties, the clerk of the trial court
shall forward to the office of the chief state’s attor-
ney one complete copy of the case file and all
written requests to charge for use in preparing
part one of the appendix pursuant to Section 67-
8 (b).
(2) In habeas appeals filed by incarcerated self-
represented parties, the clerk of the trial court
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[Repealed only as to appeals filed on or after July
1, 2013.]
68-7. Record Filing
[Repealed only as to appeals filed on or after July
1, 2013.]
68-8. Supplements
[Repealed only as to appeals filed on or after July
1, 2013.]
68-9. Evidence Not to Be Included in Record
[Repealed only as to appeals filed on or after July
1, 2013.]
68-10. Record in Administrative Appeals; Exceptions
[Repealed only as to appeals filed on or after July
1, 2013.]
(Transferred as of July 1, 2013, to Section 67-8A.)
68-11. Decision to Be Part of Record
[Repealed only as to appeals filed on or after July
1, 2013.]
shall forward to either the office of the chief state’s
attorney or the office of the attorney general one
complete copy of the case file, including the case
detail page and all written requests to charge for
use in preparing part one of the appendix pursuant
to Section 67-8 (b).
(3) In criminal and habeas appeals filed by
incarcerated self-represented parties, the office
of the chief state’s attorney or the office of the
attorney general and the clerk of the trial court
may agree that the copy of the case file be pro-
vided by electronic means.
(c) Each document of the case file must be
numbered, and the file must include a table of
contents listing each item entered in the file
according to its number.
(d) In an appeal from an administrative agency,
the papers returned by the agency to the trial
court, even though annexed to and incorporated
by reference in the answer, shall accompany the
copies of the file but need not be included in the
copies of the file.
(e) All exhibits in the trial court are deemed
exhibits on appeal and are deemed in the custody
of the appellate clerk while the appeal is pending.
The appellate clerk shall notify the clerk of the
trial court of the exhibits required by the court in
which the appeal is pending. Within ten days of
RULES OF APPELLATE PROCEDURESec. 68-1
such notice, the clerk of the trial court shall trans-
mit those exhibits to the appellate clerk accompa-
nied by a list of all exhibits in the case. The clerk
of the trial court shall notify all counsel of record
of the transmittal and provide them with a copy
of the exhibit list. The provisions of this paragraph
shall apply to records lodged pursuant to Section
7-4C.
(P.B. 1978-1997, Sec. 4084.) (Amended July 24, 2002, to
take effect Oct. 1, 2002; amended Oct. 15, 2003, to take effect
Jan. 1, 2004; amended July 30, 2009, to take effect Jan. 1,
2010; amended Jan. 31, 2013, to take effect March 1, 2013;
amended June 5, 2013, to take effect July 1, 2013; amended
Sept. 16, 2015, to take effect Jan. 1, 2016.)
COMMENTARY—July, 2013: Subsection (b) was added in
July, 2013. The purpose of this amendment is to ensure that
in criminal appeals and habeas appeals filed by incarcerated
self-represented parties, either the office of the chief state’s
attorney or the office of the attorney general, as the case may
be, will receive a copy of the case file from the clerk of the
trial court for purposes of preparing part one of the appendix
pursuant to Section 67-8 (b).
Sec. 68-2. Record Preparation
[Repealed only as to appeals filed on or after
July 1, 2013.]
Sec. 68-3. Record Contents
[Repealed only as to appeals filed on or after
July 1, 2013.]
Sec. 68-4. Record Format
[Repealed only as to appeals filed on or after
July 1, 2013.]
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Sec. 68-5. Record where More than One
Appeal
[Repealed only as to appeals filed on or after
July 1, 2013.]
Sec. 68-6. Record where Several Cases Pre-
sent Same Question
[Repealed only as to appeals filed on or after
July 1, 2013.]
Sec. 68-7. Record Filing
[Repealed only as to appeals filed on or after
July 1, 2013.]
Sec. 68-8. Supplements
[Repealed only as to appeals filed on or after
July 1, 2013.]
Sec. 68-9. Evidence Not to Be Included in
Record
[Repealed only as to appeals filed on or after
July 1, 2013.]
Sec. 68-10. Record in Administrative
Appeals; Exceptions
[Repealed only as to appeals filed on or after
July 1, 2013.]
[Transferred as of July 1, 2013, to Section 67-8A.]
Sec. 68-11. Decision to Be Part of Record
[Repealed only as to appeals filed on or after
July 1, 2013.]
RULES OF APPELLATE PROCEDURE Sec. 69-3
CHAPTER 69
ASSIGNMENT OF CASES FOR ARGUMENT
Sec. Sec.
69-1. Docket
For previous Histories and Commentaries see the editions of the Practice Book
corresponding to the years of the previous amendments.
Sec. 69-1. Docket
The appellate clerk shall periodically prepare a
docket of all pending cases which are not on a
current assignment list and which appear to be
ready for assignment under Section 69-2 or have
been ordered to be heard by the court. The appel-
late clerk shall post the docket on the judicial
branch website. The electronic posting on the judi-
cial branch website shall be official notice of the
docket. Counsel of record who have received an
exemption from the electronic filing requirements
pursuant to Section 60-8 shall receive paper
notice of the inclusion of the case on the docket.
(P.B. 1978-1997, Sec. 4100.) (Amended Sept. 16, 2015,
to take effect Jan. 1, 2016; amended June 15, 2016, to take
effect Sept. 30, 2016; amended Oct. 18, 2016, to take effect
Nov. 30, 2016.)
Sec. 69-2. Cases Ready for Assignment
Cases will be considered ready for assignment
when the briefs and appendices of all parties,
including reply briefs, have been filed or the time
for filing reply briefs has expired. Any case ready
for assignment may be assigned pursuant to Sec-
tion 69-3. After notice to counsel of record of a
date and time to be heard, the chief justice, the
chief judge, or a designee may order the assign-
ment of any appeal, notwithstanding the fact that
the case on appeal does not appear on the docket.
If an assigned case is settled or withdrawn for
any reason, counsel for the appellant shall notify
the appellate clerk immediately.
(P.B. 1978-1997, Sec. 4101.) (Amended July 23, 1998, to
take effect Jan. 1, 1999; amended June 5, 2013, to take effect
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69-2. Cases Ready for Assignment
69-3. Time for Assignments; Order of Assignment
July 1, 2013; amended Sept. 16, 2015, to take effect Jan. 1,
2016; amended June 15, 2016, to take effect Sept. 30, 2016;
amended Oct. 18, 2016, to take effect Jan. 1, 2017.)
Sec. 69-3. Time for Assignments; Order of
Assignment
Assignments of cases ordinarily will be made
in the order in which the cases become ready for
assignment pursuant to Section 69-2. Requests
for variations from this order, stating the reason
therefor, shall be made by filing an assignment
form (JD-AC-14 or JD-SC-37) in the time frame
specified on the docket with certification pursuant
to Section 62-7.
An attorney making such a request shall also
indicate that a copy of the request has been deliv-
ered to each of his or her clients who are parties
to the appeal.
Assignments for oral argument in the supreme
court and appellate court shall take precedence
over all other judicial branch assignments.
The appellate clerk will post the assignment of
cases on the judicial branch website. The elec-
tronic posting on the judicial branch website shall
be official notice of the assignment. Counsel of
record who have received an exemption from the
electronic filing requirements pursuant to Section
60-8 shall receive paper notice of the assignment
of the case.
(P.B. 1978-1997, Sec. 4104.) (Amended Jan. 29, 2009, to
take effect March 1, 2009; amended Sept. 16, 2015, to take
effect Jan. 1, 2016; amended Sept. 16, 2015, to take effect
Jan. 1, 2016; amended June 15, 2016, to take effect Sept. 30,
2016; amended Oct. 18, 2016, to take effect Nov. 30, 2016.)
RULES OF APPELLATE PROCEDURESec. 70-1
CHAPTER 70
ARGUMENTS AND MEDIA COVERAGE OF COURT PROCEEDINGS
Sec. Sec.
70-1. Oral Argument; Videoconferencing of Oral Argu-
ment in Certain Cases
70-2. Submission without Oral Argument on Request
of Parties
70-3. Order of Oral Argument; Nonappearance at Oral
Argument
70-4. Time Allowed for Oral Argument; Who May Argue
70-5. Points to Be Argued
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-
ing of Oral Argument in Certain Cases
(Amended May 19, 2011, to take effect Jan. 1, 2012.)
(a) Oral argument will be allowed as of right in
all appeals except as provided in subsection (b)
of this rule.
(b) In civil cases where: (1) the dispositive issue
or set of issues has been recently authoritatively
decided; or (2) the facts and legal arguments are
adequately presented in the briefs and the deci-
sional process would not be significantly aided by
oral argument, notice will be sent to counsel of
record that the case will be decided on the briefs
and record only. This notice will be issued after
all briefs and appendices have been filed. Any
party may file a request for argument stating
briefly the reasons why oral argument is appro-
priate and shall do so within seven days of the
issuance of the court’s notice. After receipt and
consideration of such a request, the court will
either assign the case for oral argument or assign
the case for disposition without oral argument, as
it deems appropriate.
(c) In matters involving incarcerated self-repre-
sented parties, oral argument may be conducted
by videoconference upon direction of the court in
its discretion.
(P.B. 1978-1997, Sec. 4106.) (Amended May 19, 2011, to
take effect Jan. 1, 2012; amended June 5, 2013, to take effect
July 1, 2013; amended Sept. 16, 2015, to take effect Jan. 1,
2016; amended June 15, 2016, to take effect Sept. 30, 2016.)
HISTORY—September, 2016: Prior to September, 2016,
subsection (c) read: ‘‘In matters involving parties who are self-
represented and incarcerated, oral argument may be con-
ducted by videoconference upon direction of the court in its dis-
cretion.’’
Sec. 70-2. Submission without Oral Argu-
ment on Request of Parties
(Amended May 19, 2011, to take effect Jan. 1, 2012.)
Counsel of record may, before or after a case
has been assigned for a hearing, file a request to
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70-6. Reconsideration when Court Evenly Divided
70-7. Appellate Court Consideration En Banc and Rear-
gument En Banc
70-8. Special Sessions
70-9. Coverage of Court Proceedings by Cameras and
Electronic Media
70-10. Cameras and Electronic Media; Coverage of
Supreme and Appellate Court Proceedings by
News Media [Repealed]
submit the case for decision on the briefs and
record only, without oral argument. No request for
submission without oral argument will be granted
unless the requesting party certifies that all other
parties agree to waive oral argument. This rule
applies only to counsel of record who have filed
a brief or joined in the brief of another party.
(P.B. 1978-1997, Sec. 4102.) (Amended May 19, 2011, to
take effect Jan. 1, 2012; amended Sept. 16, 2015, to take
effect Jan. 1, 2016.)
Sec. 70-3. Order of Oral Argument; Nonap-
pearance at Oral Argument
(Amended Oct. 18, 2017, to take effect Jan. 1, 2018.)
(a) Counsel of record for the appellant or plaintiff
in error will be entitled to open and close oral
argument. On a reservation, the plaintiff will open
and close, unless the court otherwise directs,
except in suits for the construction of wills or of
interpleader, when the court will fix the order of
oral argument. If there are cross appeals, the
original appellant will open and the cross appellant
will close unless the court otherwise orders for
cause shown. If there are consolidated appeals,
the parties in the appeal filed first will argue first
unless the court otherwise orders.
(b) If either party fails to appear at oral argu-
ment, the court may decide the case on the basis
of the briefs, the record, and the oral argument
of the appearing party. If neither party appears
at oral argument, the court may decide the case
on the basis of the briefs and record only, without
oral argument. The court may impose sanctions
on a nonappearing party in accordance with Sec-
tion 85-3, including dismissal of the case.
(P.B. 1978-1997, Sec. 4107.) (Amended Oct. 18, 2016, to
take effect Jan. 1, 2017; amended Oct. 18, 2017, to take effect
Jan. 1, 2018.)
HISTORY—2018: Prior to 2018, this section was titled:
‘‘Order of Argument.’’
RULES OF APPELLATE PROCEDURE Sec. 70-9
Prior to 2018, this section read: ‘‘Counsel of record for the
appellant or plaintiff in error will be entitled to open and close
the argument. On a reservation, the plaintiff will open and
close, unless the court otherwise directs, except in suits for
the construction of wills or of interpleader, when the court will
fix the order of argument. If thereare cross appeals, the original
appellant will open and close unless the court otherwise orders
for cause shown. If there are consolidated appeals, the parties
in the appeal filed first in the trial court will argue first unless
the court otherwise orders.’’
Sec. 70-4. Time Allowed for Oral Argument;
Who May Argue
Unless the court grants a request for additional
time made before oral argument begins, argument
of any case shall not exceed one-half hour on
each side. The time allowed may be apportioned
among counsel on the same side of a case as
they may choose. The court may terminate the
argument whenever in its judgment further argu-
ment is unnecessary.
Prior to the date assigned for hearing, counsel
of record may file a request with the appellate
clerk to allow more than one counsel to present
oral argument for one party to the appeal.
No argument shall be allowed any party who
has not filed a brief or who has not joined in the
brief of another party.
(P.B. 1978-1997, Sec. 4108.) (Amended Sept. 16, 2015,
to take effect Jan. 1, 2016; amended Oct. 18, 2016, to take
effect Jan. 1, 2017.)
Sec. 70-5. Points to Be Argued
(a) Oral argument should clarify and focus argu-
ments in the written briefs. The court discourages
oral argument read from a prepared text and
lengthy quotations from legal precedents, the
transcript, or the record.
(b) Counsel of record should assume that the
court has read the briefs in advance of oral argu-
ment. No points made in briefs will be considered
waived because not argued orally. Rebuttal argu-
ment shall be confined to the points presented by
the argument of opposing counsel of record.
(P.B. 1978-1997, Sec. 4109.) (Amended Oct. 18, 2016, to
take effect Jan. 1, 2017.)
Sec. 70-6. Reconsideration when Court
Evenly Divided
When the court is evenly divided as to the result,
the court shall reconsider the case, with or without
oral argument, with an odd number of justices
or judges.
(P.B. 1978-1997, Sec. 4111.)
Sec. 70-7. Appellate Court Consideration En
Banc and Reargument En Banc
(Amended July 21, 1999, to take effect Jan. 1, 2000;
amended June 2, 2010, to take effect Jan. 1, 2011.)
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(a) Before a case is assigned for oral argument,
the chief judge may order, on the motion of a party
or sua sponte, that a case be heard en banc.
(b) After argument but before decision, the
entire court may order that the case be considered
en banc with or without further oral argument or
with or without supplemental briefs. The judges
who did not hear oral argument shall have avail-
able to them the electronic recording or a tran-
script of the oral argument before participating in
the decision.
(c) After decision, the entire court may order,
on the motion of a party pursuant to Section 71-5
or sua sponte, that reargument be heard en banc.
(P.B. 1978-1997, Sec. 4112.) (Amended July 21, 1999, to
take effect Jan. 1, 2000; amended June 2, 2010, to take effect
Jan. 1, 2011.)
Sec. 70-8. Special Sessions
The supreme court will be deemed in special
session whenever the justices meet for consulta-
tion; but the presence of the clerk or a judicial
marshal will not be required, unless specially
directed.
(P.B. 1978-1997, Sec. 4115.) (Amended Oct. 10, 2001, to
take effect Jan. 1, 2002.)
Sec. 70-9. Coverage of Court Proceedings
by Cameras and Electronic Media
(Amended April 11, 2007, to take effect June 1, 2007.)
(a) Except for those matters enumerated in sub-
section (c) of this rule, all judicial courtroom pro-
ceedings in the supreme and appellate courts are
presumed to be subject to coverage by cameras
and electronic media.
(b) (1) All such proceedings may be broadcast,
televised, videotaped, audio recorded or photo-
graphed unless: (A) the panel of jurists grants a
motion by a party or a victim in a case requesting
the limitation or preclusion of such coverage, or
(B) the panel of jurists, on its own motion, limits
or precludes such coverage. The right to permit
or to exclude coverage, whether partially or totally,
at any time in the interests of the administration
of justice shall remain with the panel of jurists.
(2) Any party or victim who desires to file a
motion to limit or preclude coverage shall do so
not later than one week before the start of the term
for which the case is subject to being assigned,
as indicated on a docket pursuant to Section 69-
1. The party or victim shall deliver a copy of such
motion to each counsel of record and to any other
victim in the case. The party or victim shall give
notice to any such victim by notifying the state’s
attorney in a criminal case, the attorney or guard-
ian ad litem for a minor child in cases involving a
minor victim or child represented by an attorney
or guardian ad litem, and to any other victim or
RULES OF APPELLATE PROCEDURESec. 70-9
child by notifying the office of the victim advocate.
Endorsed on the motion shall be certification of
such delivery. The appellate clerk shall refer any
such motion to the panel of jurists for review as
soon as the panel is determined. The panel of
jurists may consider a late motion to limit or pre-
clude coverage. Prior to acting on such motion,
the panel of jurists shall provide any media outlet
expected to cover the proceeding an opportunity
to respond in writing to the motion.
(3) In acting on such motion or on its own
motion, the panel of jurists will apply the presump-
tion that all judicial courtroom proceedings in the
supreme and appellate courts are subject to cov-
erage by cameras and electronic media. In addi-
tion, it will be guided by the principles that such
coverage should be limited only if there is good
cause to do so, there are no reasonable alterna-
tives to such limitations, and the limitation is no
broader than necessary to protect the competing
interests at issue.
(4) In acting on such motion or its own motion,
the panel of jurists will conclude that the presump-
tion in favor of coverage by cameras and elec-
tronic media has been overcome only if it is
satisfied that good cause exists for a limitation
or preclusion on coverage. If the panel of jurists
orders a limitation or preclusion on coverage, it
will provide a statement of its reasons. A state-
ment may be written or stated on the record in
open court.
(c) (1) The presumption in favor of coverage
shall not apply to cases involving: (A) sexual
assault; (B) risk of injury to, or impairing the morals
of, a child; (C) abuse or neglect of a child; (D)
termination of parental rights; and (E) contested
questions of child custody or visitation.
(2) In cases to which the presumption in favor of
coverage does not apply, any person may request
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such coverage by filing a motion not later than
one week before the start of the term for which
the case is subject to being assigned, as indicated
on the docket pursuant to Section 69-1. The appli-
cant shall deliver a copy of such written request
to each counsel of record and to any victim or
child in the case. The applicant shall give notice
to any such victim by notifying the state’s attorney
in a criminal case, the attorney or guardian ad
litem for a minor child in cases involving a minor
victim or child represented by an attorney or
guardian ad litem, and to any other victim or child
by notifying the office of the victim advocate.
Endorsed on the motion shall be a certification of
such delivery. The appellate clerk shall refer any
such motion to the panel of jurists for review as
soon as the panel is determined. The panel of
jurists may consider a late motion requesting cov-
erage. Prior to acting on such motion, the panel
of jurists shall provide the parties, any such minor
children and any victims of the offense an opportu-
nity to respond in writing to the motion. The panel
of jurists shall grant the motion only if it is satisfied
that the need for such coverage outweighs the
privacy interests involved in the case.
(d) The supreme and appellate courts shall
establish appropriate protocols governing the
number, location and use of all forms of coverage
consistent with these rules.
(e) As used in this rule, ‘‘panel of jurists’’ means
the justices or judges assigned to hear a particu-
lar case.
(P.B. 1978-1997, Sec. 4116A.) (Amended Feb. 19, 2003,
to take effect Jan. 1, 2004; amended April 11, 2007, to take
effect June 1, 2007; amended Sept. 16, 2015, to take effect
Jan. 1, 2016.)
Sec. 70-10. Cameras and Electronic Media;
Coverage of Supreme and Appellate Court
Proceedings by News Media
[Repealed as of June 1, 2007.]
RULES OF APPELLATE PROCEDURE Sec. 71-4
CHAPTER 71
APPELLATE JUDGMENTS AND OPINIONS
Sec. Sec.
71-1. Appellate Judgment Files
71-2. Costs Included in Judgments
71-3. Motion to Reconsider Costs
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
Judgments of the court may be embodied in
judgment files, to be drawn upon request and
signed by the appellate clerk. Unless the court
otherwise directs, a judgment shall be deemed to
have been rendered on the date an opinion or
memorandum decision appears in the Connecti-
cut Law Journal; except that if an opinion or deci-
sion is issued by slip opinion or by oral
announcement from the bench, the judgment shall
be deemed to have been rendered on the date
that appears as the officially released date in the
slip opinion or the date that the oral announce-
ment is made. In the case of an order on, for
example, a motion or petition, the order shall be
deemed to have been made on the date that the
appellate clerk issues notice of the order to the
clerk of the trial court and to all counsel of record.
Judgments or orders shall be entered as of the
appropriate date.
(P.B. 1978-1997, Sec. 4117.) (Amended Jan. 29, 2009, to
take effect March 1, 2009; amended June 2, 2010, to take
effect Jan. 1, 2011.)
Sec. 71-2. Costs Included in Judgments
Except as otherwise provided herein, in all
appeals or writs of error which go to judgment in
the supreme or appellate court including an order
for a new trial, costs shall be taxed to the prevailing
party by the appellate clerk, in the absence of
special order to the contrary by the court. On all
reservations the mandate which follows the opin-
ion of the court will specify what costs shall be
taxed. A bill of costs shall be filed with the appel-
late clerk no more than thirty days after the notice
of the appellate decision, or, of the denial of a
motion for reconsideration, or, of the denial of a
petition for certification by the supreme court of
this state, whichever is latest.
(P.B. 1978-1997, Sec. 4118.) (Amended July 21, 1999, to
take effect Jan. 1, 2000.)
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71-6. Stay of Proceedings
71-7. Stays of Execution Pending Decision by United
States Supreme Court
Sec. 71-3. Motion to Reconsider Costs
Any party may within ten days after the issuance
of the decision on the taxation of costs file a written
motion, in accordance with the provisions of Sec-
tions 66-2 and 66-3, that the court review the
clerk’s taxation of costs under its judgment. Any
such motion must be submitted without oral
argument.
(P.B. 1978-1997, Sec. 4119.)
Sec. 71-4. Opinions; Rescripts; Official
Release Date
(Amended Jan. 29, 2009, to take effect March 1, 2009;
amended Oct. 18, 2017, to take effect Jan. 1, 2018.)
(a) After the court releases an opinion in any
case other than a case involving a question certi-
fied from a federal court, the reporter of judicial
decisions shall send a copy of the opinion and
the rescript to the clerk of the trial court and shall
send the rescript to the appellate clerk. Notice of
the decision of the court shall be deemed to have
been given, for all purposes, on the official release
date that appears in the court’s opinion or memo-
randum decision.
(b) The opinions of the court in the bound vol-
umes of the Connecticut Reports and the Con-
necticut Appellate Reports are the official
opinions. The appellate clerk is authorized to fur-
nish official copies of those opinions and, until the
bound volumes are published, of the opinions as
they appear in the Connecticut Law Journal.
(P.B. 1978-1997, Sec. 4120.) (Amended Jan. 29, 2009, to
take effect March 1, 2009; amended June 2, 2010, to take
effect Jan. 1, 2011; amended Oct. 18, 2017, to take effect
Jan. 1, 2018.)
HISTORY—2018: Prior to 2018, this section was titled:
‘‘Opinions; Rescripts; Notice; Official Release Date.’’
Prior to 2018, subsection (a) read: ‘‘After the court hands
down an opinion in any case other than a case involving a
question certified from a federal court, the reporter of judicial
decisions shall send a copy of the opinion and the original
rescript to the clerk of the trial court and shall send a copy of
the rescript to the appellate clerk. Notice of the decision of
RULES OF APPELLATE PROCEDURESec. 71-4
the court shall be deemed to have been given, for all purposes,
on the official release date that appears in the court’s opinion.’’
In 2018, what had been subsection (b) was deleted. Prior
to 2018, subsection (b) read: ‘‘Notices of decisions upon
motions and of orders of the court shall be given by the appel-
late clerk to the clerk of the trial court and to all counsel
of record.’’
In 2018, what had been subsection (c) was deleted. Prior
to 2018, subsection (c) read: ‘‘The official release date of
an opinion or memorandum decision appears in the court’s
opinion or memorandum decision. In the case of an order on,
for example, a motion or petition, the official release date is
the date that the appellate clerk issues notice of an order to
the clerk of the trial court and to all counsel of record.’’
Finally, what had been subsection (d) is now designated
subsection (b).
Sec. 71-5. Motions for Reconsideration;
Motions for Reconsideration En Banc
(Amended July 21, 1999, to take effect Jan. 1, 2000.)
A motion for reconsideration will not be enter-
tained unless filed with the appellate clerk within
ten days from the date when the decision or any
order being challenged is officially released. Any
required fees shall be paid in accordance with the
provisions of Sections 60-7 or 60-8.
The motion for reconsideration shall state
briefly the grounds for requesting reconsideration.
A party may also request reconsideration en
banc by placing ‘‘en banc’’ in the caption of the
motion and requesting such relief as an alternative
to reconsideration by the panel.
Whenever reconsideration en banc is sought,
the motion shall state briefly why reconsideration
en banc is necessary (for example, to secure or
maintain uniformity of decision or because of the
importance of the decision) and shall also state
the names of the decisions, if any, with which the
decision conflicts. A motion for reconsideration
shall be treated as a motion for reconsideration
en banc when any member of the court which
decided the matter will not be available, within a
reasonable time, to act on the motion for reconsid-
eration.
(P.B. 1978-1997, Sec. 4121.) (Amended July 21, 1999, to
take effect Jan. 1, 2000; amended Sept. 16, 2015, to take
effect Jan. 1, 2016.)
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Sec. 71-6. Stay of Proceedings
(Amended July 21, 1999, to take effect Jan. 1, 2000.)
Unless the chief justice or chief judge shall
otherwise direct, any stay of proceedings which
was in effect during the pendency of the appeal
shall continue until the time for filing a motion for
reconsideration has expired, and, if a motion is
filed, until twenty days after its disposition, and,
if it is granted, until the appeal is finally deter-
mined. If no stay of proceedings was in effect
during the pendency of the appeal and the deci-
sion of the court having appellate jurisdiction
would change the position of any party from its
position during the pendency of the appeal, all
proceedings to enforce or carry out the decision
of the court having appellate jurisdiction shall be
stayed until the time for filing a motion for recon-
sideration has expired, and, if a motion is filed,
until twenty days after its disposition, and, if it is
granted, until the appeal is finally determined.
(See also Section 61-11.)
(P.B. 1978-1997, Sec. 4123.) (Amended July 21, 1999, to
take effect Jan. 1, 2000.)
Sec. 71-7. Stays of Execution Pending Deci-
sion by United States Supreme Court
When a case has gone to judgment in the state
supreme court and a party to the action wishes
to obtain a stay of execution pending a decision
in the case by the United States supreme court,
that party shall, within twenty days of the judg-
ment, file a motion for stay with the appellate clerk
directed to the state supreme court. The filing of
the motion shall operate as a stay pending the
state supreme court’s decision thereon.
When the state supreme court has denied a
petition for certification from the appellate court,
any stay in existence at the time of such denial
shall remain in effect for twenty days. Any party
to the action wishing to extend such stay of execu-
tion or to otherwise obtain a stay of execution
pending a decision in the case by the United
States supreme court shall file a motion for stay
with the appellate clerk directed to the appellate
court. The filing of the motion shall operate as a
stay pending the appellate court’s decision
thereon.
(P.B. 1978-1997, Sec. 4050.) (Amended July 21, 1999, to
take effect Jan. 1, 2000; amended Sept. 16, 2015, to take
effect Jan. 1, 2016.)
RULES OF APPELLATE PROCEDURE Sec. 72-3
CHAPTER 72
WRITS OF ERROR
Sec. Sec.
72-1. Writs of Error; In General
72-2. Form
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
(a) Writs of error for errors in matters of law
only may be brought from a final judgment of the
superior court to the supreme court in the following
cases: (1) a decision binding on an aggrieved
nonparty; (2) a summary decision of criminal con-
tempt; (3) a denial of transfer of a small claims
action to the regular docket; and (4) as otherwise
necessary or appropriate in aid of its jurisdiction
and agreeable to the usages and principles of law.
(b) No writ of error may be brought in any civil
or criminal proceeding for the correction of any
error where (1) the error might have been
reviewed by process of appeal, or by way of certifi-
cation, or (2) the parties, by failure timely to seek
a transfer or otherwise, have consented to have
the case determined by a court or tribunal from
whose judgment there is no right of appeal or
opportunity for certification.
(P.B. 1978-1997, Sec. 4143A.) (Amended Nov. 19, 2003,
to take effect Jan. 1, 2004.)
Sec. 72-2. Form
The writ of error shall contain in numbered para-
graphs the facts upon which the plaintiff in error
relies and a statement of the relief claimed.
(P.B. 1978-1997, Sec. 4143A.) (Amended June 2, 2010,
to take effect Jan. 1, 2011; amended Sept. 16, 2015, to take
effect Jan. 1, 2016; amended July 19, 2017, to take effect
Oct. 8, 2017.)
HISTORY—October, 2017: In October, 2017, ‘‘of error’’
was added following ‘‘writ.’’
Sec. 72-3. Applicable Procedure
(a) The writ of error, if in proper form, shall be
allowed and signed by a judge or clerk of the court
in which the judgment or decree was rendered.
The writ of error shall be presented for signature
within twenty days of the date notice of the judg-
ment or decision complained of is given but shall
be signed by the judge or clerk even if not pre-
sented in a timely manner. Failure without cause
to present the writ of error in a timely manner may
be a ground for dismissal of the writ of error by
the supreme court.
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72-3. Applicable Procedure
72-4. Applicability of Rules
(b) The writ of error shall be served and returned
as other civil process, except that the writ of error
shall be served at least ten days before the return
day and shall be returned to the appellate clerk
at least one day before the return day. The return
days of the supreme court are any Tuesday not
less than twelve nor more than thirty days after
the writ of error is signed by a judge or clerk of
the court.
(c) The writ of error shall be deemed filed the
day it is properly returned to the appellate clerk.
The plaintiff in error shall return the writ of error
to the appellate clerk by (1) complying with Sec-
tions 60-7 or 60-8 by paying the required fee,
submitting a signed application for waiver of fees
and the order of the trial court granting the fee
waiver, or certifying that no fees are required;
(2) submitting the matter in accordance with the
provisions of Section 63-3; and (3) submitting the
allowed and signed writ of error and the signed
marshal’s return to the appellate clerk.
(d) An electronically filed writ of error will be
docketed upon the submission of the matter in
accordance with Section 63-3 but will be rejected
upon review by the appellate clerk if the plaintiff
in error fails to comply with Section 60-7 or to
submit an allowed and signed writ of error and
the signed marshal’s return on the same business
day the matter is submitted in accordance with
the provisions of Section 63-3. The writ of error
may also be returned upon review by the appellate
clerk for noncompliance with the rules of appellate
procedure. The appellate clerk shall forthwith give
notice to all parties of the filing of the writ of error.
(e) If the writ of error is brought against a judge
of the superior court to contest a summary deci-
sion of criminal contempt by that judge, the
defendant in error shall be the superior court. In
all other writs of error, the writ of error shall bear
the caption of the underlying action in which the
judgment or decision was rendered. All parties to
the underlying action shall be served in accord-
ance with chapter 8 of these rules.
RULES OF APPELLATE PROCEDURESec. 72-3
(f) Within twenty days after filing the writ of
error, the plaintiff in error shall file with the appel-
late clerk such documents as are necessary to
present the claims of error made in the writ of
error, including pertinent pleadings, memoranda
of decision and judgment file, accompanied by a
certification that a copy thereof has been served
on each counsel of record in accordance with
Section 62-7.
(g) In the event a transcript is necessary, the
plaintiff in error shall follow the procedure set forth
in Sections 63-8 and 63-8A.
(h) Within ten days of the filing by the plaintiff
in error of the documents referred to in subsec-
tions (f) and (g) of this rule, the defendant in error
may file such additional documents as are neces-
sary to defend the action, accompanied by a certi-
fication that a copy thereof has been served on
each counsel of record in accordance with Section
62-7.
(i) Answers or other pleas shall not be filed in
response to any writ of error.
(P.B. 1978-1997, Sec. 4144.) (Amended Nov. 19, 2003, to
take effect Jan. 1, 2004; amended June 2, 2010, to take effect
Jan. 1, 2011; amended June 5, 2013, to take effect July 1,
2013; amended Sept. 16, 2015, to take effect Jan. 1, 2016;
amended June 15, 2016, to take effect Sept. 30, 2016;
amended July 19, 2017, to take effect Oct. 8, 2017.)
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HISTORY—October, 2017: In subsection (a), ‘‘of error’’
was added following each instance of ‘‘writ.’’
Prior to amendment, subsection (b) read: ‘‘The writ shall
be served and returned as other civil process, except that the
writ shall be served at least ten days before the return day.
The return days of the supreme court are any Tuesday not
less than twelve nor more than thirty days after the writ is
signed. At least one day before the return day, the plaintiff in
error shall (1) pay all required fees as set forth in Sections 60-
7 or 60-8; (2) file the matter in accordance with the provisions
of Section 63-3; and (3) file the return with the appellate clerk.’’
In addition, what is now subsection (c) was added to this
section and what had been subsections (c) through (h) were
designated subsections (d) through (i), respectively.
Prior to amendment, what is now subsection (d) read: ‘‘The
writ shall be docketed upon filing in accordance with Section
63-3 and payment of all required fees, but the writ may be
returned upon review by the appellate clerk if the plaintiff in
error fails to file the return with the appellate clerk, or for
noncompliance with the rules of appellate procedure. The
appellate clerk shall forthwith give notice to all parties of the
filing of the writ.’’
In what are now subsections (e) through (h), ‘‘of error’’ was
added following each instance of ‘‘writ.’’ Also, in what is now
subsection (h), references to other subsections of this section
have been updated.
Sec. 72-4. Applicability of Rules
Except as otherwise provided by statute or rule,
the prosecution and defense of a writ of error shall
be in accordance with the rules for appeals.
(P.B. 1978-1997, Sec. 4145.) (Amended Nov. 19, 2003, to
take effect Jan. 1, 2004.)
RULES OF APPELLATE PROCEDURE Sec. 73-4
CHAPTER 73
RESERVATIONS
Sec. Sec.
73-1. Reservation of Questions from the Superior Court to
the Supreme Court or Appellate Court; Contents
of Reservation Request
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
the Superior Court to the Supreme Court or
Appellate Court; Contents of Reservation
Request
(Amended Sept. 16, 2015, to take effect Jan. 1, 2016.)
(a) Counsel may jointly file with the superior
court a request to reserve questions of law for
consideration by the supreme court or appellate
court. A reservation request shall set forth: (1) a
stipulation of the essential undisputed facts and
a clear and full statement of the question or ques-
tions upon which advice is desired; (2) a statement
of reasons why the resolution of the question by
the appellate court having jurisdiction would serve
the interest of simplicity, directness and judicial
economy; and (3) whether the answers to the
questions will determine, or are reasonably cer-
tain to enter into the final determination of the
case. All questions presented for advice shall be
specific and shall be phrased so as to require a
Yes or No answer.
(b) Reservation requests may be brought only
in those cases in which an appeal could have
been filed directly to the supreme court, or to the
appellate court, respectively, had judgment been
rendered. Reservations in cases where the proper
court for the appeal cannot be determined prior
to judgment shall be filed directly to the
supreme court.
(P.B. 1978-1997, Sec. 4147.) (Amended June 5, 2013, to
take effect July 1, 2013; amended Sept. 16, 2015, to take
effect Jan. 1, 2016.)
Sec. 73-2. Consideration of Reservation
Request by Superior Court
If the superior court determines that a reserva-
tion would be appropriate, it shall forward the res-
ervation request with its determination, which
shall include the items specified in Section 73-1
(a), to the appellate clerk and to all parties of
record. The supreme court or appellate court shall
either preliminarily accept or decline the reserva-
tion request, but may later reject the reservation
if it should appear to have been improvidently
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73-2. Consideration of Reservation Request by Superior
Court
73-3. Procedure upon Acceptance of Reservation
73-4. Briefs, Appendices and Argument
granted. The supreme court or appellate court will
not entertain a reservation unless the question
or questions presented are reasonably certain to
enter into the decision of the case and it appears
that their determination would be in the interest
of simplicity, directness and judicial economy. The
supreme court or appellate court may also request
that the superior court provide additional facts
required for a decision upon the questions
reserved and to clarify such questions when nec-
essary.
(Adopted Sept. 16, 2015, to take effect Jan. 1, 2016.)
Sec. 73-3. Procedure upon Acceptance of
Reservation
(a) The appellate clerk shall notify the clerk of
the trial court and the parties of the decision or
order on the reservation request. Within twenty
days of issuance of the notice of an order of pre-
liminary acceptance, the appellant shall file the
reservation in accordance with the provisions of
Section 63-3, except that no entry fee shall be
paid and no costs shall be taxed in favor of any
party. In addition, within ten days of the filing of
the appeal, the appellant shall file a docketing
statement in the form specified in Section 63-4
(a) (3).
(b) The plaintiff in the court that ordered the
reservation shall be deemed the appellant, and
the defendant in such court shall be deemed the
appellee for purposes of these rules, unless other-
wise ordered by the court.
(c) The advice of the appellate court on a reser-
vation may be reviewed by the supreme court only
upon the granting of certification as provided in
chapter 84.
(Adopted Sept. 16, 2015, to take effect Jan. 1, 2016.)
Sec. 73-4. Briefs, Appendices and
Argument
Briefs and appendices filed by the parties shall
conform to the rules set forth in Chapter 67. Oral
argument shall be as provided in Chapter 70,
unless otherwise ordered by the court.
(Adopted Sept. 16, 2015, to take effect Jan. 1, 2016.)
RULES OF APPELLATE PROCEDURESec. 74-1
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
Judicial Review Council
74-2. Papers to Be Filed [Repealed]
74-2A. Referral to Supreme Court by Judicial Review Coun-
cil Following Recommendation of Suspension or
Removal (Transferred from Sec. 74-7.)
74-3. Costs and Security Not Required [Repealed]
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
from Decision of Judicial Review Council
(Amended Sept. 16, 2015, to take effect Jan. 1, 2016.)
(a) An appeal by a respondent judge from a
decision of the judicial review council shall be
taken within twenty days from the date the deci-
sion appealed from is received by the respon-
dent judge.
(b) The appeal shall be filed with the supreme
court in accordance with the provisions of Section
63-3, except that no entry fee shall be paid and
no costs shall be taxed in favor of any party. The
respondent judge shall serve a copy the appeal
form on the chair or executive director of the judi-
cial review council in accordance with the provi-
sions of Section 62-7.
(c) The appellate clerk shall forward one copy
of the appeal form to the judicial review council
and one copy to the respondent judge.
(d) Within ten days of filing the appeal, the
respondent judge shall file with the appellate clerk:
(1) a copy of the decision of the judicial review
council appealed from, and
(2) the filings required by Section 63-4.
(e) With the exception of decisions recommend-
ing suspension for more than one year or removal
from office, which are referred to the supreme
court pursuant to Section 74-2A, a decision of the
judicial review council will be final unless a timely
appeal is filed by the respondent judge.
(P.B. 1978-1997, Sec. 4150.) (Amended Sept. 16, 2015,
to take effect Jan. 1, 2016.)
Sec. 74-2. Papers to Be Filed
[Repealed as of Jan. 1, 2016.]
Sec. 74-2A. Referral to Supreme Court by
Judicial Review Council Following Recom-
mendation of Suspension or Removal
[Transferred from Sec. 74-7 as of Jan. 1, 2016.] (Amended
Sept. 16, 2015, to take effect Jan. 1, 2016.)
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74-3A. Initiation of Action by Supreme Court (Transferred
from Sec. 74-8.)
74-4. Decision of Council; Remand by Supreme Court
74-5. Parties
74-6. Applicability of Rules
74-7. Action on Recommendation when No Appeal
(Transferred to Sec. 74-2A.)
74-8. Initiation of Action by Supreme Court (Transferred
to Sec. 74-3A.)
If the judicial review council recommends sus-
pension for more than one year or removal from
office, the council shall, at the expiration of the
time to appeal, forward to the appellate clerk a
certified copy of its decision together with those
parts of the record and transcript as it deems
necessary for a proper consideration of its recom-
mendation.
The appellate clerk shall assign a docket num-
ber and notify the court of the matter. The court
shall, as soon as practicable, review the filed doc-
uments and render a decision on the recommen-
dation of the council.
(P.B. 1978-1997, Sec. 4156.) (Transferred from Sec. 74-7
as of Jan. 1, 2016.)
Sec. 74-3. Costs and Security Not Required
[Repealed as of Jan. 1, 2016.]
Sec. 74-3A. Initiation of Action by Supreme
Court
[Transferred from Sec. 74-8 as of Jan. 1, 2016.]
In the event that the supreme court, on its own
motion, wishes to initiate proceedings against a
judge, it shall refer the matter to the judicial review
council or, if the judge to be investigated is a
member of that council, to a committee of three
state referees for investigation and hearing.
The council or the committee shall render a
decision pursuant to Section 74-4 and forward a
copy of its decision to the respondent judge and
to the appellate clerk.
The decision may be appealed by the respon-
dent judge pursuant to the provisions of this chap-
ter. If the respondent judge fails to appeal within
the time provided, the decision shall be final,
unless it was rendered by a committee or contains
a recommendation for suspension or removal of
the judge, in which case, at the expiration of the
RULES OF APPELLATE PROCEDURE Sec. 74-8
time to appeal, the council or committee shall file
pertinent parts of the record and transcript with
the appellate clerk pursuant to Section 74-1 (d)
and the supreme court shall render a decision
thereon.
(P.B. 1978-1997, Sec. 4157.) (Transferred from Sec. 74-8
as of Jan. 1, 2016.)
Sec. 74-4. Decision of Council; Remand by
Supreme Court
The judicial review council shall state its deci-
sion in writing on the issues of the case and, if
there are factual issues, the factual basis for its
decision. The judicial review council shall state in
its decision its conclusion as to each claim of law
raised by the parties. If the supreme court deems
it necessary to the proper disposition of the cause,
it may remand the case to the judicial review coun-
cil for clarification of the basis for its decision.
(P.B. 1978-1997, Sec. 4153.)
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Sec. 74-5. Parties
The parties shall be referred to as the judicial
review council and the respondent.
(P.B. 1978-1997, Sec. 4154.)
Sec. 74-6. Applicability of Rules
All proceedings subsequent to the filing of the
appeal, referral of the matter by the judicial review
council or initiation by the supreme court shall be
governed by the rules applicable to appeals.
(P.B. 1978-1997, Sec. 4155.) (Amended Sept. 16, 2015,
to take effect Jan. 1, 2016.)
Sec. 74-7. Action on Recommendation
when No Appeal.
[Transferred as of Jan. 1, 2016, to Sec. 74-2A.]
Sec. 74-8. Initiation of Action by Supreme
Court
[Transferred as of Jan. 1, 2016, to Sec. 74-3A.]
RULES OF APPELLATE PROCEDURESec. 75-1
CHAPTER 75
APPEALS FROM COUNCIL ON PROBATE JUDICIAL CONDUCT
Sec. Sec.
75-1. Appeals by Respondent Judge From Decision of
Council on Probate Judicial Conduct
75-2. Papers to Be Filed [Repealed]
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
From Decision of Council on Probate Judi-
cial Conduct
(Amended Sept. 16, 2015, to take effect Jan. 1, 2016.)
(a) An appeal by a respondent judge from a
decision of the council on probate judicial conduct
to publicly admonish or censure shall be taken
within twenty days from the date that notice of
the admonishment or censure is received by the
respondent judge.
(b) The appeal shall be directed to and filed
with the supreme court in accordance with the
provisions of Section 63-3, except that no entry
fee shall be paid and no costs shall be taxed in
favor of either party. The respondent shall serve
a copy of the appeal form on the chair or secretary
of the council on probate judicial conduct in
accordance with the provisions of Section 62-7.
(c) The appellate clerk shall forward one copy of
the appeal form to the council on probate judicial
conduct and one copy to the respondent judge.
(d) Within ten days of filing the appeal, the
respondent shall file with the appellate clerk:
(1) a copy of the decision of the council on
probate judicial conduct appealed from, and
(2) the filings required by Section 63-4.
(P.B. 1978-1997, Sec. 4159.) (Amended Sept. 16, 2015,
to take effect Jan. 1, 2016.)
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75-3. Costs and Security Not Required [Repealed]
75-4. Decision of Council; Remand by Supreme Court
75-5. Parties
75-6. Applicability of Rules
Sec. 75-2. Papers to Be Filed
[Repealed as of Jan. 1, 2016.]
Sec. 75-3. Costs and Security Not Required
[Repealed as of Jan. 1, 2016.]
Sec. 75-4. Decision of Council; Remand by
Supreme Court
The council on probate judicial conduct shall
state its decision in writing on the issues of the
case. Within two weeks of receipt of notice of an
appeal, the council shall forward a finding of fact
and conclusions therefrom to the appellate clerk.
If the supreme court deems it necessary to the
proper disposition of the cause, it may remand
the case to the council on probate judicial conduct
for clarification of the basis of its decision.
(P.B. 1978-1997, Sec. 4162.) (Amended Sept. 16, 2015,
to take effect Jan. 1, 2016.)
Sec. 75-5. Parties
The parties shall be referred to as the council
on probate judicial conduct and the respondent.
(P.B. 1978-1997, Sec. 4163.)
Sec. 75-6. Applicability of Rules
All proceedings subsequent to the filing of the
appeal shall be governed by the rules applicable
to appeals.
(P.B. 1978-1997, Sec. 4164.) (Amended Sept. 16, 2015,
to take effect Jan. 1, 2016.)
RULES OF APPELLATE PROCEDURE Sec. 76-5
CHAPTER 76
APPEALS IN WORKERS’ COMPENSATION CASES
Sec. Sec.
76-1. Applicability of Rules
76-2. Filing Appeal
76-3. Preparation of Case File; Exhibits
76-4. Fees and Costs
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
Except as otherwise noted in Sections 76-2
through 76-6, the practice and procedure for
appeals to the appellate court (1) from a decision
of the compensation review board (board), or (2)
from a decision of a workers’ compensation com-
missioner acting pursuant to General Statutes
§ 31-290a (b) (§ 31-290a commissioner), shall
conform to the rules of practice governing other
appeals.
(P.B. 1978-1997, Sec. 4165.)
Sec. 76-2. Filing Appeal
The appeal shall be filed with the appellate clerk
in accordance with the provisions of Section 63-
3. The appellant shall deliver a copy of the appeal
form to each party of record in accordance with
the provisions of Section 62-7 and to the board
or the § 31-290a commissioner, as appropriate.
The appellate clerk shall deliver a copy of the
appeal form to the board or the § 31-290a com-
missioner, as appropriate, and to each
appearing party.
(P.B. 1978-1997, Sec. 4165.1.) (Amended Sept. 16, 2015,
to take effect Jan. 1, 2016.)
Sec. 76-3. Preparation of Case File; Exhibits
(Amended June 5, 2013, to take effect July 1, 2013.)
Within ten days of the issuance of notice of the
filing of an appeal, the board or the § 31-290a
commissioner, as appropriate, shall deliver to the
appellate clerk an electronic copy of the file, if
possible, or one complete copy of the case file.
No omissions may be made from the case file
except upon the authorization of the appellate
clerk. Each document of the case file must be
numbered, and the file must include a table of
contents listing each item entered in the file
according to its number.
All exhibits before the board or the § 31-290a
commissioner are deemed exhibits on appeal.
The appellate clerk shall notify the board or the
§ 31-290a commissioner of the exhibits required
by the court. It shall be the responsibility of the
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76-5. Reservation of Question from Compensation
Review Board
76-5A. Procedure Upon Acceptance of Reservation
76-6. Definitions
board or the § 31-290a commissioner to transmit
those exhibits promptly to the appellate clerk.
(P.B. 1978-1997, Sec. 4165.2.) (Amended June 5, 2013,
to take effect July 1, 2013; amended Sept. 16, 2015, to take
effect Jan. 1, 2016.)
Sec. 76-4. Fees and Costs
On appeals from the board or the § 31-290a
commissioner, or upon the reservation of a work-
ers’ compensation case by the compensation
review board, no entry fee shall be paid, and no
costs shall be taxed in favor of either party pro-
vided that if an appeal is found by the court either
to be frivolous or to be filed for the purpose of
vexation or delay, the court may tax costs in its
discretion against the person so taking the appeal.
(P.B. 1978-1997, Sec. 4165.4.) (Amended Sept. 16, 2015,
to take effect Jan. 1, 2016.)
Sec. 76-5. Reservation of Question from
Compensation Review Board
(Amended Sept. 16, 2015, to take effect Jan. 1, 2016.)
When, in any case arising under the provisions
of this chapter, the compensation review board is
of the opinion that the decision involves principles
of law which are not free from reasonable doubt
and which public interest requires shall be deter-
mined by the appellate court, in order that a defi-
nite rule be established applicable to future cases,
the compensation review board may, on its own
motion and without any agreement or act of the
parties or their counsel, prepare a reservation
request in the manner specified by Section 73-1
and deliver it to the appellate clerk and to all par-
ties of record. The appellate court shall either pre-
liminarily accept or decline the reservation
request. The appellate clerk shall notify the com-
pensation review board and the parties of the deci-
sion or order on the reservation request.
The appellate court may later reject the reserva-
tion if it should appear to have been improvidently
granted. The appellate court may also request
RULES OF APPELLATE PROCEDURESec. 76-5
that the compensation review board provide addi-
tional facts required for a decision upon the ques-
tions reserved and to clarify such questions
when necessary.
The plaintiff in the underlying workers’ compen-
sation matter shall be deemed the appellant, and
the defendant in the underlying matter shall be
deemed the appellee for purposes of these rules,
unless otherwise ordered by the court.
(P.B. 1978-1997, Sec. 4165.5.) (Amended July 21, 1999,
to take effect Jan. 1, 2000; amended Sept. 16, 2015, to take
effect Jan. 1, 2016.)
Sec. 76-5A. Procedure Upon Acceptance
of Reservation
Within twenty days of issuance of the notice of
an order of preliminary acceptance, the appellant
shall file an appeal in accordance with Section
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63-3 and Section 76-4. Any reservation under this
rule may be transferred to the supreme court on
its own motion pursuant to General Statutes § 51-
199 (c) or on the motion of any party pursuant to
Section 65-2.
(Adopted Sept. 16, 2015, to take effect Jan. 1, 2016.)
Sec. 76-6. Definitions
With regard to appeals from the board or the
§ 31-290a commissioner, references in the rules
of appellate procedure to trial court or trial judge
shall, where applicable, be deemed to mean the
individuals who comprised the board which ren-
dered the decision from which the appeal was
filed, or the § 31-290a commissioner, as appro-
priate.
(P.B. 1978-1997, Sec. 4165.6; see also Sec. 60-4.)
(Amended Sept. 16, 2015, to take effect Jan. 1, 2016.)
RULES OF APPELLATE PROCEDURE Sec. 77-2
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. Expedited Review of an Order concerning Court
Closure, or an Order That Seals or Limits the
Disclosure of Files, Affidavits, Documents or
Other Material
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. Expedited Review of an Order
concerning Court Closure, or an Order That
Seals or Limits the Disclosure of Files, Affi-
davits, Documents or Other Material
(Amended July 21, 1999, to take effect Jan. 1, 2000.)
(a) Except as provided in subsection (b), any
person affected by a court order which prohibits
the public or any person from attending any ses-
sion of court, or any order that seals or limits the
disclosure of files, affidavits, documents or other
material on file with the court or filed in connection
with a court proceeding, may seek review of such
order by filing a petition for review with the appel-
late court within seventy-two hours after the issu-
ance of the order. The petition shall fully comply
with Sections 66-2 and 66-3. The petition shall
not exceed ten pages in length, exclusive of the
appendix, except with special permission of the
appellate court. An appendix containing the infor-
mation or complaint, the answer, all motions per-
taining to the matter, the opinion or orders of the
trial court sought to be reviewed, a list of all parties
with the names, addresses, telephone and fac-
simile numbers, e-mail addresses, and, if applica-
ble, the juris number of their counsel, the names
of all judges who participated in the case, and
a transcript order acknowledgment form (JD-ES-
38), shall be filed with the petition for review.
Any person filing a petition for review pursuant
to this rule shall deliver a copy of the petition and
appendix to (1) all parties to the case and (2) any
nonparty who sought the closure order or order
sealing or limiting disclosure in compliance with
the provisions of Section 62-7 on the same day
as the petition is filed. Any party or nonparty who
sought such order may file a response to the peti-
tion for review within ninety-six hours after the
filing of the petition for review. Failure to file a
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77-3. Sealing Documents or Limiting Disclosure of Docu-
ments on Appeal
77-4. Motion to Seal; Lodging of Documents with Appel-
late Clerk
response shall not preclude the party or nonparty
who sought the order under review from participat-
ing in the hearing on the petition.
The filing of any petition for review of a court
order which prohibits the public or any person
from attending any session of court shall stay the
order until the final determination of the review.
The filing of any petition for review of an order
that seals or limits the disclosure of files, affidavits,
documents or other material on file with the court
shall not stay the order during the review.
The appellate court shall hold an expedited
hearing on any petition for review on the fifth busi-
ness day next following the day upon which the
certificate of completion provided for by Section
63-8 (c) has been filed with the appellate clerk.
After such hearing the appellate court may affirm,
modify or vacate the order reviewed.
(b) This section shall not apply to court orders
concerning any session of court conducted pursu-
ant to General Statutes §§ 46b-11, 46b-49, 46b-
122, 54-76h, and any order issued pursuant to a
rule that seals or limits the disclosure of any affida-
vit in support of an arrest warrant, or any other
provision of the General Statutes under which the
court is authorized to close proceedings.
(P.B. 1978-1997, Sec. 4166.) (Amended July 21, 1999, and
December 13, 1999, to take effect Jan. 1, 2000; amended
Sept. 16, 2015, to take effect Jan. 1, 2016.)
Sec. 77-2. Sealing Orders; Treatment of
Lodged Records
(a) When, by order of the trial court or by opera-
tion of statute, a trial court file is sealed or is
subject to limited disclosure, all filings with the
appellate clerk in that matter shall be treated simi-
larly unless otherwise ordered by the court having
appellate jurisdiction. Any sealing or limitation on
disclosure ordered by the trial court or required
by operation of statute as to any affidavit, docu-
ment or other material filed in the trial court shall
continue throughout the appellate process.
RULES OF APPELLATE PROCEDURESec. 77-2
(b) If a claim is raised on appeal challenging
the denial of a motion to seal or limit disclosure
pursuant to Section 7-4B (d), a lodged record shall
remain conditionally under seal in the court having
appellate jurisdiction and shall be treated as an
exhibit pursuant to the provisions of Section 68-1.
(Adopted Oct. 15, 2003, to take effect Jan. 1, 2004.)
Sec. 77-3. Sealing Documents or Limiting
Disclosure of Documents on Appeal
(a) Except as otherwise provided by law, there
shall be a presumption that documents filed with
the appellate clerk shall be available to the public.
(b) Except as otherwise provided in this section
and except as otherwise provided by law, the court
shall not order that any document filed or lodged
with the appellate clerk be sealed or its disclo-
sure limited.
(c) Upon written motion or upon its own motion,
the court may order that any document filed or
lodged with the appellate clerk be sealed or its
disclosure limited only if the court concludes that
such order is necessary to preserve an interest
which is determined to override the public’s inter-
est in viewing such document. The court shall
first consider reasonable alternatives to any such
order and any such order shall be no broader than
necessary to protect such overriding interest. An
agreement of the parties to seal or limit the disclo-
sure of documents filed or lodged with the appel-
late clerk shall not constitute a sufficient basis for
the issuance of such an order.
(d) The court may, upon determination that the
resolution of the motion requires findings of fact,
refer the motion to the trial court to make such
findings.
(Adopted Oct. 18, 2017, to take effect Jan. 1, 2018.)
Sec. 77-4. Motion to Seal; Lodging of Docu-
ments with Appellate Clerk
(a) A motion to seal any document filed pre-
viously with the appellate clerk or to be filed with
the appellate clerk shall be filed in accordance
with the provisions of Sections 60-7 and 60-8 and
delivered to all counsel of record in accordance
with Section 62-7, but shall not disclose any infor-
mation that the filing party is seeking to seal and
shall indicate if documents are being lodged with
the appellate clerk.
(b) If the motion to seal pertains to a document
previously filed with the appellate clerk, the appel-
late clerk will, upon receipt of the motion, promptly
remove the document in question from the Judicial
Branch website on a temporary basis until the
resolution of the motion. The motion to seal shall
be accompanied by a memorandum explaining
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why the document should be sealed or its disclo-
sure limited. The memorandum and any support-
ing documents shall be lodged with the appellate
clerk on paper, but shall not be filed in accordance
with the provisions of Section 60-7.
(c) If the motion to seal pertains to a document
that has not yet been filed with the appellate clerk,
the motion shall be accompanied by a memoran-
dum explaining why the document or documents
should be sealed. The memorandum, the docu-
ment that the party is seeking to seal, and any
supporting documents shall be lodged with the
appellate clerk on paper, but shall not be filed in
accordance with the provisions of Section 60-7
(d) Any response to a motion to seal shall be
filed in accordance with the provisions of Sections
60-7 and 60-8 and be delivered to all counsel of
record in accordance with Section 62-7, shall not
disclose any information that the movant is seek-
ing to seal and shall indicate if documents are
being lodged with the appellate clerk. Any memo-
randum or documents filed in support of the
response shall be lodged with the appellate clerk
on paper, but shall not be filed in accordance with
the provisions of Section 60-7.
(e) Upon the filing of a motion to seal or to limit
disclosure of any records, or upon the court’s own
motion, the court may issue any orders it deems
necessary to aid in the court’s jurisdiction. Before
a motion to seal or to limit disclosure may be
granted, notice to the public of the motion shall
be given, and a hearing shall be held. Such notice
shall be posted on the Judicial Branch website,
listing the motion and the time and place of the
hearing. In the order granting the motion, the
court shall articulate the overriding interest being
protected and set forth the more narrowly tailored
method of protecting the overriding interest it con-
sidered inadequate or unavailable and the dura-
tion of the order. If any findings would reveal
information entitled to remain confidential, those
findings shall be set forth in a sealed portion of
the record. The order shall be posted immediately
on the Judicial Branch website.
(f) Following a decision on the motion to seal,
any documents lodged with the appellate clerk
will be retained under seal or returned to the fil-
ing party.
(Adopted Oct. 18, 2017, to take effect Jan. 1, 2018.)
COMMENTARY—2018: The purpose of this rule is to pro-
vide a procedure for sealing a document or limiting its disclo-
sure for the first time on appeal. All filers are obligated to
redact such information from any documents before they are
filed pursuant to Section 62-7. A motion to seal is appropriate,
however, if a party is seeking to keep confidential any informa-
tion that is not otherwise protected by statute, rule or case
law. In addition, a motion to seal is appropriate if a party is
unable to file a redacted document because doing so would
render the document incomprehensible.
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
Disclosure of Grand Jury Record or Finding
Any person aggrieved by an order of a panel
or an investigatory grand jury pursuant to General
Statutes § 54-47g may seek review of such order
by filing a petition for review with the appellate
court within seventy-two hours after the issuance
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of the order. The filing of any such petition for
review shall stay the order until the final determi-
nation of the petition. The appellate court shall
hold an expedited hearing on such petition. After
such hearing, the appellate court may affirm, mod-
ify or vacate the order reviewed.
(P.B. 1978-1997, Sec. 4166A.)
RULES OF APPELLATE PROCEDURESec. 78a-1
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-
cerning Release on Bail
Any accused person or the state, aggrieved by
an order of the superior court concerning release,
may petition the appellate court for review of such
order. Any such petition shall have precedence
over any other matter before the appellate court
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and any hearing ordered by the court shall be
held expeditiously with reasonable notice.
Petitions for review of bail must conform to the
requirements for motions for review set forth in
Section 66-6 and are subject to transfer to the
supreme court pursuant to Section 65-3.
(Adopted June 2, 2005, to take effect Jan. 1, 2006.)
RULES OF APPELLATE PROCEDURE Sec. 79-5
CHAPTER 79
APPEALS IN JUVENILE MATTERS
[Repealed as of Feb. 1, 2012.]
Sec. Sec.
79-1. Time to Take; Form; Filing; Costs [Repealed]
79-2. Clerk’s Duties [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
[Repealed as of Feb. 1, 2012.]
Sec. 79-2. Clerk’s Duties
[Repealed as of Feb. 1, 2012.]
Sec. 79-3. Inspection of Records
[Repealed as of Feb. 1, 2012.]
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79-4. Hearings; Confidentiality [Repealed]
79-5. Briefs [Repealed]
Sec. 79-4. Hearings; Confidentiality
[Repealed as of Feb. 1, 2012.]
Sec. 79-5. Briefs
[Repealed as of Feb. 1, 2012.]
RULES OF APPELLATE PROCEDURESec. 79a-1
CHAPTER 79a
APPEALS IN CHILD PROTECTION MATTERS
Sec. Sec.
79a-1. Child Protection Appeals Defined
79a-2. Time to Appeal
79a-3. Filing of the Appeal
79a-4. Waiver of Fees, Costs and Security
79a-5. Ordering Transcripts
79a-6. Format and Time for Filing Briefs and Appendices
79a-7. Motions for Extension of Time
79a-8. Docketing Child Protection Appeals for
Assignment
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
Child protection appeals in juvenile matters
include all appeals from judgments in all proceed-
ings concerning uncared for, neglected or abused
children and youth within this state, termination
of parental rights of children committed to a state
agency, petitions for transfers, removal or rein-
statement of guardianship and contested matters
involving termination of parental rights or removal
of guardian transferred or appealed from the pro-
bate court.
(Adopted Nov. 17, 2011, to take effect Feb. 1, 2012.)
Sec. 79a-2. Time to Appeal
(a) General Provisions
Unless a different period is provided by statute,
appeals from judgments of the superior court in
child protection matters shall be filed within twenty
days from the issuance of notice of the rendition
of the decision or judgment from which the appeal
is filed. The judge who tried the case may, for
good cause shown, extend the time limit provided
for filing the appeal. In no event shall the trial
judge extend the time for filing the appeal to a
date which is more than twenty days from the
expiration date of the initial appeal period. Where
a motion for extension of the period of time within
which to appeal has been filed at least ten days
before expiration of the time limit sought to be
extended, and such motion is denied, the party
seeking to appeal shall have no less than ten days
from issuance of notice of the denial of the motion
for extension in which to file the appeal.
(b) When appeal period begins
If notice of the judgment or decision is given in
open court, the appeal period shall begin on that
day. If notice of the judgment or decision is given
only by mail or by electronic delivery, the appeal
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79a-9. Oral Argument
79a-10. Submission without Oral Argument on Request
of Parties
79a-11. Official Release Date
79a-12. Inspection of Records
79a-13. Hearings; Confidentiality
79a-14. Motions Filed with the Appellate Clerk
79a-15. Applicability of Rules
period shall begin on the day that notice of the
judgment or decision is sent to counsel by the
clerk for juvenile matters. The failure to give notice
of judgment to a nonappearing party shall not
affect the running of the appeal period.
(c) How a new appeal period is created
If a motion is filed within the appeal period that,
if granted, would render the judgment or decision
ineffective, then a new twenty day appeal period
for filing the appeal shall begin on the day that
notice of the ruling is given on the last such out-
standing motion. Such motions include, but are
not limited to, motions that seek: the opening or
setting aside of the judgment; a new trial; reargu-
ment of the judgment or decision; or any alteration
of the terms of the judgment. Motions that do not
give rise to a new appeal period include those
that seek: clarification or articulation, as opposed
to alteration, of the terms of the judgment or deci-
sion; a written or transcribed statement of the trial
court’s decision; or reargument or reconsideration
of a motion listed in this paragraph.
If, within the appeal period, any application is
filed, pursuant to Section 79a-4, seeking waiver
of fees, costs and security or appointment of coun-
sel, a new twenty day appeal period or statutory
period for filing the appeal is not created. If a party
files, pursuant to Section 66-6, a motion for review
of the denial of any such application, a new appeal
period shall begin on the day that notice of the
ruling is given on the motion for review.
(d) What may be appealed during new
appeal period
If a new appeal period is created under Section
79a-2 (c), the new appeal period may be used for
appealing the original judgment or decision and/
or for appealing any order that gave rise to the
new appeal period. Such period may also be used
RULES OF APPELLATE PROCEDURE Sec. 79a-4
for amending an existing appeal pursuant to Sec-
tion 61-9 to challenge the ruling that gave rise to
the new appeal period. Rulings on applications
for waiver of fees, costs and security or motions
for appointment of counsel may not be appealed
during the new appeal period but may be chal-
lenged by motion for review in accordance with
Section 66-6.
(e) Limitation of time to appeal
Unless a new appeal period is created pursuant
to Section 79a-2 (c), the time to file a child protec-
tion appeal shall not be extended past forty days
(the original twenty days plus one twenty day
extension for appellate review) from the date of
issuance of notice of the rendition of the judgment
or decision.
(Adopted Nov. 17, 2011, to take effect Feb. 1, 2012;
amended April 30, 2014, to take effect Aug. 1, 2014; amended
Sept. 16, 2015, to take effect Jan. 1, 2016; amended July 19,
2017, to take effect Oct. 8, 2017.)
HISTORY—October, 2017: Prior to amendment, the sec-
ond sentence of subsection (b) read: ‘‘If notice of the judgment
or decision is given only by mail, the appeal period shall begin
on the day that notice of the judgment or decision is mailed
to counsel by the clerk for juvenile matters.’’
Sec. 79a-3. Filing of the Appeal
(a) General Provisions
Appeals in juvenile matters shall be filed in
accordance with the provisions of Section 63-3
and all required fees shall be paid in accordance
with Sections 60-7 and 60-8.
(b) Appeal by indigent party
If a trial attorney who has provided representa-
tion to an indigent party through the Division of
Public Defender Services declines to pursue an
appeal and the indigent party expressly wishes
to appeal, the trial attorney shall within twenty
days of the decision or judgment simultaneously
file with the court before which the matter was
heard a motion for an additional twenty day exten-
sion of time to appeal, a sworn application signed
by the indigent party for appointment of an appel-
late review attorney and a waiver of fees, costs
and expenses, including the cost of an expedited
transcript, and shall immediately request an expe-
dited transcript from the court reporter in accord-
ance with Section 79a-5, the cost of which shall
be paid for by the Division of Public Defender
Services.
Any party who is indigent who wishes to appeal
and was not provided with representation by the
Division of Public Defender Services during the
proceeding which resulted in the decision or judg-
ment from which an appeal is being sought shall,
within twenty days of the decision or judgment,
simultaneously file with the court before which the
matter was heard a motion for an additional twenty
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day extension of time to appeal, a sworn applica-
tion signed by the indigent party for appointment
of an appellate review attorney and a waiver of
fees, costs, and expenses, including the cost of
an expedited transcript. The indigent party shall
immediately request an expedited transcript from
the court reporter in accordance with Section 79a-
5, the cost of which shall be paid for by the Division
of Public Defender Services.
(c) Review by the Division of Public
Defender Services
(1) If the appellate review attorney determines
that there is merit to an appeal, that attorney shall
file the appeal in accordance with Section 63-3.
(2) If the reviewing attorney determines that
there is no merit to an appeal, that attorney shall
make this decision known to the judicial authority,
to the party and to the Division of Public Defender
Services at the earliest possible moment. The
reviewing attorney shall inform the party, by letter,
of the balance of the time remaining to appeal as
a self-represented party or to secure counsel who
may file an appearance to represent the party on
appeal at the party’s own expense. A copy of
the letter shall be sent to the clerk for juvenile
matters forthwith.
(d) Duties of clerk for juvenile matters for
cases on appeal
The appellate clerk shall send notice to the clerk
for juvenile matters and to the clerk of any trial
court to which the matter was transferred that an
appeal has been filed. Upon receipt of such notice,
the clerk for juvenile matters shall send a copy of
the appeal form and the case information form to
the commissioner of children and families, to the
petitioner upon whose application the proceed-
ings in the superior court were instituted, unless
such party is the appellant, to any person or
agency having custody of any child who is a sub-
ject of the proceeding, the Division of Public
Defender Services, and to all other interested per-
sons; and if the addresses of any such persons
do not appear of record, such juvenile clerk shall
call the matter to the attention of a judge of the
superior court who shall make such an order of
notice as such judge deems advisable.
(Adopted Nov. 17, 2011, to take effect Feb. 1, 2012;
amended Sept. 16, 2015, to take effect Jan. 1, 2016.)
Sec. 79a-4. Waiver of Fees, Costs and
Security
(a) Any written application to the court for
appointment of an appellate review attorney or
the waiver of fees, costs and expenses must be
personally signed by the indigent party under oath
and include a financial affidavit reciting facts con-
cerning the applicant’s financial status. The judi-
cial authority shall act without a hearing on the
RULES OF APPELLATE PROCEDURESec. 79a-4
application. If the court is satisfied that the appli-
cant is indigent and has a statutory right to the
appointment of an appellate review attorney or a
statutory right to appeal without payment of fees,
costs and expenses, the court may without a hear-
ing: (1) waive payment by the applicant of fees
specified by statute and of taxable costs, and (2)
order that the necessary expenses of reviewing
or prosecuting the appeal be paid by the Division
of Public Defender Services in accordance with
Section 79a-3 (c). If the court is not satisfied that
the applicant is indigent and has a statutory right
to the appointment of an appellate review attorney
or a statutory right to appeal without payment of
fees, costs and expenses, then an immediate
hearing shall be scheduled for the application. If
an application is untimely filed, the court may deny
the application without hearing. The court may not
consider the relative merits of a proposed appeal
in acting upon an application pursuant to this
section.
(b) The filing of the application for the appoint-
ment of an appellate review attorney or waiver of
fees, costs and expenses will not extend the
appeal period. A denial of the application may
be addressed solely by motion for review under
Section 66-6. See Section 79a-2 (c).
(Adopted Nov. 17, 2011, to take effect Feb. 1, 2012.)
Sec. 79a-5. Ordering Transcripts
Transcripts in child protection appeals and in
cases reviewed by the Division of Public Defender
Services shall be ordered expedited and delivered
to the ordering party no later than the close of the
fifth business day following the date the order
is placed.
(Adopted Nov. 17, 2011, to take effect Feb. 1, 2012.)
Sec. 79a-6. Format and Time for Filing Briefs
and Appendices
(Amended June 5, 2013, to take effect July 1, 2013.)
Briefs and appendices shall be prepared and
submitted in accordance with chapter 67 of these
rules except that the time for filing briefs and
appendices shall be strictly observed and abbrevi-
ated as set forth below.
(a) Except as otherwise ordered, the appellant’s
brief and appendix shall be filed within forty days
after the delivery of the transcript ordered by the
appellant. In cases where no transcript is required
or the transcript has been received by the appel-
lant prior to the filing of the appeal, the appellant’s
brief and appendix shall be filed within forty days
of the filing of the appeal.
(b) Except as otherwise ordered, the brief and
appendix of the appellee shall be filed within thirty
days after the filing of the appellant’s brief or the
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delivery date of the portions of the transcript
ordered only by that appellee, whichever is later.
(c) Counsel for the minor child and/or counsel
for the guardian ad litem shall, within ten days of
the filing of the appellee’s brief, file either: (1) a
brief, (2) a statement adopting the brief of either
the appellant or an appellee, or (3) a detailed
statement that the factual or legal issues on
appeal do not implicate the child’s interests.
(d) The appellant may file a reply brief within
ten days of the filing of the appellee’s brief.
(e) Except as otherwise ordered, the case shall
be deemed ready for assignment by the court
after the filing of the appellee’s brief and appendix.
(f) The unexcused failure to file briefs and
appendices in accordance with this schedule may
result in a dismissal of the appeal pursuant to
Section 85-1, a refusal of the court to accept the
late brief and/or an assignment of the case without
the delinquent brief.
(Adopted Nov. 17, 2011, to take effect Feb. 1, 2012;
amended June 5, 2013, to take effect July 1, 2013.)
Sec. 79a-7. Motions for Extension of Time
Motions for extension of time filed in the appel-
late court shall be filed in accordance with Section
66-1 and, if filed, shall be presented to a judge of
the appellate court for determination. Such
motions may be granted only for good cause
shown.
(Adopted Nov. 17, 2011, to take effect Feb. 1, 2012.)
Sec. 79a-8. Docketing Child Protection
Appeals for Assignment
The supreme court and appellate court may
assign child protection matters without the case
appearing on the docket. See Sections 69-1 and
69-2.
Notwithstanding the provisions of Section 69-
3, child protection appeals shall ordinarily take
precedence for assignment for oral argument.
(Adopted Nov. 17, 2011, to take effect Feb. 1, 2012;
amended Sept. 16, 2015, to take effect Jan. 1, 2016.)
Sec. 79a-9. Oral Argument
(a) Oral argument will be allowed as of right
except as provided in subsection (b) of this rule.
(b) In child protection appeals as defined by
Section 79a-1 where: (1) the dispositive issue or
set of issues has been recently authoritatively
decided; or (2) the facts and legal arguments are
adequately presented in the briefs and the deci-
sional process would not be significantly aided by
oral argument, notice will be sent to counsel of
record that the case will be decided on the briefs
and record only. This notice will be issued after
all briefs and appendices have been filed. Any
party may file a request for argument stating
RULES OF APPELLATE PROCEDURE Sec. 79a-15
briefly the reasons why oral argument is appro-
priate and shall do so within seven days of the
issuance of the court’s notice. After receipt and
consideration of such a request, the court will
either assign the case for oral argument or assign
the case for disposition without oral argument, as
it deems appropriate.
(c) In matters involving incarcerated self-repre-
sented parties, oral argument may be conducted
by videoconference upon direction of the court in
its discretion.
(Adopted Nov. 17, 2011, to take effect Feb. 1, 2012;
amended June 5, 2013, to take effect July 1, 2013; amended
Sept. 16, 2015, to take effect Jan. 1, 2016; amended June
15, 2016, to take effect Sept. 30, 2016.)
Sec. 79a-10. Submission without Oral Argu-
ment on Request of Parties
Counsel of record may, before or after a case
has been assigned for a hearing, file a request to
submit the case for decision on the briefs and
record only, without oral argument. No request for
submission without oral argument will be granted
unless the requesting party certifies that all other
parties agree to waive oral argument. This rule
applies only to counsel of record who have filed
a brief or joined in the brief of another party.
(Adopted Nov. 17, 2011, to take effect Feb. 1, 2012;
amended Sept. 16, 2015, to take effect Jan. 1, 2016.)
Sec. 79a-11. Official Release Date
A judgment in child protection appeals shall be
deemed to have been rendered on the date an
opinion or memorandum decision appears in the
Connecticut Law Journal; except that if an opinion
or memorandum decision is issued by slip opinion,
the official release date is the date indicated in
the slip opinion, and the parties shall be notified
and sent the opinion or memorandum decision by
the reporter of judicial decisions via e-mail. If any
of the parties who participated in the appeal has
not provided the reporter of judicial decisions with
an e-mail address, then the slip opinion or memo-
randum decision shall be mailed to the parties by
the appellate clerk on the date indicated in the
slip opinion.
If a judgment in a child protection appeal is
given by oral announcement from the bench, then
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the judgment shall be deemed to have been ren-
dered on the date the oral announcement is made.
(Adopted Nov. 17, 2011, to take effect Feb. 1, 2012;
amended Oct. 18, 2017, to take effect Jan. 1, 2018.)
HISTORY—2018: In the first paragraph, two references
of ‘‘electronic mail’’ have been replaced with ‘‘e-mail.’’ In
addition, what was the final paragraph of this section was
deleted. Prior to 2018, the final paragraph of this section read:
‘‘The official release date of decisions upon motions, petitions
and of orders of the court shall be the date the appellate clerk
issues notice to the parties. See Sections 71-1 and 71-4 and
General Statutes §§ 51-213 and 51-215a.’’
Sec. 79a-12. Inspection of Records
The records and papers of any juvenile matter
shall be open for inspection only to counsel of
record and to others having a proper interest
therein only upon order of the court. The name
of the child or youth involved in any appeal from
a juvenile matter shall not appear on the record
of the appeal.
(Adopted Nov. 17, 2011, to take effect Feb. 1, 2012;
amended June 15, 2016, to take effect Aug. 1, 2016.)
COMMENTARY—August, 2016: In child protection matters
that were filed on or after January 1, 2016, attorneys and self-
represented parties who have valid appearances in a case
may view the case summary page and electronically filed
documents in that case through E-Services. The applicable
procedures, set forth in the Appellate E-filing Procedures and
Technical Standards, require a self-represented party to sub-
mit an ‘‘Appellate Electronic Access Form’’ and to provide the
appellate clerk’s office with a valid photo identification.
Sec. 79a-13. Hearings; Confidentiality
(a) For the purpose of maintaining confidential-
ity, upon the hearing of an appeal from a juvenile
matter, the court may exclude any person from
the court whose presence is unnecessary.
(b) All proceedings shall be conducted in a man-
ner that will preserve the anonymity of the child
or youth.
(Adopted Nov. 17, 2011, to take effect Feb. 1, 2012.)
Sec. 79a-14. Motions Filed with the Appel-
late Clerk
All motions filed with the appellate clerk in child
protection matters shall include a statement on
the first page by the moving party as to whether
the other parties consent or object to the motion.
(Adopted Nov. 17, 2011, to take effect Feb. 1, 2012.)
Sec. 79a-15. Applicability of Rules
The rules governing other appeals shall, so far
as applicable, and to the extent they have not
been modified by this chapter, be the rules for all
proceedings in child protection appeals.
(Adopted Nov. 17, 2011, to take effect Feb. 1, 2012.)
RULES OF APPELLATE PROCEDURESec. 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-
dure on Appeal
In any habeas corpus proceeding where the
party desiring to appeal is required by statute to
petition the trial court for certification that a ques-
tion is involved in the decision which ought to be
reviewed by the appellate court, the petition for
such certification shall be made to the judge who
tried the case or, if such judge is unavailable, a
judge of the superior court designated by the chief
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court administrator, within ten days after the case
is decided. The appeal shall be filed within twenty
days from the issuance of the notice of decision
on the petition for certification, unless an applica-
tion for waiver of fees, costs and security is filed
pursuant to Section 63-6, in which event the
appeal shall be filed within twenty days from the
decision on the application.
(P.B. 1978-1997, Sec. 4166C.) (Amended July 23, 1998,
to take effect Jan. 1, 1999; amended May 12, 2004, to take
effect Jan. 1, 2005.)
RULES OF APPELLATE PROCEDURE Sec. 81-2
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
81-2. Form of Petition
81-3. Statement in Opposition to Petition
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
File; Service; Fee
(a) A petition for certification in accordance with
chapters 124 and 440 of the General Statutes
shall be filed with the appellate clerk by the party
aggrieved by the decision of the trial court within
twenty days from the issuance of notice of the
decision of the trial court. All petitions for certifica-
tion to appeal shall be filed and all fees paid in
accordance with the provisions of Sections 60-7
or 60-8. If within this period a timely motion is
filed which, if granted, would render the trial court
judgment ineffective, as, for example, a motion
for a new trial, then the twenty days shall run from
the issuance of notice of the decision thereon.
The petitioner shall deliver a copy of the petition
to every other party in the manner set forth in
Section 62-7. The appellate clerk will send notice
of the filing to the clerk of the original trial court
and to the clerk of any trial courts to which the
matter was transferred.
(b) Any other party aggrieved by the decision
of the trial court may file a cross petition within
ten days of the filing of the original petition. The
filing of cross petitions, including the payment of
the fee, service pursuant to Section 62-7, the form
of the cross petition, and all subsequent proceed-
ings shall be the same as though the cross petition
were an original petition.
(c) The filing of a petition or cross petition by
one party shall be deemed to be a filing on behalf
of that party only.
(P.B. 1978-1997, Sec. 4142.) (Amended Sept. 22, 2004,
to take effect Jan. 1, 2005; amended May 4, 2006, to take
effect Jan. 1, 2007; amended Sept. 16, 2015, to take effect
Jan. 1, 2016; amended June 15, 2016, to take effect Sept.
30, 2016.)
Sec. 81-2. Form of Petition
(a) A petition for certification shall contain the
following sections in the order indicated here:
(1) A statement of the questions presented for
review, expressed in the terms and circumstances
of the case but without unnecessary detail.
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81-4. Proceedings after Certification by Appellate Court
81-5. Extensions of Time
81-6. Filing of Regulations
(2) A statement of the basis for certification
identifying the specific reasons why the appellate
court should allow the extraordinary relief of certifi-
cation. These reasons may include but are not
limited to the following:
(A) The court below has decided a question
of substance not theretofore determined by the
supreme court or the appellate court or has
decided it in a way probably not in accord with
applicable decisions of the supreme court or the
appellate court.
(B) The decision under review is in conflict with
other decisions of the court below.
(C) The court below has so far departed from
the accepted and usual course of judicial proceed-
ings, or has so far sanctioned such a departure
by any other court, as to call for an exercise of
the appellate court’s supervision.
(D) A question of great public importance is
involved.
(3) A summary of the case containing the facts
material to the consideration of the questions pre-
sented, reciting the disposition of the matter in the
trial court, and describing specifically how the trial
court decided the questions presented for review
in the petition.
(4) A concise argument amplifying the reasons
relied upon to support the petition. No separate
memorandum of law in support of the petition will
be accepted by the appellate clerk.
(5) An appendix containing the operative com-
plaint, all briefs filed by all parties, the opinion or
order of the trial court sought to be reviewed, a
copy of the order on any motion which would stay
or extend the time period for filing the petition,
and a list of all parties to the appeal in the trial
court with the names, addresses, telephone and
facsimile numbers, e-mail addresses, and, if appli-
cable, the juris numbers of their counsel.
(b) The petition shall not exceed ten pages in
length, exclusive of the appendix, except with spe-
cial permission of the appellate clerk. The petition
shall be typewritten and fully double spaced, and
RULES OF APPELLATE PROCEDURESec. 81-2
shall not exceed three lines to the vertical inch or
twenty-seven lines to the page. Footnotes and
block quotations may be single spaced. Only the
following two typefaces, of 12 point or larger size,
are approved for use in petitions: arial and univers.
Each page of a petition shall have as a minimum
the following margins: top, 1 inch; left, 1 and 1/4
inch; right, 1/2inch; and bottom, 1 inch.
(P.B. 1978-1997, Sec. 4142.1.) (Amended July 23, 1998,
to take effect Jan. 1, 1999; amended Jan. 17, 2002, to take
effect April 15, 2002; amended May 15, 2003, to take effect
Jan. 1, 2004; amended July 11, 2012, to take effect Jan. 1,
2013; amended Sept. 16, 2015, to take effect Jan. 1, 2016.)
Sec. 81-3. Statement in Opposition to
Petition
(a) Within ten days of the filing of the petition,
any party may file a statement in opposition with
the appellate clerk stating the reasons why certifi-
cation should not be granted. The statement shall
be presented in a manner which is responsive, in
form and content, to the petition it opposes. The
statement in opposition shall not exceed ten
pages in length, except with special permission
of the appellate clerk. The statement in opposition
shall be typewritten and fully double spaced and
shall not exceed three lines to the vertical inch or
twenty-seven lines to the page. Footnotes and
block quotations may be single spaced. Only the
following two typefaces, of 12 point or larger size,
are approved for use in the statement in opposi-
tion: arial and univers. Each page of a statement
in opposition to a petition shall have as a minimum
the following margins: top, 1 inch; left, 1 and 1/4
inch; right, 1/2inch; and bottom, 1 inch.
No separate memorandum of law in support of
the statement in opposition will be accepted by
the appellate clerk.
(b) The statement in opposition shall be deliv-
ered in the manner set forth in Section 62-7.
(c) No motion to dismiss a petition for certifica-
tion will be accepted by the appellate clerk. Any
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objection to the jurisdiction of the court to entertain
the petition shall be included in the statement in
opposition.
(P.B. 1978-1997, Sec. 4142.2.) (Amended Jan. 17, 2002,
to take effect April 15, 2002; amended May 15, 2003, to take
effect Jan. 1, 2004; amended May 4, 2006, to take effect Jan.
1, 2007; amended Sept. 16, 2015, to take effect Jan. 1, 2016.)
Sec. 81-4. Proceedings after Certification by
Appellate Court
Within twenty days from the issuance of notice
that certification has been granted, the petitioner,
who shall be considered the appellant, shall file
the appeal in accordance with the procedure set
forth in Section 63-3 and shall pay all required
fees in accordance with the provisions of Sections
60-7 or 60-8. The clerk of the trial court must
forward the case file to the appellate clerk in
accordance with Section 68-1. Except as other-
wise noted in Section 81-6, all proceedings subse-
quent to the filing of the appeal shall be governed
by the rules applicable to appeals.
(P.B. 1978-1997, Sec. 4142.3.) (Amended July 24, 2002,
to take effect Oct. 1, 2002; amended Sept. 16, 2015, to take
effect Jan. 1, 2016.)
Sec. 81-5. Extensions of Time
Motions for extensions of time for purposes of
filing a petition for certification or a statement in
opposition thereto shall be filed with the appellate
clerk and shall be governed by Section 66-1.
(P.B. 1978-1997, Sec. 4142.4.)
Sec. 81-6. Filing of Regulations
Immediately after filing the appellant’s brief, the
appellant shall file one complete copy of the local
land use regulations that were in effect at the time
of the hearing that gave rise to the agency action
or ruling in dispute. The regulations shall be certi-
fied by the local zoning or equivalent official as
having been in effect at the time of the hearing.
The appellant need not deliver a copy of such
regulations to other counsel of record.
(Adopted July 24, 2002, to take effect Oct. 1, 2002;
amended Sept. 16, 2015, to take effect Jan. 1, 2016.)
RULES OF APPELLATE PROCEDURE Sec. 82-5
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
82-2. Method of Initiating [Repealed]
82-3. Contents of Certification Request
82-4. Preparation of Certification Request
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
Other Courts
The supreme court may answer questions of
law certified to it by a court of the United States
or by the highest court of another state, as defined
in General Statutes § 51-199b, or by the highest
court of a tribe of Native Americans recognized
by federal law when requested by the certifying
court if the answer may be determinative of an
issue in pending litigation in the certifying court
and if there is no controlling appellate decision,
constitutional provision or statute of this state.
(P.B. 1978-1997, Sec. 4168.) (Amended Nov. 4, 2004, to
take effect Jan. 1, 2005; amended Feb. 1, 2005, to take effect
Jan. 1, 2006.)
Sec. 82-2. Method of Initiating
[Repealed as of Jan. 1, 2005.]
Sec. 82-3. Contents of Certification Request
A certification request shall set forth: (1) The
questions of law to be answered; (2) a finding or
stipulation approved by the court setting forth all
facts relevant to answering the questions certified
and showing fully the nature of the controversy in
which the questions arose; (3) that the receiving
court may reformulate the questions; and (4) the
names and addresses of counsel of record.
The questions presented should be such as will
be determinative of the case, and it must appear
that their present determination would be in the
interest of simplicity, directness and economy of
judicial action.
All questions presented shall be specific and
shall be phrased so as to require a Yes or No
answer, wherever possible.
(P.B. 1978-1997, Sec. 4170.) (Amended Nov. 4, 2004, to
take effect Jan. 1, 2005; amended Sept. 16, 2015, to take
effect Jan. 1, 2016.)
Sec. 82-4. Preparation of Certification
Request
The certification request shall be prepared by
the certifying court, signed by the judge presiding
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82-5. Receipt; Costs of Certification
82-6. Briefs, Appendices, Assignment and Argument
82-7. Opinion
82-8. Certification of Questions to Other Courts
at the hearing, and forwarded to the supreme
court by the clerk of the certifying court under
its official seal. Upon receipt of the certification
request, the appellate clerk shall notify the parties
who shall be allowed a period of ten days from
the date of such notice to file objections to the
acceptance of the certification request. The
supreme court shall either preliminarily accept or
decline the certification request. The appellate
clerk shall notify the clerk of the court requesting
certification and all parties of the decision or order
on the certification request. If the supreme court
preliminarily accepts the certified question, the
plaintiff in the court that requested certification
shall be deemed the appellant, and the defendant
in such court shall be deemed the appellee unless
otherwise ordered by the supreme court.
The supreme court may later reject the certifica-
tion if it should appear to have been improvidently
granted. The supreme court may decline to
answer the questions certified whenever it
appears that the questions have been improperly
framed, the necessary facts have not been fully
set forth, or, for any other reason, certification has
been improvidently granted. The supreme court
may also request that the certifying court provide
additional facts required for a decision upon the
questions certified and clarify such questions
when necessary. If the supreme court grants the
certification request, it may require the appellant
to file those portions of the record that the
supreme court deems necessary to answer the
certified questions.
(P.B. 1978-1997, Sec. 4171.) (Amended Sept. 16, 2015,
to take effect Jan. 1, 2016.)
Sec. 82-5. Receipt; Costs of Certification
Within twenty days of issuance of the notice of
an order of preliminary acceptance, the appellant
shall file the matter in accordance with the provi-
sions of Section 63-3 for filing an appeal and shall
pay all required fees in accordance with Sections
RULES OF APPELLATE PROCEDURESec. 82-5
60-7 or 60-8. After paying the filing fee, the appel-
lant shall be entitled to seek reimbursement from
the appellee for one half of the filing fee, unless
otherwise ordered by the court that requested cer-
tification. All proceedings subsequent to the filing
of the matter shall be governed by the rules appli-
cable to appeals except as to the time for filing
briefs and appendices. No security or recogni-
zance shall be required, and no costs shall be
taxed in favor of either party.
(P.B. 1978-1997, Sec. 4172.) (Amended Sept. 16, 2015,
to take effect Jan. 1, 2016; amended July 19, 2017, to take
effect Oct. 8, 2017.)
HISTORY—October, 2017: In the third sentence, ‘‘except
as to the time for filing briefs and appendices’’ was added
following ‘‘appeals.’’
Sec. 82-6. Briefs, Appendices, Assignment
and Argument
(Amended July 19, 2017, to take effect Oct. 8, 2017.)
Briefs and appendices filed by the parties shall
conform to the rules set forth in Chapter 67, except
that the parties shall file simultaneous briefs and
appendices within forty-five days of issuance of
the notice of an order of preliminary acceptance.
The parties may file simultaneous reply briefs
within twenty days thereafter. Extensions of time
will not be granted except for extraordinary cause.
The supreme court may assign certified questions
without the matter appearing on the docket and
before reply briefs are filed.
Oral argument shall be as provided in Chapter
70, unless otherwise ordered by the court.
(P.B. 1978-1997, Sec. 4173.) (Amended Nov. 4, 2004, to
take effect Jan. 1, 2005; amended June 5, 2013, to take effect
July 1, 2013; amended Sept. 16, 2015, to take effect Jan. 1,
2016; amended July 19, 2017, to take effect Oct. 8, 2017.)
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HISTORY—October, 2017: Prior to this amendment, this
section was titled: ‘‘Briefs, Appendices and Argument.’’
Prior to October, 2017, this section read: ‘‘Briefs and appen-
dices filed by the parties shall conform to the rules set forth
in Chapter 67. The time for filing briefs and appendices shall
commence from the issuance of notice of preliminary accep-
tance of the certification order.
‘‘Oral argument shall be as provided in Chapter 70, unless
otherwise ordered by the court.’’
Sec. 82-7. Opinion
Upon publication thereof, the written opinion of
the supreme court in response to the question or
questions certified shall be sent by the appellate
clerk to the certifying court. Unless otherwise
ordered by the supreme court, official notification
to counsel of record shall be the publication of
the opinion in the Connecticut Law Journal.
(P.B. 1978-1997, Sec. 4174.)
Sec. 82-8. Certification of Questions to
Other Courts
The supreme court, on its own motion or motion
of a party, may certify a question of law to the
highest court of another state, as defined in Gen-
eral Statutes § 51-199b, or to the highest court of
a tribe of Native Americans recognized by federal
law if the pending cause involves a question to
be decided under the law of the other jurisdiction;
the answer to the question may be determinative
of an issue in the pending cause; and the question
is one for which no answer is provided by a con-
trolling appellate decision, constitutional provi-
sion, or statute of the other jurisdiction. The
procedures for certification from the supreme
court to the receiving court shall be those provided
in the statutes or rules of the receiving court.
(Adopted Feb. 1, 2005, to take effect Jan. 1, 2006.)
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
83-2. Application Granted
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
Within two weeks of the issuance of an order
or decision of the superior court involving a matter
of substantial public interest pursuant to General
Statutes § 52-265a, any party may file an applica-
tion for certification by the chief justice. The appli-
cation for certification shall contain: (1) the
question of law on which the appeal is to be based;
(2) a description of the substantial public interest
that is alleged to be involved; (3) an explanation
as to why delay may work a substantial injustice;
and (4) an appendix with: (A) the decision or order
of the superior court sought to be appealed and
(B) a list of all parties to the case in the superior
court with the names, addresses, telephone and
facsimile numbers, e-mail addresses and, if appli-
cable, the juris numbers of their counsel.
Using an expeditious delivery method such as
overnight mail or facsimile or other electronic
medium, in addition to the certification require-
ments of Section 62-7, the party submitting the
application shall also notify the trial judge and the
clerk of the trial court that rendered the decision
sought to be appealed.
(P.B. 1978-1997, Sec. 4177.) (Amended July 26, 2000, to
take effect Jan. 1, 2001; amended Jan. 31, 2013, to take effect
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83-3. Application Denied
83-4. Unavailability of Chief Justice
April 19, 2013; amended Sept. 16, 2015, to take effect Jan.
1, 2016.)
Sec. 83-2. Application Granted
If any application is certified pursuant to Gen-
eral Statutes § 52-265a by the chief justice, the
party that sought certification shall file the appeal
in accordance with the procedure set forth in Sec-
tion 63-3, except as modified by the supreme court
pursuant to Sections 60-2 or 60-3, and shall pay
all required fees in accordance with Sections 60-
7 and 60-8. The party certified to appeal shall have
such additional time as the order of certification
allows to file the appeal.
(P.B. 1978-1997, Sec. 4178.) (Amended Sept. 16, 2015,
to take effect Jan. 1, 2016.)
Sec. 83-3. Application Denied
If an application pursuant to General Statutes
§ 52-265a is denied by the chief justice, the denial
shall be deemed to terminate all proceedings
relating to the appeal.
(P.B. 1978-1997, Sec. 4179.)
Sec. 83-4. Unavailability of Chief Justice
If the chief justice is unavailable or disqualified,
the most senior associate justice who is available
and is not disqualified shall rule on the application
for certification.
(P.B. 1978-1997, Sec. 4180.)
RULES OF APPELLATE PROCEDURESec. 84-1
CHAPTER 84
APPEALS TO SUPREME COURT BY CERTIFICATION FOR REVIEW
Sec. Sec.
84-1. Certification by Supreme Court
84-2. Basis for Certification
84-3. Stay of Execution
84-4. Petition; Time to File; Where to File; Service; Fee
84-5. Form of Petition
84-6. Statement in Opposition to Petition
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
An appeal may be filed with the supreme court
upon the final determination of an appeal in the
appellate court where the supreme court, upon
petition of an aggrieved party, certifies the case
for review.
(P.B. 1978-1997, Sec. 4126.) (Amended Sept. 16, 2015,
to take effect Jan. 1, 2016.)
Sec. 84-2. Basis for Certification
Certification by the supreme court on petition
by a party is not a matter of right but of sound
judicial discretion and will be allowed only where
there are special and important reasons therefor.
The following, while neither controlling nor fully
measuring the court’s discretion, indicate the
character of the reasons which will be considered:
(1) Where the appellate court has decided a
question of substance not theretofore determined
by the supreme court or has decided it in a way
probably not in accord with applicable decisions
of the supreme court.
(2) Where the decision under review is in con-
flict with other decisions of the appellate court.
(3) Where the appellate court has so far
departed from the accepted and usual course of
judicial proceedings, or so far sanctioned such a
departure by any other court, as to call for an
exercise of the supreme court’s supervision.
(4) Where a question of great public importance
is involved.
(5) Where the judges of the appellate panel are
divided in their decision or, though concurring in
the result, are unable to agree upon a common
ground of decision.
(P.B. 1978-1997, Sec. 4127.)
Sec. 84-3. Stay of Execution
In any action in which a stay of proceedings
was in effect during the pendency of the appeal,
or, if no stay of proceedings was in effect, in which
the decision of the appellate court would change
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84-7. Extensions of Time
84-8. Grant or Denial of Certification
84-9. Proceedings after Certification
84-10. Record [Repealed only as to appeals filed on or
after July 1, 2013.]
84-11. Papers to Be Filed by Appellant and Appellee
84-12. Applicability of Rules
the position of any party from its position during
the pendency of the appeal, proceedings to
enforce or carry out the judgment shall be stayed
until the time to file the petition has expired. If a
petition by a party is filed, the proceedings shall
be stayed until the supreme court acts on the
petition and, if the petition is granted, until the final
determination of the cause; but if the presiding
judge of an appellate panel which heard the case
is of the opinion that the certification proceedings
have been filed only for delay or that the due
administration of justice so requires, such presid-
ing judge may, up to the time the supreme court
acts upon the petition, upon motion order that
the stay be terminated. If such presiding judge is
unavailable, the most senior judge on such panel
who is available may act upon such a motion for
termination of the stay.
(P.B. 1978-1997, Sec. 4128.) (Amended Sept. 16, 2015,
to take effect Jan. 1, 2016.)
Sec. 84-4. Petition; Time to File; Where to
File; Service; Fee
(a) A petition for certification shall be filed by
the petitioner within twenty days of (1) the date
the opinion is officially released as set forth in
Section 71-4 or (2) the issuance of notice of any
order or judgment finally determining a cause in
the appellate court, whichever is earlier. If within
this period a timely motion is filed which, if granted,
would render the appellate court order or judg-
ment ineffective, as, for example, a motion for
reconsideration, or if within this period an applica-
tion for waiver of fees is filed, then the twenty
days shall run from the issuance of notice of the
decision thereon.
(b) All petitions for certification to appeal shall
be filed and all fees paid in accordance with the
provisions of Sections 60-7 or 60-8. The petition
for certification will be docketed upon filing but
may be returned by the appellate clerk or rejected
RULES OF APPELLATE PROCEDURE Sec. 84-6
by the court upon review for compliance with the
rules of appellate procedure.
The petitioner shall deliver a copy of the petition
to every other party in the manner set forth in
Section 62-7. The appellate clerk will send notice
of the filing to the clerk of the original trial court
and to the clerk of any trial courts to which the
matter was transferred.
If no fee was required to file the initial appeal,
no fee is required for the petition.
In workers’ compensation cases, the petitioner
shall also deliver a copy of the petition to the § 31-
290a commissioner, and in an appeal from the
board, the petitioner shall also deliver a copy of
the petition to the board.
(c) Any other party aggrieved by the judgment
of the appellate court may file a cross petition
within ten days of the filing of the original petition.
The filing of cross petitions, including the payment
of the fee, delivery pursuant to Section 62-7, the
form of the cross petition, and all subsequent pro-
ceedings shall be the same as though the cross
petition were an original petition.
(d) The filing of a petition or cross petition by
one party shall not be deemed to be a filing on
behalf of any other party.
(P.B. 1978-1997, Sec. 4129.) (Amended July 23, 1998, to
take effect Jan. 1, 1999; amended July 21, 1999, to take effect
Jan. 1, 2000; amended Oct. 10, 2001, to take effect Jan. 1,
2002; amended May 4, 2006, to take effect Jan. 1, 2007;
amended July 26, 2012, to take effect Jan. 1, 2013; amended
June 27, 2013, to take effect Oct. 1, 2013; amended Sept.
16, 2015, to take effect Jan. 1, 2016.)
Sec. 84-5. Form of Petition
(a) A petition for certification shall contain the
following sections in the order indicated here:
(1) A statement of the questions presented for
review, expressed in the terms and circumstances
of the case but without unnecessary detail. The
supreme court will ordinarily consider only those
questions squarely raised, subject to any limita-
tion in the order granting certification.
(2) A statement of the basis for certification
identifying the specific reasons, including but not
limited to those enumerated in Section 84-2, why
the supreme court should allow the extraordinary
relief of certification.
(3) A summary of the case containing the facts
material to the consideration of the questions pre-
sented, reciting the disposition of the matter in the
appellate court, and describing specifically how
the appellate court decided the questions pre-
sented for review in the petition.
(4) A concise argument amplifying the reasons
relied upon to support the petition. No separate
memorandum of law in support of the petition will
be accepted by the appellate clerk.
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(5) An appendix containing:
(A) the opinion or order of the appellate court
sought to be reviewed,
(B) if the opinion or order of the appellate court
was a summary affirmance or dismissal, a copy
of the trial court’s memorandum of decision that
was entered in connection with the claim raised
by the petitioner before the appellate court, or, if
no memorandum was filed, a copy of the trial
court’s ruling on the matter,
(C) a copy of the order on any motion which
would stay or extend the time period for filing
the petition,
(D) a list of all parties to the appeal in the appel-
late court with the names, addresses, telephone
and facsimile numbers, e-mail addresses, and,
if applicable, the juris numbers of their trial and
appellate counsel.
(b) The petition shall not exceed ten pages in
length, exclusive of the appendix, except with spe-
cial permission of the appellate clerk. The petition
shall be typewritten and fully double spaced, and
shall not exceed three lines to the vertical inch or
twenty-seven lines to the page. Footnotes and
block quotations may be single spaced. Only the
following two typefaces, of 12 point or larger size,
are approved for use in petitions: arial and univers.
Each page of a petition shall have as a minimum
the following margins: top, 1 inch; left, 1 and 1/4
inch; right, 1/2inch; and bottom, 1 inch.
(P.B. 1978-1997, Sec. 4130.) (Amended July 23, 1998, to
take effect Jan. 1, 1999; amended Jan. 17, 2002, to take effect
April 15, 2002; amended May 15, 2003, to take effect Jan. 1,
2004; amended Sept. 16, 2015, to take effect Jan. 1, 2016.)
Sec. 84-6. Statement in Opposition to
Petition
(a) Within ten days of the filing of the petition,
any party may file a statement in opposition to
the petition with the appellate clerk. The statement
in opposition shall disclose any reasons why certi-
fication should not be granted by the supreme
court and shall be presented in a manner which
is responsive, in form and content, to the petition
it opposes. The statement in opposition shall not
exceed ten pages in length except with special
permission of the appellate clerk.
The statement in opposition shall be typewritten
and fully double spaced and shall not exceed
three lines to the vertical inch or twenty-seven
lines to the page. Footnotes and block quotations
may be single spaced. Only the following two type-
faces, of 12 point or larger size, are approved
for use in the statement in opposition: arial and
univers. Each page of a statement in opposition
to a petition shall have as a minimum the following
margins: top, 1 inch; left, 1 and 1/4inch; right, 1/2
RULES OF APPELLATE PROCEDURESec. 84-6
inch; and bottom, 1 inch. No separate memoran-
dum of law in support of the statement in opposi-
tion will be accepted by the appellate clerk.
(b) The statement in opposition shall be deliv-
ered in the manner set forth in Section 62-7.
(c) No motion to dismiss a petition for certifica-
tion will be accepted by the appellate clerk. Any
objection to the jurisdiction of the court to entertain
the petition shall be included in the statement in
opposition.
(P.B. 1978-1997, Sec. 4131.) (Amended Jan. 17, 2002, to
take effect April 15, 2002; amended May 15, 2003, to take
effect Jan. 1, 2004; amended May 4, 2006, to take effect Jan.
1, 2007; amended Sept. 16, 2015, to take effect Jan. 1, 2016.)
Sec. 84-7. Extensions of Time
Motions for extensions of time for purposes of
filing a petition for certification or a statement in
opposition thereto shall be filed with the appellate
clerk and shall be governed by Section 66-1.
(P.B. 1978-1997, Sec. 4132.)
Sec. 84-8. Grant or Denial of Certification
A petition by a party shall be granted on the
affirmative vote of three or more justices of the
supreme court, except that if fewer than six jus-
tices are available to consider a petition, a vote
of two justices shall be required to certify a case.
Upon the determination of any petition, the appel-
late clerk shall enter an order granting or denying
the certification in accordance with the determina-
tion of the court and shall send notice of the court’s
order to the clerk of the trial court and to all counsel
of record.
(P.B. 1978-1997, Sec. 4136.) (Amended Sept. 16, 2015,
to take effect Jan. 1, 2016.)
Sec. 84-9. Proceedings after Certification
(Amended Sept. 16, 2015, to take effect Jan. 1, 2016.)
Within twenty days from the issuance of notice
that certification to appeal has been granted, the
petitioner, who shall be considered the appellant,
shall file the appeal in accordance with the proce-
dure set forth in Section 63-3 and shall pay all
required fees in accordance with the provisions
of Sections 60-7 or 60-8.
The issues which the appellant may present
are limited to those set forth in the petition for
certification, except where the issues are further
limited by the order granting certification.
(P.B. 1978-1997, Sec. 4138.) (Amended July 24, 2002, to
take effect Oct. 1, 2002; amended Sept. 16, 2015, to take
effect Jan. 1, 2016.)
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Sec. 84-10. Record
[Repealed only as to appeals filed on or after
July 1, 2013.]
Sec. 84-11. Papers to Be Filed by Appellant
and Appellee
(a) Upon the granting of certification, the appel-
lee may present for review alternative grounds
upon which the judgment may be affirmed pro-
vided those grounds were raised and briefed in
the appellate court. Any party to the appeal may
also present for review adverse rulings or deci-
sions which should be considered on the appeal
in the event of a new trial, provided that such party
has raised such claims in the appellate court. If
such alternative grounds for affirmation or
adverse rulings or decisions to be considered in
the event of a new trial were not raised in the
appellate court, the party seeking to raise them
in the supreme court must move for special per-
mission to do so prior to the filing of that party’s
brief. Such permission will be granted only in
exceptional cases where the interests of justice
so require.
(b) Any party may also present for review any
claim that the relief afforded by the appellate court
in its judgment should be modified, provided such
claim was raised in the appellate court either in
such party’s brief or upon a motion for reconsid-
eration.
(c) Any party desiring to present alternative
grounds for affirmance, adverse rulings or deci-
sions in the event of a new trial or a claim concern-
ing the relief ordered by the appellate court shall
file a statement thereof within fourteen days from
the date the certified appeal is filed in accordance
with Section 84-9.
(d) Except for a docketing statement, parties
shall not file other Section 63-4 papers on a certi-
fied appeal without permission of the supreme
court.
(P.B. 1978-1997, Sec. 4140.) (Amended July 28, 1999, to
take effect Jan. 1, 2000; amended Sept. 16, 2015, to take
effect Jan. 1, 2016; amended Oct. 18, 2016, to take effect
Jan. 1, 2017.)
TECHNICAL CHANGE: What had been the final sentence
of subsection (c) is now designated subsection (d).
Sec. 84-12. Applicability of Rules
The rules governing other appeals shall, so far
as applicable, and to the extent they have not
been modified by this chapter, be the rules for all
proceedings subsequent to the granting of certifi-
cation.
(P.B. 1978-1997, Sec. 4141.)
RULES OF APPELLATE PROCEDURE Sec. 84a-6
CHAPTER 84a
MATTERS WITHIN SUPREME COURT’S ORIGINAL JURISDICTION
IN WHICH FACTS MAY BE FOUND
Sec. Sec.
84a-1. Application of Rules
84a-2. Procedure for Filing Original Jurisdiction Action;
Pleadings and Motions
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
These rules apply only to an action within the
original jurisdiction of the supreme court in which
facts may be found.
These rules do not apply to (1) a motion to
invoke the court’s supervisory powers under Sec-
tion 60-2 of these rules, or (2) certified questions
of law from courts of other jurisdictions under
chapter 82 of these rules.
(Adopted June 2, 2005, to take effect Jan. 1, 2006.)
Sec. 84a-2. Procedure for Filing Original
Jurisdiction Action; Pleadings and Motions
(Amended Sept. 16, 2015, to take effect Jan. 1, 2016.)
An original jurisdiction action shall be filed in
accordance with the procedures for filing an
appeal as set forth in Section 63-3. Thereafter,
unless otherwise ordered in a particular case, the
form of pleadings and motions prescribed in the
rules of practice should be followed in an original
action in the supreme court. In other respects,
those rules, when their application is appropriate,
may be taken as a guide to procedure in an origi-
nal action in this court.
(Adopted June 2, 2005, to take effect Jan. 1, 2006;
amended Sept. 16, 2015, to take effect Jan. 1, 2016.)
Sec. 84a-3. Discovery
The rules of practice pertaining to discovery
shall not apply in original actions in the supreme
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84a-3. Discovery
84a-4. Reference of Issues of Fact
84a-5. Evidence
84a-6. Other Officers
court except to the extent expressly authorized
by the court in a particular case.
(Adopted June 2, 2005, to take effect Jan. 1, 2006.)
Sec. 84a-4. Reference of Issues of Fact
(a) Reference
Issues of fact closed on pleadings in an original
action in the supreme court may be referred, by
order of the chief justice or his or her designee,
to a senior judge, justice or judge trial referee or,
should the parties agree, to any other person or
persons, which referral may contain such provi-
sions as the court deems advisable.
(b) Procedure
Unless otherwise ordered by the court, if any
reference is made pursuant to subsection (a), the
rules of practice pertaining to references in chap-
ter 19 of these rules shall apply.
(c) Costs of References
The court may allocate the costs of the refer-
ence in its discretion.
(Adopted June 2, 2005, to take effect Jan. 1, 2006.)
Sec. 84a-5. Evidence
The Connecticut Code of Evidence may be
taken as a guide to the admission of evidence in
an original action in the supreme court.
(Adopted June 2, 2005, to take effect Jan. 1, 2006.)
Sec. 84a-6. Other Officers
The court may appoint such other officers as the
court deems advisable in carrying out its original
jurisdiction. The costs of such officers shall be
taxed in accordance with Section 84a-4 (c).
(Adopted June 2, 2005, to take effect Jan. 1, 2006.)
RULES OF APPELLATE PROCEDURESec. 85-1
CHAPTER 85
SANCTIONS
Sec. Sec.
85-1. Lack of Diligence in Prosecuting or Defending
Appeal
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
or Defending Appeal
If a party shall fail to prosecute an appeal with
proper diligence, the court may dismiss the appeal
with costs. If a party shall fail to defend against
an appeal with proper diligence, the court may
set aside in whole or in part the judgment under
attack, with costs, and direct the entry of an appro-
priate final judgment by the trial court against the
party guilty of the failure. If that party is a defend-
ant in the action, the directed judgment may be
in the nature of a judgment by default for such
amount as may, upon a hearing in damages, be
found to be due. If that party is a plaintiff in the
action, the directed judgment may be one dismiss-
ing the action as to that plaintiff, and the judgment
shall operate as an adjudication upon the merits.
The statutory provisions regarding the opening of
judgments of nonsuit and by default shall not apply
to a judgment directed under the provisions of
this rule.
(P.B. 1978-1997, Sec. 4184A.)
Sec. 85-2. Other Actions Subject to
Sanctions
Actions which may result in the imposition of
sanctions include, but are not limited to, the fol-
lowing:
(1) Failure to comply with rules and orders of
the court.
(2) Filing of any papers which unduly delay the
progress of an appeal.
(3) Presentation of unnecessary or unwar-
ranted motions or opposition to motions.
(4) Presentation of unnecessary or unwar-
ranted issues on appeal.
(5) Presentation of a frivolous appeal or frivo-
lous issues on appeal.
(6) Presentation of a frivolous defense or
defenses on appeal.
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85-2. Other Actions Subject to Sanctions
85-3. Procedure on Sanctions
(7) Failure to attend preargument settlement
conferences.
(8) Failure to appear at oral argument.
(9) Disregard of rules governing withdrawal of
appeals.
(10) Repeated failures to meet deadlines.
Offenders will be subject, at the discretion of
the court, to appropriate discipline, including the
prohibition against appearing in the court or filing
any papers in the court for a reasonable and defi-
nite period of time, the imposition of a fine pursu-
ant to General Statutes § 51-84, and costs and
payment of expenses, together with attorney’s
fees to the opposing party.
The sanction of prohibition against filing any
papers in the court shall not prevent an offender
from filing a motion for reconsideration of that
sanction within seven days.
Offenders subject to such discipline include
both counsel and self-represented parties and, if
appropriate, parties represented by counsel.
(P.B. 1978-1997, Sec. 4184B.) (Amended Oct. 18, 2017,
to take effect Jan. 1, 2018.)
HISTORY—2018: In 2018, what is now subdivision (8)
was added and what had been subdivisions (8) and (9) were
renumbered as subdivisions (9) and (10), respectively.
Sec. 85-3. Procedure on Sanctions
Sanctions may be imposed by the court, on its
own motion, or on motion by any party to the
appeal. A motion for sanctions may be filed at
any time, but a request for sanctions may not be
included in an opposition to a motion, petition or
application. Before the court imposes any sanc-
tion on its own motion, it shall provide notice to
the parties and an opportunity to respond.
(P.B. 1978-1997, Sec. 4184C.) (Amended Jan. 31, 2013,
to take effect April 19, 2013; amended Oct. 18, 2017, to take
effect Jan. 1, 2018.)
HISTORY—2018: Prior to 2018, the second sentence of
this section read: ‘‘A motion for sanctions may be filed at
any time.’’
RULES OF APPELLATE PROCEDURE Sec. 86-2
CHAPTER 86
RULE CHANGES; EFFECTIVE DATE; APPLICABILITY
Sec. Sec.
86-1. Publication of Rules; Effective Date
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
Date
Each rule hereafter adopted by the justices of
the supreme court and the judges of the appellate
court shall be promulgated by being published
once in the Connecticut Law Journal. The rule
shall become effective at such date as the justices
and judges shall prescribe, but not less than sixty
days after its promulgation. The justices and
judges may waive the sixty day provision if they
deem that circumstances require that a rule or a
change in an existing rule be adopted expedi-
tiously.
(P.B. 1978-1997, Sec. 4188.) (Amended May 12, 2004, to
take effect Jan. 1, 2005.)
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86-2. Rule Changes; Applicability to Pending Appeals
Sec. 86-2. Rule Changes; Applicability to
Pending Appeals
Whenever a new rule is adopted or a change
is made to an existing rule, the new rule or rule
change shall apply to all appeals pending on the
effective date of the new rule or rule change and
to all appeals filed thereafter. Appellate papers
filed prior to the effective date of any new rule or
rule change need not be refiled.
Any difficulty occasioned by the application of
a new rule or rule change to appeals filed prior
to the effective date thereof shall be resolved in
the spirit of Section 60-1.
(P.B. 1978-1997, Sec. 4189.) (Amended July 26, 2000, to
take effect Jan. 1, 2001; amended Sept. 16, 2015, to take
effect Jan. 1, 2016.)
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
Sec. Sec.
1 ........... ............1-1
None.........1A...........1-2
2 ........... ............1-3
3 ........... ............1-4
4 ........... ............1-5
5 ........... ............1-6
5A........... ............1-7
6 ........... ............1-8
7 ........... ............1-9
7ATitle........ ............None
7B........... ............1-10
7C .......... ............1-11
8 ........... ............2-1
9 ........... ............2-2
10Title........ ............None
11........... ............2-3
12........... ............2-4
13........... ............2-5
14........... ............2-6
15A.......... ............2-7
16........... ............2-8
17........... ............2-9
18........... ............2-10
18A.......... ............2-11
19........... ............2-12
20Title........ ............None
21........... ............2-13
22........... ............2-14
23........... ............2-15
24........... ............2-16
24ATitle....... ............None
24B.......... ............2-17
24C.......... ............2-18
24D.......... ............2-19
24E.......... ............2-20
24F.......... ............2-21
25........... ............2-22
26........... ............2-23
26A.......... ............2-24
26B.......... ............2-25
27........... ............2-26
27A.......... ............2-27
27A.1......... ............2-28
27B.......... ............2-29
27CTitle....... ............None
27D.......... ............2-30
27E.......... ............2-31
27F.......... ............2-32
27G.......... ............2-33
27H.......... ............2-34
27J.......... ............2-35
27M.......... ............2-36
27M.1......... ............2-37
27N.......... ............2-38
28Title........ ............None
* Rules repealed prior to 1995 are not represented in this table.
505
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P.B. 1978-1997 CLJ P.B. 1998
Sec. Sec.
28A.......... ............2-39
28B.......... ............2-40
28B.1......... ............2-41
28C.......... ............2-42
28D.......... ............2-43
29........... ............2-44
30........... ............2-45
30A.......... ............2-46
31........... ............2-47
31A.......... ............2-48
31B.......... ............2-49
32........... ............2-50
34........... ............2-51
35........... ............2-52
36........... ............2-53
36A.......... ............2-54
37........... ............2-55
38Title........ ............None
39........... ............2-56
40........... ............2-57
41........... ............2-58
42........... ............2-59
44........... ............2-60
45........... ............2-61
46........... ............2-62
46A.......... ............2-63
46B.......... ............2-64
46C.......... ............2-65
47........... ............2-66
48........... ............2-67
48A.......... ............None
49........... ............8-1
50........... ............8-2
51........... ............8-3
52........... ............8-4
53........... ............8-5
54........... ............8-6
55........... ............8-7
56........... ............8-8
57........... ............8-9
58........... ............8-10
59........... ............8-11
60........... ............8-12
63Title........ ............None
64(a).........7P...........3-1
64(b).........7Q...........3-2
64(b).........7R...........3-3
64(c).........7S...........3-4
None.........7T...........3-5
None.........7U...........3-6
None.........7V...........3-7
65...........7W ..........3-8
68...........7CC..........3-14
69...........7DD..........3-15
70...........7EE..........3-16
REFERENCE TABLE
P.B. 1978-1997 CLJ P.B. 1998
Sec. Sec.
71...........7FF..........3-17
72...........7GG..........3-18
73...........7HH..........3-19
74...........7II...........3-20
75...........7JJ..........3-21
76...........7Z...........3-11
77...........7X...........3-9
77(d).........7Y...........3-10
78...........7AA..........3-12
79...........7BB..........3-13
80........... ............9-1
81........... ............9-2
82Title........ ............None
83........... ............9-3
84........... ............9-4
84A.......... ............9-5
85........... ............9-6
86Title........ ............None
87........... ............9-7
88........... ............9-8
89........... ............9-9
90........... ............9-10
91........... ............9-11
92........... ............9-12
93........... ............9-13
94........... ............9-14
95........... ............9-15
96........... ............9-16
97........... ............9-17
98Title........ ............None
99........... ............9-18
100.......... ............9-19
101.......... ............9-20
102.......... ............9-21
103.......... ............9-22
104.......... ............9-23
105.......... ............9-24
106.......... ............9-25
107Title....... ............None
108.......... ............10-1
109.......... ............10-2
109A......... ............10-3
110.......... ............10-4
111.......... ............10-5
112.......... ............10-6
113.......... ............10-7
114.......... ............10-8
115.......... ............10-9
116.......... ............10-10
117.......... ............10-11
118..........7KK..........4-1
119..........7LL..........4-2
120Title....... ............None
121.......... ............10-12
122.......... ............10-13
123.......... ............10-14
124.......... ............10-15
125.......... ............10-16
126.......... ............10-17
127..........7MM .........4-3
506
Copyrighted by the Secretary of the State of the State of Connecticut
P.B. 1978-1997 CLJ P.B. 1998
Sec. Sec.
128.......... ............10-18
129.......... ............10-19
130Title....... ............None
131.......... ............10-20
132Title....... ............None
133.......... ............10-21
134.......... ............10-22
135.......... ............10-23
136.......... ............10-24
137.......... ............10-25
138.......... ............10-26
139.......... ............10-27
140.......... ............10-28
141.......... ............10-29
142.......... ............10-30
143.......... ............10-31
144.......... ............10-32
145.......... ............10-33
146.......... ............10-34
147.......... ............10-35
148.......... ............10-36
149.......... ............10-37
150.......... ............10-38
151Title....... ............None
152.......... ............10-39
153.......... ............10-40
154.......... ............10-41
155.......... ............10-42
156.......... ............10-43
157.......... ............10-44
158.......... ............10-45
159Title....... ............None
160.......... ............10-46
161.......... ............10-47
162.......... ............10-48
163.......... ............10-49
164.......... ............10-50
165.......... ............10-51
166.......... ............10-52
167.......... ............10-53
168.......... ............10-54
169.......... ............10-55
170Title....... ............None
171.......... ............10-56
172.......... ............10-57
173.......... ............10-58
174Title....... ............None
175.......... ............10-59
176.......... ............10-60
177.......... ............10-61
178.......... ............10-62
179.......... ............10-63
180.......... ............10-64
181.......... ............10-65
182.......... ............10-66
183.......... ............10-67
184Title....... ............None
185.......... ............10-68
186.......... ............10-69
187.......... ............10-70
REFERENCE TABLE
P.B. 1978-1997 CLJ P.B. 1998
Sec. Sec.
189.......... ............10-71
190.......... ............10-72
191.......... ............10-73
192.......... ............10-74
193.......... ............10-75
194.......... ............10-76
195.......... ............10-77
195A......... ............10-78
195B......... ............10-79
196.......... ............11-1
197.......... ............11-2
198.......... ............11-3
199.......... ............11-4
200.......... ............11-5
201.......... ............11-6
202.......... ............11-7
202A......... ............11-8
203.......... ............11-9
204.......... ............11-10
204A......... ............11-11
204B......... ............11-12
205Title....... ............None
206.......... ............11-13
207.......... ............11-14
208.......... ............11-15
209.......... ............11-16
210.......... ............11-17
211.......... ............11-18
211A......... ............11-19
211B......... ............11-20
212.......... ............12-1
213.......... ............12-2
215.......... ............12-3
216.......... ............13-1
217Title....... ............None
218.......... ............13-2
219.......... ............13-3
220.......... ............13-4
221.......... ............13-5
222Title....... ............None
223.......... ............13-6
224.......... ............13-7
225.......... ............13-8
226Title....... ............None
227.......... ............13-9
228.......... ............13-10
229.......... ............13-11
230.......... ............13-12
230A......... ............13-13
231.......... ............13-14
232.......... ............13-15
233.......... ............13-16
234.......... ............13-17
235.......... ............13-18
236.......... ............13-19
236A......... ............13-20
236B......... ............13-21
237Title....... ............None
238.......... ............13-22
239.......... ............13-23
507
Copyrighted by the Secretary of the State of the State of Connecticut
P.B. 1978-1997 CLJ P.B. 1998
Sec. Sec.
240.......... ............13-24
241.......... ............13-25
242Title....... ............None
243.......... ............13-26
244.......... ............13-27
245.......... ............13-28
246.......... ............13-29
247.......... ............13-30
248.......... ............13-31
249.......... ............13-32
250..........7CCC.........7-1
250A......... ............14-1
250B......... ............14-2
251.......... ............14-3
252Title....... ............None
253.......... ............None
254.......... ............14-4
255.......... ............14-5
256.......... ............14-6
257.......... ............14-7
258.......... ............14-8
259.......... ............14-9
260.......... ............14-10
262Title....... ............None
263.......... ............14-11
264.......... ............14-12
265.......... ............14-13
267.......... ............None
268.......... ............14-14
269Title....... ............None
270.......... ............14-15
271.......... ............14-16
272.......... ............None
273.......... ............14-17
274.......... ............14-18
274A......... ............14-19
276.......... ............14-20
277.......... ............14-21
278.......... ............14-22
279.......... ............14-23
280.......... ............14-24
281.......... ............14-25
282.......... ............None
283.......... ............15-1
284.......... ............15-2
284A......... ............15-3
285A.........7NN..........5-1
286..........7PP..........5-3
287..........7QQ..........5-4
288..........7RR..........5-5
289..........7SS..........5-6
290.......... ............15-4
291..........7TT..........5-7
292Title....... ............None
293..........7UU..........5-8
294..........7VV..........5-9
295.......... ............15-5
296.......... ............15-6
297.......... ............15-7
299..........7D...........1-12
REFERENCE TABLE
P.B. 1978-1997 CLJ P.B. 1998
Sec. Sec.
300..........7F...........1-13
301.......... ............None
302.......... ............15-8
303.......... ............16-4(c)
303A......... ............16-1
None.........303B.........16-2
None.........303C.........16-3
304.......... ............16-4
None.........304A.........16-5
305.......... ............16-6
305A......... ............16-7
None.........305B.........16-8
306.......... ............16-9
307.......... ............16-10
308.......... ............16-11
None.........308A.........16-12
309.......... ............16-13
309A......... ............16-14
309B......... ............16-15
None.........309C.........16-16
311.......... ............16-17
312.......... ............16-18
313.......... ............16-19
314Title....... ............None
315.......... ............16-20
316.......... ............16-21
317.......... ............16-22
318.......... ............16-23
318A......... ............16-24
None.........318B.........16-25
None.........318C.........16-26
None.........318D.........16-27
None.........318E.........16-28
None.........318F .........16-29
None.........318G.........16-30
None.........318H.........16-31
None.........318I..........16-32
None.........318J .........16-33
None.........318K.........16-34
319Title....... ............None
320.......... ............16-35
320A......... ............16-36
321.......... ............16-37
322.......... ............16-38
323.......... ............17-1
324.......... ............17-2
325.......... ............17-3
326.......... ............17-4
327.......... ............17-5
328.......... ............17-6
329.......... ............None
330.......... ............None
331Title....... ............None
332.......... ............17-7
333.......... ............17-8
334.......... ............17-9
334A.........7XX..........6-1
335Title....... ............None
336..........7YY..........6-2
337..........7ZZ..........6-3
508
Copyrighted by the Secretary of the State of the State of Connecticut
P.B. 1978-1997 CLJ P.B. 1998
Sec. Sec.
338..........7AAA.........6-4
339..........7BBB.........6-5
340.......... ............17-10
341Title....... ............None
342.......... ............17-11
343.......... ............17-12
344.......... ............17-13
345Title....... ............None
346.......... ............17-14
347.......... ............17-15
348.......... ............17-16
349.......... ............17-17
350.......... ............17-18
351.......... ............17-19
352.......... ............17-20
353.......... ............17-21
354.......... ............17-22
355Title....... ............None
356.......... ............17-23
357.......... ............17-24
358.......... ............17-25
359.......... ............17-26
360.......... ............17-27
360A......... ............None
361.......... ............17-28
362.......... ............17-29
362A......... ............17-30
363.......... ............17-31
363A......... ............17-32
364.......... ............17-33
365Title....... ............None
367.......... ............17-34
368.......... ............17-35
369.......... ............17-36
370.......... ............None
371.......... ............17-37
372.......... ............17-38
373.......... ............17-39
374.......... ............17-40
375.......... ............17-41
376.......... ............17-42
377.......... ............17-43
378Title....... ............None
379.......... ............17-44
380.......... ............17-45
381.......... ............17-46
382.......... ............17-47
383.......... ............17-48
384.......... ............17-49
385.......... ............17-50
386.......... ............17-51
387.......... ............17-52
387A......... ............17-53
388Title....... ............None
389.......... ............17-54
390.......... ............17-55
391.......... ............17-56
392.......... ............17-57
393.......... ............17-58
394.......... ............17-59
REFERENCE TABLE
P.B. 1978-1997 CLJ P.B. 1998
Sec. Sec.
395..........7DDD.........7-2
395A......... ............7-19
396..........7EEE.........7-3
397..........7FFF.........7-4
397A......... ............7-20
397B.........7TTT.........7-18
398..........7GGG.........7-5
399..........7HHH.........7-6
400..........7III ..........7-7
401.......... ............7-21
402..........7JJJ..........7-8
403..........7KKK.........7-9
403ATitle...... ............None
403B.........7LLL .........7-10
403C.........7MMM ........7-11
403D.........7NNN.........7-12
403E.........7OOO.........7-13
403F.........7PPP.........7-14
403G.........7QQQ.........7-15
403H.........7RRR.........7-16
405..........7SSS.........7-17
406.......... ............None
407.......... ............18-1
408.......... ............None
409.......... ............18-2
410.......... ............18-3
411.......... ............18-4
412.......... ............18-5
413.......... ............18-6
414.......... ............18-7
415.......... ............18-8
416.......... ............18-9
417.......... ............18-10
418.......... ............18-11
419.......... ............18-12
420.......... ............18-13
421.......... ............18-14
422.......... ............18-15
423.......... ............18-16
424.......... ............18-17
425.......... ............18-18
427.......... ............18-19
428.......... ............19-1
429.......... ............19-2
430.......... ............19-3
430A......... ............19-4
431.......... ............19-5
432.......... ............19-6
433.......... ............19-7
434.......... ............19-8
435.......... ............19-9
436.......... ............19-10
437.......... ............19-11
438.......... ............19-12
439.......... ............19-13
440.......... ............19-14
441.......... ............19-15
442.......... ............19-16
443.......... ............19-17
444.......... ............19-18
509
Copyrighted by the Secretary of the State of the State of Connecticut
P.B. 1978-1997 CLJ P.B. 1998
Sec. Sec.
445.......... ............19-19
446.......... ............20-1
447.......... ............20-2
448.......... ............20-3
449.......... ............20-4
450.......... ............20-5
451.......... ............20-6
452Title....... ............None
453..........1201 .........25-2
454..........1207 .........25-7
455..........1208 .........25-8
456..........1209 .........25-9
457..........1210 .........25-10
458..........1255 .........25-53
459.......... ............None
460.......... ............None
461..........1229 .........25-28
462..........1230 .........25-29
463..........1231 .........25-30
464..........1227 .........25-26
464A.........1236 .........25-35
465Title....... ............None
466.......... ............None
467.......... ............None
468.......... ............None
469.......... ............None
470.......... ............None
471.......... ............None
472..........1237 .........25-36
473..........1238 .........25-37
474.......... ............None
475.......... ............None
476..........1259 .........25-57
477..........1260 .........25-58
478..........1261 .........25-59
479..........1262 .........25-60
479A.........1267 .........25-65
479B.........1268 .........25-66
481..........1269 .........25-67
481A.........1271 .........25-69
484..........1264 .........25-62
484A.........1265 .........25-63
484B.........1266 .........25-64
484C.........1270 .........25-68
485.......... ............21-1
486.......... ............21-2
487.......... ............21-3
488.......... ............21-4
489.......... ............21-5
490.......... ............21-6
491Title....... ............None
492.......... ............21-7
493.......... ............21-8
494.......... ............21-9
495.......... ............21-10
496.......... ............21-11
497.......... ............21-12
498.......... ............21-13
499.......... ............21-14
500.......... ............21-15
REFERENCE TABLE
P.B. 1978-1997 CLJ P.B. 1998
Sec. Sec.
501.......... ............21-16
502.......... ............21-17
503.......... ............21-18
504Title....... ............None
505.......... ............21-19
506.......... ............21-20
507.......... ............21-21
508.......... ............21-22
509.......... ............21-23
510.......... ............21-24
511A......... ............22-1
511B......... ............22-2
514.......... ............22-3
515Title....... ............None
515A......... ............22-4
516.......... ............22-5
516A......... ............22-6
518.......... ............22-7
518A......... ............22-8
519.......... ............22-9
525.......... ............23-1
525A......... ............23-2
525B......... ............23-3
525C......... ............23-4
525D......... ............23-5
525E......... ............23-6
525F......... ............23-7
525G......... ............23-8
525H......... ............23-9
525I.......... ............23-10
525J ......... ............23-11
525K......... ............23-12
526.......... ............23-16
526A......... ............23-17
None.........526L .........23-13
None.........526M.........23-14
None.........526N.........23-15
527.......... ............23-18
528.......... ............23-19
528A......... ............23-20
529.......... ............23-21
529A......... ............23-22
529B......... ............23-23
529C......... ............23-24
529D......... ............23-25
529E......... ............23-26
529F......... ............23-27
529G......... ............23-28
529H......... ............23-29
529I.......... ............23-30
529J ......... ............23-31
529K......... ............23-32
529L......... ............23-33
529M......... ............23-34
529N......... ............23-35
529O......... ............23-36
529P......... ............23-37
529Q......... ............23-38
529R......... ............23-39
529S......... ............23-40
510
Copyrighted by the Secretary of the State of the State of Connecticut
P.B. 1978-1997 CLJ P.B. 1998
Sec. Sec.
529T......... ............23-41
529U......... ............23-42
530.......... ............None
531.......... ............None
532.......... ............None
533.......... ............None
534.......... ............None
535.......... ............None
536.......... ............None
537Title....... ............None
538.......... ............23-43
539.......... ............23-44
540Title....... ............None
541.......... ............23-45
542.......... ............23-46
543.......... ............23-47
544.......... ............23-48
545.......... ............23-49
546.......... ............23-50
546A......... ............23-51
546BTitle...... ............None
546C......... ............23-52
546D......... ............23-53
546E......... ............23-54
546F......... ............23-55
546G......... ............23-56
546H......... ............23-57
546J ......... ............23-58
546K......... ............23-59
546LTitle ...... ............None
546M......... ............23-60
546N......... ............23-61
546O......... ............23-62
546P......... ............23-63
546Q......... ............23-64
546R......... ............23-65
546S......... ............23-66
546T......... ............23-67
547.......... ............24-1
548.......... ............24-2
549.......... ............24-3
550.......... ............24-4
551.......... ............24-5
552.......... ............24-6
553.......... ............24-7
555Title....... ............None
556.......... ............24-8
557.......... ............24-9
559.......... ............24-10
561.......... ............24-11
562.......... ............24-12
563.......... ............24-13
564.......... ............24-14
565.......... ............24-15
566Title....... ............None
567.......... ............24-16
568.......... ............24-17
569.......... ............24-18
570.......... ............24-19
571.......... ............24-20
REFERENCE TABLE
P.B. 1978-1997 CLJ P.B. 1998
Sec. Sec.
572.......... ............24-21
573Title....... ............None
574.......... ............24-22
575.......... ............24-23
576Title....... ............None
577.......... ............24-24
578.......... ............24-25
579.......... ............24-26
580.......... ............24-27
581.......... ............24-28
582.......... ............24-29
583.......... ............24-30
584.......... ............24-31
585.......... ............24-32
589Title....... ............None
590.......... ............24-33
592Title....... ............None
593.......... ............36-1
593A......... ............36-2
594.......... ............36-3
595.......... ............36-4
596.......... ............36-5
597.......... ............36-6
598Title....... ............None
599.......... ............36-7
600Title....... ............None
601.......... ............36-8
602.......... ............36-9
603.......... ............36-10
604Title....... ............None
615Title....... ............None
616.......... ............36-11
617.......... ............36-12
618.......... ............36-13
619.......... ............36-14
620.......... ............36-15
621Title....... ............None
622.......... ............36-16
623.......... ............36-17
624.......... ............36-18
625.......... ............36-19
626.......... ............36-20
627.......... ............36-21
628.......... ............36-22
629.......... ............None
630.......... ............None
631.......... ............None
632.......... ............None
633.......... ............None
634Title....... ............None
635.......... ............37-1
635A......... ............37-2
636Title....... ............None
637.......... ............37-3
638.......... ............37-4
639Title....... ............None
640.......... ............37-5
641.......... ............37-6
642Title....... ............None
643.......... ............37-7
511
Copyrighted by the Secretary of the State of the State of Connecticut
P.B. 1978-1997 CLJ P.B. 1998
Sec. Sec.
644.......... ............37-8
645.......... ............37-9
646Title....... ............None
647.......... ............37-10
648.......... ............37-11
649Title....... ............None
650.......... ............37-12
652Title....... ............None
653Title....... ............None
654.......... ............38-1
655Title....... ............None
656.......... ............38-2
657.......... ............38-3
658.......... ............38-4
659.......... ............38-5
660Title....... ............None
661.......... ............38-6
662Title....... ............None
663.......... ............38-7
664.......... ............38-8
665.......... ............38-9
666.......... ............38-10
668.......... ............38-11
669.......... ............38-12
670.......... ............None
671Title....... ............None
672Title....... ............None
673.......... ............38-13
674.......... ............38-14
675.......... ............38-15
675A......... ............38-16
676.......... ............38-17
677.......... ............38-18
680Title....... ............None
681Title....... ............None
682.......... ............38-19
683.......... ............38-20
684.......... ............38-21
None.........684A.........38-22
685.......... ............38-23
686Title....... ............None
687.......... ............39-1
688.......... ............39-2
689.......... ............39-3
690.......... ............39-4
691Title....... ............None
692.......... ............39-5
693.......... ............39-6
694.......... ............39-7
695Title....... ............None
696.......... ............39-8
697.......... ............39-9
698.......... ............39-10
699Title....... ............None
700.......... ............39-11
701.......... ............39-12
702.......... ............39-13
703Title....... ............None
704.......... ............39-14
705.......... ............39-15
REFERENCE TABLE
P.B. 1978-1997 CLJ P.B. 1998
Sec. Sec.
706.......... ............39-16
707.......... ............39-17
708Title....... ............None
709.......... ............39-18
710Title....... ............None
711.......... ............39-19
712.......... ............39-20
713.......... ............39-21
714Title....... ............None
715.......... ............39-22
716.......... ............39-23
717.......... ............39-24
718.......... ............39-25
719Title....... ............None
720.......... ............39-26
721.......... ............39-27
722.......... ............39-28
723Title....... ............None
724Title....... ............None
725.......... ............39-29
726.......... ............39-30
727.......... ............39-31
728.......... ............39-32
730.......... ............39-33
731Title....... ............None
732.......... ............40-1
733.......... ............40-2
734.......... ............40-3
735.......... ............40-4
735A......... ............40-5
736Title....... ............None
737.......... ............40-6
737A......... ............40-7
737B......... ............40-8
738.......... ............40-9
739.......... ............40-10
740Title....... ............None
741.......... ............40-11
742.......... ............40-12
743.......... ............40-13
744.......... ............None
745.......... ............None
746.......... ............40-14
747.......... ............None
748Title....... ............None
749.......... ............40-15
750.......... ............None
751Title....... ............None
752.......... ............None
753.......... ............None
754.......... ............40-16
755.......... ............None
756Title....... ............None
757Title....... ............None
758.......... ............40-17
759.......... ............40-18
760.......... ............40-19
760A......... ............40-20
761.......... ............None
762Title....... ............None
512
Copyrighted by the Secretary of the State of the State of Connecticut
P.B. 1978-1997 CLJ P.B. 1998
Sec. Sec.
763.......... ............40-21
764.......... ............40-22
765.......... ............40-23
766.......... ............None
767.......... ............40-24
768.......... ............40-25
769.......... ............40-26
769A......... ............40-27
770.......... ............40-28
771.......... ............40-29
772.......... ............40-30
773.......... ............40-31
774.......... ............None
775Title....... ............None
776.......... ............40-32
777.......... ............40-33
778.......... ............40-34
779.......... ............40-35
780.......... ............40-36
781.......... ............40-37
782.......... ............40-38
783.......... ............40-39
784Title....... ............None
785.......... ............40-40
786.......... ............40-41
787.......... ............40-42
788.......... ............40-43
789Title....... ............None
790Title....... ............None
791.......... ............40-44
792.......... ............40-45
793.......... ............40-46
794.......... ............40-47
795.......... ............40-48
796.......... ............40-49
797.......... ............40-50
798.......... ............40-51
799.......... ............40-52
800.......... ............40-53
801.......... ............40-54
802.......... ............40-55
803.......... ............40-56
804.......... ............40-57
805.......... ............40-58
806Title....... ............None
807.......... ............41-1
808.......... ............41-2
809.......... ............41-3
810.......... ............41-4
811.......... ............41-5
812.......... ............41-6
813.......... ............41-7
814Title....... ............None
815.......... ............41-8
816.......... ............41-9
817.......... ............41-10
818.......... ............41-11
820Title....... ............None
821.......... ............41-12
822.......... ............41-13
REFERENCE TABLE
P.B. 1978-1997 CLJ P.B. 1998
Sec. Sec.
823.......... ............41-14
824.......... ............41-15
825.......... ............41-16
826.......... ............41-17
827Title....... ............None
828.......... ............41-18
829.......... ............41-19
830Title....... ............None
831.......... ............41-20
832.......... ............41-21
833.......... ............41-22
834Title....... ............None
835.......... ............41-23
836.......... ............41-24
837.......... ............41-25
838Title....... ............None
839.......... ............42-1
840.......... ............42-2
841.......... ............42-3
842.......... ............42-4
843.......... ............42-5
844.......... ............42-6
845.......... ............42-7
845A......... ............42-8
845B......... ............42-9
846Title....... ............None
846A......... ............42-10
847.......... ............42-11
848.......... ............42-12
849.......... ............42-13
850.......... ............42-14
850A.........7RR..........5-5
850B......... ............42-15
851Title....... ............None
852.......... ............42-16
853.......... ............42-17
854.......... ............42-18
854A......... ............42-19
855.......... ............42-20
856.......... ............42-21
857.......... ............42-22
858.......... ............42-23
859Title....... ............None
860.......... ............42-24
861.......... ............42-25
862Title....... ............None
863.......... ............42-26
864.......... ............42-27
865.......... ............42-28
866Title....... ............None
867.......... ............42-29
868.......... ............42-30
869.......... ............42-31
870.......... ............42-32
871.......... ............42-33
872.......... ............42-34
873Title....... ............None
874.......... ............42-35
875..........7QQ..........5-4
876.......... ............42-36
513
Copyrighted by the Secretary of the State of the State of Connecticut
P.B. 1978-1997 CLJ P.B. 1998
Sec. Sec.
877.......... ............None
878Title....... ............None
879.......... ............42-37
880.......... ............42-38
881.......... ............42-39
882Title....... ............None
883.......... ............42-40
884.......... ............42-41
885.......... ............42-42
886Title....... ............None
887.......... ............42-43
888.......... ............42-44
889.......... ............42-45
890Title....... ............None
891Title....... ............None
892.......... ............42-46
893.......... ............42-47
894.......... ............42-48
895.......... ............42-49
896Title....... ............None
897Title....... ............None
898.......... ............42-50
899.......... ............42-51
900.......... ............42-52
901Title....... ............None
902.......... ............42-53
903.......... ............42-54
904.......... ............42-55
905.......... ............42-56
906Title....... ............None
907.......... ............43-1
908.......... ............43-2
909Title....... ............None
910.......... ............43-3
911.......... ............43-4
912.......... ............43-5
913.......... ............43-6
914Title....... ............None
915.......... ............43-7
916.......... ............43-8
917.......... ............43-9
918Title....... ............None
919.......... ............43-10
920Title....... ............None
921.......... ............43-11
922.......... ............43-12
923Title....... ............None
924.......... ............43-13
925.......... ............43-14
926.......... ............43-15
927.......... ............43-16
928Title....... ............None
929.......... ............43-17
930Title....... ............None
931.......... ............43-18
932.......... ............43-19
932A......... ............43-20
933Title....... ............None
934.......... ............43-21
935.......... ............43-22
REFERENCE TABLE
P.B. 1978-1997 CLJ P.B. 1998
Sec. Sec.
936Title....... ............None
937.......... ............43-23
938.......... ............43-24
939.......... ............43-25
940.......... ............43-26
941.......... ............43-27
942.......... ............43-28
943.......... ............43-29
944.......... ............None
945.......... ............43-30
946Title....... ............None
947.......... ............43-31
948.......... ............43-32
949Title....... ............None
950.......... ............43-33
951Title....... ............None
952.......... ............43-34
953.......... ............43-35
954.......... ............43-36
955.......... ............43-37
956.......... ............43-38
956ATitle...... ............None
956B......... ............43-39
956C......... ............43-40
956D......... ............43-41
956E......... ............43-42
956F......... ............43-43
957Title....... ............None
958Title....... ............None
959.......... ............44-1
960.......... ............44-2
961.......... ............44-3
962Title....... ............None
963.......... ............44-4
964.......... ............44-5
965.......... ............44-6
966Title....... ............None
967.......... ............44-7
968.......... ............44-8
969.......... ............44-9
970.......... ............44-10
971Title....... ............None
972.......... ............44-11
973.......... ............44-12
974Title....... ............None
975.......... ............44-13
976.......... ............44-14
977.......... ............44-15
978.......... ............44-16
979.......... ............44-17
980Title....... ............None
981.......... ............44-18
982.......... ............None
983..........7WW.........5-10
984Title....... ............None
985..........7F...........1-14
986..........7G...........1-15
987Title....... ............None
988..........7H...........1-16
989..........7I...........1-17
514
Copyrighted by the Secretary of the State of the State of Connecticut
P.B. 1978-1997 CLJ P.B. 1998
Sec. Sec.
990Title....... ............None
991..........7J...........1-18
992..........7K...........1-19
993..........7L...........1-20
994..........7M ..........1-21
995Title....... ............None
996..........7N...........1-22
997..........7O...........1-23
997A......... ............44-19
998.......... ............44-20
999Title....... ............None
1000......... ............44-21
1002......... ............44-22
1003Title ...... ............None
1004......... ............44-23
1005......... ............44-24
1006Title ...... ............None
1007......... ............44-25
1008......... ............44-26
1008A ........ ............44-27
1009Title ...... ............None
1010......... ............44-28
1011......... ............44-29
1011A Title. . . . . . . . . . . . . . . . . . None
1011D ........ ............44-30
1011E . . . . . . . . 7TTT . . . . . . . . . 7-18
1012A ........ ............44-31
1013Title ...... ............None
1014......... ............44-32
1015......... ............44-33
1016......... ............44-34
1017......... ............44-35
1018......... ............None
1019......... ............None
1020......... ............None
1020A ........ ............44-36
1021......... ............44-37
1023.1........ ............26-1
1024.1(1)....... ............27-1
1024.1(2)....... ............27-2
1025.1(1)....... ............27-3
1025.1(2)....... ............27-4
1025.1(3)....... ............27-5
1025.1(4)....... ............27-5
1025.1(5)....... ............27-7
1025.1(6)....... ............27-7
1025.1(7)....... ............27-8
1025.1(8)....... ............27-6
1025.1(9)....... ............27-6
1026.1........ ............28-1
1027.1(1)....... ............29-1
1027.1(2)....... ............29-1
1027.1(3)....... ............29-2
1027.1(4)....... ............29-2
1030.1(1)....... ............30-1
1030.1(2)....... ............30-2
1030.1(3)....... ............30-3
1030.1(4)....... ............30-4
1031.1(1)....... ............30-5
1031.1(2)....... ............30-6
REFERENCE TABLE
P.B. 1978-1997 CLJ P.B. 1998
Sec. Sec.
1031.1(3)....... ............30-7
1031.1(4)....... ............30-8
1032.1(1)....... ............30-9
1032.1(2), (3) . . . . . . . . . . . . . . . . 30-10
1032.1(4)....... ............30-11
1033.1(1)....... ............31-1
1033.1(2)....... ............31-1
1033.1(3)....... ............31-1
1033.1(4)....... ............31-2
1033.1(5)....... ............31-3
1033.1(6)....... ............31-4
1034.1(1)....... ............31-5
1034.1(2)....... ............31-6
1034.1(3)....... ............31-6
1034.1(4)....... ............31-7
1030.1(5)....... ............31-8
1030.1(6)....... ............31-9
1035.1........ ............31-10
1036.1........ ............31-11
1037.1........ ............31-12
1038.1........ ............31-13
1040.1(1)....... ............32-1
1040.1(2)....... ............32-1
1040.1(3)....... ............32-2
1040.1(4)....... ............32-2
1040.1(5)....... ............32-3
1040.1(6)....... ............32-4
1040.1(7)....... ............32-5
1041.1(1)....... ............32-6
1041.1(2)....... ............32-7
1041.1(3)....... ............32-8
1041.1(4)....... ............32-9
1042.1(1)....... ............33-1
1042.1(2)....... ............33-1
1042.1(3)....... ............33-2
1042.1(4)....... ............33-3
1042.1(5)....... ............33-4
1042.1(6)....... ............33-3
1043.1(1)....... ............33-5
1043.1(2)....... ............33-5
1043.1(3)....... ............33-6
1043.1(4)....... ............33-7
1044.1........ ............33-8
1045.1(1)....... ............33-9
1045.1(2)....... ............33-10
1045.1(3)....... ............33-11
1046.1........ ............33-12
1047.1........ ............33-13
1048.1........ ............34-1
1049.1........ ............34-2
1050.1........ ............34-3
1051.1........ ............34-4
1055.1........ ............35-1
1056.1........ ............None
1057.1........ ............35-2
1058.1........ ............35-3
1059.1........ ............35-4
1060.1........ ............35-5
1061.1........ ............None
1062.1........ ............None
515
Copyrighted by the Secretary of the State of the State of Connecticut
P.B. 1978-1997 CLJ P.B. 1998
Sec. Sec.
None.........1200 .........25-1
[453].........1201 .........25-2
None.........1202 .........25-3
None.........1203 .........25-4
None.........1204 .........25-5
None.........1205 .........25-6
[454].........1207 .........25-7
[455].........1208 .........25-8
[456].........1209 .........25-9
[457] . . . . . . . . . 1210 . . . . . . . . . 25-10
None.........1211 .........25-11
None.........1212 .........25-12
None.........1213 .........25-13
None.........1214 .........25-14
None.........1215 .........25-15
None.........1217 .........25-16
None.........1218 .........25-17
None.........1219 .........25-18
None.........1220 .........25-19
None.........1221 .........25-20
None.........1222 .........25-21
None.........1223 .........25-22
None.........1224 .........25-23
None.........1225 .........25-24
None.........1226 .........25-25
[464] . . . . . . . . . 1227 . . . . . . . . . 25-26
None.........1228 .........25-27
[461] . . . . . . . . . 1229 . . . . . . . . . 25-28
[462] . . . . . . . . . 1230 . . . . . . . . . 25-29
[463] . . . . . . . . . 1231 . . . . . . . . . 25-30
None.........1232 .........25-31
None.........1233 .........25-32
None.........1234 .........25-33
None.........1235 .........25-34
[464A] . . . . . . . . 1236 . . . . . . . . . 25-35
[472] . . . . . . . . . 1237 . . . . . . . . . 25-36
[473] . . . . . . . . . 1238 . . . . . . . . . 25-37
None.........1239 .........25-38
None.........1240 .........25-39
None.........1242 .........25-40
None.........1243 .........25-41
None.........1244 .........25-42
None.........1245 .........25-43
None.........1246 .........25-44
None.........1247 .........25-45
None.........1248 .........25-46
None.........1249 .........25-47
None.........1250 .........25-48
None.........1251 .........25-49
None.........1252 .........25-50
None.........1253 .........25-51
None.........1254 .........25-52
[458] . . . . . . . . . 1255 . . . . . . . . . 25-53
None.........1256 .........25-54
None.........1257 .........25-55
None.........1258 .........25-56
[476] . . . . . . . . . 1259 . . . . . . . . . 25-57
[477] . . . . . . . . . 1260 . . . . . . . . . 25-58
[478] . . . . . . . . . 1261 . . . . . . . . . 25-59
[479] . . . . . . . . . 1262 . . . . . . . . . 25-60
REFERENCE TABLE
P.B. 1978-1997 CLJ P.B. 1998
Sec. Sec.
None.........1263 .........25-61
[484] . . . . . . . . . 1264 . . . . . . . . . 25-62
[484A] . . . . . . . . 1265 . . . . . . . . . 25-63
[484B] . . . . . . . . 1266 . . . . . . . . . 25-64
[479A] . . . . . . . . 1267 . . . . . . . . . 25-65
[479B] . . . . . . . . 1268 . . . . . . . . . 25-66
[481] . . . . . . . . . 1269 . . . . . . . . . 25-67
[484C] . . . . . . . . 1270 . . . . . . . . . 25-68
[481A] . . . . . . . . 1271 . . . . . . . . . 25-69
4000......... ............61-1
4001A ........ ............60-4
4002A ........ ............61-2
4002B ........ ............61-3
4002C ........ ............61-4
4002D ........ ............61-5
4003......... ............61-6
4004......... ............61-7
4005......... ............61-8
4006......... ............61-9
4007......... ............61-10
4009......... ............63-1
4010......... ............63-2
4011Title ...... ............None
4012......... ............63-3
4013......... ............63-4
4014......... ............62-7
4015......... ............63-5
4016Title ...... ............None
4017......... ............63-6
4018......... ............63-7
4019......... ............63-8
4022Title ...... ............None
4023......... ............65-1
4024......... ............65-2
4025......... ............65-3
4026......... ............None
4027......... ............65-4
4028......... ............62-1
4029......... ............62-2
4030......... ............62-6
4031......... ............62-3
4032......... ............62-4
4033......... ............62-5
4034......... ............62-8
4035......... ............62-9
4036......... ............62-10
4037......... ............62-11
4038......... ............63-9
4040......... ............66-1
4041......... ............66-2
4042......... ............66-3
4043......... ............66-4
4045Title ...... ............None
4046......... ............61-11
4047......... ............61-12
4048......... ............61-13
4049......... ............61-14
4050......... ............71-7
4051......... ............66-5
4052Title ...... ............None
516
Copyrighted by the Secretary of the State of the State of Connecticut
P.B. 1978-1997 CLJ P.B. 1998
Sec. Sec.
4053......... ............66-6
4054......... ............66-7
4055......... ............None
4056......... ............66-8
4058Title ...... ............None
4059......... ............64-1
4060......... ............64-2
4061......... ............60-5
4064......... ............67-1
4064A ........ ............67-2
4064B ........ ............67-3
4064C ........ ............67-4
4064D ........ ............67-5
4064E ........ ............67-6
4064F ........ ............67-7
4064G........ ............67-8
4064H ........ ............67-9
4064J......... ............67-10
4065 through 4078 . . . . . . . . . . . . . None
4083Title ...... ............None
4084......... ............68-1
4085......... ............68-2
4086......... ............68-3
4087......... ............68-4
4090......... ............68-5
4091......... ............68-6
4092......... ............68-7
4093......... ............68-8
4094......... ............68-9
4095......... ............68-10
4096......... ............68-11
4100......... ............69-1
4101......... ............69-2
4102......... ............70-2
4103......... ............63-10
4104......... ............69-3
4106......... ............70-1
4107......... ............70-3
4108......... ............70-4
4109......... ............70-5
4111......... ............70-6
4112......... ............70-7
4115......... ............70-8
4116A ........ ............70-9
4116B ........ ............70-10
4117......... ............71-1
4118......... ............71-2
4119......... ............71-3
4120......... ............71-4
4121......... ............71-5
4123......... ............71-6
4126......... ............84-1
4127......... ............84-2
4128......... ............84-3
4129......... ............84-4
4130......... ............84-5
4131......... ............84-6
4132......... ............84-7
4135......... ............65-2
4136......... ............84-8
REFERENCE TABLE
P.B. 1978-1997 CLJ P.B. 1998
Sec. Sec.
4138......... ............84-9
4139......... ............84-1
4140......... ............84-11
4141......... ............84-12
4142......... ............81-1
4142.1........ ............81-2
4142.2........ ............81-3
4142.3........ ............81-4
4142.4........ ............81-5
4143......... ............72-1
4143A ........ ............72-2
4144......... ............72-3
4145......... ............72-4
4147......... ............73-1
4150......... ............74-1
4151......... ............74-2
4152......... ............74-3
4153......... ............74-4
4154......... ............74-5
4155......... ............74-6
4156......... ............74-7
4157......... ............74-8
4159......... ............75-1
4160......... ............75-2
4161......... ............75-3
4162......... ............75-4
4163......... ............75-5
4164......... ............75-6
4165......... ............76-1
4165.1........ ............76-2
4165.2........ ............76-3
517
Copyrighted by the Secretary of the State of the State of Connecticut
P.B. 1978-1997 CLJ P.B. 1998
Sec. Sec.
4165.4........ ............76-4
4165.5........ ............76-5
4165.6........ ............76-6
4166......... ............77-7
4166A ........ ............78-1
4166B ........ ............79-1
4166B.1 ....... ............79-2
4166B.2 ....... ............79-3
4166B.3 ....... ............79-4
4166C ........ ............80-1
4168......... ............82-1
4169......... ............82-2
4170......... ............82-3
4171......... ............82-4
4172......... ............82-5
4173......... ............82-6
4174......... ............82-7
4177......... ............83-1
4178......... ............83-2
4179......... ............83-3
4180......... ............83-4
4182......... ............60-1
4183......... ............60-2
4184A ........ ............85-1
4184B ........ ............85-2
4184C ........ ............85-3
4185......... ............60-5
4186......... ............60-6
4187......... ............60-3
4188......... ............86-1
4189......... ............86-2
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
Sec. Sec. Sec.
1-1......... ..........1
1-2.........1A.........None
1-3......... ..........2
1-4......... ..........3
1-5......... ..........4
1-6......... ..........5
1-7......... ..........5A
1-8......... ..........6
1-9......... ..........7
1-10........ ..........7B
1-11........ ..........7C
1-12........7D.........299
1-13........7F.........300
1-14........7F.........985
1-15........7G.........986
1-16........7H.........988
1-17........7I .........989
1-18........7J.........991
1-19........7K.........992
1-20........7L.........993
1-21........7M.........994
1-22........7N.........996
1-23........7O.........997
2-1......... ..........8
2-2......... ..........9
2-3......... ..........11
2-4......... ..........12
2-5......... ..........13
2-6......... ..........14
2-7......... ..........15A
2-8......... ..........16
2-9......... ..........17
2-10........ ..........18
2-11........ ..........18A
2-12........ ..........19
2-13........ ..........21
2-14........ ..........22
2-15........ ..........23
2-16........ ..........24
2-17........ ..........24B
2-18........ ..........24C
2-19........ ..........24D
2-20........ ..........24E
2-21........ ..........24F
2-22........ ..........25
2-23........ ..........26
2-24........ ..........26A
2-25........ ..........26B
2-26........ ..........27
2-27........ ..........27A
2-28........ ..........27A.1
2-29........ ..........27B
2-30........ ..........27D
* Rules repealed prior to 1995 are not represented in this table.
518
Copyrighted by the Secretary of the State of the State of Connecticut
P.B.1998 CLJ P.B. 1978-1997
Sec. Sec. Sec.
2-31........ ..........27E
2-32........ ..........27F
2-33........ ..........27G
2-34........ ..........27H
2-35........ ..........27J
2-36........ ..........27M
2-37........ ..........27M.1
2-38........ ..........27N
2-39........ ..........28A
2-40........ ..........28B
2-41........ ..........28B.1
2-42........ ..........28C
2-43........ ..........28D
2-44........ ..........29
2-45........ ..........30
2-46........ ..........30A
2-47........ ..........31
2-48........ ..........31A
2-49........ ..........31B
2-50........ ..........32
2-51........ ..........34
2-52........ ..........35
2-53........ ..........36
2-54........ ..........36A
2-55........ ..........37
2-56........ ..........39
2-57........ ..........40
2-58........ ..........41
2-59........ ..........42
2-60........ ..........44
2-61........ ..........45
2-62........ ..........46
2-63........ ..........46A
2-64........ ..........46B
2-65........ ..........46C
2-66........ ..........47
2-67........ ..........48
3-1.........7P.........64(a)
3-2.........7Q.........64(b)
3-3.........7R.........64(b)
3-4.........7S.........64(c)
3-5.........7T.........None
3-6.........7U.........None
3-7.........7V.........None
3-8.........7W.........65
3-9.........7X.........77
3-10........7Y.........77(d)
3-11........7Z.........76
3-12........7AA........78
3-13........7BB........79
3-14........7CC........68
3-15........7DD........69
3-16........7EE........70
REFERENCE TABLE
P.B.1998 CLJ P.B. 1978-1997
Sec. Sec. Sec.
3-17........7FF........71
3-18........7GG........72
3-19........7HH........73
3-20........7II.........74
3-21........7JJ ........75
4-1.........7KK........118
4-2.........7LL........119
4-3.........7MM........127
5-1.........7NN........285A
5-2......... ..........None
5-3.........7PP........286
5-4.........7QQ........287
5-4.........7QQ........875
5-5.........7RR........288
5-5.........7RR........850A
5-6.........7SS........289
5-7.........7TT........291
5-8.........7UU........293
5-9.........7VV........294
5-10........7WW.......983
6-1.........7XX........334A
6-2.........7YY........336
6-3.........7ZZ........337
6-4.........7AAA.......338
6-5.........7BBB.......339
7-1.........7CCC.......250
7-2.........7DDD.......395
7-3.........7EEE.......396
7-4.........7FFF .......397
7-5.........7GGG.......398
7-6.........7HHH.......399
7-7.........7III.........400
7-8.........7JJJ........402
7-9.........7KKK.......403
7-10 . . . . . . . .7LLL. . . . . . . .403B
7-11 . . . . . . . .7MMM . . . . . .403C
7-12 . . . . . . . .7NNN . . . . . . .403D
7-13 . . . . . . . .7OOO . . . . . . .403E
7-14 . . . . . . . .7PPP . . . . . . .403F
7-15 . . . . . . . .7QQQ . . . . . . .403G
7-16 . . . . . . . .7RRR . . . . . . .403H
7-17 . . . . . . . .7SSS . . . . . . .405
7-18 . . . . . . . .7TTT . . . . . . .397B
7-18 . . . . . . . .7TTT . . . . . . .1011E
7-19........ ..........395A
7-20........ ..........397A
7-21........ ..........401
8-1......... ..........49
8-2......... ..........50
8-3......... ..........51
8-4......... ..........52
8-5......... ..........53
8-6......... ..........54
8-7......... ..........55
8-8......... ..........56
8-9......... ..........57
8-10........ ..........58
8-11........ ..........59
8-12........ ..........60
9-1......... ..........80
519
Copyrighted by the Secretary of the State of the State of Connecticut
P.B.1998 CLJ P.B. 1978-1997
Sec. Sec. Sec.
9-2......... ..........81
9-3......... ..........83
9-4......... ..........84
9-5......... ..........84A
9-6......... ..........85
9-7......... ..........87
9-8......... ..........88
9-9......... ..........89
9-10........ ..........90
9-11........ ..........91
9-12........ ..........92
9-13........ ..........93
9-14........ ..........94
9-15........ ..........95
9-16........ ..........96
9-17........ ..........97
9-18........ ..........99
9-19........ ..........100
9-20........ ..........101
9-21........ ..........102
9-22........ ..........103
9-23........ ..........104
9-24........ ..........105
9-25........ ..........106
10-1........ ..........108
10-2........ ..........109
10-3........ ..........109A
10-4........ ..........110
10-5........ ..........111
10-6........ ..........112
10-7........ ..........113
10-8........ ..........114
10-9........ ..........115
10-10....... ..........116
10-11....... ..........117
10-12....... ..........121
10-13....... ..........122
10-14....... ..........123
10-15....... ..........124
10-16....... ..........125
10-17....... ..........126
10-18....... ..........128
10-19....... ..........129
10-20....... ..........131
10-21....... ..........133
10-22....... ..........134
10-23....... ..........135
10-24....... ..........136
10-25....... ..........137
10-26....... ..........138
10-27....... ..........139
10-28....... ..........140
10-29....... ..........141
10-30....... ..........142
10-31....... ..........143
10-32....... ..........144
10-33....... ..........145
10-34....... ..........146
10-35....... ..........147
10-36....... ..........148
REFERENCE TABLE
P.B.1998 CLJ P.B. 1978-1997
Sec. Sec. Sec.
10-37....... ..........149
10-38....... ..........150
10-39....... ..........152
10-40....... ..........153
10-41....... ..........154
10-42....... ..........155
10-43....... ..........156
10-44....... ..........157
10-45....... ..........158
10-46....... ..........160
10-47....... ..........161
10-48....... ..........162
10-49....... ..........163
10-50....... ..........164
10-51....... ..........165
10-52....... ..........166
10-53....... ..........167
10-54....... ..........168
10-55....... ..........169
10-56....... ..........171
10-57....... ..........172
10-58....... ..........173
10-59....... ..........175
10-60....... ..........176
10-61....... ..........177
10-62....... ..........178
10-63....... ..........179
10-64....... ..........180
10-65....... ..........181
10-66....... ..........182
10-67....... ..........183
10-68....... ..........185
10-69....... ..........186
10-70....... ..........187
10-71....... ..........189
10-72....... ..........190
10-73....... ..........191
10-74....... ..........192
10-75....... ..........193
10-76....... ..........194
10-77....... ..........195
10-78....... ..........195A
10-79....... ..........195B
11-1........ ..........196
11-2........ ..........197
11-3........ ..........198
11-4........ ..........199
11-5........ ..........200
11-6........ ..........201
11-7........ ..........202
11-8........ ..........202A
11-9........ ..........203
11-10....... ..........204
11-11....... ..........204A
11-12....... ..........204B
11-13....... ..........206
11-14....... ..........207
11-15....... ..........208
11-16....... ..........209
11-17....... ..........210
520
Copyrighted by the Secretary of the State of the State of Connecticut
P.B.1998 CLJ P.B. 1978-1997
Sec. Sec. Sec.
11-18....... ..........211
11-19....... ..........211A
11-20....... ..........211B
12-1........ ..........212
12-2........ ..........213
12-3........ ..........215
13-1........ ..........216
13-2........ ..........218
13-3........ ..........219
13-4........ ..........220
13-5........ ..........221
13-6........ ..........223
13-7........ ..........224
13-8........ ..........225
13-9........ ..........227
13-10....... ..........228
13-11....... ..........229
13-12....... ..........230
13-13....... ..........230A
13-14....... ..........231
13-15....... ..........232
13-16....... ..........233
13-17....... ..........234
13-18....... ..........235
13-19....... ..........236
13-20....... ..........236A
13-21....... ..........236B
13-22....... ..........238
13-23....... ..........239
13-24....... ..........240
13-25....... ..........241
13-26....... ..........243
13-27....... ..........244
13-28....... ..........245
13-29....... ..........246
13-30....... ..........247
13-31....... ..........248
13-32....... ..........249
14-1........ ..........250A
14-2........ ..........250B
14-3........ ..........251
14-4........ ..........254
14-5........ ..........255
14-6........ ..........256
14-7........ ..........257
14-8........ ..........258
14-9........ ..........259
14-10....... ..........260
14-11....... ..........263
14-12....... ..........264
14-13....... ..........265
14-14....... ..........268
14-15....... ..........270
14-16....... ..........271
14-17....... ..........273
14-18....... ..........274
14-19....... ..........274A
14-20....... ..........276
14-21....... ..........277
14-22....... ..........278
REFERENCE TABLE
P.B.1998 CLJ P.B. 1978-1997
Sec. Sec. Sec.
14-23....... ..........279
14-24....... ..........280
14-25....... ..........281
15-1........ ..........283
15-2........ ..........284
15-3........ ..........284A
15-4........ ..........290
15-5........ ..........295
15-6........ ..........296
15-7........ ..........297
15-8........ ..........302
16-1........ ..........303A
16-2 . . . . . . . .303B . . . . . . .None
16-3 . . . . . . . .303C . . . . . . .None
16-4(a), (b) . . . . . . . . . . . . . .304
16-4(c) ...... ..........303
16-5 . . . . . . . .304A . . . . . . .None
16-6........ ..........305
16-7........ ..........305A
16-8 . . . . . . . .305B . . . . . . .None
16-9........ ..........306
16-10....... ..........307
16-11....... ..........308
16-12 . . . . . . .308A . . . . . . .None
16-13....... ..........309
16-14....... ..........309A
16-15....... ..........309B
16-16 . . . . . . .309C . . . . . . .None
16-17....... ..........311
16-18....... ..........312
16-19....... ..........313
16-20....... ..........315
16-21....... ..........316
16-22....... ..........317
16-23....... ..........318
16-24....... ..........318A
16-25 . . . . . . .318B . . . . . . .None
16-26 . . . . . . .318C . . . . . . .None
16-27 . . . . . . .318D . . . . . . .None
16-28 . . . . . . .318E . . . . . . .None
16-29 . . . . . . .318F . . . . . . .None
16-30 . . . . . . .318G . . . . . . .None
16-31 . . . . . . .318H . . . . . . .None
16-32 . . . . . . .318I . . . . . . . .None
16-33 . . . . . . .318J. . . . . . . .None
16-34 . . . . . . .318K . . . . . . .None
16-35....... ..........320
16-36....... ..........320A
16-37....... ..........321
16-38....... ..........322
17-1........ ..........323
17-2........ ..........324
17-3........ ..........325
17-4........ ..........326
17-5........ ..........327
17-6........ ..........328
17-7........ ..........332
17-8........ ..........333
17-9........ ..........334
17-10....... ..........340
521
Copyrighted by the Secretary of the State of the State of Connecticut
P.B.1998 CLJ P.B. 1978-1997
Sec. Sec. Sec.
17-11....... ..........342
17-12....... ..........343
17-13....... ..........344
17-14....... ..........346
17-15....... ..........347
17-16....... ..........348
17-17....... ..........349
17-18....... ..........350
17-19....... ..........351
17-20....... ..........352
17-21....... ..........353
17-22....... ..........354
17-23....... ..........356
17-24....... ..........357
17-25....... ..........358
17-26....... ..........359
17-27....... ..........360
17-28....... ..........361
17-29....... ..........362
17-30....... ..........362A
17-31....... ..........363
17-32....... ..........363A
17-33....... ..........364
17-34....... ..........367
17-35....... ..........368
17-36....... ..........369
17-37....... ..........371
17-38....... ..........372
17-39....... ..........373
17-40....... ..........374
17-41....... ..........375
17-42....... ..........376
17-43....... ..........377
17-44....... ..........379
17-45....... ..........380
17-46....... ..........381
17-47....... ..........382
17-48....... ..........383
17-49....... ..........384
17-50....... ..........385
17-51....... ..........386
17-52....... ..........387
17-53....... ..........387A
17-54....... ..........389
17-55....... ..........390
17-56....... ..........391
17-57....... ..........392
17-58....... ..........393
17-59....... ..........394
18-1........ ..........407
18-2........ ..........409
18-3........ ..........410
18-4........ ..........411
18-5........ ..........412
18-6........ ..........413
18-7........ ..........414
18-8........ ..........415
18-9........ ..........416
18-10....... ..........417
18-11....... ..........418
REFERENCE TABLE
P.B.1998 CLJ P.B. 1978-1997
Sec. Sec. Sec.
18-12....... ..........419
18-13....... ..........420
18-14....... ..........421
18-15....... ..........422
18-16....... ..........423
18-17....... ..........424
18-18....... ..........425
18-19....... ..........427
19-1........ ..........428
19-2........ ..........429
19-3........ ..........430
19-4........ ..........430A
19-5........ ..........431
19-6........ ..........432
19-7........ ..........433
19-8........ ..........434
19-9........ ..........435
19-10....... ..........436
19-11....... ..........437
19-12....... ..........438
19-13....... ..........439
19-14....... ..........440
19-15....... ..........441
19-16....... ..........442
19-17....... ..........443
19-18....... ..........444
19-19....... ..........445
20-1........ ..........446
20-2........ ..........447
20-3........ ..........448
20-4........ ..........449
20-5........ ..........450
20-6........ ..........451
21-1........ ..........485
21-2........ ..........486
21-3........ ..........487
21-4........ ..........488
21-5........ ..........489
21-6........ ..........490
21-7........ ..........492
21-8........ ..........493
21-9........ ..........494
21-10....... ..........495
21-11....... ..........496
21-12....... ..........497
21-13....... ..........498
21-14....... ..........499
21-15....... ..........500
21-16....... ..........501
21-17....... ..........502
21-18....... ..........503
21-19....... ..........505
21-20....... ..........506
21-21....... ..........507
21-22....... ..........508
21-23....... ..........509
21-24....... ..........510
22-1........ ..........511A
22-2........ ..........511B
22-3........ ..........514
522
Copyrighted by the Secretary of the State of the State of Connecticut
P.B.1998 CLJ P.B. 1978-1997
Sec. Sec. Sec.
22-4........ ..........515A
22-5........ ..........516
22-6........ ..........516A
22-7........ ..........518
22-8........ ..........518A
22-9........ ..........519
23-1........ ..........525
23-2........ ..........525A
23-3........ ..........525B
23-4........ ..........525C
23-5........ ..........525D
23-6........ ..........525E
23-7........ ..........525F
23-8........ ..........525G
23-9........ ..........525H
23-10....... ..........525I
23-11....... ..........525J
23-12....... ..........525K
23-13 . . . . . . .526L. . . . . . . .None
23-14 . . . . . . .526M . . . . . . .None
23-15 . . . . . . .526N . . . . . . .None
23-16....... ..........526
23-17....... ..........526A
23-18....... ..........527
23-19....... ..........528
23-20....... ..........528A
23-21....... ..........529
23-22....... ..........529A
23-23....... ..........529B
23-24....... ..........529C
23-25....... ..........529D
23-26....... ..........529E
23-27....... ..........529F
23-28....... ..........529G
23-29....... ..........529H
23-30....... ..........529I
23-31....... ..........529J
23-32....... ..........529K
23-33....... ..........529L
23-34....... ..........529M
23-35....... ..........529N
23-36....... ..........529O
23-37....... ..........529P
23-38....... ..........529Q
23-39....... ..........529R
23-40....... ..........529S
23-41....... ..........529T
23-42....... ..........529U
23-43....... ..........538
23-44....... ..........539
23-45....... ..........541
23-46....... ..........542
23-47....... ..........543
23-48....... ..........544
23-49....... ..........545
23-50....... ..........546
23-51....... ..........546A
23-52....... ..........546C
23-53....... ..........546D
23-54....... ..........546E
REFERENCE TABLE
P.B.1998 CLJ P.B. 1978-1997
Sec. Sec. Sec.
23-55....... ..........546F
23-56....... ..........546G
23-57....... ..........546H
23-58....... ..........546J
23-59....... ..........546K
23-60....... ..........546M
23-61....... ..........546N
23-62....... ..........546O
23-63....... ..........546P
23-64....... ..........546Q
23-65....... ..........546R
23-66....... ..........546S
23-67....... ..........546T
24-1........ ..........547
24-2........ ..........548
24-3........ ..........549
24-4........ ..........550
24-5........ ..........551
24-6........ ..........552
24-7........ ..........553
24-8........ ..........556
24-9........ ..........557
24-10....... ..........559
24-11....... ..........561
24-12....... ..........562
24-13....... ..........563
24-14....... ..........564
24-15....... ..........565
24-16....... ..........567
24-17....... ..........568
24-18....... ..........569
24-19....... ..........570
24-20....... ..........571
24-21....... ..........572
24-22....... ..........574
24-23....... ..........575
24-24....... ..........577
24-25....... ..........578
24-26....... ..........579
24-27....... ..........580
24-28....... ..........581
24-29....... ..........582
24-30....... ..........583
24-31....... ..........584
24-32....... ..........585
24-33....... ..........590
25-1 . . . . . . . .1200. . . . . . . .None
25-2........1201........453
25-3 . . . . . . . .1202. . . . . . . .None
25-4 . . . . . . . .1203. . . . . . . .None
25-5 . . . . . . . .1204. . . . . . . .None
25-6 . . . . . . . .1205. . . . . . . .None
25-7........1207........454
25-8........1208........455
25-9........1209........456
25-10 . . . . . . .1210. . . . . . . .457
25-11 . . . . . . .1211. . . . . . . .None
25-12 . . . . . . .1212. . . . . . . .None
25-13 . . . . . . .1213. . . . . . . .None
25-14 . . . . . . .1214. . . . . . . .None
523
Copyrighted by the Secretary of the State of the State of Connecticut
P.B.1998 CLJ P.B. 1978-1997
Sec. Sec. Sec.
25-15 . . . . . . .1215. . . . . . . .None
25-16 . . . . . . .1217. . . . . . . .None
25-17 . . . . . . .1218. . . . . . . .None
25-18 . . . . . . .1219. . . . . . . .None
25-19 . . . . . . .1220. . . . . . . .None
25-20 . . . . . . .1221. . . . . . . .None
25-21 . . . . . . .1222. . . . . . . .None
25-22 . . . . . . .1223. . . . . . . .None
25-23 . . . . . . .1224. . . . . . . .None
25-24 . . . . . . .1225. . . . . . . .None
25-25 . . . . . . .1226. . . . . . . .None
25-26 . . . . . . .1227. . . . . . . .464
25-27 . . . . . . .1228. . . . . . . .None
25-28 . . . . . . .1229. . . . . . . .461
25-29 . . . . . . .1230. . . . . . . .462
25-30 . . . . . . .1231. . . . . . . .463
25-31 . . . . . . .1232. . . . . . . .None
25-32 . . . . . . .1233. . . . . . . .None
25-33 . . . . . . .1234. . . . . . . .None
25-34 . . . . . . .1235. . . . . . . .None
25-35 . . . . . . .1236. . . . . . . .464A
25-36 . . . . . . .1237. . . . . . . .472
25-37 . . . . . . .1238. . . . . . . .473
25-38 . . . . . . .1239. . . . . . . .None
25-39 . . . . . . .1240. . . . . . . .None
25-40 . . . . . . .1242. . . . . . . .None
25-41 . . . . . . .1243. . . . . . . .None
25-42 . . . . . . .1244. . . . . . . .None
25-43 . . . . . . .1245. . . . . . . .None
25-44 . . . . . . .1246. . . . . . . .None
25-45 . . . . . . .1247. . . . . . . .None
25-46 . . . . . . .1248. . . . . . . .None
25-47 . . . . . . .1249. . . . . . . .None
25-48 . . . . . . .1250. . . . . . . .None
25-49 . . . . . . .1251. . . . . . . .None
25-50 . . . . . . .1252. . . . . . . .None
25-51 . . . . . . .1253. . . . . . . .None
25-52 . . . . . . .1254. . . . . . . .None
25-53 . . . . . . .1255. . . . . . . .458
25-54 . . . . . . .1256. . . . . . . .None
25-55 . . . . . . .1257. . . . . . . .None
25-56 . . . . . . .1258. . . . . . . .None
25-57 . . . . . . .1259. . . . . . . .476
25-58 . . . . . . .1260. . . . . . . .477
25-59 . . . . . . .1261. . . . . . . .478
25-60 . . . . . . .1262. . . . . . . .479
25-61 . . . . . . .1263. . . . . . . .None
25-62 . . . . . . .1264. . . . . . . .484
25-63 . . . . . . .1265. . . . . . . .484A
25-64 . . . . . . .1266. . . . . . . .484B
25-65 . . . . . . .1267. . . . . . . .479A
25-66 . . . . . . .1268. . . . . . . .479B
25-67 . . . . . . .1269. . . . . . . .481
25-68 . . . . . . .1270. . . . . . . .484C
25-69 . . . . . . .1271. . . . . . . .481A
26-1........ ..........1023.1
27-1........ ..........1024.1(1)
27-2........ ..........1024.1(2)
27-3........ ..........1025.1(1)
27-4........ ..........1025.1(2)
REFERENCE TABLE
P.B.1998 CLJ P.B. 1978-1997
Sec. Sec. Sec.
27-5........ ..........1025.1(3)
27-5........ ..........1025.1(4)
27-6........ ..........1025.1(8)
27-6........ ..........1025.1(9)
27-7........ ..........1025.1(5)
27-7........ ..........1025.1(6)
27-8........ ..........1025.1(7)
28-1........ ..........1026.1
29-1........ ..........1027.1(1)
29-1........ ..........1027.1(2)
29-2........ ..........1027.1(3)
29-2........ ..........1027.1(4)
30-1........ ..........1030.1(1)
30-2........ ..........1030.1(2)
30-3........ ..........1030.1(3)
30-4........ ..........1030.1(4)
30-5........ ..........1031.1(1)
30-6........ ..........1031.1(2)
30-7........ ..........1031.1(3)
30-8........ ..........1031.1(4)
30-9........ ..........1032.1(1)
30-10 . . . . . . . . . . . . . . . . .1032.1(2)
30-10 . . . . . . . . . . . . . . . . .1032.1(3)
30-11 . . . . . . . . . . . . . . . . .1032.1(4)
31-1........ ..........1033.1(1)
31-1........ ..........1033.1(2)
31-1........ ..........1033.1(3)
31-2........ ..........1033.1(4)
31-3........ ..........1033.1(5)
31-4........ ..........1033.1(6)
31-5........ ..........1034.1(1)
31-6........ ..........1034.1(2)
31-6........ ..........1034.1(3)
31-7........ ..........1034.1(4)
31-8........ ..........1034.1(5)
31-9........ ..........1034.1(6)
31-10....... ..........1035.1
31-11....... ..........1036.1
31-12....... ..........1037.1
31-13....... ..........1038.1
32-1........ ..........1040.1(1)
32-1........ ..........1040.1(2)
32-2........ ..........1040.1(3)
32-2........ ..........1040.1(4)
32-3........ ..........1040.1(5)
32-4........ ..........1040.1(6)
32-5........ ..........1040.1(7)
32-6........ ..........1041.1(1)
32-7........ ..........1041.1(2)
32-8........ ..........1041.1(3)
32-9........ ..........1041.1(4)
33-1........ ..........1042.1(1)
33-1........ ..........1042.1(2)
33-2........ ..........1042.1(3)
33-3........ ..........1042.1(4)
33-3........ ..........1042.1(6)
33-4........ ..........1042.1(5)
33-5........ ..........1043.1(1)
33-5........ ..........1043.1(2)
33-6........ ..........1043.1(3)
524
Copyrighted by the Secretary of the State of the State of Connecticut
P.B.1998 CLJ P.B. 1978-1997
Sec. Sec. Sec.
33-7........ ..........1043.1(4)
33-8........ ..........1044.1
33-9........ ..........1045.1(1)
33-10 . . . . . . . . . . . . . . . . .1045.1(2)
33-11 . . . . . . . . . . . . . . . . .1045.1(3)
33-12....... ..........1046.1
33-13....... ..........1047.1
34-1........ ..........1048.1
34-2........ ..........1049.1
34-3........ ..........1050.1
34-4........ ..........1051.1
35-1........ ..........1055.1
35-2........ ..........1057.1
35-3........ ..........1058.1
35-4........ ..........1059.1
35-5........ ..........1060.1
36-1........ ..........593
36-2........ ..........593A
36-3........ ..........594
36-4........ ..........595
36-5........ ..........596
36-6........ ..........597
36-7........ ..........599
36-8........ ..........601
36-9........ ..........602
36-10....... ..........603
36-11....... ..........616
36-12....... ..........617
36-13....... ..........618
36-14....... ..........619
36-15....... ..........620
36-16....... ..........622
36-17....... ..........623
36-18....... ..........624
36-19....... ..........625
36-20....... ..........626
36-21....... ..........627
36-22....... ..........628
37-1........ ..........635
37-2........ ..........635A
37-3........ ..........637
37-4........ ..........638
37-5........ ..........640
37-6........ ..........641
37-7........ ..........643
37-8........ ..........644
37-9........ ..........645
37-10....... ..........647
37-11....... ..........648
37-12....... ..........650
38-1........ ..........654
38-2........ ..........656
38-3........ ..........657
38-4........ ..........658
38-5........ ..........659
38-6........ ..........661
38-7........ ..........663
38-8........ ..........664
38-9........ ..........665
38-10....... ..........666
REFERENCE TABLE
P.B.1998 CLJ P.B. 1978-1997
Sec. Sec. Sec.
38-11....... ..........668
38-12....... ..........669
38-13....... ..........673
38-14....... ..........674
38-15....... ..........675
38-16....... ..........675A
38-17....... ..........676
38-18....... ..........677
38-19....... ..........682
38-20....... ..........683
38-21....... ..........684
38-22 . . . . . . .684A . . . . . . .None
38-23....... ..........685
39-1........ ..........687
39-2........ ..........688
39-3........ ..........689
39-4........ ..........690
39-5........ ..........692
39-6........ ..........693
39-7........ ..........694
39-8........ ..........696
39-9........ ..........697
39-10....... ..........698
39-11....... ..........700
39-12....... ..........701
39-13....... ..........702
39-14....... ..........704
39-15....... ..........705
39-16....... ..........706
39-17....... ..........707
39-18....... ..........709
39-19....... ..........711
39-20....... ..........712
39-21....... ..........713
39-22....... ..........715
39-23....... ..........716
39-24....... ..........717
39-25....... ..........718
39-26....... ..........720
39-27....... ..........721
39-28....... ..........722
39-29....... ..........725
39-30....... ..........726
39-31....... ..........727
39-32....... ..........728
39-33....... ..........730
40-1........ ..........732
40-2........ ..........733
40-3........ ..........734
40-4........ ..........735
40-5........ ..........735A
40-6........ ..........737
40-7........ ..........737A
40-8........ ..........737B
40-9........ ..........738
40-10....... ..........739
40-11....... ..........741
40-12....... ..........742
40-13....... ..........743
40-14....... ..........746
525
Copyrighted by the Secretary of the State of the State of Connecticut
P.B.1998 CLJ P.B. 1978-1997
Sec. Sec. Sec.
40-15....... ..........749
40-16....... ..........754
40-17....... ..........758
40-18....... ..........759
40-19....... ..........760
40-20....... ..........760A
40-21....... ..........763
40-22....... ..........764
40-23....... ..........765
40-24....... ..........767
40-25....... ..........768
40-26....... ..........769
40-27....... ..........769A
40-28....... ..........770
40-29....... ..........771
40-30....... ..........772
40-31....... ..........773
40-32....... ..........776
40-33....... ..........777
40-34....... ..........778
40-35....... ..........779
40-36....... ..........780
40-37....... ..........781
40-38....... ..........782
40-39....... ..........783
40-40....... ..........785
40-41....... ..........786
40-42....... ..........787
40-43....... ..........788
40-44....... ..........791
40-45....... ..........792
40-46....... ..........793
40-47....... ..........794
40-48....... ..........795
40-49....... ..........796
40-50....... ..........797
40-51....... ..........798
40-52....... ..........799
40-53....... ..........800
40-54....... ..........801
40-55....... ..........802
40-56....... ..........803
40-57....... ..........804
40-58....... ..........805
41-1........ ..........807
41-2........ ..........808
41-3........ ..........809
41-4........ ..........810
41-5........ ..........811
41-6........ ..........812
41-7........ ..........813
41-8........ ..........815
41-9........ ..........816
41-10....... ..........817
41-11....... ..........818
41-12....... ..........821
41-13....... ..........822
41-14....... ..........823
41-15....... ..........824
41-16....... ..........825
REFERENCE TABLE
P.B.1998 CLJ P.B. 1978-1997
Sec. Sec. Sec.
41-17....... ..........826
41-18....... ..........828
41-19....... ..........829
41-20....... ..........831
41-21....... ..........832
41-22....... ..........833
41-23....... ..........835
41-24....... ..........836
41-25....... ..........837
42-1........ ..........839
42-2........ ..........840
42-3........ ..........841
42-4........ ..........842
42-5........ ..........843
42-6........ ..........844
42-7........ ..........845
42-8........ ..........845A
42-9........ ..........845B
42-10....... ..........846A
42-11....... ..........847
42-12....... ..........848
42-13....... ..........849
42-14....... ..........850
42-15....... ..........850B
42-16....... ..........852
42-17....... ..........853
42-18....... ..........854
42-19....... ..........854A
42-20....... ..........855
42-21....... ..........856
42-22....... ..........857
42-23....... ..........858
42-24....... ..........860
42-25....... ..........861
42-26....... ..........863
42-27....... ..........864
42-28....... ..........865
42-29....... ..........867
42-30....... ..........868
42-31....... ..........869
42-32....... ..........870
42-33....... ..........871
42-34....... ..........872
42-35....... ..........874
42-36....... ..........876
42-37....... ..........879
42-38....... ..........880
42-39....... ..........881
42-40....... ..........883
42-41....... ..........884
42-42....... ..........885
42-43....... ..........887
42-44....... ..........888
42-45....... ..........889
42-46....... ..........892
42-47....... ..........893
42-48....... ..........894
42-49....... ..........895
42-50....... ..........898
42-51....... ..........899
526
Copyrighted by the Secretary of the State of the State of Connecticut
P.B.1998 CLJ P.B. 1978-1997
Sec. Sec. Sec.
42-52....... ..........900
42-53....... ..........902
42-54....... ..........903
42-55....... ..........904
42-56....... ..........905
43-1........ ..........907
43-2........ ..........908
43-3........ ..........910
43-4........ ..........911
43-5........ ..........912
43-6........ ..........913
43-7........ ..........915
43-8........ ..........916
43-9........ ..........917
43-10....... ..........919
43-11....... ..........921
43-12....... ..........922
43-13....... ..........924
43-14....... ..........925
43-15....... ..........926
43-16....... ..........927
43-17....... ..........929
43-18....... ..........931
43-19....... ..........932
43-20....... ..........932A
43-21....... ..........934
43-22....... ..........935
43-23....... ..........937
43-24....... ..........938
43-25....... ..........939
43-26....... ..........940
43-27....... ..........941
43-28....... ..........942
43-29....... ..........943
43-30....... ..........945
43-31....... ..........947
43-32....... ..........948
43-33....... ..........950
43-34....... ..........952
43-35....... ..........953
43-36....... ..........954
43-37....... ..........955
43-38....... ..........956
43-39....... ..........956B
43-40....... ..........956C
43-41....... ..........956D
43-42....... ..........956E
43-43....... ..........956F
44-1........ ..........959
44-2........ ..........960
44-3........ ..........961
44-4........ ..........963
44-5........ ..........964
44-6........ ..........965
44-7........ ..........967
44-8........ ..........968
44-9........ ..........969
44-10....... ..........970
44-11....... ..........972
44-12....... ..........973
REFERENCE TABLE
P.B.1998 CLJ P.B. 1978-1997
Sec. Sec. Sec.
44-13....... ..........975
44-14....... ..........976
44-15....... ..........977
44-16....... ..........978
44-17....... ..........979
44-18....... ..........981
44-19....... ..........997A
44-20....... ..........998
44-21....... ..........1000
44-22....... ..........1002
44-23....... ..........1004
44-24....... ..........1005
44-25....... ..........1007
44-26....... ..........1008
44-27....... ..........1008A
44-28....... ..........1010
44-29....... ..........1011
44-30....... ..........1011D
44-31....... ..........1012A
44-32....... ..........1014
44-33....... ..........1015
44-34....... ..........1016
44-35....... ..........1017
44-36....... ..........1020A
44-37....... ..........1021
60-1........ ..........4182
60-2........ ..........4183
60-3........ ..........4187
60-4........ ..........4001A
60-5........ ..........4061
60-5........ ..........4185
60-6........ ..........4186
61-1........ ..........4000
61-2........ ..........4002A
61-3........ ..........4002B
61-4........ ..........4002C
61-5........ ..........4002D
61-6........ ..........4003
61-7........ ..........4004
61-8........ ..........4005
61-9........ ..........4006
61-10....... ..........4007
61-11....... ..........4046
61-12....... ..........4047
61-13....... ..........4048
61-14....... ..........4049
62-1........ ..........4028
62-2........ ..........4029
62-3........ ..........4031
62-4........ ..........4032
62-5........ ..........4033
62-6........ ..........4030
62-7........ ..........4014
62-8........ ..........4034
62-9........ ..........4035
62-10....... ..........4036
62-11....... ..........4037
63-1........ ..........4009
63-2........ ..........4010
63-3........ ..........4012
527
Copyrighted by the Secretary of the State of the State of Connecticut
P.B.1998 CLJ P.B. 1978-1997
Sec. Sec. Sec.
63-4........ ..........4013
63-5........ ..........4015
63-6........ ..........4017
63-7........ ..........4018
63-8........ ..........4019
63-9........ ..........4038
63-10....... ..........4103
64-1........ ..........4059
64-2........ ..........4060
65-1........ ..........4023
65-2........ ..........4024,
4135
65-3........ ..........4025
65-4........ ..........4027
66-1........ ..........4040
66-2........ ..........4041
66-3........ ..........4042
66-4........ ..........4043
66-5........ ..........4051
66-6........ ..........4053
66-7........ ..........4054
66-8........ ..........4056
67-1........ ..........4064
67-2........ ..........4064A
67-3........ ..........4064B
67-4........ ..........4064C
67-5........ ..........4064D
67-6........ ..........4064E
67-7........ ..........4064F
67-8........ ..........4064G
67-9........ ..........4064H
67-10....... ..........4064J
68-1........ ..........4084
68-2........ ..........4085
68-3........ ..........4086
68-4........ ..........4087
68-5........ ..........4090
68-6........ ..........4091
68-7........ ..........4092
68-8........ ..........4093
68-9........ ..........4094
68-10....... ..........4095
68-11....... ..........4096
69-1........ ..........4100
69-2........ ..........4101
69-3........ ..........4104
70-1........ ..........4106
70-2........ ..........4102
70-3........ ..........4107
70-4........ ..........4108
70-5........ ..........4109
70-6........ ..........4111
70-7........ ..........4112
70-8........ ..........4115
70-9........ ..........4116A
70-10....... ..........4116B
71-1........ ..........4117
71-2........ ..........4118
71-3........ ..........4119
71-4........ ..........4120
REFERENCE TABLE
P.B.1998 CLJ P.B. 1978-1997
Sec. Sec. Sec.
71-5........ ..........4121
71-6........ ..........4123
71-7........ ..........4050
72-1........ ..........4143
72-2........ ..........4143A
72-3........ ..........4144
72-4........ ..........4145
73-1........ ..........4147
74-1........ ..........4150
74-2........ ..........4151
74-3........ ..........4152
74-4........ ..........4153
74-5........ ..........4154
74-6........ ..........4155
74-7........ ..........4156
74-8........ ..........4157
75-1........ ..........4159
75-2........ ..........4160
75-3........ ..........4161
75-4........ ..........4162
75-5........ ..........4163
75-6........ ..........4164
76-1........ ..........4165
76-2........ ..........4165.1
76-3........ ..........4165.2
76-4........ ..........4165.4
76-5........ ..........4165.5
76-6........ ..........4165.6
77-1........ ..........4166
78-1........ ..........4166A
79-1........ ..........4166B
79-2........ ..........4166B.1
79-3........ ..........4166B.2
79-4........ ..........4166B.3
528
Copyrighted by the Secretary of the State of the State of Connecticut
P.B.1998 CLJ P.B. 1978-1997
Sec. Sec. Sec.
80-1........ ..........4166C
81-1........ ..........4142
81-2........ ..........4142.1
81-3........ ..........4142.2
81-4........ ..........4142.3
81-5........ ..........4142.4
82-1........ ..........4168
82-2........ ..........4169
82-3........ ..........4170
82-4........ ..........4171
82-5........ ..........4172
82-6........ ..........4173
82-7........ ..........4174
83-1........ ..........4177
83-2........ ..........4178
83-3........ ..........4179
83-4........ ..........4180
84-1........ ..........4126
84-2........ ..........4127
84-3........ ..........4128
84-4........ ..........4129
84-5........ ..........4130
84-6........ ..........4131
84-7........ ..........4132
84-8........ ..........4136
84-9........ ..........4138
84-10....... ..........4139
84-11....... ..........4140
84-12....... ..........4141
85-1........ ..........4184A
85-2........ ..........4184B
85-3........ ..........4184C
86-1........ ..........4188
86-2........ ..........4189
TABLE OF PRACTICE BOOK CHANGES
TABLE OF PRACTICE BOOK CHANGES*
Action Effective
Taken Date
Rules of Prof. Conduct
Preamble . . . . . . . . . . . . . . . . am Jan. 1, 2007
Scope . . . . . . . . . . . . . . . . . . am Jan. 1, 2007
Rule 1.0 . . . . . . . . . . . . . . . . ad Jan. 1, 2007;
am Jan. 1, 2014
Rule 1.2 (title) . . . . . . . . . . . . . am Jan. 1, 2007
Rule 1.2 . . . . . . . . . . . . . . . . am Jan. 1, 2007;
am Jan. 1, 2008;
am Jan. 1, 2015
Rule 1.4 . . . . . . . . . . . . . . . . am Jan. 1, 2007
Rule 1.5 . . . . . . . . . . . . . . . . am Jan. 1, 2007;
am Oct. 1, 2013
Rule 1.6 . . . . . . . . . . . . . . . . am Jan. 1, 2007;
am Jan. 1, 2014
Rule 1.7 (title) . . . . . . . . . . . . . am Jan. 1, 2007
Rule 1.7 . . . . . . . . . . . . . . . . am Jan. 1, 2007
Rule 1.8 . . . . . . . . . . . . . . . . am Jan. 1, 2007;
am Jan. 1, 2008
Rule 1.9 (title) . . . . . . . . . . . . . am Jan. 1, 2007
Rule 1.9 . . . . . . . . . . . . . . . . am Jan. 1, 2007
Rule 1.10 (title) . . . . . . . . . . . . am Jan. 1, 2007
Rule 1.10 . . . . . . . . . . . . . . . . am Jan. 1, 2007;
am Jan. 1, 2013;
am Jan. 1, 2014
Rule 1.11 (title) . . . . . . . . . . . . am Jan. 1, 2007
Rule 1.11 . . . . . . . . . . . . . . . . am Jan. 1, 2007
Rule 1.12 (title) . . . . . . . . . . . . am Jan. 1, 2007
Rule 1.12 . . . . . . . . . . . . . . . . am Jan. 1, 2007;
am Jan. 1, 2015
Rule 1.13 . . . . . . . . . . . . . . . . am Jan. 1, 2007
Rule 1.14 (title) . . . . . . . . . . . . am Jan. 1, 2007
am Jan. 1, 2009;
Rule 1.14 . . . . . . . . . . . . . . . . am Jan. 1, 2007;
am Jan. 1, 2009
Rule 1.15 . . . . . . . . . . . . . . . . am Sept. 1, 2006;
am Sept. 1, 2007;
am Aug. 1, 2008;
am Aug. 1, 2010;
am Jan. 1, 2012;
am Jan. 1, 2016
Rule 1.16 . . . . . . . . . . . . . . . . am Jan. 1, 2002;
am Jan. 1, 2007
Rule 1.17 . . . . . . . . . . . . . . . . ad Jan. 1, 2007
Rule 1.18 . . . . . . . . . . . . . . . . ad Jan. 1, 2007;
am Jan. 1, 2015
Rule 2.2 . . . . . . . . . . . . . . . . rp Jan. 1, 2007
Rule 2.3 . . . . . . . . . . . . . . . . am Jan. 1, 2007
Rule 2.4 . . . . . . . . . . . . . . . . ad Jan. 1, 2007
Rule 3.1 . . . . . . . . . . . . . . . . am Jan. 1, 2007
Rule 3.3 . . . . . . . . . . . . . . . . am Jan. 1, 2007
Rule 3.5 . . . . . . . . . . . . . . . . am Jan. 1, 2007;
am Jan. 1, 2008
Rule 3.6 . . . . . . . . . . . . . . . . am Jan. 1, 2003;
am Jan. 1, 2007
Rule 3.7 . . . . . . . . . . . . . . . . am Jan. 1, 2007
Rule 3.8 . . . . . . . . . . . . . . . . am Jan. 1, 2015
Rule 3.9 . . . . . . . . . . . . . . . . am Jan. 1, 2007
*This table is designed to reflect, at a glance, changes made in the Practice Book since its effective date of October 1, 1997.
The first and third columns indicate the sections changed or added and the effective dates thereof. Under ‘‘Action Taken,’’ in
the second column, the abbreviations signify: ad (adopted); am (amended); def (deferred until); ex (extended); int (interim) and
rp (repealed); rw (rewritten); tr (transferred); tc (technical change: title).
529
Copyrighted by the Secretary of the State of the State of Connecticut
Action Effective
Taken Date
Rule 4.1 . . . . . . . . . . . . . . . . am Jan. 1, 2007
Rule 4.2 . . . . . . . . . . . . . . . . am Oct. 1, 2013
Rule 4.3 . . . . . . . . . . . . . . . . am Jan. 1, 2007;
am Oct. 1, 2013
Rule 4.4 . . . . . . . . . . . . . . . . am Jan. 1, 2007;
am Jan. 1, 2014
Rule 5.1 (title) . . . . . . . . . . . . . am Jan. 1, 2007
Rule 5.1 . . . . . . . . . . . . . . . . am Jan. 1, 2007
Rule 5.2 . . . . . . . . . . . . . . . . am Jan. 1, 2007
Rule 5.3 (title) . . . . . . . . . . . . . am Jan. 1, 2015
Rule 5.3 . . . . . . . . . . . . . . . . am Jan. 1, 2007
Rule 5.4 . . . . . . . . . . . . . . . . am Jan. 1, 2007
Rule 5.5 . . . . . . . . . . . . . . . . am Jan. 1, 2000;
am Jan. 1, 2003;
am Jan. 1, 2008;
am Jan. 1, 2009;
am Jan. 1, 2013;
am Jan. 1, 2015
Rule 5.6 . . . . . . . . . . . . . . . . am Jan. 1, 2007
Rule 6.5 . . . . . . . . . . . . . . . . ad Jan. 1, 2007
Rule 7.1 . . . . . . . . . . . . . . . . am Jan. 1, 2007
Rule 7.2 . . . . . . . . . . . . . . . . am Jan. 1, 2007;
am Jan. 1, 2013;
Rule 7.3 (title) . . . . . . . . . . . . . am Jan. 1, 2015
Rule 7.3 . . . . . . . . . . . . . . . . am Jan. 1, 2007;
am Jan. 1, 2015
Rule 7.4 . . . . . . . . . . . . . . . . am Jan. 1, 2009
Rule 7.4A. . . . . . . . . . . . . . . . am Jan. 1, 2006;
am Jan. 1, 2008;
am Jan. 1, 2009;
am Jan. 1, 2015
Rule 7.4C. . . . . . . . . . . . . . . . am Jan. 1, 2009;
am Jan. 1, 2016
Rule 8.3 . . . . . . . . . . . . . . . . am Jan. 1, 2007;
am Aug. 1, 2008
Rule 8.4 . . . . . . . . . . . . . . . . am Jan. 1, 2007
Rule 8.5 (title) . . . . . . . . . . . . . am Jan. 1, 2007
Rule 8.5 . . . . . . . . . . . . . . . . am Jan. 1, 2007
Code, Jud. Conduct rw Jan. 1, 2011
P.B. Section
1-1 (title) . . . . . . . . . . . . . . . . am Jan. 1, 2012
1-1 ................... am Jan.1,2001;
am Jan. 1, 2012
1-4 ................... am Jan.1,2007
1-9 ................... am Jan.1,2014
1-9A. . . . . . . . . . . . . . . . . . . ad Jan. 1, 2009;
am Jan. 1, 2016
1-9B................... ad Jan.1,2011
1-10 (title) . . . . . . . . . . . . . . . am Jan. 1, 2008
1-10 . . . . . . . . . . . . . . . . . . . am Oct. 1, 2005;
am Jan. 1, 2008;
am Aug. 1, 2008
1-10 (b) . . . . . . . . . . . . . . . . . ex Oct. 1, 2006;
ex Oct. 1, 2007
1-10A . . . . . . . . . . . . . . . . . . ad Jan. 1, 2008
1-10B . . . . . . . . . . . . . . . . . . ad Jan. 1, 2008;
am Jan. 1, 2012
TABLE OF PRACTICE BOOK CHANGES
Action Effective
Taken Date
1-11 (title) . . . . . . . . . . . . . . . am Jan. 1, 2008
1-11 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2008;
rp Jan. 1, 2012
1-11A . . . . . . . . . . . . . . . . . . ad Jan. 1, 2008;
am Jan. 1, 2012
1-11B . . . . . . . . . . . . . . . . . . ad Jan. 1, 2008
1-11C (title). . . . . . . . . . . . . . . am Jan. 1, 2012
1-11C . . . . . . . . . . . . . . . . . . ad Jan. 1, 2008;
am Jan. 1, 2012
1-11D . . . . . . . . . . . . . . . . . . ad Jan. 1, 2011;
rp Jan. 1, 2013
1-13A . . . . . . . . . . . . . . . . . . ad Jan. 1, 2000
1-14................... am Jan.1,2000
1-15................... rp Jan.1,2000
1-16 (title) . . . . . . . . . . . . . . . am Jan. 1, 2000
1-16................... am Jan.1,2000
1-17................... am Jan.1,2000
1-18................... am Jan.1,2000
1-19 (title) . . . . . . . . . . . . . . . am Jan. 1, 2000
1-19................... am Jan.1,2000
1-20 (title) . . . . . . . . . . . . . . . am Jan. 1, 2000
1-20................... am Jan.1,2000
1-21 (title) . . . . . . . . . . . . . . . am Jan. 1, 2000
1-21................... am Jan.1,2000
1-21A . . . . . . . . . . . . . . . . . . ad Jan. 1, 2000
1-24................... ad Jan.1,2008
1-25................... ad Jan.1,2015
2-1 ................... am Sept.1,1998
2-4 ................... am Jan.1,2012
2-4A................... ad Jan.1,2007
2-5 ................... am Jan.1,2011
2-5A (title) . . . . . . . . . . . . . . . am Sept. 1, 2011
2-5A. . . . . . . . . . . . . . . . . . . ad Jan. 1, 2011;
am Sept. 1, 2011
2-8 ................... am Jan.1,2008;
am Jan. 1, 2011
2-9 (title) . . . . . . . . . . . . . . . . am Jan. 1, 2009
2-9 ................... am Jan.1,2009;
am Jan. 1, 2011
2-11 (title) . . . . . . . . . . . . . . . am Jan. 1, 2009
2-11 . . . . . . . . . . . . . . . . . . . am Sept. 1, 1998
2-11A . . . . . . . . . . . . . . . . . . ad Jan. 1, 2009;
am Jan. 1, 2014
2-12 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2007;
am Jan. 1, 2011
2-13 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2000;
am Jan. 1, 2010;
am Jan. 1, 2011;
am Jan. 1, 2012;
am Sept. 1, 2012;
am Jan. 1, 2015
2-13A . . . . . . . . . . . . . . . . . . ad Jan. 1, 2018
2-14................... rp Jan.1,2012
2-15 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2011;
rp Jan. 1, 2012
2-15A . . . . . . . . . . . . . . . . . . ad Jan. 1, 2008;
am Jan. 1, 2009;
am Jan. 1, 2010;
am Jan. 1, 2013
2-16 . . . . . . . . . . . . . . . . . . . am July 1, 2003;
def Jan. 1, 2004;
am Jan. 1, 2008;
am Jan. 1, 2012;
am Jan. 1, 2017
530
Copyrighted by the Secretary of the State of the State of Connecticut
Action Effective
Taken Date
2-17................... am Jan.1,2011
2-18................... am Jan.1,2011
2-20 . . . . . . . . . . . . . . . . . . . am Sept. 1, 1998;
am Jan. 1, 2014
2-27 (title) . . . . . . . . . . . . . . . am Jan. 1, 2008
2-27 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2002;
am July 1, 2003;
def Jan. 1, 2004;
am Jan. 1, 2007;
am July 1, 2007;
am Jan. 1, 2008;
am Jan. 1, 2009;
am Jan. 1, 2012
2-27A . . . . . . . . . . . . . . . . . . ad Jan. 1, 2017
2-27 (e) . . . . . . . . . . . . . . . . . am July 1, 2007
2-28 . . . . . . . . . . . . . . . . . . . am July 1, 2003;
def Jan. 1, 2004;
am Jan. 1, 2007
2-28A . . . . . . . . . . . . . . . . . . ad July 1, 2007;
am Jan. 1, 2011
2-28B . . . . . . . . . . . . . . . . . . ad July 1, 2007
2-29 . . . . . . . . . . . . . . . . . . . am July 1, 2003;
def Jan. 1, 2004
2-31 . . . . . . . . . . . . . . . . . . . am July 1, 2003;
def Jan. 1, 2004
2-32 . . . . . . . . . . . . . . . . . . . am Jan. 1, 1999;
am Jan. 1, 2000;
am July 1, 2003;
def & am Jan. 1, 2004;
am Jan. 1, 2005;
am Jan. 1, 2006;
am Jan. 1, 2009;
am Jan. 1, 2013;
am Jan. 1, 2014
2-34 . . . . . . . . . . . . . . . . . . . am July 1, 2003;
def Jan. 1, 2004;
am Jan. 1, 2010
2-34A . . . . . . . . . . . . . . . . . . ad July 1, 2003;
def & am Jan. 1, 2004;
am Jan. 1, 2005;
am Jan. 1, 2013
2-35 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2000;
am July 1, 2003;
def Jan. 1, 2004;
am Jan. 1, 2007;
am Jan. 1, 2008;
am Jan. 1, 2009;
am Jan. 1, 2013
2-36 . . . . . . . . . . . . . . . . . . . am July 1, 2003;
def Jan. 1, 2004;
am Jan. 1, 2007
2-37................... am Jan.1,2000
2-38 . . . . . . . . . . . . . . . . . . . am Sept. 1, 1998;
am Jan. 1, 2000;
am July 1, 2003;
def & am Jan. 1, 2004;
am Jan. 1, 2008;
am Jan. 1, 2009;
am Jan. 1, 2014;
am Jan. 1, 2015
2-39 . . . . . . . . . . . . . . . . . . . am Sept. 1, 1998;
am Jan. 1, 2002;
am July 1, 2003;
def Jan. 1, 2004
TABLE OF PRACTICE BOOK CHANGES
Action Effective
Taken Date
2-40 (title) . . . . . . . . . . . . . . . am Oct. 1, 2014
2-40 . . . . . . . . . . . . . . . . . . . am July 1, 2003;
def Jan. 1, 2004;
am Jan. 1, 2007;
am Oct. 1, 2014
2-41 (title) . . . . . . . . . . . . . . . am Oct. 1, 2014
2-41 . . . . . . . . . . . . . . . . . . . am Sept. 1, 1998;
am July 1, 2003;
def Jan. 1, 2004;
am Jan. 1, 2007;
am Jan. 1, 2014;
am Oct. 1, 2014
2-42 . . . . . . . . . . . . . . . . . . . am July 1, 2003;
def Jan. 1, 2004;
am Jan. 1, 2007
2-44A . . . . . . . . . . . . . . . . . . ad Jan. 1, 2008
2-47 . . . . . . . . . . . . . . . . . . . am July 1, 2003;
def Jan. 1, 2004;
am Jan. 1, 2005;
am Jan. 1, 2006;
am Jan. 1, 2007
2-47A . . . . . . . . . . . . . . . . . . ad Jan. 1, 2007;
am Jan. 1, 2015
2-47B . . . . . . . . . . . . . . . . . . ad Jan. 1, 2016
2-48 . . . . . . . . . . . . . . . . . . . am July 1, 2003;
def Jan. 1, 2004
2-50 (title) . . . . . . . . . . . . . . . am Jan. 1, 2007
2-50 . . . . . . . . . . . . . . . . . . . am July 1, 2003;
def Jan. 1, 2004;
am Jan. 1, 2007;
am Jan. 1, 2008;
am Jan. 1, 2009
2-52 . . . . . . . . . . . . . . . . . . . am July 1, 2003;
def Jan. 1, 2004;
am Jan. 1, 2006;
am Jan. 1, 2008;
am Jan. 1, 2013
2-53 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2001;
am July 1, 2003;
def Jan. 1, 2004;
am Jan. 1, 2007;
am Jan. 1, 2011;
am Jan. 1, 2013;
am Jan. 1, 2014
2-54................... am Jan.1,2000
2-55 (title) . . . . . . . . . . . . . . . am Jan. 1, 2014
2-55 . . . . . . . . . . . . . . . . . . . int Nov. 17, 1999;
am Jan. 1, 2000;
am Jan. 1, 2014
2-55A . . . . . . . . . . . . . . . . . . ad Jan. 1, 2014
2-56 . . . . . . . . . . . . . . . . . . . am July 1, 2003;
def Jan. 1, 2004
2-58 . . . . . . . . . . . . . . . . . . . am July 1, 2003;
def Jan. 1, 2004
2-59 . . . . . . . . . . . . . . . . . . . am July 1, 2003;
def Jan. 1, 2004
2-64 . . . . . . . . . . . . . . . . . . . am July 1, 2003;
def Jan. 1, 2004
2-65................... am Jan.1,2010
2-68 . . . . . . . . . . . . . . . . . . . ad Jan. 1, 1999;
am May 17, 2005;
am Jan. 1, 2018
2-68A . . . . . . . . . . . . . . . . . . ad May 17, 2005
2-69................... ad Jan.1,1999
531
Copyrighted by the Secretary of the State of the State of Connecticut
Action Effective
Taken Date
2-70 . . . . . . . . . . . . . . . . . . . ad Jan. 1, 1999;
int Nov. 17,1999;
am Jan. 1, 2000;
am July 13, 2004;
am May 17, 2005;
am Jan. 1, 2006;
am Jan. 1, 2013;
am Jan. 1, 2018
2-71................... ad Jan.1,1999
2-72................... ad Jan.1,1999
2-73 . . . . . . . . . . . . . . . . . . . ad Jan. 1, 1999;
am May 17, 2005;
am Jan. 1, 2018
2-74 . . . . . . . . . . . . . . . . . . . ad Jan. 1, 1999;
am Jan. 1, 2012
2-75................... ad Jan.1,1999
2-76 . . . . . . . . . . . . . . . . . . . ad Jan. 1, 1999;
am May 17, 2005;
am Jan. 1, 2007
2-77 . . . . . . . . . . . . . . . . . . . ad Jan. 1, 1999;
am May 17, 2005;
am Jan. 1, 2018
2-78................... ad Jan.1,1999
2-79 . . . . . . . . . . . . . . . . . . . ad Jan. 1, 1999;
am Jan. 1, 2006;
am Jan. 1, 2013
2-80................... ad Jan.1,1999
2-81................... ad Jan.1,1999
2-82 . . . . . . . . . . . . . . . . . . . am July 1, 2003;
def Jan. 1, 2004;
am Jan. 1, 2007
2-83 . . . . . . . . . . . . . . . . . . . ad July 1, 2003;
def & int Jan. 1, 2004
3-3 ................... am Jan.1,2010;
am Jan. 1, 2011;
am Jan. 1, 2012;
am Oct. 1, 2013
3-4 (title) . . . . . . . . . . . . . . . . am Jan. 1, 2012
3-4 ................... am Jan.1,2012;
am Jan. 1, 2013;
am Jan. 1, 2015
3-5 (title) . . . . . . . . . . . . . . . . am Jan. 1, 2012
3-5 ................... am Jan.1,2012
3-8 ................... am Jan.1,2013;
am Oct. 1, 2013;
am Jan. 1, 2016
3-9 ................... am Jan.1,2007;
am Jan. 1, 2009;
am Jan. 1, 2011;
am Jan. 1, 2013;
am Oct. 1, 2013;
am Jan. 1, 2017
3-10 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2001;
am Jan. 1, 2002;
am Jan. 1, 2005
3-16 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2000;
am Jan. 1, 2010
4-1 ................... am Jan.1,2002;
am Jan. 1, 2012;
am Jan. 1, 2015
4-2 ................... am Jan.1,2010;
am Oct. 1, 2013
4-4 ................... ad Jan.1,1999;
am Jan. 1, 2009
TABLE OF PRACTICE BOOK CHANGES
Action Effective
Taken Date
4-5 ................... ad Jan.1,2001
4-6 (title) . . . . . . . . . . . . . . . . am Jan. 1, 2016
4-6 ................... ad Jan.1,2001;
am Jan. 1, 2016
4-7 ................... ad Jan.1,2010;
am Jan. 1, 2011;
am Jan. 1, 2013
am Jan. 1, 2016
5-1 ................... am Jan.1,2014
5-9 ................... rp Jan.1,2014
5-11 (title) . . . . . . . . . . . . . . . am Jan. 1, 2012
5-11 . . . . . . . . . . . . . . . . . . . ad Jan. 1, 2011;
am Jan. 1, 2012
6-1 ................... am Jan.1,2000
6-2 ................... am Jan.1,2007
6-3 ................... am Jan.1,2007;
am Jan. 1, 2013;
am Jan. 1, 2015
6-4 ................... am Jan.1,2003;
am Jan. 1, 2007
6-5 ................... am Jan.1,2002;
am July 1, 2003
7-4A................... ad July1,2003
7-4B. . . . . . . . . . . . . . . . . . . ad July 1, 2003;
am Jan. 1, 2005
7-4C................... ad July1,2003
7-5 (title) . . . . . . . . . . . . . . . . tc Jan. 1, 2012
7-5 ................... am Jan.1,2012
7-10................... am Jan.1,1999
7-11 . . . . . . . . . . . . . . . . . . . am Jan. 1, 1999;
am Jan. 1, 2000;
am Jan. 1, 2004;
am Jan. 1, 2007;
am Jan. 1, 2013;
am Jan. 1, 2018
7-13 (title) . . . . . . . . . . . . . . . am Jan. 1, 1999
7-13 . . . . . . . . . . . . . . . . . . . am Jan. 1, 1999;
am Jan. 1, 2004;
am Jan. 1, 2008;
am Jan. 1, 2010
7-17 . . . . . . . . . . . . . . . . . . . am Oct. 1, 2003;
am July 13, 2004;
am Jan. 1, 2011;
am July 12, 2016
7-18................... am Jan.1,2018
7-19 (title) . . . . . . . . . . . . . . . tc Jan. 1, 2012
7-19 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2016;
am Jan. 1, 2017
7-20................... am Jan.1,2009
8-1 (title) . . . . . . . . . . . . . . . . am Jan. 1, 2014
8-1 ................... am Jan.1,2000;
am Jan. 1, 2005;
am Jan. 1, 2014
8-2 ................... am Jan.1,2011;
am Jan. 1, 2015
8-3 ................... rp Jan.1,2017
8-3A................... ad Jan.1,2017
8-4 ................... rp Jan.1,2017
8-5 ................... rp Jan.1,2017
8-6 ................... rp Jan.1,2017
8-7 ................... rp Jan.1,2017
8-8 ................... rp Jan.1,2017
8-9 ................... rp Jan.1,2017
8-10................... am Jan.1,2017
532
Copyrighted by the Secretary of the State of the State of Connecticut
Action Effective
Taken Date
8-11................... rp Jan.1,2017
8-12................... am Jan.1,2017
9-8 ................... am Jan.1,2010
9-9 (title) . . . . . . . . . . . . . . . . am Jan. 1, 2010
9-9 ................... am Jan.1,2010;
am Jan. 1, 2015
10-8................... am Jan.1,2014
10-12 (title) . . . . . . . . . . . . . . . tc Jan. 1, 2012
10-12 . . . . . . . . . . . . . . . . . . am Jan. 1, 2010
10-13 . . . . . . . . . . . . . . . . . . am Jan. 1, 1999;
am Jan. 1, 2005;
am Jan. 1, 2010;
am Jan. 1, 2013
10-14 . . . . . . . . . . . . . . . . . . am Jan. 1, 1999;
am Jan. 1, 2005;
am Jan. 1, 2015
10-29 . . . . . . . . . . . . . . . . . . am Jan. 1, 2013
10-30 (title) . . . . . . . . . . . . . . . am Jan. 1, 2004;
am Jan. 1, 2014
10-30 . . . . . . . . . . . . . . . . . . am Jan. 1, 2004;
am Jan. 1, 2005;
am Jan. 1, 2014;
am Jan. 1, 2015
10-31 (title) . . . . . . . . . . . . . . . am Jan. 1, 2014
10-31 . . . . . . . . . . . . . . . . . . am Jan. 1, 2014
10-32 . . . . . . . . . . . . . . . . . . am Jan. 1, 2017
10-36 . . . . . . . . . . . . . . . . . . am Jan. 1, 2012
10-37 . . . . . . . . . . . . . . . . . . am Jan. 1, 2012
10-39 (title) . . . . . . . . . . . . . . . am Jan. 1, 2014
10-39 . . . . . . . . . . . . . . . . . . am Jan. 1, 2000;
am Jan. 1, 2014;
am Jan. 1, 2015
10-40 (title) . . . . . . . . . . . . . . . am Jan. 1, 2004;
am Jan. 1, 2014
10-40 . . . . . . . . . . . . . . . . . . am Jan. 1, 2004;
am Jan. 1, 2005;
am Jan. 1, 2014
10-41 . . . . . . . . . . . . . . . . . . rp Jan. 1, 2014
10-42 . . . . . . . . . . . . . . . . . . rp Jan. 1, 2014
10-44 . . . . . . . . . . . . . . . . . . am Jan. 1, 2004
10-50 . . . . . . . . . . . . . . . . . . am Jan. 1, 2018
10-60 . . . . . . . . . . . . . . . . . . am Jan. 1, 2017
10-66 . . . . . . . . . . . . . . . . . . am Jan. 1, 2017
11-1 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2012;
am Jan. 1, 2013;
am Jan. 1, 2015;
am Jan. 1, 2017
11-10 . . . . . . . . . . . . . . . . . . am Jan. 1, 2016
11-13 . . . . . . . . . . . . . . . . . . am Jan. 1, 2003;
am Jan. 1, 2012
11-14 . . . . . . . . . . . . . . . . . . am Jan. 1, 2008
11-18 . . . . . . . . . . . . . . . . . . am Jan. 1, 2000;
am Jan. 1, 2005;
am Jan. 1, 2008;
am Jan. 1, 2012
11-20 (title) . . . . . . . . . . . . . . . am July 1, 2003
11-20 . . . . . . . . . . . . . . . . . . am Jan. 1, 2000;
am July 1, 2003;
am Jan. 1, 2005;
am Jan. 1, 2012
11-20A . . . . . . . . . . . . . . . . . ad July 1, 2003;
am Jan. 1, 2005;
am Jan. 1, 2012;
am Jan. 1, 2018
TABLE OF PRACTICE BOOK CHANGES
Action Effective
Taken Date
11-20B . . . . . . . . . . . . . . . . . ad Jan. 1, 2010;
am Jan. 1, 2011
11-21 . . . . . . . . . . . . . . . . . . ad Jan. 1, 1999
12-3................... am Jan.1,1999
13-1 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2012;
am Jan. 1, 2014
13-2................... am Jan.1,2012
13-3 (title) . . . . . . . . . . . . . . . am Jan. 1, 2014
13-3 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2008;
am Jan. 1, 2014;
am Jan. 1, 2017;
am Jan. 1, 2018
13-4 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2009;
am Sept. 1, 2009;
am Jan. 1, 2011;
am Jan. 1, 2013;
am Jan. 1, 2017
13-5................... am Jan.1,2012
13-6 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2000;
am Jan. 1, 2002;
am Jan. 1, 2009;
am Jan. 1, 2014;
am Jan. 1, 2017;
am Jan. 1, 2018
13-7 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2000;
am Jan. 1, 2012;
am Jan. 1, 2016;
am Jan. 1, 2017
13-8 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2002;
am Jan. 1, 2012;
am Jan. 1, 2014;
am Jan. 1, 2017;
am Jan. 1, 2018
13-9 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2000;
am Jan. 1, 2002;
am Jan. 1, 2006;
am Jan. 1, 2012;
am Jan. 1, 2014;
am Jan. 1, 2017;
am Jan. 1, 2018
13-10 . . . . . . . . . . . . . . . . . . am Jan. 1, 2000;
am Jan. 1, 2002;
am Jan. 1, 2009;
am Jan. 1, 2012;
am Jan. 1, 2014;
am Jan. 1, 2016;
am Jan. 1, 2017;
am Jan. 1, 2018
13-11 . . . . . . . . . . . . . . . . . . am Jan. 1, 2011
13-11A . . . . . . . . . . . . . . . . . ad Jan. 1, 2006
13-13 . . . . . . . . . . . . . . . . . . am Jan. 1, 2012
13-14 . . . . . . . . . . . . . . . . . . am Jan. 1, 2012
13-15 . . . . . . . . . . . . . . . . . . am Jan. 1, 2018
13-19 . . . . . . . . . . . . . . . . . . am Jan. 1, 2010;
am Jan. 1, 2012
13-22 . . . . . . . . . . . . . . . . . . am Jan. 1, 2009
13-23 . . . . . . . . . . . . . . . . . . am Jan. 1, 2009
13-27 . . . . . . . . . . . . . . . . . . am Jan. 1, 2001;
am Jan. 1, 2010
13-28 . . . . . . . . . . . . . . . . . . am Jan. 1, 2005;
am Jan. 1, 2017
13-30 . . . . . . . . . . . . . . . . . . am Jan. 1, 2001;
am Jan. 1, 2004;
am Jan. 1, 2005;
533
Copyrighted by the Secretary of the State of the State of Connecticut
Action Effective
Taken Date
am Jan. 1, 2009;
am Jan. 1, 2012
13-33 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2012
14-1................... am Jan.1,2005
14-2 (title) . . . . . . . . . . . . . . . am Jan. 1, 2003
14-2................... am Jan.1,2003
14-3 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2003;
am Jan. 1, 2012
14-6 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2012;
am Jan. 1, 2014
14-7 (title) . . . . . . . . . . . . . . . am Jan. 1, 2014
14-7 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2005;
am Jan. 1, 2012;
am Jan. 1, 2014
14-7A (title). . . . . . . . . . . . . . . am Jan. 1, 2014
14-7A . . . . . . . . . . . . . . . . . . ad Jan. 1, 2007;
am Jan. 1, 2014;
am Jan. 1, 2017
14-7B (title). . . . . . . . . . . . . . . am Jan. 1, 2014
14-7B . . . . . . . . . . . . . . . . . . ad Jan. 1, 2012;
am Jan. 1, 2014
14-8................... am Jan.1,2014
14-13 . . . . . . . . . . . . . . . . . . am Jan. 1, 2006
14-25 . . . . . . . . . . . . . . . . . . am Jan. 1, 2003
15-8................... am Jan.1,2009
16-5................... am Jan.1,2005
16-15 . . . . . . . . . . . . . . . . . . am Jan. 1, 2012;
am Jan. 1, 2017
16-31 . . . . . . . . . . . . . . . . . . am Jan. 1, 2001
16-33 . . . . . . . . . . . . . . . . . . am Jan. 1, 1999
16-36 . . . . . . . . . . . . . . . . . . int June 28, 1999;
am Jan. 1, 2000;
tr Jan. 1, 2012
17-2A . . . . . . . . . . . . . . . . . . ad Jan. 1, 2012
17-4 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2010;
am Jan. 1, 2011
17-4A . . . . . . . . . . . . . . . . . . ad Jan. 1, 2001
17-7................... am Jan.1,2012
17-11 (title) . . . . . . . . . . . . . . . am Jan. 1, 2007
17-11 . . . . . . . . . . . . . . . . . . am Jan. 1, 2003;
am Jan. 1, 2007
17-12 . . . . . . . . . . . . . . . . . . am Jan. 1, 2007
17-13 . . . . . . . . . . . . . . . . . . am Jan. 1, 2007
17-14 (title) . . . . . . . . . . . . . . . am Jan. 1, 2007
17-14 . . . . . . . . . . . . . . . . . . am Jan. 1, 2003;
am Jan. 1, 2007;
am Jan. 1, 2009
17-14A . . . . . . . . . . . . . . . . . ad Jan. 1, 2007;
am Jan. 1, 2013
17-15 . . . . . . . . . . . . . . . . . . am Jan. 1, 2003;
am Jan. 1, 2007
17-16 . . . . . . . . . . . . . . . . . . am Jan. 1, 2003;
am Jan. 1, 2007
17-17 (title) . . . . . . . . . . . . . . . am Jan. 1, 2007
17-17 . . . . . . . . . . . . . . . . . . am Jan. 1, 2007
17-18 . . . . . . . . . . . . . . . . . . am Jan. 1, 2007;
am Jan. 1, 2009
17-20 . . . . . . . . . . . . . . . . . . am Jan. 1, 2005;
am Jan. 1, 2010;
am Jan. 1, 2011;
am Jan. 1, 2012;
am Jan. 1, 2013
17-21 (title) . . . . . . . . . . . . . . . am Jan. 1, 2006
17-21 . . . . . . . . . . . . . . . . . . am Jan. 1, 2006
TABLE OF PRACTICE BOOK CHANGES
Action Effective
Taken Date
17-22 . . . . . . . . . . . . . . . . . . am Jan. 1, 2012
17-24 . . . . . . . . . . . . . . . . . . am Jan. 1, 1999
17-25 . . . . . . . . . . . . . . . . . . am Jan. 1, 2012;
am Jan. 1, 2014
17-27 . . . . . . . . . . . . . . . . . . am Jan. 1, 2012
17-29 . . . . . . . . . . . . . . . . . . am Jan. 1, 2012
17-30 (title) . . . . . . . . . . . . . . . am Jan. 1, 2001
17-30 . . . . . . . . . . . . . . . . . . am Jan. 1, 2001;
am Jan. 1, 2006;
am Jan. 1, 2016
17-32 . . . . . . . . . . . . . . . . . . am Jan. 1, 2011;
am Aug. 1, 2015;
am Jan. 1, 2017
17-33 . . . . . . . . . . . . . . . . . . am Jan. 1, 2003;
am Jan. 1, 2014
17-33A . . . . . . . . . . . . . . . . . ad Jan. 1, 2010
17-36 . . . . . . . . . . . . . . . . . . am Jan. 1, 1999
17-44 . . . . . . . . . . . . . . . . . . am Jan. 1, 2014;
am Jan. 1, 2018
17-45 (title) . . . . . . . . . . . . . . . am Jan. 1, 2004
17-45 . . . . . . . . . . . . . . . . . . am Jan. 1, 2001;
am Jan. 1, 2004;
am Jan. 1, 2005;
am Jan. 1, 2017
17-53 . . . . . . . . . . . . . . . . . . am Jan. 1, 2001;
am Jan. 1, 2002;
am Jan. 1, 2016
17-55 . . . . . . . . . . . . . . . . . . am Jan. 1, 2000
17-56 . . . . . . . . . . . . . . . . . . am Jan. 1, 2000
18-1................... am Jan.1,2002
18-5................... am Jan.1,2006
19-1 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2000;
am Jan. 1, 2007;
am Jan. 1, 2012
19-2A . . . . . . . . . . . . . . . . . . ad Jan. 1, 2000
19-3 (title) . . . . . . . . . . . . . . . am Jan. 1, 2000
19-3................... am Jan.1,2003
19-3A . . . . . . . . . . . . . . . . . . ad Jan. 1, 2012
19-4 (title) . . . . . . . . . . . . . . . am Jan. 1, 2012
19-4................... am Jan.1,2012
19-6................... am Jan.1,2000
19-7 . . . . . . . . . . . . . . . . . . . am Jan. 1, 1999;
am Jan. 1, 2000;
am Jan. 1, 2012
19-8 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2000;
am Jan. 1, 2012
19-9 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2000;
am Jan. 1, 2012
19-10 . . . . . . . . . . . . . . . . . . am Jan. 1, 2000;
am Jan. 1, 2012
19-11 . . . . . . . . . . . . . . . . . . am Jan. 1, 2000;
am Jan. 1, 2012
19-12 . . . . . . . . . . . . . . . . . . rp Jan. 1, 2000
19-13 . . . . . . . . . . . . . . . . . . rp Jan. 1, 2000
19-14 . . . . . . . . . . . . . . . . . . am Jan. 1, 2000;
am Jan. 1, 2001;
am Jan. 1, 2012
19-15 . . . . . . . . . . . . . . . . . . am Jan. 1, 2000;
am Jan. 1, 2012
19-16 . . . . . . . . . . . . . . . . . . am Jan. 1, 2000;
am Jan. 1, 2012
19-17 . . . . . . . . . . . . . . . . . . am Jan. 1, 2000;
am Jan. 1, 2012
19-18 . . . . . . . . . . . . . . . . . . am Jan. 1, 2000
534
Copyrighted by the Secretary of the State of the State of Connecticut
Action Effective
Taken Date
20-2................... am Jan.1,2002
21-4................... am Jan.1,2002
21-12 . . . . . . . . . . . . . . . . . . am Jan. 1, 2002
21-13 . . . . . . . . . . . . . . . . . . am Jan. 1, 2012
21-14 . . . . . . . . . . . . . . . . . . am Jan. 1, 2002
22-1 . . . . . . . . . . . . . . . . . . . am Sept. 1, 1998;
am Jan. 1, 2002
23-2................... rp Jan.1,2015
23-3................... rp Jan.1,2015
23-4................... rp Jan.1,2015
23-5................... rp Jan.1,2015
23-6................... rp Jan.1,2015
23-7................... rp Jan.1,2015
23-8................... rp Jan.1,2015
23-9................... rp Jan.1,2015
23-10 . . . . . . . . . . . . . . . . . . rp Jan. 1, 2015
23-11 . . . . . . . . . . . . . . . . . . rp Jan. 1, 2015
23-12 . . . . . . . . . . . . . . . . . . rp Jan. 1, 2015
23-22 . . . . . . . . . . . . . . . . . . am Jan. 1, 2002
23-36 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2016
23-40 . . . . . . . . . . . . . . . . . . am Jan. 1, 2000
23-41 . . . . . . . . . . . . . . . . . . am Jan. 1, 2010
23-42 . . . . . . . . . . . . . . . . . . am Jan. 1, 2010
23-44 . . . . . . . . . . . . . . . . . . am Jan. 1, 2002
23-45 . . . . . . . . . . . . . . . . . . am Jan. 1, 2017
23-46 . . . . . . . . . . . . . . . . . . rp Jan. 1, 2017
23-47 (title) . . . . . . . . . . . . . . . am Jan. 1, 2017
23-47 . . . . . . . . . . . . . . . . . . am Jan. 1, 2017
23-53 . . . . . . . . . . . . . . . . . . am Jan. 1, 1999
23-60 . . . . . . . . . . . . . . . . . . am Jan. 1, 1999
23-61 . . . . . . . . . . . . . . . . . . am Jan. 1, 1999
23-63 . . . . . . . . . . . . . . . . . . am Jan. 1, 1999
23-65 . . . . . . . . . . . . . . . . . . am Jan. 1, 1999
23-66 . . . . . . . . . . . . . . . . . . am Jan. 1, 1999;
am Jan. 1, 2000;
am Jan. 1, 2003
23-67 . . . . . . . . . . . . . . . . . . am Jan. 1, 2003
23-68 . . . . . . . . . . . . . . . . . . ad Mar. 12, 2007;
am Jan. 1, 2017
24-1................... am Jan.1,2001
24-2 (title) . . . . . . . . . . . . . . . am Jan. 1, 2001
24-2................... am Jan.1,2001
24-3 (title) . . . . . . . . . . . . . . . am Jan. 1, 2011
24-3................... am Jan.1,2011
24-4 . . . . . . . . . . . . . . . . . . . am Jan. 1, 1999;
am Jan. 1, 2011
24-6 (title) . . . . . . . . . . . . . . . am Jan. 1, 2010
24-6 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2001;
am Jan. 1, 2002;
am Jan. 1, 2011
24-7 (title) . . . . . . . . . . . . . . . am Jan. 1, 2001
24-7................... am Jan.1,2001
24-8................... am Jan.1,2001
24-9 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2001;
am Jan. 1, 2011
24-10 (title) . . . . . . . . . . . . . . . am Jan. 1, 2001
24-10 . . . . . . . . . . . . . . . . . . am Jan. 1, 2001;
am Jan. 1, 2008;
am Jan. 1, 2011;
am Jan. 1, 2014
24-11 . . . . . . . . . . . . . . . . . . am Jan. 1, 2001;
rp Jan. 1, 2011
24-12 . . . . . . . . . . . . . . . . . . am Jan. 1, 2011
24-13 . . . . . . . . . . . . . . . . . . am Jan. 1, 1999;
TABLE OF PRACTICE BOOK CHANGES
Action Effective
Taken Date
am Jan. 1, 2001;
rp Jan. 1, 2011
24-14 . . . . . . . . . . . . . . . . . . am Jan. 1, 2001;
am Jan. 1, 2011
24-15 . . . . . . . . . . . . . . . . . . am Jan. 1, 2001
24-16 (title) . . . . . . . . . . . . . . . am Jan. 1, 2001
24-16 . . . . . . . . . . . . . . . . . . am Jan. 1, 2001;
am Jan. 1, 2011
24-17 (title) . . . . . . . . . . . . . . . am Jan. 1, 2011
24-17 . . . . . . . . . . . . . . . . . . am Jan. 1, 2001;
am Jan. 1, 2011
24-18 . . . . . . . . . . . . . . . . . . rp Jan. 1, 2001
24-19 . . . . . . . . . . . . . . . . . . am Jan. 1, 2001
24-20 (title) . . . . . . . . . . . . . . . am Jan. 1, 2001
24-20 . . . . . . . . . . . . . . . . . . am Jan. 1, 2001
24-20A . . . . . . . . . . . . . . . . . ad Jan. 1, 2001;
am Jan. 1, 2011
24-21 . . . . . . . . . . . . . . . . . . am Jan. 1, 1999;
am Jan. 1, 2001;
am Jan. 1, 2011;
am Jan. 1, 2017
24-22 . . . . . . . . . . . . . . . . . . am Jan. 1, 2001
24-24 . . . . . . . . . . . . . . . . . . am Jan. 1, 2001;
am Jan. 1, 2011;
am Jan. 1, 2015
24-25 . . . . . . . . . . . . . . . . . . am Jan. 1, 2011
24-27 . . . . . . . . . . . . . . . . . . am Jan. 1, 2001;
am Jan. 1, 2011
24-29 (title) . . . . . . . . . . . . . . . am Jan. 1, 2001
24-29 . . . . . . . . . . . . . . . . . . am Jan. 1, 2001;
am Jan. 1, 2011;
am Jan. 1, 2012
24-30 . . . . . . . . . . . . . . . . . . am Jan. 1, 2001;
am Jan. 1, 2002;
am Jan. 1, 2004;
am Jan. 1, 2011
24-31 . . . . . . . . . . . . . . . . . . am Jan. 1, 2001;
am Jan. 1, 2011
24-32 . . . . . . . . . . . . . . . . . . am Jan. 1, 2000;
am Jan. 1, 2003;
am Jan. 1, 2014
24-33 . . . . . . . . . . . . . . . . . . am Jan. 1, 2000;
am Jan. 1, 2011
25-1 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2000;
am Jan. 1, 2007;
am Jan. 1, 2016
25-2 (title) . . . . . . . . . . . . . . . am Jan. 1, 2007
25-2 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2002;
am Jan. 1, 2007;
am Jan. 1, 2008;
am Jan. 1, 2009
25-2A . . . . . . . . . . . . . . . . . . ad Aug. 15, 2011
25-3 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2000;
am Jan. 1, 2001;
am Jan. 1, 2007
25-4 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2000;
am Jan. 1, 2001;
am Jan. 1, 2007;
am Jan. 1, 2015
25-5 (title) . . . . . . . . . . . . . . . am Jan. 1, 2000
25-5 . . . . . . . . . . . . . . . . . . . am Jan. 1, 1999;
am Jan. 1, 2000;
am Jan. 1, 2007;
am Jan. 1, 2008;
535
Copyrighted by the Secretary of the State of the State of Connecticut
Action Effective
Taken Date
am Jan. 1, 2012
25-5A . . . . . . . . . . . . . . . . . . ad Jan. 1, 2012
25-7 (title) . . . . . . . . . . . . . . . am Jan. 1, 2000
25-7................... am Jan.1,2000
25-8 (title) . . . . . . . . . . . . . . . am Jan. 1, 2007
25-8................... am Jan.1,2007
25-9 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2000;
am Jan. 1, 2007
25-10 . . . . . . . . . . . . . . . . . . am Jan. 1, 2000;
am Jan. 1, 2007
25-12 . . . . . . . . . . . . . . . . . . am Jan. 1, 2018
25-13 . . . . . . . . . . . . . . . . . . am Jan. 1, 2018
25-23 . . . . . . . . . . . . . . . . . . am July 1, 2003
25-24 . . . . . . . . . . . . . . . . . . am Jan. 1, 2016
25-26 . . . . . . . . . . . . . . . . . . am Jan. 1, 2006;
am Oct. 1, 2007
25-27 . . . . . . . . . . . . . . . . . . am Jan. 1, 2000
25-28 . . . . . . . . . . . . . . . . . . am Jan. 1, 2000;
am Jan. 1, 2007
25-29 . . . . . . . . . . . . . . . . . . am Jan. 1, 2007
25-30 . . . . . . . . . . . . . . . . . . am Jan. 1, 2003;
am Jan. 1, 2007
25-31 . . . . . . . . . . . . . . . . . . am Aug. 15, 2011;
am Jan. 1, 2015
25-32 . . . . . . . . . . . . . . . . . . am Jan. 1, 1999;
am Jan. 1, 2007
25-32A . . . . . . . . . . . . . . . . . ad Aug. 15, 2011
25-32B . . . . . . . . . . . . . . . . . ad Aug. 15, 2011
25-33 . . . . . . . . . . . . . . . . . . am Jan. 1, 2015
25-34 . . . . . . . . . . . . . . . . . . am Aug. 15, 2011;
am Jan. 1, 2017
25-36 (title) . . . . . . . . . . . . . . . am Jan. 1, 2009
25-36 . . . . . . . . . . . . . . . . . . am Jan. 1, 2009
25-39 . . . . . . . . . . . . . . . . . . am Mar. 12, 2007
25-49 . . . . . . . . . . . . . . . . . . am Jan. 1, 2016
25-50 . . . . . . . . . . . . . . . . . . am Jan. 1, 2000
am Jan. 1, 2016
25-51 . . . . . . . . . . . . . . . . . . am Jan. 1, 2007;
am Jan. 1, 2016
25-55 . . . . . . . . . . . . . . . . . . am Jan. 1, 2000
25-57 . . . . . . . . . . . . . . . . . . am Jan. 1, 2000;
am Jan. 1, 2002;
am Jan. 1, 2016
25-58 (title) . . . . . . . . . . . . . . . am Jan. 1, 2007
25-58 . . . . . . . . . . . . . . . . . . am Jan. 1, 2000;
am Jan. 1, 2007
25-59 (title) . . . . . . . . . . . . . . . am July 1, 2003
25-59 . . . . . . . . . . . . . . . . . . am July 1, 2003;
am Jan. 1, 2005;
am Jan. 1, 2012
25-59A . . . . . . . . . . . . . . . . . ad July 1, 2003;
am Jan. 1, 2005;
am Jan. 1, 2012;
am Jan. 1, 2014
am Jan. 1, 2016
25-59B . . . . . . . . . . . . . . . . . ad Jan. 1, 2010;
am Jan. 1, 2011
25-60 (title) . . . . . . . . . . . . . . . am Aug. 15, 2011;
am Jan. 1, 2015
25-60 . . . . . . . . . . . . . . . . . . am Aug. 15, 2011;
am Jan. 1, 2015;
am Jan. 1, 2018
25-60A . . . . . . . . . . . . . . . . . ad Aug. 15, 2011;
am Jan. 1, 2013
TABLE OF PRACTICE BOOK CHANGES
Action Effective
Taken Date
25-61 . . . . . . . . . . . . . . . . . . am Jan. 1, 2014
25-61A . . . . . . . . . . . . . . . . . ad Jan. 1, 2017
25-62 . . . . . . . . . . . . . . . . . . am Jan. 1, 2012;
am Jan. 1, 2017
25-62A . . . . . . . . . . . . . . . . . ad Jan. 1, 2012
25-65 . . . . . . . . . . . . . . . . . . rp Aug. 1, 2010
25-66 . . . . . . . . . . . . . . . . . . rp Aug. 1, 2010
25-67 . . . . . . . . . . . . . . . . . . am Jan. 1, 1999;
am Jan. 1, 2007;
rp Aug. 1, 2010
25a-1 . . . . . . . . . . . . . . . . . . ad Aug. 1, 2010;
am Oct. 1, 2013;
am Jan. 1, 2018
25a-1A . . . . . . . . . . . . . . . . . ad Jan. 1, 2017
25a-2 . . . . . . . . . . . . . . . . . . ad Aug. 1, 2010
25a-3 . . . . . . . . . . . . . . . . . . ad Aug. 1, 2010;
am Jan. 1, 2013;
am Oct. 1, 2013
25a-4 . . . . . . . . . . . . . . . . . . ad Aug. 1, 2010
25a-5 . . . . . . . . . . . . . . . . . . ad Aug. 1, 2010
25a-6 . . . . . . . . . . . . . . . . . . ad Aug. 1, 2010
25a-7 . . . . . . . . . . . . . . . . . . ad Aug. 1, 2010
25a-8 . . . . . . . . . . . . . . . . . . ad Aug. 1, 2010
25a-9 . . . . . . . . . . . . . . . . . . ad Aug. 1, 2010
25a-10 . . . . . . . . . . . . . . . . . ad Aug. 1, 2010
25a-11 . . . . . . . . . . . . . . . . . ad Aug. 1, 2010
25a-12 . . . . . . . . . . . . . . . . . ad Aug. 1, 2010
25a-13 . . . . . . . . . . . . . . . . . ad Aug. 1, 2010
25a-14 . . . . . . . . . . . . . . . . . ad Aug. 1, 2010
25a-15 . . . . . . . . . . . . . . . . . ad Aug. 1, 2010;
am Jan. 1, 2014
25a-16 . . . . . . . . . . . . . . . . . ad Aug. 1, 2010
25a-17 . . . . . . . . . . . . . . . . . ad Aug. 1, 2010
25a-18 . . . . . . . . . . . . . . . . . ad Aug. 1, 2010
25a-19 . . . . . . . . . . . . . . . . . ad Aug. 1, 2010
25a-20 . . . . . . . . . . . . . . . . . ad Aug. 1, 2010
25a-21 . . . . . . . . . . . . . . . . . ad Aug. 1, 2010
25a-22 . . . . . . . . . . . . . . . . . ad Aug. 1, 2010
25a-23 . . . . . . . . . . . . . . . . . ad Aug. 1, 2010;
am Jan. 1, 2018
25a-24 . . . . . . . . . . . . . . . . . ad Aug. 1, 2010
25a-25 . . . . . . . . . . . . . . . . . ad Aug. 1, 2010
25a-26 . . . . . . . . . . . . . . . . . ad Aug. 1, 2010
25a-27 . . . . . . . . . . . . . . . . . ad Aug. 1, 2010
25a-28 . . . . . . . . . . . . . . . . . ad Aug. 1, 2010
25a-29 . . . . . . . . . . . . . . . . . ad Aug. 1, 2010
25a-30 . . . . . . . . . . . . . . . . . ad Aug. 1, 2010
26-1 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2003;
am Jan. 1, 2009;
am Jan. 1, 2011;
am Jan. 1, 2012;
am Jan. 1, 2013;
am Jan. 1, 2015
26-2................... ad Jan.1,2013
26-3................... ad Jan.1,2016
27-1................... am Jan.1,2003
27-1A (title). . . . . . . . . . . . . . . am Jan. 1, 2009
27-1A . . . . . . . . . . . . . . . . . . am Jan. 1, 2009
27-2................... rp Jan.1,2003
27-3................... rp Jan.1,2003
27-4 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2003;
am Jan. 1, 2009
27-4A (title). . . . . . . . . . . . . . . am Jan. 1, 2009
27-4A . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003;
536
Copyrighted by the Secretary of the State of the State of Connecticut
Action Effective
Taken Date
am Jan. 1, 2009
27-5 (title) . . . . . . . . . . . . . . . am Jan. 1, 2009
27-5 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2003;
am Jan. 1, 2009
27-6 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2003;
am Jan. 1, 2009
27-7 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2003;
am Jan. 1, 2009
27-8................... rp Jan.1,2003
27-8A (title). . . . . . . . . . . . . . . am Jan. 1, 2009
27-8A . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003;
am Jan. 1, 2009
27-9................... ad Jan.1,2009
28-1................... rp Jan.1,2003
29 (title). . . . . . . . . . . . . . . . . am Jan. 1, 2015
29-1 (title) . . . . . . . . . . . . . . . am Jan. 1, 2003;
am Jan. 1, 2015
29-1 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2003;
am Jan. 1, 2015
29-1A . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003
29-1B (title). . . . . . . . . . . . . . . am Jan. 1, 2015
29-1B . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003;
am Jan. 1, 2015
29-2 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2003;
am Jan. 1, 2015
30-1................... rp Jan.1,2003
30-1A . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003
30-2................... rp Jan.1,2003
30-2A . . . . . . . . . . . . . . . . . . ad Jan. 1, 2009;
am Jan. 1, 2012
30-3................... am Jan.1,2003
30-4 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2003;
am Jan. 1, 2009
30-5 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2003;
am Jan. 1, 2012;
am Jan. 1, 2018
30-6 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2003;
am Jan. 1, 2009;
am Jan. 1, 2012;
am Jan. 1, 2018
30-7 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2003;
am Jan. 1, 2009;
am Jan. 1, 2018
30-8 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2003;
am Jan. 1, 2009;
am Jan. 1, 2014;
am Jan. 1, 2018
30-9................... am Jan.1,2003
30-10 (title) . . . . . . . . . . . . . . . am Jan. 1, 2003
30-10 . . . . . . . . . . . . . . . . . . am Jan. 1, 2003;
am Jan. 1, 2009;
am Jan. 1, 2018
30-11 . . . . . . . . . . . . . . . . . . am Jan. 1, 2009;
am Jan. 1, 2018
30a (title) . . . . . . . . . . . . . . . . am Jan. 1, 2015
30a-1 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003;
am Jan. 1, 2010;
am Jan. 1, 2015
30a-1A . . . . . . . . . . . . . . . . . ad Jan. 1, 2010
30a-2 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003;
am Jan. 1, 2015
30a-3 (title) . . . . . . . . . . . . . . . am Jan. 1, 2004
30a-3 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003;
am Jan. 1, 2004
TABLE OF PRACTICE BOOK CHANGES
Action Effective
Taken Date
30a-4 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003;
am Jan. 1, 2010
30a-5 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003;
am Jan. 1, 2007;
am Jan. 1, 2010;
am Jan. 1, 2015
30a-6 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003;
am Jan. 1, 2010
30a-6A . . . . . . . . . . . . . . . . . ad Jan. 1, 2010;
tr Jan. 1, 2013
30a-7 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003
30a-8 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003;
am Jan. 1, 2010;
am Jan. 1, 2014
30a-9 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2013
31-1................... rp Jan.1,2003
31-2................... rp Jan.1,2003
31-3................... rp Jan.1,2003
31-4................... rp Jan.1,2003
31-5................... rp Jan.1,2003
31-6................... rp Jan.1,2003
31-7................... rp Jan.1,2003
31-8................... rp Jan.1,2003
31-9................... rp Jan.1,2003
31-10 . . . . . . . . . . . . . . . . . . rp Jan. 1, 2003
31-11 . . . . . . . . . . . . . . . . . . rp Jan. 1, 2003
31-12 . . . . . . . . . . . . . . . . . . rp Jan. 1, 2003
31-13 . . . . . . . . . . . . . . . . . . rp Jan. 1, 2003
31a (title) . . . . . . . . . . . . . . . . am Jan. 1, 2015
31a-1 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003;
am Jan. 1, 2009
31a-1A . . . . . . . . . . . . . . . . . ad Jan. 1, 2009
31a-2 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003
31a-3 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003
31a-4 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003
31a-5 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003;
am Jan. 1, 2009
31a-6 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003
31a-7 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003
31a-8 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003
31a-9 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003
31a-10 . . . . . . . . . . . . . . . . . ad Jan. 1, 2003
31a-11 . . . . . . . . . . . . . . . . . ad Jan. 1, 2003
31a-12 . . . . . . . . . . . . . . . . . ad Jan. 1, 2003
31a-13 . . . . . . . . . . . . . . . . . ad Jan. 1, 2003;
am Jan. 1, 2009;
am Jan. 1, 2018
31a-13A . . . . . . . . . . . . . . . . ad Jan. 1, 2009
31a-14 . . . . . . . . . . . . . . . . . ad Jan. 1, 2003;
am Jan. 1, 2009;
am Jan. 1, 2015
31a-15 . . . . . . . . . . . . . . . . . ad Jan. 1, 2003
31a-16 . . . . . . . . . . . . . . . . . ad Jan. 1, 2003;
am Jan. 1, 2009;
am Jan. 1, 2015
31a-17 . . . . . . . . . . . . . . . . . ad Jan. 1, 2003;
am Jan. 1, 2009
31a-18 . . . . . . . . . . . . . . . . . ad Jan. 1, 2003;
am Jan. 1, 2009
31a-19 . . . . . . . . . . . . . . . . . ad Jan. 1, 2003;
am Jan. 1, 2009;
am Jan. 1, 2010
31a-19A . . . . . . . . . . . . . . . . ad Jan. 1, 2009
31a-20 . . . . . . . . . . . . . . . . . ad Jan. 1, 2009
537
Copyrighted by the Secretary of the State of the State of Connecticut
Action Effective
Taken Date
31a-21 . . . . . . . . . . . . . . . . . ad Jan. 1, 2010
32-1................... rp Jan.1,2003
32-2................... rp Jan.1,2003
32-3................... rp Jan.1,2003
32-4................... rp Jan.1,2003
32-5................... rp Jan.1,2003
32-6................... rp Jan.1,2003
32-7................... rp Jan.1,2003
32-8................... rp Jan.1,2003
32-9................... rp Jan.1,2003
32a (title) . . . . . . . . . . . . . . . . am Jan. 1, 2013
32a-1 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003;
am Jan. 1, 2009;
am Jan. 1, 2013
32a-2 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003;
am Jan. 1, 2009;
am Jan. 1, 2013
32a-3 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003;
am Jan. 1, 2009;
am Jan. 1, 2018
32a-4 (title) . . . . . . . . . . . . . . . am Jan. 1, 2009
32a-4 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003;
am Jan. 1, 2009
32a-5 (title) . . . . . . . . . . . . . . . am Jan. 1, 2009
32a-5 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003;
am Jan. 1, 2009
32a-6 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003
32a-7 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003;
am Jan. 1, 2010;
am Jan. 1, 2013;
am Jan. 1, 2014
32a-8 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003
32a-9 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2009
33-1................... rp Jan.1,2003
33-2................... rp Jan.1,2003
33-3................... rp Jan.1,2003
33-4................... rp Jan.1,2003
33-5................... rp Jan.1,2003
33-6................... rp Jan.1,2003
33-7................... rp Jan.1,2003
33-8................... rp Jan.1,2003
33-9................... rp Jan.1,2003
33-10 . . . . . . . . . . . . . . . . . . rp Jan. 1, 2003
33-11 . . . . . . . . . . . . . . . . . . rp Jan. 1, 2003
33-12 . . . . . . . . . . . . . . . . . . rp Jan. 1, 2003
33-13 . . . . . . . . . . . . . . . . . . rp Jan. 1, 2003
33a-1 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003
33a-2 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003;
am Jan. 1, 2009;
am Jan. 1, 2013
33a-3 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003;
am Jan. 1, 2009
33a-4 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003;
am Jan. 1, 2009
33a-5 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003
33a-6 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003;
am Jan. 1, 2009;
am Jan. 1, 2012
33a-7 (title) . . . . . . . . . . . . . . . am Jan. 1, 2009
33a-7 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003;
am Jan. 1, 2009;
am Jan. 1, 2011;
am Jan. 1, 2012;
am Jan. 1, 2013
TABLE OF PRACTICE BOOK CHANGES
Action Effective
Taken Date
33a-8 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003;
am Jan. 1, 2009
34-1................... rp Jan.1,2003
34-2................... rp Jan.1,2003
34-3................... rp Jan.1,2003
34-4................... rp Jan.1,2003
34a (title) . . . . . . . . . . . . . . . . am Jan. 1, 2013
34a-1 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003;
am Jan. 1, 2009;
am Jan. 1, 2011;
am Jan. 1, 2012
34a-2 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003
34a-3 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003
34a-4 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003
34a-5 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003
34a-6 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003
34a-7 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003
34a-8 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003
34a-9 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003
34a-10 . . . . . . . . . . . . . . . . . ad Jan. 1, 2003;
am Jan. 1, 2018
34a-11 . . . . . . . . . . . . . . . . . ad Jan. 1, 2003;
am Jan. 1, 2018
34a-12 . . . . . . . . . . . . . . . . . ad Jan. 1, 2003
34a-13 . . . . . . . . . . . . . . . . . ad Jan. 1, 2003
34a-14 . . . . . . . . . . . . . . . . . ad Jan. 1, 2003
34a-15 . . . . . . . . . . . . . . . . . ad Jan. 1, 2003
34a-16 . . . . . . . . . . . . . . . . . ad Jan. 1, 2003
34a-17 . . . . . . . . . . . . . . . . . ad Jan. 1, 2003
34a-18 . . . . . . . . . . . . . . . . . ad Jan. 1, 2003
34a-19 . . . . . . . . . . . . . . . . . ad Jan. 1, 2003
34a-20 . . . . . . . . . . . . . . . . . ad Jan. 1, 2003
34a-21 . . . . . . . . . . . . . . . . . ad Jan. 1, 2003;
am Jan. 1, 2011
34a-22 . . . . . . . . . . . . . . . . . ad Jan. 1, 2003
34a-23 . . . . . . . . . . . . . . . . . ad Jan. 1, 2003
35-1................... rp Jan.1,2003
35-2................... rp Jan.1,2003
35-3................... rp Jan.1,2003
35-4................... rp Jan.1,2003
35-5................... rp Jan.1,2003
35a (title) . . . . . . . . . . . . . . . . am Jan. 1, 2013
35a-1 (title) . . . . . . . . . . . . . . . am Jan. 1, 2009
35a-1 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003;
am Jan. 1, 2009;
am Jan. 1, 2012;
am Jan. 1, 2013;
am Jan. 1, 2015
35a-1A . . . . . . . . . . . . . . . . . ad Jan. 1, 2009
35a-1B . . . . . . . . . . . . . . . . . ad Jan. 1, 2009
35a-2 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003;
am Jan. 1, 2009
35a-3 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003;
am Jan. 1, 2009;
am Jan. 1, 2013
35a-4 (title) . . . . . . . . . . . . . . . am Jan. 1, 2012
35a-4 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003;
am Jan. 1, 2009;
am Jan. 1, 2012
35a-5 (title) . . . . . . . . . . . . . . . am Jan. 1, 2009
35a-5 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003;
am Jan. 1, 2009
35a-6 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003;
am Jan. 1, 2009
538
Copyrighted by the Secretary of the State of the State of Connecticut
Action Effective
Taken Date
35a-6A . . . . . . . . . . . . . . . . . ad Jan. 1, 2009
35a-7 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003
35a-7A . . . . . . . . . . . . . . . . . ad Jan. 1, 2009
35a-8 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003;
am Jan. 1, 2009;
am Jan. 1, 2011
35a-9 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2003;
am Jan. 1, 2009
35a-10 . . . . . . . . . . . . . . . . . ad Jan. 1, 2003;
am Jan. 1, 2014
35a-11 . . . . . . . . . . . . . . . . . ad Jan. 1, 2003
35a-12 . . . . . . . . . . . . . . . . . ad Jan. 1, 2003;
am Jan. 1, 2009
35a-12A . . . . . . . . . . . . . . . . ad Jan. 1, 2012
35a-13 . . . . . . . . . . . . . . . . . ad Jan. 1, 2003;
am Jan. 1, 2009
35a-14 (title) . . . . . . . . . . . . . . am Jan. 1, 2009
35a-14 . . . . . . . . . . . . . . . . . ad Jan. 1, 2003;
am Jan. 1, 2009;
am Jan. 1, 2012;
am Jan. 1, 2017
35a-14A (title) . . . . . . . . . . . . . am Jan. 1, 2012
35a-14A . . . . . . . . . . . . . . . . ad Jan. 1, 2009;
am Jan. 1, 2012
35a-15 . . . . . . . . . . . . . . . . . ad Jan. 1, 2003;
am Jan. 1, 2009
35a-16 . . . . . . . . . . . . . . . . . ad Jan. 1, 2003;
am Jan. 1, 2009
35a-17 . . . . . . . . . . . . . . . . . ad Jan. 1, 2003;
rp Jan. 1, 2009
35a-18 . . . . . . . . . . . . . . . . . ad Jan. 1, 2003;
am Jan. 1, 2009;
am Jan. 1, 2014
35a-19 . . . . . . . . . . . . . . . . . ad Jan. 1, 2003;
am Jan. 1, 2009;
am Jan. 1, 2011;
am Jan. 1, 2017
35a-20 (title) . . . . . . . . . . . . . . am Jan. 1, 2009;
am Jan. 1, 2012
35a-20 . . . . . . . . . . . . . . . . . ad Jan. 1, 2003;
am Jan. 1, 2009;
am Jan. 1, 2012
35a-21 . . . . . . . . . . . . . . . . . ad Jan. 1, 2003;
am Jan. 1, 2009;
am Jan. 1, 2011;
am Jan. 1, 2013
35a-22 . . . . . . . . . . . . . . . . . ad Jan. 1, 2012
35a-23 . . . . . . . . . . . . . . . . . ad Jan. 1, 2014
36-2 . . . . . . . . . . . . . . . . . . . am July 1, 2003;
am Jan. 1, 2005;
am Jan. 1, 2010
37-11 (title) . . . . . . . . . . . . . . . am Jan. 1, 2013
37-11 . . . . . . . . . . . . . . . . . . am Jan. 1, 2013
37-12 . . . . . . . . . . . . . . . . . . am Jan. 1, 2008;
am Jan. 1, 2010
38-3 . . . . . . . . . . . . . . . . . . . am Jan. 1, 1999;
am Jan. 1, 2014
38-4 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2006;
am Jan. 1, 2007;
am Jan. 1, 2013
38-9................... am Jan.1,2004
38-10 . . . . . . . . . . . . . . . . . . rp Jan. 1, 2006
40-10 . . . . . . . . . . . . . . . . . . am Jan. 1, 2010
40-11 (title) . . . . . . . . . . . . . . . am Jan. 1, 2010
TABLE OF PRACTICE BOOK CHANGES
Action Effective
Taken Date
40-11 . . . . . . . . . . . . . . . . . . am Jan. 1, 2010;
am Jan. 1, 2016
40-13 (title) . . . . . . . . . . . . . . . am Jan. 1, 2010
40-13 . . . . . . . . . . . . . . . . . . am Jan. 1, 2010;
am Jan. 1, 2016
40-13A . . . . . . . . . . . . . . . . . am Jan. 1, 2010
40-14 . . . . . . . . . . . . . . . . . . am Jan. 1, 2010
42-8................... am Jan.1,2013
42-10 . . . . . . . . . . . . . . . . . . am Jan. 1, 2002
42-12 . . . . . . . . . . . . . . . . . . am Jan. 1, 2010
42-19 . . . . . . . . . . . . . . . . . . am Jan. 1, 2002
42-34 . . . . . . . . . . . . . . . . . . am Jan. 1, 2009
42-49 (title) . . . . . . . . . . . . . . . am July 1, 2003
42-49 . . . . . . . . . . . . . . . . . . am Jan. 1, 2000;
am July 1, 2003;
am Jan. 1, 2005
42-49A . . . . . . . . . . . . . . . . . ad July 1, 2003;
am Jan. 1, 2005
43-7................... am Jan.1,2007
43-9................... am Jan.1,2009
43-29 . . . . . . . . . . . . . . . . . . am Jan. 1, 2017
43-29A . . . . . . . . . . . . . . . . . ad Jan. 1, 2002
43-33 . . . . . . . . . . . . . . . . . . am Jan. 1, 2018
43-34 . . . . . . . . . . . . . . . . . . am Jan. 1, 2018
43-35 (title) . . . . . . . . . . . . . . . am Jan. 1, 2018
43-35 . . . . . . . . . . . . . . . . . . am Jan. 1, 2018
43-36 . . . . . . . . . . . . . . . . . . am Jan. 1, 2018
43-38 . . . . . . . . . . . . . . . . . . am Jan. 1, 2004
44-10 . . . . . . . . . . . . . . . . . . am Mar. 12, 2007
44-10A . . . . . . . . . . . . . . . . . ad Mar. 12, 2007;
am Jan. 1, 2012;
am Jan. 1, 2017
44-19 . . . . . . . . . . . . . . . . . . am Jan. 1, 2006
44-37 . . . . . . . . . . . . . . . . . . am Jan. 1, 2002
60-1................... am Jan.1,2018
60-2 . . . . . . . . . . . . . . . . . . . am July 1, 2013;
am Jan. 1, 2018
60-3................... am Jan.1,2018
60-4 . . . . . . . . . . . . . . . . . . . am July 1, 2013;
am Jan. 1, 2016;
am Aug. 1, 2016;
am Jan. 1, 2017
60-5................... am Jan.1,2016
60-7 . . . . . . . . . . . . . . . . . . . ad Jan. 1, 2016;
am Aug. 1, 2016;
am Jan. 1, 2018
60-8 . . . . . . . . . . . . . . . . . . . ad Jan. 1, 2016;
am Aug. 1, 2016
60-9................... ad Jan.1,2016
61-4 (title) . . . . . . . . . . . . . . . am Jan. 1, 1999
61-4 . . . . . . . . . . . . . . . . . . . am Jan. 1, 1999;
am Jan. 1, 2016
61-5................... am Jan.1,2016
61-6 (title) . . . . . . . . . . . . . . . am Jan. 1, 2001
61-6 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2001;
am Jan. 1, 2009
am Jan. 1, 2016
61-7................... am July1,2013
am Jan. 1, 2016
61-8................... am Jan.1,2016
61-9 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2010;
am Jan. 1, 2013;
am July 1, 2013;
am Aug. 1, 2014
539
Copyrighted by the Secretary of the State of the State of Connecticut
Action Effective
Taken Date
61-10 . . . . . . . . . . . . . . . . . . am Jan. 1, 2013;
am July 1, 2013;
am Jan. 1, 2016
61-11 (title) . . . . . . . . . . . . . . . am Jan. 1, 2000
61-11 . . . . . . . . . . . . . . . . . . am Jan. 1, 2000;
am Jan. 1, 2001;
am Jan. 1, 2002;
am Jan. 1, 2005;
am Jan. 1, 2013;
am Oct. 1, 2013;
am Jan. 1, 2016;
am June 15, 2017
61-12 (title) . . . . . . . . . . . . . . . am Jan. 1, 2000
61-12 . . . . . . . . . . . . . . . . . . am Jan. 1, 2000;
am Jan. 1, 2013;
am Jan. 1, 2016
61-13 (title) . . . . . . . . . . . . . . . am Jan. 1, 2000
61-13 . . . . . . . . . . . . . . . . . . am Jan. 1, 2000;
am Jan. 1, 2002
am Jan. 1, 2016
61-14 (title) . . . . . . . . . . . . . . . am Jan. 1, 1999
61-14 . . . . . . . . . . . . . . . . . . am Jan. 1, 1999;
am Jan. 1, 2016
61-15 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2000
61-16 . . . . . . . . . . . . . . . . . . am Oct. 1, 2002;
am Jan. 1, 2016
62-2................... am Jan.1,2016
62-3................... am Jan.1,2016
62-6 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2016;
am Aug. 1, 2016;
am Jan. 1, 2017;
am June 15, 2017
62-7 (title) . . . . . . . . . . . . . . . am Jan. 1, 2016
62-7 . . . . . . . . . . . . . . . . . . . am Jan. 1, 1999;
am Oct. 1, 2002;
am Jan. 1, 2004;
am July 1, 2013;
am Sept. 1, 2014;
am Jan. 1, 2016
62-8 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2005;
am Jan. 1, 2007;
am Jan. 1, 2008;
am Jan. 1, 2016;
am Jan. 1, 2017;
am Oct. 8, 2017;
am Jan. 1, 2018
62-8A . . . . . . . . . . . . . . . . . . ad Jan. 1, 2007;
am Jan. 1, 2008;
am Oct. 1, 2013;
am Jan. 1, 2016;
am Oct. 8, 2017
62-9................... am Mar.1,2009
am Jan. 1, 2016;
am Jan. 1, 2017
62-9A (title). . . . . . . . . . . . . . . am Mar. 1, 2009
62-9A . . . . . . . . . . . . . . . . . . ad Jan. 1, 2005;
am Mar. 1, 2009
am Jan. 1, 2016
62-10 . . . . . . . . . . . . . . . . . . am Jan. 1, 2005;
am Aug. 1, 2016
63-1 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2000;
am Jan. 1, 2005;
am Jan. 1, 2006;
am Jan. 1, 2009;
TABLE OF PRACTICE BOOK CHANGES
Action Effective
Taken Date
am Jan. 1, 2016;
am Oct. 8, 2017
63-2 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2016;
am Jan. 1, 2017
63-3 (title) . . . . . . . . . . . . . . . am Jan. 1, 2010
am Jan. 1, 2016
63-3 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2010;
am May 1, 2010;
am Oct. 1, 2013
am Jan. 1, 2016;
am Aug. 1, 2016
63-3A . . . . . . . . . . . . . . . . . . ad Oct. 1, 2013;
rp Jan. 1, 2016
63-4 . . . . . . . . . . . . . . . . . . . am Nov. 1, 2002;
am Jan. 1, 2004;
am Jan. 1, 2008;
am Jan. 1, 2012;
am July 1, 2013;
am Jan. 1, 2016;
am Oct. 8, 2017;
am Jan. 1, 2018
63-5................... rp Jan.1,2016
63-6 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2000;
am Jan. 1, 2006;
am Sept. 1, 2014;
am Jan. 1, 2016
63-7................... am Jan.1,2000
am Jan. 1, 2016
63-8 (title) . . . . . . . . . . . . . . . am Jan. 1, 2016
63-8 . . . . . . . . . . . . . . . . . . . am Nov. 1, 2002;
am Jan. 1, 2013
am Jan. 1, 2016;
am Jan. 1, 2017
63-8A . . . . . . . . . . . . . . . . . . ad Nov. 1, 2002;
am Jan. 1, 2016;
am Jan. 1, 2017
63-9 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2016;
am Sept. 30, 2016
63-10 . . . . . . . . . . . . . . . . . . am Jan. 1, 2000;
am Jan. 1, 2012;
am Jan. 1, 2016
64-1 . . . . . . . . . . . . . . . . . . . am Jan. 1, 1999;
am Jan. 1, 2016
65-1................... am July1,2013
65-2................... am Jan.1,2016
65-4................... am Jan.1,2016
66-1 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2000;
am Jan. 1, 2006;
am Mar. 1, 2009;
am Jan. 1, 2010;
am Jan. 1, 2016
66-2 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2013;
am Jan. 1, 2016;
am Jan. 1, 2018
66-2A . . . . . . . . . . . . . . . . . . am Jan. 1, 2010
rp Jan. 1, 2016
66-3 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2003;
am Jan. 1, 2004
am Jan. 1, 2016;
am Sept. 30, 2016
66-4 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2012;
am Sept. 30, 2016
66-5 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2000;
am Oct. 1, 2002;
540
Copyrighted by the Secretary of the State of the State of Connecticut
Action Effective
Taken Date
am July 1, 2013;
am Jan. 1, 2016;
am June 15, 2017
66-6 . . . . . . . . . . . . . . . . . . . am Nov. 1, 2002;
am Jan. 1, 2006
66-7................... am July1,2013
am Jan. 1, 2016
66-8................... am Oct.8,2017
67-1 . . . . . . . . . . . . . . . . . . . am July 1, 2013;
am Sept. 1, 2014
am Jan. 1, 2016
67-2 (title) . . . . . . . . . . . . . . . am Mar. 1, 2009;
am July 1, 2013
67-2 . . . . . . . . . . . . . . . . . . . am Sept. 1, 2001;
am Mar. 1, 2009;
am July 1, 2013;
am Sept. 1, 2014;
am Jan. 1, 2016;
am Aug. 1, 2016;
am Jan. 1, 2018
67-3 (title) . . . . . . . . . . . . . . . am July 1, 2013;
67-3 . . . . . . . . . . . . . . . . . . . am July 1, 2013;
am Jan. 1, 2016
67-4 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2000;
am Oct. 1, 2002;
am Jan. 1, 2010;
am July 1, 2013
67-5 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2000;
am Oct. 1, 2002;
am Jan. 1, 2006;
am Jan. 1, 2010;
am July 1, 2013
67-7 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2009;
am Jan. 1, 2016
67-8 (title) . . . . . . . . . . . . . . . am July 1, 2013
67-8 . . . . . . . . . . . . . . . . . . . am Mar. 1, 2009;
am July 1, 2013;
am Jan. 1, 2016;
am June 15, 2017;
am Oct. 8, 2017
67-8A . . . . . . . . . . . . . . . . . . ad July 1, 2013;
am Jan. 1, 2016
67-9................... rp July1,2013
67-10 . . . . . . . . . . . . . . . . . . am Jan. 1, 2009
67-11 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2000
67-12 (title) . . . . . . . . . . . . . . . am Jan. 1, 2016
67-12 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2000;
am Jan. 1, 2016
67-13 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2005
68 (title). . . . . . . . . . . . . . . . . am July 1, 2013
68-1 (title) . . . . . . . . . . . . . . . am Jan. 1, 1999;
am Jan. 1, 2016
68-1 . . . . . . . . . . . . . . . . . . . am Jan. 1, 1999;
am Oct. 1, 2002;
am Jan. 1, 2010;
am Mar. 1, 2013;
am July 1, 2013;
am Jan. 1, 2016
68-2................... rp July1,2013
68-3 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2002;
rp July 1, 2013
68-4................... rp July1,2013
68-5................... rp July1,2013
68-6................... rp July1,2013
TABLE OF PRACTICE BOOK CHANGES
Action Effective
Taken Date
68-7 . . . . . . . . . . . . . . . . . . . ad Jan. 1, 2005;
rp July 1, 2013
68-8................... rp July1,2013
68-9................... rp July1,2013
68-10 . . . . . . . . . . . . . . . . . . rp July 1, 2013
68-11 . . . . . . . . . . . . . . . . . . rp July 1, 2013
69-1 (title) . . . . . . . . . . . . . . . am Jan. 1, 2016
69-1 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2016;
am Sept. 30, 2016;
am Nov. 30, 2016
69-2 . . . . . . . . . . . . . . . . . . . am Jan. 1, 1999;
am July 1, 2013;
am Jan. 1, 2016;
am Sept. 30, 2016;
am Jan. 1, 2017
69-3 . . . . . . . . . . . . . . . . . . . am Mar. 1, 2009;
am Jan. 1, 2016;
am Sept. 30, 2016;
am Nov. 30, 2016
70-1 (title) . . . . . . . . . . . . . . . am Jan. 1, 2012
70-1 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2012;
am July 1, 2013;
am Jan. 1, 2016;
am Sept. 30, 2016
70-2 (title) . . . . . . . . . . . . . . . am Jan. 1, 2012
70-2 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2012;
am Jan. 1, 2016
70-3 (title) . . . . . . . . . . . . . . . am Jan. 1, 2018
70-3 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2017;
am Jan. 1, 2018
70-4 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2016;
am Jan. 1, 2017
70-5................... am Jan.1,2017
70-7 (title) . . . . . . . . . . . . . . . am Jan. 1, 2000
70-7................... am Jan.1,2000
70-8................... am Jan.1,2002
70-9 (title) . . . . . . . . . . . . . . . am June 1, 2007
70-9 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2004;
am June 1, 2007;
am Jan. 1, 2016
70-10 (title) . . . . . . . . . . . . . . . am Jan. 1, 2004
70-10 . . . . . . . . . . . . . . . . . . am Jan. 1, 2004;
rp June 1, 2007
71-1................... am Mar.1,2009
71-2................... am Jan.1,2000
71-4 (title) . . . . . . . . . . . . . . . am Mar. 1, 2009;
am Jan. 1, 2018
71-4 . . . . . . . . . . . . . . . . . . . am Mar. 1, 2009;
am Jan. 1, 2018
71-5 (title) . . . . . . . . . . . . . . . am Jan. 1, 2000
71-5 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2000;
am Jan. 1, 2016
71-6 (title) . . . . . . . . . . . . . . . am Jan. 1, 2000
71-6................... am Jan.1,2000
71-7 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2000;
am Jan. 1, 2016
72-1................... am Jan.1,2004
72-2 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2016;
am Oct. 8, 2017
72-3 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2004;
am July 1, 2013;
am Jan. 1, 2016;
am Sept. 30, 2016;
am Oct. 8, 2017
541
Copyrighted by the Secretary of the State of the State of Connecticut
Action Effective
Taken Date
72-4................... am Jan.1,2004
73-1 (title) . . . . . . . . . . . . . . . am Jan. 1, 2016
73-1 . . . . . . . . . . . . . . . . . . . am July 1, 2013;
am Jan. 1, 2016
73-2................... ad Jan.1,2016
73-3................... ad Jan.1,2016
73-4................... ad Jan.1,2016
74 (title). . . . . . . . . . . . . . . . . am Jan. 1, 2016
74-1 (title) . . . . . . . . . . . . . . . am Jan. 1, 2016
74-2................... rp Jan.1,2016
74-2A . . . . . . . . . . . . . . . . . . ad Jan. 1, 2016
74-3................... rp Jan.1,2016
74-3A . . . . . . . . . . . . . . . . . . ad Jan. 1, 2016
74-6................... am Jan.1,2016
74-7................... tr Jan.1,2016
74-8................... tr Jan.1,2016
75-1 (title) . . . . . . . . . . . . . . . am Jan. 1, 2016
75-1................... am Jan.1,2016
75-2................... rp Jan.1,2016
75-3................... rp Jan.1,2016
75-4................... am Jan.1,2016
75-6................... am Jan.1,2016
76-2................... am Jan.1,2016
76-3 (title) . . . . . . . . . . . . . . . am July 1, 2013
76-3 . . . . . . . . . . . . . . . . . . . am July 1, 2013;
am Jan. 1, 2016
76-4................... am Jan.1,2016
76-5 (title) . . . . . . . . . . . . . . . am Jan. 1, 2016
76-5 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2000;
76-5A . . . . . . . . . . . . . . . . . . ad Jan. 1, 2016
76-6................... am Jan.1,2016
77-1................... am Jan.1,2000
am Jan. 1, 2016
77-2................... am Jan.1,2004
77-3................... ad Jan.1,2018
77-4................... ad Jan.1,2018
78a-1 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2006
79-1................... rp Jan.1,2013
79-2................... rp Jan.1,2013
79-3................... rp Jan.1,2013
79-4 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2004;
rp Jan. 1, 2013
79-5 . . . . . . . . . . . . . . . . . . . ad Jan. 1, 2005;
rp Jan. 1, 2013
79a-6 (title) . . . . . . . . . . . . . . . am July 1, 2013
79a-6 . . . . . . . . . . . . . . . . . . am July 1, 2013
79a (title) . . . . . . . . . . . . . . . . ad Jan. 1, 2013
79a-1 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2013
79a-2 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2013;
am Aug. 1, 2014
am Jan. 1, 2016;
am Oct. 8, 2017
79a-3 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2013
am Jan. 1, 2016
79a-4 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2013
79a-5 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2013
79a-6 (title) . . . . . . . . . . . . . . . am July 1, 2013
79a-6 . . . . . . . . . . . . . . . . . . ad Feb. 1, 2012;
am July 1, 2013
79a-7 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2013
79a-8 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2013;
am Jan. 1, 2016
79a-9 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2013;
am July 1, 2013;
TABLE OF PRACTICE BOOK CHANGES
Action Effective
Taken Date
am Jan. 1, 2016;
am Sept. 30, 2016
79a-10 . . . . . . . . . . . . . . . . . ad Jan. 1, 2013;
am Jan. 1, 2016
79a-11 . . . . . . . . . . . . . . . . . ad Jan. 1, 2013;
am Jan. 1, 2018
79a-12 . . . . . . . . . . . . . . . . . ad Jan. 1, 2013;
am Aug. 1, 2016
79a-13 . . . . . . . . . . . . . . . . . ad Jan. 1, 2013
79a-14 . . . . . . . . . . . . . . . . . ad Jan. 1, 2013
79a-15 . . . . . . . . . . . . . . . . . ad Jan. 1, 2013
80-1 . . . . . . . . . . . . . . . . . . . am Jan. 1, 1999;
am Jan. 1, 2005
81-1 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2005;
am Jan. 1, 2007;
am Jan. 1, 2016;
am Sept. 30, 2016
81-2 . . . . . . . . . . . . . . . . . . . am Jan. 1, 1999;
am April 15, 2002;
am Jan. 1, 2004;
am Jan. 1, 2013;
am Jan. 1, 2016
81-3 . . . . . . . . . . . . . . . . . . . am April 15, 2002;
am Jan. 1, 2004;
am Jan. 1, 2007;
am Jan. 1, 2016
81-4 . . . . . . . . . . . . . . . . . . . am Oct. 1, 2002;
am Jan. 1, 2016
81-6................... am Oct.1,2002
am Jan. 1, 2016
82-1 (title) . . . . . . . . . . . . . . . am Jan. 1, 2006
82-1................... am Jan.1,2005
82-2................... rp Jan.1,2005
82-3................... am Jan.1,2005
am Jan. 1, 2016
82-4................... am Jan.1,2016
82-5 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2016;
am Oct. 8, 2017
82-6 (title) . . . . . . . . . . . . . . . am July 1, 2013
am Oct. 8, 2017
82-6 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2005;
am July 1, 2013;
am Jan. 1, 2016;
am Oct. 8, 2017
82-8................... ad Jan.1,2006
83-1 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2001;
am April 19, 2013;
am Jan. 1, 2016
83-2................... am Jan.1,2016
84-1................... am Jan.1,2016
84-3................... am Jan.1,2016
84-4 . . . . . . . . . . . . . . . . . . . am Jan. 1, 1999;
am Jan. 1, 2000;
am Jan. 1, 2007;
am Jan. 1, 2013;
am Oct. 1, 2013;
am Jan. 1, 2016
84-5 . . . . . . . . . . . . . . . . . . . am Jan. 1, 1999;
am Jan. 1, 2002;
am April 15, 2002;
am Jan. 1, 2004;
am Jan. 1, 2016
84-6 . . . . . . . . . . . . . . . . . . . am April 15, 2002;
am Jan. 1, 2004;
542
Copyrighted by the Secretary of the State of the State of Connecticut
Action Effective
Taken Date
am Jan. 1, 2007;
am Jan. 1, 2016
84-8................... am Jan.1,2016
84-9 (title) . . . . . . . . . . . . . . . am Jan. 1, 2016
84-9 . . . . . . . . . . . . . . . . . . . am Oct. 1, 2002;
am Jan. 1, 2016
84-10 . . . . . . . . . . . . . . . . . . rp July 1, 2013
84-11 . . . . . . . . . . . . . . . . . . am Jan. 1, 2000;
am Jan. 1, 2016;
am Jan. 1, 2017
84a-1 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2006
84a-2 (title) . . . . . . . . . . . . . . . am Jan. 1, 2016
84a-2 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2006;
am Jan. 1, 2016
84a-3 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2006
84a-4 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2006
84a-5 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2006
84a-6 . . . . . . . . . . . . . . . . . . ad Jan. 1, 2006
85-2................... am Jan.1,2018
85-3 . . . . . . . . . . . . . . . . . . . am April 19, 2013;
am Jan. 1, 2018
86-1................... am Jan.1,2005
86-2 . . . . . . . . . . . . . . . . . . . am Jan. 1, 2001;
am Jan. 1, 2016
Form 201 . . . . . . . . . . . . . . . . am Jan. 1, 2005;
am Jan. 1, 2008;
am Jan. 1, 2014;
am Jan. 1, 2015;
am Jan. 1, 2017;
am Jan. 1, 2018
Form 202 . . . . . . . . . . . . . . . . am Jan. 1, 2005;
am Jan. 1, 2008;
am Jan. 1, 2014;
am Jan. 1, 2015;
am Jan. 1, 2017;
am Jan. 1, 2018
Form 203 . . . . . . . . . . . . . . . . am Jan. 1, 2006;
am Jan. 1, 2008;
am Jan. 1, 2010;
am Jan. 1, 2014;
am Jan. 1, 2015;
am Jan. 1, 2017;
am Jan. 1, 2018
Form 204 . . . . . . . . . . . . . . . . am Jan. 1, 2005;
am Jan. 1, 2006;
am Jan. 1, 2008;
am Jan. 1, 2014;
am Jan. 1, 2015;
am Jan. 1, 2017;
am Jan. 1, 2018
Form 205 . . . . . . . . . . . . . . . . am Jan. 1, 2005;
am Jan. 1, 2006;
am Jan. 1, 2008;
am Jan. 1, 2012;
am Jan. 1, 2014;
am Jan. 1, 2015;
am Jan. 1, 2017;
am Jan. 1, 2018
Form 206 . . . . . . . . . . . . . . . . am Jan. 1, 2008;
am Jan. 1, 2014;
am Jan. 1, 2015;
am Jan. 1, 2017;
am Jan. 1, 2018
Form 207 . . . . . . . . . . . . . . . . ad Aug. 1, 2010;
TABLE OF PRACTICE BOOK CHANGES
Action Effective
Taken Date
am Jan. 1, 2015;
am Jan. 1, 2017;
am Jan. 1, 2018
Form 208 . . . . . . . . . . . . . . . . ad Jan. 1, 2014;
am Jan. 1, 2015;
am Jan. 1, 2017;
am Jan. 1, 2018
Form 209 . . . . . . . . . . . . . . . . ad Jan. 1, 2014;
am Jan. 1, 2015;
am Jan. 1, 2017;
am Jan. 1, 2018
Form 210 . . . . . . . . . . . . . . . . ad Jan. 1, 2014;
543
Copyrighted by the Secretary of the State of the State of Connecticut
Action Effective
Taken Date
am Jan. 1, 2015;
am Jan. 1, 2017;
am Jan. 1, 2018
Form 211 . . . . . . . . . . . . . . . . ad Jan. 1, 2014;
am Jan. 1, 2015;
am Jan. 1, 2017;
am Jan. 1, 2018
Form 212 . . . . . . . . . . . . . . . . ad Jan. 1, 2017
am Jan. 1, 2018
Form 213 . . . . . . . . . . . . . . . . ad Jan. 1, 2018
Form 214 . . . . . . . . . . . . . . . . ad Jan. 1, 2018
Form 215 . . . . . . . . . . . . . . . . ad Jan. 1, 2018
Form 216 . . . . . . . . . . . . . . . . ad Jan. 1, 2018
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. 2018
1-23 .........................16-3
16-8
42-11
42-14
1-25 .........................16-3
16-8
42-11
42-14
1-210etseq. ...................14-7B
Ch.54........................14-5
4-177(d)......................14-7A
4-183etseq. .....................8-1
14-6
14-7A
4-183(c)........................8-1
14-7A
4-183 (g), (h), (i) . . . . . . . . . . . . . . . . . 14-7A
Ch.124 .......................81-1
Ch. 124 through 134 . . . . . . . . . . . . . . . . 14-5
8-8.........................14-7B
8-8(i)........................14-7B
8-8(k).......................14-7B
8-132........................17-14
17-18
12-103........................14-7
67-8A
12-117a.......................14-7
67-8A
12-119........................14-7
67-8A
Title14.......................44-25
14-219(e).....................44-23
17a-28...................... 34a-20
17a-75...................... 31a-15
17a-101 through 17a-101e. . . . . . . . . . . 31a-14
17a-101g..................... 35a-14
17a-110(b).....................26-1
17a-111b (b). . . . . . . . . . . . . . . . . . . 35a-15
17a-111b(c).....................26-1
17a-274 (b), (g), (h). . . . . . . . . . . . . . . 31a-15
17a-685.......................7-11
43-40
17b-27.......................33a-7
17b-450..................... 31a-14
17b-451..................... 31a-14
19a-131a.......................1-9B
Ch.440 .......................81-1
22a-43.......................14-7B
26-5 ........................44-37
28-9 .........................1-9B
29-18........................44-37
29-18a.......................44-37
29-19........................44-37
31-290a.......................76-1
544
Copyrighted by the Secretary of the State of the State of Connecticut
Statutes P.B. 2018
76-2
76-3
76-4
76-6
84-4
31-290a(b).....................66-6
76-1
Ch.669 .......................24-6
38a-139.......................14-7
67-8A
45a-79b......................19-3A
45a-186......................19-3A
45a-186 to 45a-193. . . . . . . . . . . . . . . . 10-76
45a-611..................... 35a-19
45a-612..................... 35a-19
45a-619..................... 35a-19
45a-719..................... 35a-18
45a-757.......................7-14
46a-33a.......................16-1
42-10
46b-1........................1-10B
5-11
25-1
46b-11........................77-1
46b-15.........................4-5
7-11
25-1
61-11
46b-38c .......................5-11
46b-49........................77-1
46b-67(b).....................25-34
46b-81.......................61-11
46b-83.......................61-11
46b-115......................25-57
46b-120.......................26-1
27-4A
46b-121......................1-10B
26-1
34a-1
46b-121(a).................... 35a-22
46b-122.......................26-1
77-1
46b-127..................... 31a-12
46b-128......................29-1A
29-2
46b-128(b)....................30-10
46b-129........................4-5
35a-4
35a-5
46b-129(c) ....................33a-7
35a-4
46b-129(d)....................35a-4
STATUTES NOTED
Statutes P.B. 2018
46b-129(k) .....................26-1
35a-14
46b-129 (k) (2) . . . . . . . . . . . . . . . . . 35a-14
46b-129(o)................... 35a-22
46b-129(p)................... 35a-22
46b-129(m)................... 35a-14
46b-129a(2)....................33a-7
46b-133......................30-1A
46b-133 (a), (b), (c), (d) . . . . . . . . . . . . . 29-1A
46b-133(e).....................30-6
46b-133(g)....................30-10
46b-133b.......................26-1
46b-133e.......................26-1
46b-136......................33a-7
35a-4
46b-140......................30a-5
31a-15
46b-141.......................26-1
30a-5
46b-149.......................26-1
29-1B
30-2A
31a-21
46b-149(d).....................29-2
46b-149(g).....................27-9
46b-149(h)....................30a-5
46b-149(j)......................26-1
46b-151h......................30-2A
46b-172......................33a-7
46b-172 (a) (2) . . . . . . . . . . . . . . . . . 25a-17
46b-172a.......................26-1
46b-215a..................... 25a-30
46b-215b..................... 25a-30
46b-220 through 46b-223 . . . . . . . . . . . . . 2-46
46b-231......................25-1A
25a-29
46b-231(s) (4) . . . . . . . . . . . . . . . . . . 25a-18
46b-301 through 46b-425 . . . . . . . . . . . 25a-27
47-33..........................9-1
47a-14h.......................7-11
47a-68.........................1-7
24-4
49-17..........................6-3
49-31l.......................10-12
51-36a...................... 31a-14
51-52..........................7-2
51-52a(b).......................7-9
51-59.........................7-17
51-81c........................2-68
2-73
9-9
51-81d(f) ......................2-76
51-84.........................1-25
5-10
85-2
51-88.........................2-33
2-34A
2-63
51-189........................20-3
51-190a.......................20-4
51-193l.........................1-1
23-68
545
Copyrighted by the Secretary of the State of the State of Connecticut
Statutes P.B. 2018
51-195........................43-3
43-24
44-10A
51-197a......................24-28
51-199(c)......................65-1
65-3
76-5
51-199b.......................82-1
82-8
51-213...................... 79a-11
51-215a..................... 79a-11
51-296.......................23-26
44-4
51-296a......................33a-7
51-297(g)......................37-6
51-345........................24-4
51-345(d)......................24-4
51-345(g)......................24-4
51-346........................24-4
51-347........................24-4
51-347b.......................12-1
12-3
52-11.........................9-24
52-48.........................14-6
52-52.........................11-7
52-69..........................9-1
52-73a........................9-25
52-78.........................9-12
52-86.........................3-13
52-87..........................9-1
52-88..........................9-2
52-91........................10-20
52-97........................10-21
52-99.........................10-5
52-101.........................9-3
52-102.........................9-6
52-106........................9-11
52-107........................9-18
52-108........................9-19
52-109........................9-20
52-110........................9-21
52-114.......................10-53
52-115.......................10-73
52-117.......................10-71
52-118.......................10-72
24-24
52-119.......................10-18
52-128.......................10-59
52-130.......................10-60
52-131.......................10-67
52-136.......................10-65
52-137.......................10-63
52-138.......................10-64
52-139 to 52-142 . . . . . . . . . . . . . . . . . 10-54
52-143 et seq.. . . . . . . . . . . . . . . . . . . 32a-2
52-178.......................13-26
52-189........................8-10
20-3
52-190a.......................13-2
52-192a......................17-18
52-193.......................17-11
52-194.......................17-12
STATUTES NOTED
Statutes P.B. 2018
52-195.......................17-13
52-196.......................14-23
52-200.......................13-18
52-205........................15-1
52-208.........................5-6
52-209........................15-7
52-212.......................17-43
52-215.......................14-10
52-216........................16-9
52-216a......................17-2A
52-216b......................16-19
52-218.......................16-10
52-219.......................16-11
52-221.......................17-34
52-223.......................16-17
52-225........................17-2
52-225a......................10-78
16-35
17-2A
52-225b......................10-78
52-226........................17-7
52-227........................17-1
52-228........................17-3
52-231........................17-5
52-235a......................17-59
52-257........................8-3A
18-16
18-18
52-259b..................... 44-10A
63-6
52-263.........................6-1
52-265a.......................83-1
83-2
83-3
52-270...................... 31a-11
42-55
Ch.903a.......................63-4
52-278d......................13-13
52-278e......................13-13
52-278i.......................13-13
52-307.......................13-13
52-308.......................13-13
52-380a......................10-69
52-417........................23-1
52-418........................23-1
52-419........................23-1
52-434.........................1-1
546
Copyrighted by the Secretary of the State of the State of Connecticut
Statutes P.B. 2018
19-3
52-434a......................63-10
52-504........................20-2
52-506........................21-4
52-513.......................21-17
52-549z .......................19-3
52-549aa......................23-66
52-591........................14-6
52-592........................14-6
52-593........................14-6
53a-39a.......................43-3
53a-40c ......................61-13
53a-40e......................61-13
53a-46a.......................67-6
53a-46b(b).....................67-6
53a-54b.......................67-6
53a-54d......................27-4A
53a-70........................7-11
53a-70a.......................7-11
54-1b.........................37-3
54-2a.........................38-1
54-33c........................7-13
42-49A
54-36h........................7-11
Ch.959a......................41-14
54-46a........................41-9
54-47g........................78-1
54-56d.......................42-39
54-56d(j) .................... 44-10A
54-56d(k).................... 44-10A
54-56e.......................43-40
54-56f ........................38-4
54-56g.......................43-40
54-56m.......................43-40
54-63g........................65-3
54-64b........................37-3
54-66.........................38-9
54-76h.......................42-49
77-1
54-82c.......................43-39
54-82i .......................40-44
44-34
54-95.........................43-2
54-102b......................61-13
54-102g......................61-13
54-152.......................44-34
Ch.964 ......................38-18
54-260.......................61-13
INDEX
ADDITUR
Motion for 16-35
ADMINISTRATIVE APPEALS
Appendix 67-8A
Certified list of papers 14-7A
Civil rules, applicability of 14-6
Costs, taxation of 14-7A
Definition 14-5, 60-4
Designation of record 14-7A
Disputes concerning 14-7A
Exceptions 14-7
Municipal land use, historic and resource protection
agencies
Briefs 14-7B
Certified list of papers 14-7B
Costs, taxation of 14-7B
Designation of record 14-7B
Disputes concerning 14-7B
Scheduling 14-7B
Settlement 14-7B
Scheduling order 14-7A
Service 14-7A
ADMISSIONS
See DISCOVERY AND DEPOSITIONS—CIVIL; PLEAD-
INGS, CIVIL ACTIONS
ADMISSION TO PRACTICE
See ATTORNEYS, Admission to Practice
ALIMONY
See FAMILY MATTERS
ALTERNATE INCARCERATION PROGRAM
See CRIMINAL PROCEDURE
ALTERNATIVE DISPUTE RESOLUTION 23-67
AMENDMENT OF PLEADINGS
See PLEADINGS—CIVIL ACTIONS
AMICUS CURIAE
Appellate brief of 67-7
ANNULMENT
See FAMILY MATTERS
ANSWER
See PLEADINGS—CIVIL ACTIONS
APPEARANCE AND ARRAIGNMENT—CRIMINAL MAT-
TERS
See also APPEARANCES—IN GENERAL
Appearance after pretrial release 38-6
Arraignment, timing 37-1
Constitutional rights, advisement of 37-3, 37-4
Indigency, investigation of 37-5
Information and materials to be provided to defendant
37-2
Public defender, appointment 37-6
Reference to, investigation of indigency 37-5
Detention prior to arraignment, trial, sentencing, limit on
38-18
Disposition conference 39-11—39-17
547
Copyrighted by the Secretary of the State of the State of Connecticut
APPEARANCE AND ARRAIGNMENT—CRIMINAL MAT-
TERS — (Cont)
Dispositions without trial, miscellaneous 39-33
Nolle prosequi, see CRIMINAL PROCEDURE, Nolle
prosequi
Plea, see CRIMINAL PROCEDURE, Pleas
Probable cause, determination of where defendant in cus-
tody 37-12
APPEARANCES—IN GENERAL
Appeal, appearance by counsel 62-8
Criminal appeals, hybrid representation prohibited 62-9A
Criminal appeals, removal or substitution of counsel
62-9A
Habeas corpus appeals, hybrid representation prohibited
62-9A
Trial court files and motions, review of and participation
in by appellate counsel 62-8, 62-10
Withdrawal of appearance 62-9
Bail or detention hearing only, appearances for 3-6
Civil and family cases, appearance for plaintiff 3-1
Consequence of filing 3-7
Creditor, when allowed to appear and defend 3-13
Duration of appearance 3-9
Electronic filing 4-4
Family matters 25-6
Failure to appear, consequences of 25-51, 25-52
Family support magistrate matters 25a-2, 25a-3
Filing 3-4
Form and signing of 3-3
Habeas corpus
Appearance by petitioner in court 23-40
By interactive audiovisual device 23-40
Counsel, appointment of 23-26
Motion for leave to withdraw appearance 23-41
Judicial action on 23-42
Interactive audiovisual device, appearance by means of in
civil proceedings 23-68
Limited appearance 3-3, 3-8
Completion of 3-9
Legal interns 3-14
Activities of 3-17
Certification of 3-18
Legal internship committee 3-19
Out-of-state interns 3-21
Requirements and limitations 3-16
Supervision of legal interns 3-15
Unauthorized practice 3-20
Motion to withdraw 3-10
Name, composition or membership of firm or professional
corporation, notice of change of 3-12
Notice to counsel and self-represented parties 3-4
Plaintiff, appearance for 3-1
Pro hac vice appearance 2-16
Represented party, appearance for 3-8
Service of appearances on other parties 3-5
Several parties, appearance for 3-11
Time to file appearance 3-2
Withdrawal of appearance 3-9
Limited appearance to object to in place of appearance
3-9
Writ or complaint, appearance for plaintiff 3-1
INDEX
APPELLATE COURT
See generally APPELLATE PROCEDURE
APPELLATE PROCEDURE
See also CRIMINAL PROCEDURE, Appeal;JUVENILE
MATTERS, Appeal
Additions to case file 68-1
Administrative appeal, definition 60-4
Amended appeals 61-9
Amicus curiae
Briefs 67-7
Appeal form, filing 63-3
Additional papers to be filed 63-4 (a)
Amendment of papers 63-4 (b)
Where to file 63-3
Withdrawal of appeal 63-9
Appeal period, generally 63-1 (a) and (b)
Briefing obligations, stay of 67-12
Motion for 63-1 (d)
Calculation of time, in general 63-2
Motions that delay commencement of 11-11
New appeal period, how created 63-1 (c) (1)
Simultaneous filing required of motions that render
judgment or decision ineffective 63-1 (e)
What may be appealed during 63-1 (c) (3)
Who may appeal during 63-1 (c) (2)
Appeal, right to 61-1
Appearance by counsel 62-8
Criminal appeals, hybrid representation prohibited 62-9A
Criminal appeals, removal or substitution of counsel
62-9A
Habeas corpus appeals, hybrid representation prohibited
62-9A
Habeas corpus appeals, removal or substitution of coun-
sel 62-9A
Pro hac vice 62-8A
Trial court files and motions, review of and participation
in by appellate counsel 62-8, 62-10
Withdrawal of appearance 62-9
Appellant, definition 60-4
Brief of, contents and organization 67-4
Responsibility to provide adequate record for review 60-5
Appellate clerk 62-2
Assignment list, delivery to counsel of record 69-3
Docketing of cases 62-3
Ready case docket, distribution 69-1
Exhibits, to be transmitted to appellate clerk by trial court
clerk 68-1
Extension of time motions, action on 66-1, 79a-7
Judgment files, preparation of 71-1
Notice of decisions on motions and of orders to be given
by appellate clerk 71-4
Notice of bankruptcy petition and of resolution 61-16
Notification of trial court clerk of change in parties 62-5
Ready cases, distributing docket of 69-1
Taxation of costs 71-2
Motion to reconsider 71-3
Appellee, definition 60-4
Brief of, contents and organization 67-5
Appendix
Addendum to 66-5
Administrative appeals 67-8A
Amended appeals 61-9
Certification for review by supreme court, order granting,
included in appendix 67-8
Certified questions to or from courts of other jurisdictions
Time for filing 82-6
548
Copyrighted by the Secretary of the State of the State of Connecticut
APPELLATE PROCEDURE — (Cont)
Appendix — (Cont)
Child protection matters, appeals 79a-6
Consolidated appeals 61-7
Permission to file separate brief and appendix, motion
for 61-7
Contents and organization 67-8
Copies 67-2
Corrections or articulations
Included in appendix, generally 66-7
Included in appellant’s appendix 66-5
Included in appellee’s appendix 66-5
Filed as addendum by appellant 66-5
Cross appeals 67-1
Decisions of trial court, part of appendix 67-8
Format and filing 62-7, 67-2
Generally 67-1
Judgment file, signed 67-8
Personal identifying information 67-1, 67-8
Self-represented, incarcerated, preparation of appendix,
criminal and habeas matters 68-1
Time for filing 67-3
Applications
Filing procedures 66-3
Form 66-2, 66-3
Memoranda, supporting and opposing 66-2
Argument, see Oral argument this title
Articulation, order 60-5
Failure to seek, effect of 61-10
Motion for 66-5
Review of decision on 66-7
Assignment of cases for argument 69-2
Order of assignment 69-3
Precedence of supreme and appellate court assignments
69-3
Ready cases 69-2
Authorities, table of in briefs 67-11
Automatic stay pending appeal, noncriminal cases 61-11 (a)
Automatic stay not available 61-11 (b) and (c)
Criminal cases, stays in 61-13
Death cases, stays in 61-15
Discretionary stay, motion for 61-12
Family matters, not available 61-11 (c)
Family support magistrate matters 61-11 (c)
Review of order concerning stay 61-14
Bankruptcy, notice to appellate clerk 61-16
Briefs, in general 67-1
Amended appeals 61-9
Amicus curiae briefs 67-7
Appellant’s brief, contents and organization 67-4
Appellee’s brief, contents and organization 67-5
Certification concerning 62-7
Child protection matters 67-13, 79a-6
Citation of cases, form 67-11
Consolidated or joint appeals 61-7
Copies 67-2
Death sentences, statutory review of, briefs 67-6
Electronic briefing requirement 67-2
Family matters 67-13
Format 67-2
Land use regulations, statement as to 67-4, 67-5
Copy to be filed with brief 81-6
Motion to stay briefing obligations 63-1 (d)
Page limitations 67-3
Stay of briefing obligations 67-12
Supplemental authorities, citation after filing of brief 67-10
Supplemental briefs 61-9
INDEX
APPELLATE PROCEDURE — (Cont)
Briefs, in general 67-1 — (Cont)
On amendment of transcript statement 63-4 (b)
Table of authorities 67-11
Time for filing 67-3
Unreported decisions, citation of 67-9
Cameras and electronic media 70-9
Case citations in briefs, form 67-11
Case file, preparation of 68-1
Additions to after appeal taken 68-1
Workers’ compensation appeals 76-3
Certification
Filed papers, certification of 62-7
For review by appellate court, see Petitions for certifica-
tion, this title
For review by supreme court, see Petitions for certifica-
tion, this title
General Statutes § 52-265a, application for certification
pursuant to, in general 83-1
Application denied 83-3
Application granted 83-2
Unavailability of chief justice 83-4
Habeas corpus 80-1
Certified questions to or from courts of other jurisdictions
Briefs, appendices and argument 82-6
Certification of questions from other courts 82-1
Certification of questions to other courts 82-8
Certification request, contents of 82-3
Preparation of 82-4
Fees and Costs 82-5
Filing after preliminary acceptance 82-5
Opinion on 82-7
Chief justice or chief judge
Action by, on motion for permission to appeal judgment
not disposing all claims by or against party 61-4
Designation of appellate panels and presiding judges by
chief judge 62-1
Designation of chief judge by chief justice 62-1
Permission to exceed page limitations of briefs 67-3
Scheduling of sessions by chief judge 62-1
Child protection matters, appeals, in general 35a-21, 79a-1
Appellate review attorney, motion for appointment of 35a-
21, 79a-3
Applicability of appellate rules 79a-15
Briefs and appendices 67-13, 79a-6
Confidentiality of hearings, exclusion of unnecessary per-
sons 79a-13
Docketing for assignment, supreme and appellate courts
79a-8
Duties of clerk for juvenile matters 79a-3
Extension of time, motions for 35a-21, 66-1, 79a-7
Filing appeal 79a-3
Indigent party, appeal by 35a-21, 79a-3
Inspection of records 79a-12
Motions, statement of consent or objection thereto 79a-14
New appeal period 79a-2
Official release date 79a-11
Oral argument 79a-9
Slip opinions 79a-11
Submission on briefs and record 79a-10
Time for filing, appeal 35a-21, 79a-2
Transcripts, ordering of 79a-5
Videoconference, oral argument by 79a-9
Waiver of fees, costs and security 79a-4
Citation of cases in briefs 67-11
Citation of unreported decisions 67-9
Claims to be preserved 60-5
549
Copyrighted by the Secretary of the State of the State of Connecticut
APPELLATE PROCEDURE — (Cont)
Clerk, appellate, see Appellate clerk, this title
Clerk, trial court, responsibilities after appeal filed 68-1
Compensation review board, reservation of question from
76-5
Conditional plea of guilty or nolo contendere
Appeal from denial of motion to suppress or to dismiss
61-6 (a) (2) (A)
Reservation of right to appeal 61-6 (a) (2) (B)
Connecticut Law Journal date as date of judgment or order
71-1
Connecticut Reports and Connecticut Appellate Reports,
official opinions contained in 71-4
Consolidation of appeals 61-7
Appendices 61-3
Briefs 67-3
Constitutionality of statute, statement in appeal of challenge
to 63-4 (a)
Control of proceedings on appeal 60-2
Copies of filed papers, in general 62-7
Of appeal 63-3
Of appendices 67-2
Of briefs 67-2
Costs
Certified questions from federal courts 82-5
Judicial review council, costs waived in appeals from 74-1
Probate judicial conduct, costs waived in appeals from
decisions of council on 75-1
Security for not required 60-9
Waiver, civil cases 63-6
Waiver, criminal cases 63-7
Taxation of 71-2
Motion to reconsider 71-3
Workers’ compensation appeals 76-4
Counsel
Appearance by 62-8
Assignment list, delivery to counsel of record 69-3
Counsel of record, definition 60-4
Hybrid representation prohibited in criminal appeals 62-
9A
Notification to counsel of intended disposition of case
without argument 70-1
Removal or substitution of in criminal appeals 62-9A
Trial court files, review of 62-8, 62-10
Trial court motions, participation by appellate counsel
62-8
Withdrawal of 62-9
Court closure order, expedited review of 77-1
Court reporter, definition 60-4
Criminal cases
Appeal by defendant 61-6 (a)
Appeal by state 61-6 (b)
Interlocutory ruling, appeal from 61-6 (c)
Stays in 61-13
Cross appeals 61-8
Appendices 67-3
Briefs 67-3
Cross petition for certification 81-1, 84-4
Death sentences, statutory review of, briefs 67-6
Stay of 61-15
Decision of trial court, statement of 64-1
Defendant, reference to in brief 67-1
Deferral of appeal where undisposed complaint, counter-
claim or cross complaint remains 61-2
Notice of intent to appeal 61-2, 61-5 (a)
Failure to file, consequences 61-5 (b)
Objection to deferral of appeal 61-5 (a)
INDEX
APPELLATE PROCEDURE — (Cont)
Definitions 60-4
Diligence, lack in prosecuting or defending appeal 85-1
Dismiss, motion to 66-8
Docket
Certified questions from federal courts 82-5
Entry of cases on by appellate clerk 62-3
Ready case docket, distribution of 69-1
Transfer of cases between supreme court and appellate
court 65-1
Motion for transfer from appellate court to supreme
court 65-2
Trial court docket, appealed cases to remain on 62-4
Docketing statement, filing with appeal 63-4 (a)
Amendment 63-4 (b)
Documents, form and contents 62-7
Certification 62-7
Definition 60-4
Filing and service 62-7
Time limitations, calculation 63-2
Timely submission 62-7
Electronic briefing requirement, see Briefs, this title
Electronic filing of appeal 60-7
Electronic filing, exemption 60-8
Electronic media coverage at proceedings 70-9
En banc consideration and reconsideration of cases 70-7
Reconsideration, motion for en banc 71-5
Evidence and exhibits
Availability to parties 62-10
Removal 62-11
Transmitting exhibits to appellate clerk 68-1
Expedited review, court closure order or order sealing or
limiting disclosure 77-1
Fact-finding, supreme court 84a-1—84a-6
Family matters, briefs 67-13
Family support magistrates, appeal from 25a-29
Federal courts, certified questions from, see Certified ques-
tions from federal courts, this title
Fees
Appeal, fees on filing, in general 60-7, 60-8
Certification for review by supreme court, fees on 84-4
Statement that fees paid or not required 84-9
Waiver of fees, certification 84-4
Certified questions from federal courts 82-5
Entry fee, cross appeal 61-8
Entry fee, joint appeal 61-7
Judicial review council, fees waived in appeals from 74-1
Probate judicial conduct, fees waived in appeals from
decisions of council on 75-1
Waiver, civil cases 63-6
Waiver, criminal cases 63-7
Workers’ compensation appeals 76-4
File, definition 60-4
Files
Availability to parties 62-10
Case file, preparation of 68-1
Removal 62-11
Filing appeal 60-7, 63-3; see also 63-1 and 63-2 on appeal
period and calculating time
Additional papers to be filed 63-4 (a)
Amendment of 63-4 (b)
Exemption from electronic filing 60-8
Final judgment, right to appeal from 61-1
What constitutes 61-2
Deferral of appeal 61-2, 61-3
Notice of intent to appeal 61-5 (a)
Failure to file, consequences 61-5 (b)
550
Copyrighted by the Secretary of the State of the State of Connecticut
APPELLATE PROCEDURE — (Cont)
Final judgment, right to appeal from 61-1 — (Cont)
Objection to deferral 61-5 (a)
Judgment disposing of part of complaint, counterclaim
or cross complaint
All claims by or against party in particular pleading
disposed 61-3
All claims by or against party not disposed, motion
for permission to appeal 61-4
Further articulation, remand for 60-5
General Statutes § 52-265a, application for certification pur-
suant to, in general 83-1
Application denied 83-3
Application granted 83-2
Unavailability of chief justice 83-4
Grand jury order, review of 78-1
Habeas corpus, certification to appeal 80-1
Hearings on motions 66-4
Issues, definition 60-4
Joint appeals 61-7
Appendices 67-3
Briefs 67-3
Judges and justices sitting as superior court judges 60-6
Judgments, appealability, see Final judgment, right to
appeal from, this title
Judgments in appellate proceedings
Connecticut Law Journal date as date of judgment or
order 71-1
Costs, taxation of 71-2
Motion to reconsider 71-3
Judgment files, preparation by appellate clerk 71-1
Judicial review council, appeals from, in general 74-1
Appellate rules, applicability of 74-6
Decision of council statement of 74-4
Fees and costs waived 74-1
Initiation of proceedings by supreme court 74-3A
Papers to be filed 74-1
Parties, proper form of reference 74-5
Referral to supreme court by council 74-2A
Jurisdiction, original of supreme court
Discovery 84a-3
Evidence 84a-5
Fact-finding 84a-4
Filing original jurisdiction action 84a-2
Other officers, appointment of 84a-6
Pleadings and motions 84a-2
Rules, Application of 84a-1
Land use regulations
Copy to be filed with brief 81-6
Statement as to applicable version 67-4, 67-5
Liberal interpretation of rules 60-1
Memorandum of decision by trial court 64-1
Exceptions to requirement 64-2
Inclusion in appendix 67-8
Motions
Articulation, motion for 66-5
Costs, motion to reconsider 71-3
Decisions on motions, notice of to be given by appellate
clerk 71-4
Definition of motion 60-4
Delaying commencement of appeal period 11-11, 63-1
(c) (1)
Simultaneous filing of motions required 63-1 (e)
Dismiss, motion to 66-8
Extension of time 66-1, 79a-7
Petitions for certification 81-5
Filed after appeal that stays appeal period 63-1 (c)
INDEX
APPELLATE PROCEDURE — (Cont)
Motions — (Cont)
Filing procedures 66-3
Form 66-2, 66-3
Hearings on 66-4
Memorandum in support or opposition 66-2
Nonautomatic stay pending appeal, motion for 61-12
Official notice date 66-2
Permission to appeal where all claims by or against party
not disposed of, motion for 61-4
Rectification, motion for 66-5
Review, motion for 66-6
Review of decision on motion for articulation or rectifica-
tion 66-7
Review of order concerning stay, motion for 61-14
Terminate stay pending appeal, motion for 61-11
Transfer from appellate court to supreme court 65-2
Nolo contendere, appeal from denial of motion to suppress
or dismiss after conditional plea of 61-6 (a) (2)
Notice of intent to appeal 61-2, 61-5 (a)
Failure to file, consequences 61-5 (b)
Objection to deferral of appeal 61-5 (a)
Opinions
Certified questions from federal courts, opinions on 82-5
Official opinions contained in Connecticut Reports and
Connecticut Appellate Reports 71-4
Official release date 71-1, 71-4
Child protection matters, appeals 79a-11
Memorandum of decision 71-4
Opinion 71-4
Slip opinion 71-1, 71-4, 79a-11
Reporter of judicial decisions to send copy to trial court
71-4
Oral argument, assignment of cases for 69-2
Child protection matters 79a-9
Submission without oral argument 79a-10
Disposition of cases without argument, determination by
court and notification of counsel 70-1
En banc consideration 70-7
Nonappearance at 70-3
Order of argument 70-3
Order of assignment for argument 69-3
Points of argument 70-5
Precedence of supreme and appellate court assignments
69-3
Ready cases 69-2
Rebuttal 70-5
Reconsideration where court evenly divided 70-6
Right to oral argument, and exceptions 70-1, 70-2
Submission without oral argument 70-2
Time allowed 70-4
Videoconferencing, certain cases 70-1
Who may argue 70-4
Orders, notice of to be given by appellate clerk 71-4
Page limitations for briefs 67-3
Papers
Additional papers to be filed with appeal 63-4 (a)
Amendment 63-4 (b)
Certification 62-7
Copies, number of 62-7
Filing and service 62-7
Timely submission 62-7
Calculating time for filing 63-2
Parties
Availability to of files, evidence and exhibits 62-10
Change in, court where made 62-5
551
Copyrighted by the Secretary of the State of the State of Connecticut
APPELLATE PROCEDURE — (Cont)
Perfection of record, motion to be filed in court having juris-
diction of appeal 60-2
Personal identifying information 67-1
Petition
Definition of petition 60-4
Filing procedures 66-3
Form of 66-2, 66-3
Memorandum in support or opposition 66-2
Petitions for certification
For review by appellate court, in general, filing 81-1
Extensions of time 81-5
Filing appeal after certification 81-4
Form of petition 81-2
Opposition, statement in 81-3
For review by supreme court, in general 84-1
Basis for 84-2
Filing, fees, time to file 84-4
Extensions of time 84-7
Form of petition 84-5
Grant or denial of certification 84-8
Appellate rules, applicability of 84-12
Filing appeal after certification granted 84-9, 84-11
Opposition, statement in 84-6
Stay of execution 84-3
Trial court ruling, copy of, when required 84-5
Waiver of fees, certification 84-4
Workers’ compensation cases 84-4
Petition for review of order concerning release on bail 78a-1
Plain error review 60-5
Plaintiff, reference to in brief 67-1
Preargument conferences 63-10
Exceptions 63-10
Preargument conference statement, filing with appeal 63-
4 (a)
Amendment 63-4 (b)
Request for preargument conference, procedure in
exempt case 63-10
Preliminary statement of issues 63-4 (a)
Amendment 63-4 (b)
Preservation of claims 60-5
Probate judicial conduct, appeals from decisions of council
on, in general 75-1
Appellate rules, applicability of 75-6
Decision of council, statement of 75-4
Fees and costs waived 75-1
Papers to be filed 75-1
Parties, proper form of reference 75-5
Publication of rules, effective date 86-1
Ready cases
Assignment, generally 69-2
Order of 69-3
Precedence of supreme and appellate court assign-
ments 69-3
Definition of 69-2
Docket, distribution of 69-1
Reconsideration en banc 70-7
Motion for 71-5
Stay pending 71-6
Record
Appellant to provide adequate record 60-5, 61-10
Definition 60-4
Motion for perfection to be filed in court having jurisdiction
of appeal 60-2
Rectification, motion for 66-5
Removal of files, records and exhibits 62-11
INDEX
APPELLATE PROCEDURE — (Cont)
Reporter of judicial decisions
Sending opinions to trial court 71-4
Sending rescripts to trial court and appellate clerk 71-4
Request, definition 60-4
Rescripts, to be sent to trial court and appellate clerk 71-4
Reservations 73-1
By compensation review board 76-5
Review, motion for 66-6
Review of order concerning stay 61-14
Review of rectification or articulation 66-7
Right to appeal 61-1
Reservation of on conditional plea of guilty or nolo conten-
dere 61-6 (a) (2) (B)
Rules
Changes in, applicability to pending appeals 86-2
Effective date 86-1
Liberal interpretation 60-1
Suspension of 60-3
Sanctions
Actions subject to 85-2
Diligence in prosecuting or defending appeal, sanctions
for 85-1
Failure to comply with rule on appeal papers 63-4 (c)
Procedure 85-3
Security for costs 60-9
Waiver, civil cases 63-6
Waiver, criminal cases 63-7
Service and filing, in general 62-7
Sessions, scheduling by chief judge 62-1
Cameras and electronic media 70-9
Signature, definition 60-4
On documents 62-6
Special sessions of court 70-8
Stay of briefing obligations 67-12
Stay of execution pending appeal
Automatic stay, noncriminal cases 61-11 (a)
Automatic stay not available, where 61-11 (b)
Automatic stay, family matters, not available 61-11 (c)
Certification for review by supreme court, stay pending
84-3
Criminal cases, stays in 61-13
Death penalty cases, stays in 61-15
Discretionary stay, motion for 61-12
Discretionary stay, order sua sponte 61-12
Reconsideration, stay pending 71-6
Review of order concerning stay 61-14
Termination of stay 61-11 (c) and (d)
United States Supreme Court, stay pending decision by
71-7
Supervision of proceedings on appeal 60-2
Supplemental authorities, citation after filing of brief 67-10
Supplemental briefs, amended appeals 61-9
Suspension of rules 60-3
Taxation of costs 18-5, 71-2
Motion to reconsider 71-3
Time
Briefs and appendices, time for filing 67-3
Motion to stay briefing obligations 63-1 (d)
Calculation of 63-2
Extension of 66-1
Extension of, child protection matters 79a-7
Petitions for certification for review by appellate court 81-1
Extension of time 81-5
Petitions for certification for review by supreme court 84-4
Extensions of time 84-7
552
Copyrighted by the Secretary of the State of the State of Connecticut
APPELLATE PROCEDURE — (Cont)
Transcript
Electronic 63-8A
Ordering and filing, paper 63-8
Rectification, motion for 66-5
Statement, filing with appeal 63-4 (a)
Amendment 63-4 (b)
Statement that transcript not necessary, filing with appeal
63-4
Transfer
Cases between supreme court and appellate court 65-1
Motion for transfer from appellate court to supreme court
65-2
Petition for review of order concerning release 65-3
Wrong court, matters brought to 65-4
Trial court clerk, responsibilities 68-1
Trial court decision, statement of 64-1
Copy of to accompany petition for certification, when 84-5
Trial court docket, appealed cases to remain on 62-4
Trial court files and motions, review of and participation in
by appellate counsel 62-8, 62-10
United States Supreme Court, stay pending decision by 71-7
Unreported decisions, citation of 67-9
Videoconference, hearings on motions 66-4
Waiver of fees, costs and security
Civil cases 63-6
Criminal cases 63-7
Withdrawal of appeal or writ of error 63-9
Withdrawal of appearance 62-9
Workers’ compensation appeals
Applicability of appellate rules 76-1
Case file, exhibits 76-3
Definitions 76-6
Fees and costs 76-4
Filing appeal 76-2
Petitions for certification 84-4
Reservation of question from compensation review board
76-5, 76-5A
Writ of error, in general 72-1
Appellate rules, applicability of 72-4
Copy of record not to be taxed in costs 18-6
Form of 72-2
Procedure applicable 72-3
Withdrawal 63-9
Wrong court, transfer of matters brought to 65-4
APPENDIX
See APPELLATE PROCEDURE
APPLICATIONS
See MOTIONS, APPLICATIONS AND REQUESTS,
CIVIL, MISCELLANEOUS
APPRAISERS
See generally RECEIVERS
ARBITRATION
Approval of arbitrators by chief court administrator 23-60
Confirming, correcting or vacating award 23-1
Decision of arbitrator 23-64
As judgment 23-66
Disqualification of arbitrators 23-62
Failure to appear at hearing 23-65
Fee arbitration, order by statewide grievance committee
2-37
Hearing in 23-63
Failure to appear at hearing 23-65
Referral to arbitrators 23-61
INDEX
ARBITRATION — (Cont)
Selection of arbitrators 23-62
Trial de novo, claim for 23-66
ARGUMENT BY COUNSEL
Generally 15-5, 15-6; see also APPELLATE PROCE-
DURE, Oral argument
Argument on interlocutory questions during trial 5-5
Time limit 15-7
Criminal cases 42-37
ARREST AND PRELIMINARY CRIMINAL PROCEDURE
See also APPEARANCE AND ARRAIGNMENT—CRIM-
INAL MATTERS;CRIMINAL PROCEDURE, Bail;
Bond; Pleas
By warrant, issuance 36-1
Affidavit supporting warrant application 36-2
Cancellation of warrant 36-6
Contents of warrant 36-3
Execution and return of warrant 36-5
Information and complaint, use 36-11
Amendments, minor defects 36-16
Continuance necessitated by amendment 36-20
Essential facts, request by defendant for 36-19
Substantive amendment after trial commenced 36-18
Substantive amendment before trial 36-17
Filing and availability of information 36-15
Former conviction in information 36-14
Election of jury trial 42-2
Plea to 37-10
Form of information 36-13
Issuance of information 36-12
Joinder
Defendants 36-22
Offenses 36-21
Summons, form of summons and complaint 36-7
Direction by judicial authority for use of 36-4
Failure to respond to 36-10
In lieu of arrest warrant 36-12
Service of 36-9
ARREST OF JUDGMENT
Motion in arrest of judgment 16-35
ASSIGNMENT FOR TRIAL—CIVIL
See generally Chapter 14; see also TRIALS IN
GENERAL
Administrative appeals
Briefing schedule 14-7
Civil rules, applicability of 14-6
Definition 14-5
Appellate court arguments, precedence of 1-2, 69-3
Assignment for trial, in general 14-15
Counsel, availability of 14-25
Methods of assigning 14-16
Bankruptcy
Claim for exemption from docket management program
14-2
Claim for statutory exemption or stay 14-1
Case records, maintenance of 14-4
Clerk, communication with counsel to ensure sufficient busi-
ness 14-21
Continuance or postponement, motion for 14-23
Absent witness, missing evidence 14-24
Counsel, availability of 14-25
Dismissal, lack of diligence 14-3
Family matters 25-48
Case management 25-5, 25-50
Garnishee, assignment on motion of 14-22
553
Copyrighted by the Secretary of the State of the State of Connecticut
ASSIGNMENT FOR TRIAL—CIVIL — (Cont)
Immediate trial 14-17
Jury assignments to have precedence over court assign-
ments 14-25
Jury, claims for 14-10
Order of trial 14-20
Pleadings closed, certification 14-8
Pretrial, assignment for 14-11
Orders at 14-14
Pretrial procedure 14-13
When case not disposed of at 14-12
Privileged cases 14-9
Supreme court arguments, precedence of 1-2, 69-3
Unemployment compensation appeals 22-2
ATTORNEYS
Generally Chapter 2
Admission to practice
By superior court 2-10
Certification of recommended applicants 2-9
Conditions of admission by superior court 2-9, 2-11
Appeal from decision of bar examining committee con-
cerning 2-11A
Mental or physical disability 2-9
Monitoring compliance with 2-11
Removal or modification of 2-11
County committees on recommendations for admission
2-12
County court designations 2-1
Examining committee
Examination of candidates 2-5
Personnel of 2-6
Records of 2-4A
Regulations by 2-4
Fees for admission, disposition of 2-22
Fitness to practice law 2-5A, 2-8, 2-9, 2-12, 2-13, 2-15,
2-17
Foreign legal consultants
Affiliation of with Connecticut bar 2-21
Disciplinary provisions regarding 2-20
Filings to become 2-18
Licensing requirements 2-17
Mental or physical disability, inquiries 2-8
Conditions of admission 2-9
Scope of practice of 2-19
Military spouse temporary License 2-13A
Number of times applicant may take examination 2-7
Other jurisdictions, attorneys of, qualifications and
requirements for admission 2-13
Practice of law, defined 2-13
Pro hac vice appearance 2-16
Qualifications for admission 2-8
Superior court, admission by 2-10
Superior court, admission by with conditions 2-11
Advertising, Mandatory Filing 2-28A
Advisory Opinions 2-28B
Appeal from decision of statewide grievance committee 2-38
Appearance, see APPEARANCES—IN GENERAL
Appointment of counsel
Criminal cases in general 44-1, 44-2; see also CRIMINAL
PROCEDURE, Counsel
Family matters, motion for 25-24
Juvenile matters appeals 35-4; see also JUVENILE
MATTERS, Attorney
Juvenile matters, initial plea hearing, see JUVENILE
MATTERS, Attorney
INDEX
ATTORNEYS — (Cont)
Attorney trial referee, reference to 19-2A
Time to file report 19-4
Authorized house counsel 2-15A
Bank and trust companies, payment of attorneys by 2-67
Chief disciplinary counsel 2-34A
Client funds, fiduciary accounts, overdraft notification 2-27,
2-28
Audits and inspections, trust accounts 2-27
Notice of alleged misuse of 2-43
Registration 2-27
Client security fund 2-68
Annual fee, assessment, exemption, failure to pay 2-70
Enforcement of payment 2-79
Pro hac vice, certification of payment 2-16
Claims
Attorney’s fee for prosecuting 2-77
Confidentiality 2-76
Reimbursement, eligibility for 2-71
Restitution of claims 2-53
Committee
Action by 2-72
Appointment of members 2-72
Claims processing 2-75
Confidentiality 2-76
Duties and powers 2-73
Operation 2-72
Rules and regulations 2-74
Status of fund, review by committee 2-77
Subrogation to rights of claimant 2-81
Complaints against attorney, filing, time, action on 2-32
Continuing legal education 2-27A
Counsel
Child protection matters appeals, appellate review attor-
ney 35a-21; see also JUVENILE MATTERS, Attorney
Criminal cases, appointment 44-1, 44-2; see also CRIMI-
NAL PROCEDURE, Counsel
Family contempt, right to 25-63
Waiver 25-64
Family matters, motion for appointment 25-24
Fees, motion for in family matters 25-24
Paternity actions, right to 25-68
Counsel of record, appeals, definition 60-4
Court officials, practice by 2-66
Crisis intervention and referral assistance 2-68, 2-68A, 2-
70, 2-77
Dishonest conduct, defined 2-69
Exemption, retirement 2-55
Restitution to fund by attorney 2-53, 2-80
Subrogation of committee to rights of claimant 2-81
Disability of applicant for admission, inquiry 2-8
Conditions of admission 2-9
Disciplinary counsel 2-34A
Discipline, see also Grievances, this title
Admission of misconduct 2-82
Alleged misuse of clients’ funds, notice 2-43
Appeal from decision of statewide grievance committee
2-38
Appointment of attorney to protect clients’ and attorney’s
interests 2-64
Attorneys found guilty of serious crimes in Connecticut
2-40
Attorneys found guilty of serious crimes in another jurisdic-
tion 2-41
Costs and expenses 2-51
Deactivated attorney 2-47B
Discipline by consent 2-82
554
Copyrighted by the Secretary of the State of the State of Connecticut
ATTORNEYS — (Cont)
Discipline, see also Grievances, this title — (Cont)
Foreign legal consultants 2-20
Inactive status 2-56
Appointment of attorney to protect interests 2-64
Burden of proof 2-61
Disability claimed during course of disciplinary proceed-
ing 2-59
No prior determination of incompetency or involuntary
commitment 2-58
Prior judicial determination of incompetency or involun-
tary commitment 2-57
Reinstatement upon termination of disability 2-60
Waiver of doctor-patient privilege upon application
for 2-62
Interim suspension, conduct constituting threat of harm
to clients 2-42
Misappropriation of funds, disbarment for 2-47A
Notice of inactive status, reprimand, suspension, disbar-
ment, publication of 2-54
Presentments 2-47
Prosecution of 2-48
Reciprocal discipline 2-39
Reinstatement of attorney after suspension, disbarment
or resignation 2-53
Resignation of attorney facing disciplinary investigation
2-52
Restitution 2-49, 2-53
Restriction on activities, deactivated attorney 2-47B
Sanctions of reprimand, suspension, disbarment, publica-
tion of notice of 2-54
Superior court, power to discipline attorneys 2-44
Cause occurring in presence of court 2-45
Suspension, violation of support orders 2-46
Unauthorized practice of law, power of court to restrain
2-44
Petitions 2-47
Dishonest conduct, defined, client security fund 2-69
Felony
Connecticut conviction 2-40
Conviction elsewhere 2-41
Fitness to practice law 2-5A, 2-8, 2-9, 2-12, 2-13, 2-15, 2-
17, 2-40, 2-41
Foreign legal consultants 2-17—2-21
Good moral character, fitness to practice law 2-5A
Good standing of attorney 2-65
Grievances
See also Discipline, this title
Bar counsel, statewide 2-34
Complaints against attorneys, filing, action on 2-32
Disciplinary counsel 2-34A
Grievance committee, statewide 2-33
Action by on request for review 2-36
Action by or by reviewing committee 2-35
Appeal from decision by 2-38
Sanctions that may be imposed by 2-37
Grievance panels 2-29
Counsel for panels and investigators 2-30
Grievance counsel, duties and powers 2-31
House counsel, authorized 2-15A
Juvenile matters, see JUVENILE MATTERS, Attorney
Law-related activity, defined 2-47B
Legal interns, see LEGAL INTERNS
Mental or physical disability of applicant for admission,
inquiry 2-8
Conditions of admission 2-9
INDEX
ATTORNEYS — (Cont)
Notices
Admission in other jurisdiction 2-24
Alleged misuse of clients funds 2-43
Change in address 2-26
Disciplinary action in other jurisdiction 2-25
Disciplinary sanctions, miscellaneous 2-54
Payment by bank and trust companies 2-67
Physical or mental disability of applicant for admission 2-8
Conditions of admission 2-9
Practice of law, definition 2-44A
Pro hac vice appearance 2-16, 62-8A
Reciprocal discipline 2-39
Reciprocity 2-13
Records
Statewide grievance committee, reviewing committee and
grievance panel 2-50
Reinstatement after suspension, disbarment or resignation
2-53
Resignation of attorney facing disciplinary investigation 2-52
Retirement of attorney 2-55
Roll of attorneys 2-23
Statewide bar counsel 2-34
Unauthorized practice of law, power of court to restrain 2-44
Petitions 2-47
Waiver of right to hearing, attorney facing disciplinary inves-
tigation 2-52
BAIL
See also CRIMINAL PROCEDURE,Bond
Appearance for bail hearing 3-6
Cash bail where bond allowed 38-7
Ten percent cash bail 38-8
Pretrial release by bail commissioner 38-3
Review of orders concerning release on bail
Petition for review of order concerning release on bail
78a-1
BANKRUPTCY
Claim for exemption from docket management program 14-2
Claim for statutory exemption or stay 14-1
Notice to appellate clerk of petition and of resolution 61-16
BAR, ADMISSION TO
See ATTORNEYS, Admission to Practice
BILL OF PARTICULARS 41-20—41-22
BOND
See CIVIL ACTIONS, Commencement of Action;
CRIMINAL PROCEDURE;RECEIVERS
BRIEFS
See also APPELLATE PROCEDURE
Trial briefs 5-1
Page limitations 4-6
CAMERAS IN COURTROOM
See MEDIA
CELLULAR TELEPHONES IN COURTROOM
See MEDIA
CENTRALIZED INFRACTIONS BUREAU
See INFRACTIONS
CERTIFICATION FOR REVIEW
See APPELLATE PROCEDURE, Petitions for certifi-
cation
555
Copyrighted by the Secretary of the State of the State of Connecticut
CERTIFIED QUESTIONS TO OR FROM COURTS OF
OTHER JURISDICTIONS
Briefs, appendices, assignment and argument 82-6
Certification of questions from other courts 82-1
Certification of questions to other courts 82-8
Certification requests, contents of 82-3
Preparation of 82-4
Docketing after preliminary acceptance 82-5
Fees and costs 82-5
Opinions on 82-7
CHAMBERS, HEARINGS IN
See generally HEARINGS
CHILD PROTECTION
See generally JUVENILE MATTERS
CHILD SUPPORT
See FAMILY MATTERS
CITATIONS IN BRIEFS
See APPELLATE PROCEDURE
CIVIL ACTIONS
See also FAMILY MATTERS;SMALL CLAIMS
Appearance, see APPEARANCES—IN GENERAL
Arbitration, see ARBITRATION
Argument by counsel, generally 15-5, 15-6
Argument on interlocutory questions during trial 5-5
Time limit 15-7
Administrative appeals
Certified list of papers 14-7A
Civil rules, applicability of 14-6
Costs, taxation of 14-7A
Definition 14-5
Designation of record 14-7A
Disputes concerning 14-7A
Exceptions 14-7
Scheduling order 14-7A
Service 14-7A
Assignment for trial, in general 14-15
Clerk, communication with counsel to ensure sufficient
business 14-21
Counsel, availability of 14-25
Immediate trial 14-17
Jury trial to have precedence over court trial 14-25
Methods of assigning 14-16
Motion of garnishee, assignment on 14-22
Order of trial 14-20
Bankruptcy
Claim for exemption from docket management program
14-2
Claim for statutory exemption or stay 14-1
Case records, maintenance of 14-4
Continuance or postponement, motion for 14-23
Absent witness, missing evidence 14-24
Counsel, availability of 14-25
Dismissal, lack of diligence 14-3
Jury assignments to have precedence over court assign-
ments 14-25
Jury, claims for 14-10
Pretrial, assignment for 14-11
Orders at 14-14
Pretrial procedure 14-13
When case not disposed of at 14-12
Privileged cases 14-9
Cameras in courtroom, see MEDIA
Chambers, hearings in, see Hearings in chambers, this title
INDEX
CIVIL ACTIONS — (Cont)
Class actions, see CLASS ACTIONS
Closure of court to public and media 11-20
Expedited review of order 77-1
Commencement of action
See also PLEADINGS—CIVIL ACTIONS
Bond
For prosecution or recognizance 8-3A
Renewal of 8-12
Surety company bond acceptable 8-10
Court fees and costs, waiver of 8-2
Process 8-1
Consolidation of actions for trial 9-5
Contempt, civil 1-21A
Review of 23-20
Continuances
Absent or nonresident defendant 9-1
Garnishee not appearing to defend 9-2
Small claims 11-16
Decision, statement of by judicial authority, when required
6-1, 64-1, 64-2
Discovery and depositions
Admission of facts and execution of writings, requests for
admission 13-22
Answers and objections to requests for admission
13-23
Effect of admission 13-24
Expenses on failure to admit 13-25
Construction, rules of 13-1
Definitions 13-1
Communication 13-1
Concerning 13-1
Document 13-1
Identify
Act or event 13-1
Electronically stored information 13-1
Oral communications 13-1
Persons 13-1
Person 13-1
You 13-1
Depositions, in general 13-26
Deposition procedure 13-30
Notice of deposition
Deposition of organization, production of documents
and materials 13-27
General requirements, special notice, nonsteno-
graphic recording 13-27
Persons before whom deposition taken, subpoenas
13-28
Place of deposition 13-29
Remote electronic means of taking 13-30
Use of depositions in court proceedings 13-31
Disclosure
Amount and provisions of insurance liability policy
13-12
Assets, where prejudgment remedy sought 13-13
Before court or committee 13-17
Continuing duty to disclose 13-15
Defense 13-19
In equity 13-18
Order limiting, expedited review 77-1
Discovery
Health information, motion for authorization to obtain
protected 13-9, 13-11A
Outside the United States 13-21
Scope, in general 13-2
Experts 13-4
556
Copyrighted by the Secretary of the State of the State of Connecticut
CIVIL ACTIONS — (Cont)
Discovery and depositions — (Cont)
Materials prepared in anticipation of litigation, state-
ments of parties 13-3
Privilege log 13-3
Protective order 13-5
Sought by judgment creditor 13-20
Duty to disclose, continuing 13-15
Interrogatories, in general 13-6
Answers to 13-7
Objections to 13-8
Order for compliance, failure to answer or comply with
order 13-14
Orders by judge 13-16
Requests for admission 13-22
Answers and objections to 13-23
Requests for production, inspection and examination, in
general 13-9
Physical or mental examination 13-11
Responses to requests for production, objections 13-10
Stipulations regarding discovery and deposition proce-
dure 13-32
Subpoenas 13-28
Subpoena duces tecum 13-27
Dismiss, motion to 10-30—10-34
Dissolution of marriage or civil union, legal separation,
annulment, see FAMILY MATTERS
Dockets, see Assignment lists, dockets, pretrials and trial
lists, this title
Electronic filing 4-4
Evidence
Exceptions not required 5-7
Exhibits, marking 5-7
Interlocutory matters, address by counsel 5-5, 5-8
Medical evidence 15-4
Motion in limine 15-3
Objections, reasons for 5-5
Reception of evidence objected to 5-6
Prima facie case, dismissal for failure to make 15-8
Witnesses, examination of 5-4
Oath, administration of 5-3
Experts, see EXPERT WITNESSES
Fact-finding
Action by judicial authority on finding of facts 23-58
Appointment of fact finders by chief court administrator
23-52
Referral of cases to 23-53
Selection of, disqualification 23-54
Committees and referees, see REFERENCES
Failure to appear at hearing 23-59
Finding of facts 23-56
Action on by judicial authority 23-58
Objections to acceptance of 23-57
Hearing in 23-55
Failure to appear at hearing 23-59
Fees and costs
Costs
For Exhibits 18-18
Interest and costs unnecessary to claim 10-28
On appeal from commissioners 18-2
On complaint and counterclaim 18-16
On counterclaim 18-17
On creditor’s appeal 18-3
On interlocutory proceedings 18-7
On writ of error 18-6
Several defendants 18-13
Taxation of, appeal 18-5
INDEX
CIVIL ACTIONS — (Cont)
Fees and costs — (Cont)
Where both legal and equitable issues 18-15
Where several issues 18-12
Court expenses, vouchers for 18-1
Eminent domain, clerk’s fees 18-4
Fees and costs, where plaintiffs join or actions consoli-
dated 18-14
Jury fee, where more than one trial 18-8
Proceedings before judge, no costs 18-19
Witness fees
In several suits 18-10
Nonresident witnesses 18-9
Witness not called 18-11
Files and documents, sealing 11-20
Expedited review of order 77-1
Foreclosures, see FORECLOSURE
Habeas, see HABEAS CORPUS
Hearings in chambers
Certifying proceedings to court 20-2
Contested matters, procedure in 20-1
Papers
Cause affecting land 20-5
Clerk designated by judge to take 20-6
Trial before judge, lodging papers and file 20-4
Transfer of hearings before judges 20-3
Identification of cases 7-4A
Interactive audiovisual device, appearance by means of
23-68
Interest and costs unnecessary to claim 10-28
Jury trials, see JURIES—CIVIL
Lodging record 7-4C
Media coverage of court proceedings, see MEDIA
Memorandum of decision by trial court 6-1, 64-1, 64-2
Motions, applications and requests, miscellaneous
Appeal period, motions that delay 11-11
Argument of motions 11-18
Cite in new parties, motion to 9-22
Definition of 11-2
Dismiss, motion to 10-30—10-34
Dismissal for lack of diligence 14-3
Exclusion of public, sealing documents, motion for 11-20
Form of 11-1
Limine, motion in 15-3
Memorandum of law required 11-10
Misjoinder and nonjoinder of parties, motion to strike for
11-3
New trial 17-4A
Order of notice, applications for 11-4
Personal identifying information, motion to seal or redact
documents containing 11-20B
Previous motions and applications, disclosure of 11-9
Reargue, motion to 11-12
Request to revise 10-35
Granting of and objection to 10-37
Reasons in 10-36
Waiver of further pleading revisions 10-38
Sealing documents, motion for 11-20
File record under seal 7-4B
Strike, motion to 10-39—10-45
Municipal officers, action to enforce bond to 9-25
Orders of notice
Applications for 11-4
Attestation, publication, proof of compliance 11-7
Continuance, subsequent orders of 11-5
Directed outside United States 11-8
Publication, notice by 11-6
557
Copyrighted by the Secretary of the State of the State of Connecticut
CIVIL ACTIONS — (Cont)
Parties
See also JOINDER
Addition or substitution of 9-18
Motion to cite in new parties 9-22
Class actions 9-7, 9-8
Adequate representation, orders to ensure 9-10
Dismissal or compromise 9-9
Fiduciaries 9-11
Parents as necessary parties in minor’s name change
action 9-24
Real party in interest 9-23
Substituted plaintiff 9-20
Third parties affected by counterclaim 9-21
Personal indentifying information, see RECORDS, see also
Motions, this title
Pleadings, see PLEADINGS—CIVIL ACTIONS
Pretrial, assignment for 14-11
Orders at 14-14
Pretrial procedure 14-13
When case not disposed of at 14-12
Process 8-1
Public, exclusion of from court 11-20
Expedited review of order 77-1
References, see REFERENCES
Sealing files and documents 11-20A, 11-20B
Motion to file record under seal 7-4B
Lodging record 7-4C
Short calendar, generally 11-13
Assignments automatic 11-15
Continuances 11-16
Frequency, time of sessions, lists 11-14
Oral argument 11-18
Time limit for deciding matters 11-19
Transfers 11-17
Small claims, see SMALL CLAIMS
Transfer of actions 12-1—12-3
Trial lists, see Assignment lists, dockets, pretrials and trial
lists, this title
Trials in general
See also ASSIGNMENT FOR TRIAL—CIVIL;EVI-
DENCE;JURIES
Briefs 5-1
Counsel
Argument by 15-5—15-7
Failure to appear by, sanctions 5-10
New trial, motion for 17-4A
Order of parties proceeding 15-5
Order of trial of issues 15-1
Question of law that may be subject of appeal, raising 5-2
Separate trials 15-2
Verdicts, see VERDICTS
CIVIL UNIONS
See FAMILY MATTERS
CLASS ACTIONS
Generally 9-7, 9-8
Adequate representation, orders to ensure 9-10
Appointment of class counsel 9-9
Notice required 9-9
Procedure for class certification and management of class
9-9
CLERKS
Appellate clerk, see APPELLATE PROCEDURE
Case records, maintenance of 14-4
Custody of files 7-7
INDEX
CLERKS — (Cont)
Daybooks to be kept by 7-4
Documents, prerequisites for filing with clerks 7-6
Duties of, generally 7-2
Electronic filings 4-4
Nonoperational electronic filing system 7-17
Exhibits, removal from clerk’s office or destruction on deter-
mination of case 7-21
Files and records of cases to be kept by 7-1
Destruction of files 7-10
Motion to prevent 7-16
Retention and stripping of files, schedule 7-11
Adult probation and family division, reports from 7-14
Criminal actions, records and files in 7-13
Title to land, files in actions affecting 7-12
Transfer to records center or state library 7-15
Financial accounts to be kept 7-3
Hospital, medical and psychiatric records, prerequisites for
filing with clerk 7-18
Hours of offices 7-17
Judgment files, see JUDGMENTS
Lost files or pleadings 7-8
Notice of judgments and rulings to be given counsel and
self-represented parties 7-5
Offices, hours of 7-17
Prerequisites for filing papers and documents 7-6
Responsibilities after appeal filed 68-1
Short calendar matters, records of 7-20
Subpoena, issuing for self-represented parties 7-19
CLIENT SECURITY FUND
See ATTORNEYS
COLLATERAL SOURCE
Reduction of verdict, motion for 16-35
COMMITTEES AND REFEREES
See REFERENCES
COMPUTERS, PORTABLE IN COURTROOM
See MEDIA
CONNECTICUT LAW JOURNAL
Appellate opinions and orders, date of 71-1
Child protection matters, appeals 79a-11
Attorneys, inactive status, reprimand, suspension, disbar-
ment, publication of notice of 2-54
Rules of court, publication of 1-9, 86-1
Emergency adoption of rules 1-9B
CONNECTICUT REPORTS AND CONNECTICUT APPEL-
LATE REPORTS
Official appellate opinions contained in 71-4
CONSOLIDATION OF ACTIONS FOR TRIAL 9-5
CONTEMPT
Generally 1-13A
Civil 1-21A
Review of 23-20
Criminal 1-14
Deferral of proceedings 1-17
Disqualification of judicial authority, nonsummary pro-
ceedings 1-19
Judgment, nonsummary proceedings 1-21
Jury trial, right to in nonsummary proceedings 1-20
Nonsummary proceedings 1-18
Summary proceedings 1-16
558
Copyrighted by the Secretary of the State of the State of Connecticut
CONTEMPT — (Cont)
Family matters, motion for 25-27
Right to counsel 25-63
Waiver 25-64
CONTINUANCES
Absent or nonresident defendant 9-1
Garnishee not appearing to defend 9-2
Small claims 11-16
Subsequent orders of notice 11-5
COSTS
See APPELLATE PROCEDURE;FEES AND COSTS
COUNSEL
See ATTORNEYS
COURT CLOSURE
Civil proceedings 11-20
Criminal trials 42-49
Expedited review of order 77-1
Family matters 25-59
CRIMINAL CONTEMPT
See CONTEMPT
CRIMINAL PROCEDURE
Accelerated pretrial rehabilitation without trial 39-33
Acquittal
Judgment of following guilty verdict 42-51
Motion for directed verdict of abolished 42-40
Motion for judgment of 42-40
After guilty verdict 42-51
After mistrial 42-50
At close of evidence, reservation of decision on 42-42
At close of prosecution’s case 42-41
Time limit for filing 42-52
Release pending appeal by state from judgment of 43-1
Adult probation, commitment to of drug-dependent defend-
ant without trial 39-33
Alcohol education and treatment, commitment to without
trial 39-33
Alibi defense 40-21—40-25
Alternate incarceration program
Order for assessment for placement in, following convic-
tion 43-3
Assessment report not public record 43-9
Copying assessment report prohibited 43-8
Defense counsel, participation in 43-5
Disclosure of assessment report 43-9
Persons receiving assessment report 43-7
Scope of assessment 43-4
Time to complete 43-6
Use of assessment report 43-9
Reference to without trial 39-33
Appeal, see also APPELLATE PROCEDURE
Appellate counsel
Hybrid representation prohibited 62-9A
Removal or substitution of 62-9A
Indigent defendant, appointment of counsel, waiver of
fees and costs 43-33
Frivolous appeal, request by counsel to withdraw 43-
34—43-38
Interlocutory ruling, appeal from 61-6 (c)
Notice of appeal rights 43-30
Release from custody pending 43-1, 43-2
State, appeal by 61-6 (b)
Stay of imprisonment pending 43-31
Stay of probation pending 43-32
INDEX
CRIMINAL PROCEDURE — (Cont)
Appearance and arraignment
See also APPEARANCES—IN GENERAL; Bail, this
title; Pretrial release, this title
Appearance after pretrial release 38-6
Arraignment, timing 37-1
Constitutional rights, advisement of 37-3, 37-4
Indigency, investigation of 37-5
Information and materials to be provided to defendant
37-2
Public defender, appointment 37-6
Reference to, investigation of indigency 37-5
Detention prior to arraignment, trial, sentencing, limit on
38-18
Disposition conference 39-11—39-17
Dispositions without trial, miscellaneous 39-33
Media coverage of arraignments 1-11A
Nolle prosequi, see Nolle prosequi, this title
Plea, see Pleas, this title
Probable cause, determination of where defendant in cus-
tody 37-12
Arrest and preliminary procedure
See also Bail, this title; Pretrial release, this title
By warrant, issuance 36-1
Affidavit in support of warrant application 36-2
Sealing 36-2
Cancellation of warrant 36-6
Contents of warrant 36-3
Execution and return of warrant 36-5
Information and complaint, use 36-11
Amendments, minor defects 36-16
Continuance necessitated by amendment 36-20
Essential facts, request by defendant for 36-19
Substantive amendment after trial commenced 36-18
Substantive amendment before trial 36-17
Filing and availability of information 36-15
Former conviction in information 36-14
Election of jury trial 42-2
Plea to 37-10
Form of information 36-13
Issuance of information 36-12
Joinder
Defendants 36-22
Offenses 36-21
Summons, form of summons and complaint 36-7
Direction by judicial authority for use of 36-4
Failure to respond to 36-10
In lieu of arrest warrant 36-12
Service of 36-9
Arrest of judgment, motion 42-54
Assignment and scheduling of cases, in general 44-11,
44-12
Continuances 44-13, 44-18
Disposition conference, assignment for 44-15
Plea, assignment for 44-14
Preliminary proceedings, continuances 44-13
Trial, assignment for 44-15
Motion to advance 44-17
Order of trial assignments, priorities 44-16
Bail See also Bond, this title; Pretrial release, this title
Cash, where bond allowed 38-7
For release pending appeal of conviction 43-2
Petition for review of order concerning release on bail
78a-1
Ten percent cash bail 38-8
559
Copyrighted by the Secretary of the State of the State of Connecticut
CRIMINAL PROCEDURE — (Cont)
Bill of particulars, motion for 41-20
Amended or substitute information incorporating bill 41-22
Content 1-21
Bond
See also Pretrial release, this title
As condition of release pending appeal of conviction 43-2
Attorney not to give bond 38-12
Cash bail in amount of 38-7
Forfeiture on violations of release, issuance of rearrest
warrant or capias 38-21
Rebate to surety after forfeiture 38-22
Modification, motion for 38-14
Real property pledge in lieu of cash bond 38-9
As condition of release pending appeal of conviction
43-2
Rebate to surety after forfeiture 38-22
Surety, discharge of 38-23
Ten percent cash bail 38-8
Capias for
Defendant unexcused from trial or sentencing 44-9
Failure to appear for deposition 40-45
Hearing to review conditions of release 38-15, 38-16
Violation of bond or promise to appear 38-21
Closure of court 42-49
Expedited review of order 77-1
Commissioner of mental health, commitment to without trial
39-33
Community service labor program, reference to without trial
39-33
Complaint, see Arrest and preliminary procedure, this title
Consolidation of informations for trial 41-19
Counsel, representation by
Appeal by indigent defendant 43-33
Frivolous appeal, request by counsel to withdraw 43-
34—43-38
Appellate counsel 62-9A
Appointed counsel, right to in general 44-1, 44-2
Public defender, reference at arraignment 37-5, 37-6
Waiver of right to counsel 44-3
Standby counsel, appointment and role 44-4—44-6
Crime, defined 44-37
Custody, see Release, this title
Decision, statement of by judicial authority, when required
6-1, 64-1, 64-2
Defense, alibi 40-1—40-25
Definitions 44-37
Depositions, in general, grounds 40-44; see also Discovery,
this title
Defendant, right to be present and represented 40-54
Waiver of right 40-55
Expenses of 40-58
Failure to appear for, capias 40-45
Manner of taking 40-49, 40-57
Notice of 40-47
Objections during 40-49
Person taking deposition 40-47
Protective order concerning 40-48
During examination 40-52
Return of, depositions to be sealed 40-53
Right of defendant to be present 40-54
Waiver of right 40-55
Scope of examination 40-50
Unavailable deponent, defined 40-56
Use of 40-46, 40-57
Detention prior to arraignment, trial, sentencing, limit on
38-18
INDEX
CRIMINAL PROCEDURE — (Cont)
Discovery, in general 40-1; see also Depositions, this title
Admissibility of defendant’s intent to offer evidence or call
witness 40-30
Alibi defense, required notices concerning 40-21—40-23
Exceptions 40-24
Withdrawn alibi not admissible 40-25
Continuing duty to disclose 40-3
Custody of materials 40-10
Disclosure to unrepresented defendant 40-10
Defendant’s duty, materials discoverable by prosecution
as of right 40-26
Derivative materials, disclosure to defendant 40-28
Discretionary disclosure by 40-27
Materials excepted from disclosure 40-31
Protective orders, for defendant 40-29
Documents or objects, subpoenas for 40-2
Failure to comply 40-5
Law enforcement reports, affidavits and statements, dis-
closure of 40-13A
Mental disease or defect or extreme emotional distur-
bance, disclosure of defense of 40-17
Expert testimony concerning, disclosure by defendant
of intent to use 40-18
Failure of expert to submit report 40-20
Psychiatric examination, prosecutorial motion for 40-19
Nontestimonial evidence, obtaining from defendant 40-32
Comparison of 40-39
Emergency procedure for 40-33
Motion for, by defendant 40-38
Order for, scope 40-34
Contents 40-35
Implementation 40-37
Service 40-36
Objection to disclosure 40-8
Performance 40-6
Procedure 40-7
Prosecuting authority’s duty to disclose 40-11
Discretionary disclosure by 40-12
Materials excepted from disclosure 40-14
Protective orders 40-29, 40-40
Factors to be considered 40-41
In camera proceedings on motion for 40-42, 40-43
Excision as relief, record of 40-43
Requests and motions 40-4
Scientific tests and experiments 40-9
Statements 40-15, 40-16
Subpoenas for documents or objects 40-2
Witnesses, information concerning and statements by
40-13
Dismiss, motion to, see Motion to dismiss, this title
Disposition conference 39-11—39-17
Docketing, see Assignment and scheduling of cases, this
title
Electronic filing 4-4
Family relations division, reference to without trial 39-33
Fees
Extradition, officer’s fees 44-35
Subpoenas, return of 44-32
Witnesses, travel fees 44-34
Indigent witnesses, transportation and support 44-33
Felony, defined 44-37
Files and documents, sealing 42-49A
Finding of guilty or not guilty by judicial authority 42-34
Fines
Ability to pay, inquiry by judicial authority concerning
43-17
560
Copyrighted by the Secretary of the State of the State of Connecticut
CRIMINAL PROCEDURE — (Cont)
Fines — (Cont)
Incarceration for wilful nonpayment 43-18
Release on payment 43-19
Mittimus where sentence includes fine as well as impris-
onment 43-20
Guardian ad litem, appointment 44-20
Identification of cases 7-4A
Incarceration
Correction of illegal sentence 43-22
For wilful nonpayment of fine 43-18
Release on payment 43-19
Inquiry by judicial authority concerning ability to pay fine
43-17
Mittimus where sentence includes fine as well as impris-
onment 43-20
Reduction of definite sentence 43-21
Release pending appeal 43-1
Stay of imprisonment pending appeal 43-31
Information, see Arrest and preliminary procedure, this title
Infraction, defined 44-37
See INFRACTIONS
Interactive audiovisual device, presence of incarcerated
defendant by means of 44-10, 44-10A
Joinder
Defendants 36-22
Offenses 36-21
Severance 41-18
Joint trial of two or more informations 41-19
Judge trial referee, reference to 44-19
Judgment, motion in arrest of 42-56
Judicial authority, determination of guilt where no jury 42-43
Jury trials, right to and waiver 42-1
Array, challenge to 42-4
Cause, excuse of juror for 42-11
Charge, see Instructions, this title
Communications
Judicial authority and jurors 42-7
Parties and jurors 42-8
Deliberations 42-21
Deadlocked jury 42-28
Testimony, request by jury for review of 42-26
Disqualification of jurors 42-5
Hearing impaired jurors, interpreters 42-10
Information, exhibits, copy or tape of instructions to be
submitted to jury 42-23
Instructions, conference with counsel concerning sub-
stance 42-19
Additional instructions 42-25
Jury’s request for 42-27
Clarification or modification 42-24
Jury selection, preliminary proceedings 42-11
Peremptory challenges 42-13
Voir dire 42-12
Note taking by jurors 42-9
Oath and admonitions to jurors 42-14
Questions by jurors 42-9
Questions of fact, jury to decide 42-20
Requests to charge and exceptions 42-16
Filing 42-17
Form and contents 42-18
Selection of jurors, preliminary proceedings 42-11
Peremptory challenges 42-13
Voir dire 42-12
Sequestration 42-22
Size of jury, election by defendant 42-3
Testimony, request by jury for review of 42-26
INDEX
CRIMINAL PROCEDURE — (Cont)
Jury trials, right to and waiver 42-1 — (Cont)
Two part information 42-2
Verdict, see VERDICT
Viewing of place or thing by jury 42-6
Voir dire of jurors 42-12
Law enforcement officer, defined 44-37
Law enforcement reports, affidavits and statements 40-13A
Limine, motion in 42-15
Media coverage of criminal proceedings 1-11C
Memorandum of decision by trial court 6-1, 64-1
Misdemeanor, defined 44-37
Mistrial, for prejudice to defendant 42-43
For prejudice to prosecution 42-44
Mittimus, where sentence includes fine as well as imprison-
ment 43-20
Motion for acquittal, see Acquittal, this title
Motion for mistrial, see Mistrial, this title
Motion for new trial, see New trial, this title
Motion in arrest of judgment 42-56
Motion in limine 42-15
Motions and requests, pretrial, in general 41-1, 41-2
Form and manner of making 41-6
Hearings and rulings 41-7
List of motions 41-3
Speedy trial 43-41
Time to make, waiver 41-4, 41-5
Motion to dismiss, matters to be raised by 41-8
Appeal from denial of after conditional plea of nolo conten-
dere 61-6 (a) (2) (A)
Defects not requiring dismissal 41-10
Remedies for 41-11
Restrictions on 41-9
Motion to suppress 41-12
Appeal from denial of after conditional plea of nolo conten-
dere 61-6 (a) (2) (A)
Intercepted communications 41-14
Judicial authority, when disqualified from hearing 41-17
Seized property, return and suppression 41-13, 41-16
Time to file 41-15
New trial, motion for 42-53
Time for filing 42-54
Where based on newly discovered evidence 42-55
Nolle prosequi 39-29
Dismissal of information or complaint 39-32
Effect of 39-31
Objection by defendant 39-30
Offense, defined 44-37
Order of parties at trial 42-35
Of defendants where two or more 42-38
Pleas, in general 37-7
Agreements, conditional pleas of guilty or nolo contendere
39-5
Alternative dispositions recommended by prosecuting
authority 39-6
Appeal from denial of motion to dismiss or to suppress
61-6 (a) (2) (A)
Disclosure to judicial authority 39-7
Rejection by judicial authority 39-10
Reservation of right to appeal 61-6 (a) (2) (B)
Sentencing 39-8, 39-9
Discussions, procedure for in general 39-1
Defendant represented by counsel or not 39-2
Defense counsel, role in plea agreements 39-3
Subject matter 38-4
Guilty or nolo contendere 37-8, 39-18
561
Copyrighted by the Secretary of the State of the State of Connecticut
CRIMINAL PROCEDURE — (Cont)
Pleas, in general 37-7 — (Cont)
Acceptance and canvass of defendant by judicial
authority 39-19—39-21
Conditional pleas of 39-5
Other offenses, pleading to after finding of guilty 39-22
Record of proceedings 39-24
Rejected plea inadmissible 39-35
Sentencing, see Sentencing, this title
Withdrawal of plea 39-26—39-28
Nolle prosequi 39-29
Dismissal of information or complaint 39-32
Effect of 39-31
Objection by defendant 39-30
Not guilty 37-9
Two part information charging former conviction 37-10,
37-11, 39-23
Election of jury trial on second part 42-2
Presence of defendant at arraignment, plea, evidentiary
hearings, trial and sentencing 44-7
Trial and sentencing, when presence not required 44-8
Other exceptions 44-10
Unexcused defendant, capias 44-9
Presence of incarcerated defendant by interactive audiovi-
sual device 44-10, 44-10A
Presentence investigation and report 43-3
Copying report prohibited 43-8
Defense counsel, participation in 43-5
Familiarization of with report and correction of report
at sentencing 43-13, 43-14
Disclosure of report 43-9
Persons receiving report 43-7
Report not public record 43-9
Scope 43-4
Time to complete 43-6
Use of report 43-9
Waiver by defendant 43-3
Pretrial motions in general 41-1, 41-2
Form and manner of making 41-6
Hearings and rulings 41-7
List of motions 41-3
Time to make, waiver 41-4, 41-5
Pretrial release
By bail commissioner, conditions 38-3
By clerk, procedure 38-1
By correction officials 38-5
By judicial authority, conditions 38-4 (a)
Factors to be considered 38-4 (b)
Statement of reasons for conditions imposed 38-11
By law enforcement officer on bond or promise to appear
38-2
Capias for hearing to review conditions of release 38-15,
38-16
Detention prior to arraignment, trial, sentencing, limit on
38-18
Modification 38-13
Application for by surety on bail bond 38-16
Hearing to consider 38-17
Motion for by bail commissioner 38-15
Motion for by parties 38-14
Violation of conditions, hearing on 38-19
Forfeiture of bond, issuance of capias or rearrest war-
rant 38-21
Sanctions for 38-20
Probation
Revocation 43-29
Stay pending appeal 43-32
INDEX
CRIMINAL PROCEDURE — (Cont)
Prosecuting authority, defined 44-37
Disclosure of plea agreement 43-12
Role at sentencing 43-11
Public defender 37-5, 37-6
Appeals by indigent defendants 43-33—43-38
Appointed counsel, in general 44-1—44-6
Definition of 44-37
Public, exclusion from court proceedings 42-48
Expedited review of order 77-1
Reference to judge trial referee 44-19
Release
See also Pretrial release, this title
Appeal by defendant from judgment of conviction, release
pending, conditions 43-2
Appeal by state from judgment of acquittal, release pend-
ing 43-1
Pretrial, see Pretrial release, this title
Revocation of probation 43-29
Sealing affidavits in support of arrest warrant application
36-2
Sealing files and documents 42-49A
Sentence review, see Sentencing, this title
Sentencing
See also Incarceration, this title
Correction of illegal sentence 43-22
Defendant’s right to make statement 43-10
Defense counsel
Correction of presentence investigation report 43-14
Disclosure of undisclosed plea agreement 43-15
Supplementary documents, submission of 43-16
Definite sentence, reduction of 43-21
Hearing, procedure 43-10
Illegal sentence, correction of 43-22
Mittimus, where sentence includes fine as well as impris-
onment 43-20
Prosecuting authority, role 43-11
Disclosure of plea agreement 43-12
Reduction of definite sentence 43-21
Sentence review
Application for, time for filing 43-24
Counsel, representation by before sentence review divi-
sion 43-23
Documents, preparation by clerk 43-25, 43-26
Hearing, briefs and memoranda 43-27
Scope of review 43-28
Stay pending appeal 61-13
Victim, participation at 43-10
Sequestration
Jurors 42-22
Witnesses 42-36
Severance of offenses for trial 41-18
Speedy trial, time limitations 43-39
Commencement of trial, defined 43-42
Excluded periods for calculation of time 43-40
Motion for; dismissal 43-41
Waiver 43-43
Stay
Of imprisonment pending appeal 43-31
Of probation pending appeal 43-32
Stay pending appeal 61-13
Subpoenas
Fees, return of subpoenas 44-32
For production of documents and objects 40-2
Inquiry by investigative grand jury, motion to quash sub-
poena 44-31
Summons, see Arrest and preliminary procedure, this title
562
Copyrighted by the Secretary of the State of the State of Connecticut
CRIMINAL PROCEDURE — (Cont)
Suppress, motion to, see Motion to suppress, this title
Transfer of pending matter 41-23—41-25
Trial, definition of 44-37
Argument by counsel, time limits 42-37
Extrajudicial statements, warning not to make 42-48
Order of parties proceeding at 42-35
Of defendants where two or more 42-38
Public, exclusion of 42-49
Restraint of disruptive defendant 42-46
Removal of 42-47
Sealing files and documents 42-49
Speedy trial, see Speedy trial, this title
Without jury 42-34
Verdict, see VERDICT
Victim
Inquiry concerning during presentence investigation 43-4
Participation at sentencing 43-10
Violation, definition of 44-37
Voir dire of jurors 42-12
Warrant, see Arrest and preliminary procedure, this title
Witnesses
Fees for travel and support 44-34
Indigent witnesses, transportation and support for 44-33
Sequestration 42-36
Youthful offender adjudication without trial 39-33
CUSTODY
See generally CRIMINAL PROCEDURE, Release;FAM-
ILY MATTERS;JUVENILE MATTERS
DAMAGES
Assessment by court 17-2
Claim for following default for failure to appear 17-20
Time for filing 17-20
Default for failure to plead, procedure to be followed 17-32
Demand for relief, statement of 10-20
Interest and costs unnecessary to claim 10-28
Not to be disclosed to jury 16-19
Hearings in damages
Following default 17-34—17-40
Following summary judgment on liability 17-50
Privileged for assignment 14-9
Jury trial where claim joined with equitable issues 16-11
Liquidated damages
Contract action 17-33
Procedure on default for failure to appear 17-24
When judgment may be rendered following default for
failure to appear 17-33
Offer of judgment 17-11—17-18
Physical or mental examination, request for where personal
injury damages claimed 13-11
Reduction of award where verdict exceeds demand 16-19
Referrals
To arbitrators 23-61
To fact finders 23-53
Small claims rules, applicability 24-2
Default where liquidated damages claimed 24-24
Statement of in demand for relief 10-20
DECLARATORY JUDGMENT
Generally 17-54
Appeal 17-58
Conditions 17-55
Costs 17-57
Order of priorities 17-59
Procedure 17-56
INDEX
DEFAULT JUDGMENTS
Absent or nonresident defendant 9-1
Default judgments and nonsuits
Appear, failure to 17-19
Affidavit of debt 17-25
Judgment, entry of 17-27, 17-33
Enforcement of 17-28
Liquidated sum, action for, applicable procedure 17-24
Military service, affidavit concerning 17-21, 17-25
Default rules not applicable to defendant in military
or naval service 17-23
Motion for default for failure to appear 17-20, 17-25
Procedure not applicable to dissolution of marriage,
legal separation, annulment 25-51
Notice of judgment, mailing by counsel 17-22
Short calendar, motion not on 17-29
Weekly payments, order for 17-26
Damages, hearing in
Defense, notice to be specific 17-37
Amending notice 17-38
Reply not allowed 17-39
Time to give 17-35
Evidence to reduce damages 17-39
Notice by clerk of default 17-36
Plead, default for failure to 17-31, 17-32
Opening default where judgment not rendered 17-42
Opening judgment on default or nonsuit 17-43
Small claims, defaults in 24-24
DEFICIENCY JUDGMENTS
See FORECLOSURE
DELINQUENCY
See JUVENILE MATTERS
DISBARMENT
See generally ATTORNEYS, Discipline; Grievances
DISCOVERY AND DEPOSITIONS—CIVIL
Admission of facts and execution of writings, requests for
admission 13-22
Answers and objections to requests for admission 13-23
Effect of admission 13-24
Expenses on failure to admit 13-25
Definitions 13-1
Depositions, in general 13-26
Deposition procedure 13-30
Notice of deposition
Deposition of organization, production of documents
and materials 13-27
General requirements, special notice, nonstenographic
recording 13-27
Persons before whom deposition taken, subpoenas 13-28
Place of deposition 13-29
Use of depositions in court proceedings 13-31
Disclosure
Amount and provisions of insurance liability policy 13-12
Assets, where prejudgment remedy sought 13-13
Before court or committee 13-17
Continuing duty to disclose 13-15
Defense 13-19
In equity 13-18
Discovery
Health information, motion for authorization to obtain pro-
tected 13-9, 13-11A
Outside the United States 13-21
Scope, in general 13-2
Experts 13-4
563
Copyrighted by the Secretary of the State of the State of Connecticut
DISCOVERY AND DEPOSITIONS—CIVIL — (Cont)
Discovery — (Cont)
Materials prepared in anticipation of litigation, state-
ments of parties 13-3
Protective order 13-5
Sought by judgment creditor 13-20
Duty to disclose, continuing 13-15
Electronic deposition procedure 13-30
Electronically stored information, loss of 13-14
Family matters 25-31, 25-32
Habeas corpus, civil 23-38, 23-39
Interrogatories, in general 13-6
Answers to 13-7
Objections to 13-8
Juvenile matters 31a-16, 34a-20
Order for compliance, failure to answer or comply with order
13-14
Orders by judge 13-16
Physical or mental examination, request for 13-11
Privilege or protection, postproduction claim of 13-33
Remote deposition procedure 13-30
Requests for admission 13-22
Answers and objections to 13-23
Requests for production, inspection and examination, in
general 13-9
Physical or mental examination 13-11
Responses to requests for production, objections 13-10
Stipulations regarding discovery and deposition procedure
13-32
Subpoenas 13-28
Subpoena duces tecum 13-27
DISCOVERY AND DEPOSITIONS—CRIMINAL
Depositions, in general, grounds 40-44
Defendant, right to be present and represented 40-54
Waiver of right 40-55
Expenses of 40-58
Failure to appear for, capias 40-45
Manner of taking 40-49, 40-57
Notice of 40-47
Objections during 40-49
Person taking deposition 40-47
Protective order concerning 40-48
During examination 40-52
Return of, depositions to be sealed 40-53
Scope of examination 40-50
Unavailable deponent, defined 40-56
Use of 40-46, 40-57
Discovery, in general 40-1; see also Depositions, this title
Admissibility of defendant’s intent to offer evidence or call
witness 40-30
Alibi defense, required notices concerning 40-21—40-23
Exceptions 40-24
Withdrawn alibi not admissible 40-25
Continuing duty to disclose 40-3
Custody of materials 40-10
Disclosure to unrepresented defendant 40-10
Defendant’s duty, materials discoverable by prosecution
as of right 40-26
Derivative materials, disclosure to defendant 40-28
Discretionary disclosure by 40-27
Materials excepted from disclosure 40-31
Protective orders, for defendant 40-29
Documents or objects, subpoenas for 40-2
Failure to comply 40-5
Law enforcement reports, affidavits and statements
40-13A
INDEX
DISCOVERY AND DEPOSITIONS—CRIMINAL — (Cont)
Discovery, in general 40-1; see also Depositions, this
title — (Cont)
Mental disease or defect or extreme emotional distur-
bance, disclosure of defense of 40-17
Expert testimony concerning, disclosure by defendant
of intent to use 40-18
Failure of expert to submit report 40-20
Psychiatric examination, prosecutorial motion for 40-19
Nontestimonial evidence, obtaining from defendant 40-32
Comparison of 40-39
Emergency procedure for 40-33
Motion for by defendant 40-38
Order for, scope 40-34
Contents 40-35
Implementation 40-37
Service 40-36
Objection to disclosure 40-8
Performance 40-6
Procedure 40-7
Prosecuting authority’s duty, materials discoverable by
defendant as of right 40-11
Discretionary disclosure by 40-12
Materials excepted from disclosure 40-14
Protective orders 40-29, 40-40
Factors to be considered 40-41
In camera proceedings on motion for 40-42, 40-43
Excision as relief, record of 40-43
Requests and motions 40-4
Scientific tests and experiments 40-9
Statements 40-15, 40-16
Subpoenas for documents or objects 40-2
Witnesses, information concerning and statements by
40-13
DISMISS, MOTION TO
Civil 10-30—10-34
Criminal 41-8—41-11
DISQUALIFICATION OF JUDICIAL AUTHORITY
Generally 1-19, 1-22, 1-23
DISSOLUTION OF MARRIAGE or CIVIL UNION
See FAMILY MATTERS
DOCKET
See generally ASSIGNMENTS FOR TRIAL—CIVIL;
CLERKS;CRIMINAL PROCEDURE
E-FILED CASES
See ELECTRONIC FILING
ELECTRONIC BRIEFING REQUIREMENT
See APPELLATE PROCEDURE; BRIEFS
ELECTRONIC DEPOSITION PROCEDURE 13-30
ELECTRONIC FILING 4-4
Appeals 60-7, 63-3
Court system nonoperational 7-17, 63-2
Small claims 24-3
ELECTRONIC DEVICES AND MEDIA
See MEDIA
ELECTRONIC TRANSCRIPT 63-8A
EMINENT DOMAIN
Clerk’s fees 18-4
Reference to committee or referee 19-6
564
Copyrighted by the Secretary of the State of the State of Connecticut
EQUITABLE RELIEF
See MANDAMUS
EVIDENCE
Exceptions not required 5-7
Exhibits, marking 5-7
Exhibits, transmitting to appellate clerk 68-1
Interlocutory matters, address by counsel 5-5, 5-8
Medical evidence 15-4
Family matters, procedure for introducing 25-55
Motion in limine, civil 15-3
Criminal 42-15
Objections, reasons for 5-5
Reception of evidence objected to 5-6
Prima facie case, dismissal for failure to make 15-8
Suppress, motion to, criminal cases 41-12
Appeal from denial of after conditional plea of nolo conten-
dere 61-6 (a) (2) (A)
Intercepted communications 41-14
Judicial authority, when disqualified from hearing 41-17
Seized property, return and suppression 41-13, 41-16
Time to file 41-15
Supreme Court, admission in original action 84a-5
Witnesses, examination of 5-4
Oath, administration of 5-3
Sequestration, criminal cases 42-36
EXECUTIONS
Civil actions
Application for, unsatisfied money judgment 17-52
Costs, execution for balance 18-12
Default judgment, execution on 17-28
Foreclosures
Execution of ejectment, stay 23-17
Small claims 24-30, 24-31, 24-32
Summary process executions 17-30, 17-53
Criminal matters
Bond, forfeiture of, stay of execution 38-21
Warrant, execution and return of 36-5
EXHIBITS
Appeals, availability and removal of exhibits 62-10, 62-11
Transmitting to appellate clerk 68-1
Marking 5-7
Removal from clerk’s office on determination of case 7-21
EXPERT WITNESSES
Appointment by judicial authority in family matters 25-33
Criminal cases 40-18—40-20
Deposition fees 13-4
Disclosure of 13-4
Reports of 13-4
Schedule for expert discovery 13-4
FACT-FINDING
See CIVIL ACTIONS, Fact-finding
FAMILY MATTERS
Definition of 25-1; see also CIVIL ACTIONS;FAMILY
SUPPORT MAGISTRATE MATTERS;JUVENILE
MATTERS
Affidavit concerning minor child 25-57
Alimony, motions for 25-24
Modification 25-26
Order of notice concerning 25-29
Annulment, complaint 25-2
Automatic orders on service 25-5
Required information prior to hearing 25-58
INDEX
FAMILY MATTERS — (Cont)
Appearances, generally 25-6
Failure to file 25-51
Interactive audiovisual device, use of 23-68
Appellate briefs 67-13
Application
Automatic orders on service 25-5, 25-5A
Custody of minor child 25-3
Visitation of minor child 25-4
Appointment of counsel for minor child, motion for 25-24
Assignments 25-48
Attorney for minor child, appointment of 25-62A
Automatic orders on service of complaint or application
25-5, 25-5A, 25-5B
Case management
Conference 25-50
Date, automatic order on 25-5
Date, filings by 25-50
Scheduling 25-50
Child support, motion for 25-24
Automatic orders on service of petition, child support
25-5A
Child support and arrearage guidelines worksheet 25-30
Modification 25-26
Order of notice concerning 25-29
Support enforcement officer, services by 25a-30
Civil union, complaint for dissolution of 25-2
Automatic orders on service 25-2
Motion for dissolution following legal separation 25-36
Required information prior to hearing 25-58
Closure of courtroom 25-59
Complaint
Amendment 25-7, 25-8
Automatic orders on service 25-5
Dissolution of marriage or civil union, legal separation,
annulment 25-2
Contempt, motion for 25-27
Right to counsel 25-63
Waiver 25-64
Counsel
Appointment for minor child, motion for 25-24
Fees, motion for 25-24
Right to in contempt proceedings 25-63
Waiver 25-64
Right to in paternity actions 25-68
Criminal restraining order, testimony by person on behalf
of whom order issued 5-11
Custody of minor child, action for 25-3
Automatic orders on service of application 25-5
Modification 25-26
Motion for 25-24
Debt, unreasonable, automatic order not to incur 25-5
Definitions 25-49
Discovery and depositions 25-31, 25-32, 25-56
Noncompliance with request or order 25-32A
Special Master 25-32B
Dissolution of marriage, complaint 25-2
Automatic orders on service 25-5, 25-5B
Motion for following legal separation 25-36
Notice and hearing on 25-36
Required information prior to hearing 25-58
Dockets 25-48
Documents
Limiting disclosure of 25-59A
Mandatory exchange of 25-32
Personal Identifying information in 25-59B
Production on request prior to hearing or trial 25-56
565
Copyrighted by the Secretary of the State of the State of Connecticut
FAMILY MATTERS — (Cont)
Evaluation, court-ordered 25-60A
Evaluation or study, disposition of case to await report 25-60
Evaluation, prohibition against contract with evaluator 25-61
Evidence, medical 25-55
Expert witnesses, appointment by judicial authority 25-33
Failure of defendant to appear, generally 25-51
For scheduled disposition 25-52
Family relations counselor
Disclosure to judicial authority of recommendations by
concerning alimony and child support 25-35
Duties of 25-69
Evaluations and studies 25-60
Investigations by 25-69
Family services unit, assistance by 25-61
Family services mediation reports and family services con-
flict resolution reports 25-60
Family support magistrates, determination of matters by
25a-1
Appeal from 25a-29
Files, sealing 25-59A
Financial disputes, definition 25-49
Financial statements, automatic orders to complete and
exchange 25-5
To be filed before hearing on motion or order to show
cause 25-30
Guardian ad litem, appointment 25-62
Comprehensive training program 25-62
Habeas corpus, petition 25-40
Discovery 25-47
Dismissal, grounds for 25-42
Issuance of writ, preliminary 25-41
Return 25-43
Reply to return 25-44
Schedule for filing pleadings 25-45
Summary judgment, motion for 25-46
Identification of cases 7-4A
Insurance coverage, automatic orders to maintain 25-5,
25-5A
Interactive audiovisual device, use of 23-68
Judge trial referees, references to 25-53
Judgment files 25-38
Legal separation, complaint 25-2
Automatic orders on service 25-5
Mandatory exchange of documents 25-32
Medical evidence 25-55
Memorandum of decision 64-1, 64-2
Minor child
Affidavits concerning 25-57
Attorney for, appointment of 25-62A
Automatic orders concerning filing of dissolution of mar-
riage or civil union, annulment or separation complaint
or custody or visitation application 25-5
Automatic orders concerning petition for child support
25-5A
Custody action 25-3
Guardian ad litem, appointment for 25-62
Visitation action 25-4
Motions, generally 25-23
Alimony 25-24
Appointment of counsel for minor child 25-24
Child support 25-24
Contempt 25-27
Counsel fees 25-24
Custody 25-24
Exclusive possession of property 25-25
INDEX
FAMILY MATTERS — (Cont)
Motions, generally 25-23 — (Cont)
Financial statement to be filed before hearing on motion
or order to show cause 25-30
Personal identifying information, motion to seal or redact
documents containing 25-59B
Visitation 25-24
Order of trial 25-54
Orders of notice 25-23, 25-28, 25-29
Parenting education program, order to participate in 25-5
Parenting disputes, definition 25-49
Paternity actions, right to counsel 25-68
Pendente lite orders in absence of sworn statements by
parties 25-30
Pleadings
Answer 25-9
Complaints and applications 25-2—25-4
Amendments 25-7, 25-8
Cross complaint 25-9
Answer 25-10
Dismiss, motion to 25-12
Denial, further pleading 25-15
Grounds 25-13
Subject matter jurisdiction, lack of not subject to waiver
25-14
Electronic filing 4-4
Order of 25-11
Strike, motion to, grounds 25-16
Hearing on 25-17
Judgment, failure to plead after pleading stricken 25-21
Memorandum of decision, when required 25-20
Memorandum of law required 25-19
Reasons to be specified 25-18
Short calendar, hearing on motion to be placed on 25-17
Stricken pleading part of other cause of action 25-22
Substitute pleading following granting 25-21
Postnuptial agreements, enforcement or avoidance of 25-2A
Pretrials 25-48
Production of documents on request prior to hearing or trial
25-56
Premarital agreements, enforcement or avoidance of 25-2A
Property, automatic order not to dispose of 25-5
Proposed written orders to be filed and served by parties
25-30
Protective order, testimony by individual on behalf of whom
order issued 5-11
References to judge trial referees 25-53
Removal of minor child from state, automatic order concern-
ing 25-5
Residence, automatic orders concerning 25-5
Restraining order, testimony by person on behalf of whom
order issued 5-11
Sealing files 25-59A, 25-59B
Short calendar, procedure 25-34
Support enforcement officer, services by 25a-30
Trial, order of 25-54
Uncontested matter, definition 25-49
Uniform Interstate Family Support Act 25-1
Visitation of minor child, action for 25-4
Automatic orders on service of application 25-5
Motion for 25-24
Witnesses, expert, appointment by judicial authority 25-33
FAMILY RELATIONS COUNSELOR
See FAMILY MATTERS
566
Copyrighted by the Secretary of the State of the State of Connecticut
FAMILY SUPPORT MAGISTRATE MATTERS
Alimony or child support, modification 25a-18
Appeal from decision of family support magistrate 25a-29
Appearance, filing, duration and withdrawal 25a-2, 25a-3
Applicability of rules in other chapters 25a-1
Automatic orders on service of petition 25a-7
Certificate of completion of limited appearance, filing of
25a-3
Child support or alimony, modification 25a-18
Cite in new party, motion for 25a-10
Continuance, matters requiring counsel’s presence or oral
argument 25a-14
Depositions 25a-27, 25a-28
Disclosure and production of documents 25a-19
Discovery 25a-24, 25a-25, 25a-26
Expert witnesses, disclosure of 25a-21
Financial affidavits, filing 25a-15
Hearings, telephonic 25-4
Hospital records as evidence 25a-20
Interrogatories and answers to interrogatories 25a-22,
25a-23
Failure to comply 25a-25
Modification of alimony or child support 25a-18
Motions 25a-9
Cite in new party 25a-10
Open judgment of paternity by acknowledgment 25a-17
Notice of child support enforcement services 25a-1A
Opening statement to be allowed at discretion of judicial
authority 25a-16
Orders of notice 25a-8
Paternity acknowledgment, motion to open 25a-17
Petitions, contents 25a-6
Automatic orders on service of petition 25a-7
Cross petition, answer to 25a-11
Pleadings, signing of 25a-5
Answer to cross-petition 25a-11
Order of pleadings 25a-12
Production, inspection and examination, requests for 25a-24
Continuing duty to disclose 25a-26
Failure to comply 25a-25
Reclaim of matters gone off family support magistrate calen-
dar 25a-13
Rules in other chapters, applicability of 25a-1
Short calendar matters, continuance where counsel’s pres-
ence or oral argument required 25a-14
Support enforcement officer, services to be provided 25a-30
FAMILY WITH SERVICE NEEDS
See JUVENILE MATTERS
FEES AND COSTS
Admission to bar, disposition of fees 2-22
Appeals 60-7, 60-8, 61-7, 61-8
Certification for review by supreme court 84-4, 84-9
Civil actions, application for waiver 8-2
Client security fund fee 2-70
Pro hac vice, payment by 2-16
Consolidated actions 18-14
Costs
For exhibits 18-18
Interest and costs, unnecessary to claim 10-28
On appeal from commissioners 18-2
On complaint and counterclaim 18-16
On counterclaim 18-17
On creditor’s appeal 18-3
On interlocutory proceedings 18-7
On writ of error 18-6
INDEX
FEES AND COSTS — (Cont)
Costs — (Cont)
Several defendants 18-13
Taxation of, appeal 18-5
Where both legal and equitable issues 18-15
Where several issues 18-12
Counsel fees in family matters, motion for 25-24
Court expenses, vouchers for 18-1
Criminal cases
Extradition, officer’s fees 44-35
Subpoenas, return of 44-32
Waiver, appeal of conviction by indigent defendant 43-33
Witnesses, travel fees 44-34
Indigent witnesses, transportation and support 44-33
Eminent domain, clerk’s fees 18-4
Family matters, counsel fees 25-24
Joint plaintiffs or consolidated actions 18-14
Jury fee, where more than one trial 18-8
Motor vehicle violation, fee on motion to open judgment
44-36
Proceedings before judge, no costs 18-19
Small claims 24-32
On motion to open judgment 24-31
Waiver, appeals 63-6, 63-7
Waiver, civil actions 8-2
Witness fees
In several suits 18-10
Nonresident witnesses 18-9
Witness not called 18-11
FILES
Appeals, availability and removal of files 62-10, 62-11
Review of trial court files by appellate counsel 62-8
Clerks, records and files of cases to be kept by 7-1
Custody of 7-7
Destruction of files 7-10, 7-11
Motion to prevent 7-16
Retention and stripping of files, schedule 7-11
Adult probation and family division, reports from 7-14
Criminal actions, records and files in 7-13
Sealing 42-49
Motor vehicle cases, files in 7-13
Title to land, files in actions affecting 7-12
Transfer to records center or state library 7-15
Documents and papers, prerequisites for filing 7-6
Electronic filings 4-4
Nonoperational electronic filing system 7-17, 63-2
Exhibits, removal or destruction on determination of case
7-21
Financial accounts, records of to be kept by clerks 7-3
Hospital, psychiatric and medical records, prerequisites for
filing with clerk 7-18
Identification of cases 7-4A
Judgment files, see JUDGMENTS
Lost files or pleadings 7-8
Sealing
Civil matters 11-20A, 11-20B
Criminal cases 42-49A
Expedited review of order 77-1
Family matters 25-59A
Unfinished record, completion of by clerk 7-9
FORECLOSURE
Judgment, timing to file motion for 17-33A
Expedited procedure; opening judgment of foreclosure 17-4
567
Copyrighted by the Secretary of the State of the State of Connecticut
FORECLOSURE — (Cont)
Mortgages, appraisal report to be served on each appearing
defendant 23-16
Complaint 10-69
Complex litigation status and assignment 23-13
Assigned judge, powers of 23-14
Request for 23-15
Deficiency judgment, motion for 23-19
Law days, listing 23-17
Proof of debt 23-18
Municipal tax liens, foreclosure of, allegations 10-70
GRAND JURY
Review of order of 78-1
GRIEVANCES
See ATTORNEYS
GUARDIAN AD LITEM
Appointment in criminal cases 44-20
Appointment in family matters 25-62
HABEAS CORPUS
Appeal, notice of right to 43-30; see also CRIMINAL PRO-
CEDURE, Appeal
Certification to appeal 80-1
Appointment of counsel 23-26
Motion for leave to withdraw appearance 23-41
Judicial action on 23-42
Discovery and depositions 23-38, 23-39
Family cases, petition 25-40
Discovery 25-47
Dismissal, grounds for 25-42
Issuance of writ, preliminary 25-41
Return 25-43
Reply to return 25-44
Schedule for filing pleadings 25-45
Summary judgment, motion for 25-46
Fees and costs 23-25
Petitioner’s presence in court 23-40
By interactive audiovisual device 23-40
Pleadings
Petition 23-22
Amendment of 23-32
Consideration by judicial authority, preliminary 23-24
Dismissal of 23-29
Noncomplying petition, return of 23-23
Reply to return 23-31
Return 23-30
Request for more specific statement 23-33
Schedule of filing 23-35
Record 23-36
Summary judgment 23-37
Summary procedure 23-34
Transfer 23-28
Venue 23-27
HEARING IMPAIRED JURORS
Civil juries 16-1, 16-8
Criminal juries 42-10
HEARINGS
See also CIVIL ACTIONS, Fact-finding;JUVENILE
MATTERS
Appeals, hearings on motions 66-4
Videoconference of hearings 66-4
Civil actions
Counsel’s failure to appear 5-10
Fact-finding hearings 23-55
INDEX
HEARINGS — (Cont)
Civil actions — (Cont)
Failure to appear at by party 23-59
Hearings in chambers
Certifying proceedings to court 20-2
Contested matters, procedure in 20-1
Papers
Cause affecting land 20-5
Clerk designated by judge to take 20-6
Trial before judge, lodging papers and file 20-4
Transfer of hearings before judges 20-3
Hearings in damages
Following default 17-34—17-40
Following summary judgment on liability 17-50
Privileged for assignment 14-9
Small claims 24-22, 24-23
Scheduling, continuances 24-15
Time and place, notice 24-14
Unemployment compensation 22-2
Delinquency, see JUVENILE MATTERS
Family with service needs, see JUVENILE MATTERS
Telephonic hearings, family support magistrate proceedings
25a-4
Termination of parental rights, see JUVENILE MATTERS
HEARSAY
Child’s hearsay statement; residual exception 35a-23
IN CAMERA
See generally HEARINGS
Proceedings on motion for protective order in criminal case
40-42, 40-43
INDIGENT DEFENDANT
See PUBLIC DEFENDER
INFORMATION
See ARREST AND PRELIMINARY CRIMINAL PRO-
CEDURE
INFRACTIONS
As offenses 44-21
Centralized infractions bureau 44-28
Powers of 44-29
Custody, when not required 44-23
When required 44-24
Definition of 44-37
Magistrates, hearings by 44-30
Not guilty pleas 44-26
Hearings following entry of 44-27
Payment of fine as plea of nolo contendere 44-25
Summons and complaint, form 44-22
INJUNCTION
Notice required for ex parte temporary 4-5
INSTRUCTIONS
See JURIES—CIVIL;JURIES—CRIMINAL
INTERACTIVE AUDIOVISUAL DEVICE
Civil and family proceedings, use of for appearance of incar-
cerated individual 23-68
Criminal proceedings, presence of incarcerated individual
by means of 44-10, 44-10A
INTEREST
See FEES AND COSTS
INTERNS
See LEGAL INTERNS
568
Copyrighted by the Secretary of the State of the State of Connecticut
INTERPLEADER
Pleadings 23-43
Procedure in 23-44
JOINDER
Civil Actions
Causes of action 10-21—10-22
Class actions, see CLASS ACTIONS
Consolidations of actions for trial 9-5
Impleading of third party 10-11
Interested persons as defendants 9-6
Legal and equitable relief, claims for 10-24
Miscellaneous parties, joinder as plaintiffs or defendants
Assignees 9-15, 9-16
Defendants alleged to be alternatively liable 9-14
Personal representatives of deceased cocontractors on
joint contract 9-12
Persons liable on same instrument 9-13
Misjoinder 9-19
Motion to strike as remedy for 11-3
Nonjoinder 9-19
Motion to strike for nonjoinder 10-39, 11-3
Parties and actions 9-3
Plaintiffs in one action 9-4
Torts 10-23
Criminal Matters
Defendants 36-22
Misjoinder not requiring dismissal 41-10
Motion for 41-3
Motion for severance 41-18
Offenses in information 36-22
Family Matters
Nonjoinder of necessary party, motion to strike 25-16
JUDGES AND JUDICIAL AUTHORITIES
Appellate jurists sitting as superior court judges 60-6
Chief judge of appellate court 62-1
Disqualification 1-22
Motion for 1-23
Judge trial referee, reference to 19-3
Criminal cases 44-19
Senior judges, references, applicable rules 19-1
JUDGMENT FILES
See JUDGMENTS
JUDGMENTS
Generally 17-1, chapters 6 and 17; see also APPELLATE
PROCEDURE;VERDICT
Automatic stay pending appeal, and exceptions 61-11
Nonautomatic stay 61-12
Decision, statement of by judicial authority, when required
6-1, 64-1, 64-2
Declaratory judgments, see DECLARATORY JUDGMENT
Default judgments and nonsuits
Appear, failure to 17-19
Affidavit of debt 17-25
Judgment, entry of 17-27, 17-33
Enforcement of 17-28
Liquidated sum, action for, applicable procedure 17-24
Military or naval service, affidavit concerning 17-21,
17-25
Default rules not applicable to defendant in military
or naval service 17-23
Motion for default for failure to appear 17-20, 17-25
Notice of judgment, mailing by counsel 17-22
Short calendar, motion not on 17-29
Weekly payments, order for 17-26
INDEX
JUDGMENTS — (Cont)
Default judgments and nonsuits — (Cont)
Damages, hearing in
Defense, notice to be specific 17-37
Amending notice 17-38
Reply not allowed 17-39
Time to give 17-35
Evidence to reduce damages 17-39
Notice by clerk of default 17-36
Opening default where judgment not rendered 17-42
Opening judgment on default or nonsuit 17-43
Plead, default for failure to 17-31, 17-32
Executions 17-52
Facts underlying judgment to appear of record 17-5
Finality for purposes of appeal, see APPELLATE PRO-
CEDURE
Finding, form of 17-6
Special finding, request for 17-7
Form and contents of 17-9
Functions of 17-8
Foreclosure, timing to file motion for judgment, see FORE-
CLOSURE
Judgment files, captions and contents 6-2
Appeal papers, filing requirements 63-4, 67-8
Appellate proceedings, judgment files in, see APPEL-
LATE PROCEDURE
Family matters 25-38
Notation of satisfaction of judgment 6-5
Preparation, when, by whom, filing 6-3
Signing 6-4
Memorandum of decision 6-1, 64-1, 64-2
Modifying judgment after appeal 17-9
Offer of compromise
By defendant 17-11
Acceptance of offer 17-12
Failure to accept offer 17-13
By plaintiff, counterclaim plaintiff 17-14
Acceptance of offer 17-15
Failure to accept offer 17-16
Judgment where amount greater than offer recovered
17-18
Negligence of health care provider alleged 17-14A
Offer and acceptance to be included in record 17-17
Opening 17-4
Expedited procedure, opening judgment of foreclosure
17-4
Record of proceeding, facts to appear on 17-5
Remittitur where judgment too large 17-3
Setting aside 17-4
Stay pending appeal, and exceptions 61-11, 61-12
Summary judgments, scope of remedy 17-44
Affidavits
Bad faith, affidavits made in 17-48
Form of 17-46
Appropriate documents not available 17-47
Judgment 17-49
For part of claim 17-51
Motion for, proceedings on 17-45
Permission to file, motion for 17-44
Timing of, when scheduling order exists 17-44
Timing of, when assigned for trial, no scheduling order
14-44
Triable issue as to damages only 17-50
Summary process 17-30
Execution 17-53
569
Copyrighted by the Secretary of the State of the State of Connecticut
JUDICIAL REVIEW COUNCIL
Appeals from, in general 74-1
Appellate rules, applicability of 74-6
Decision of council, statement of 74-4
Initiation of proceedings by supreme court 74-3A
Papers to be filed 74-1
Parties, proper form of reference 74-5
Recommendation by council, action on by supreme court
where no appeal 74-2A
JURIES—CIVIL
Amount in demand, disclosure to jury prohibited 16-19
Array, challenge to 16-2
Cause, excuse of juror for 16-3
Charge, see Instructions this title
Communications with jurors prohibited 16-14
Deliberations 16-16
Deadlocked jury 16-29
Interrogatories 16-18
Return for reconsideration 16-17
Review of testimony during 16-27
Discharge after verdict 16-33
Exhibits, pleadings and copy or tape of instructions, submis-
sion to jury 16-15
Fact, questions of to be decided by jury 16-9
Equitable actions, facts decided by jury, when 16-10
Judgment of court 16-13
Hearing impaired jurors, interpreters for 16-1
Interpreters not to participate in deliberations 16-8
Instructions
Additional instructions 16-26, 16-28
Counsel to be informed of substance of charge 16-25
Deadlocked jury 16-29
Modification for correction or clarification 16-25
Requests for, see Requests to charge and exceptions,
this title
Interrogatories 16-18
Jury selection, preliminary proceedings
Disqualification of jurors 16-4
Peremptory challenges 16-5
Voir dire 16-6
Legal and equitable issues, determination of case pre-
senting both 16-11
Judgment in 16-13
Note taking by jurors 16-7
Oath and admonitions to jurors 16-8
Pleadings, submission to jury 16-15
Polling after verdict 16-32
Questions by jurors during trial 16-7
Questions of fact, jury to decide 16-9
Judgment 16-13
Questions of law, judicial authority to decide 16-9
Request to charge and exceptions 16-20
Filing 16-22
Form, contents and number 16-23
Principles of law in 16-21
Selection of jurors
Disqualification of jurors 16-4
Peremptory challenges 16-5
Voir dire 16-6
Verdict, see VERDICT
Viewing of place or thing by jury 16-12
Voir dire of prospective jurors 16-6
JURIES—CRIMINAL
Array, challenge to 42-4
Cause, excuse of juror for 42-11
INDEX
JURIES—CRIMINAL — (Cont)
Charge, see Instructions, this title
Communications
Judicial authority and jurors 42-7
Parties and jurors 42-8
Deliberations 42-21
Deadlocked jury 42-28
Testimony, request by jury for review of 42-26
Disqualification of jurors 42-5
Duty to report prejudicial information, improper outside influ-
ence, clerical mistake in verdict 42-8
Hearing impaired jurors, interpreters 42-10
Information, exhibits, copy or tape of instructions to be sub-
mitted to jury 42-23
Instructions, conference with counsel concerning substance
42-19
Additional instructions 42-25
Jury’s request for 42-27
Clarification or modification 42-24
Jury selection, preliminary proceedings 42-11
Array, challenge to 42-4
Peremptory challenges 42-13
Voir dire 42-12
Note taking by jurors 42-9
Oath and admonitions to jurors 42-14
Questions by jurors 42-9
Questions of fact, jury to decide 42-20
Requests to charge and exceptions 42-16
Filing 42-17
Form and contents 42-18
Right to jury trial, waiver 42-1
Selection of jurors, preliminary proceedings 42-11
Array, challenge to 42-4
Peremptory challenges 42-13
Voir dire 42-12
Sequestration 42-22
Size of jury, election by defendant 42-3
Testimony, request by jury for review of 42-26
Two part information 42-2
Verdict, see VERDICT
Viewing of place or thing by jury 42-6
Voir dire of jurors 42-12
Waiver of right to jury trial 42-1
JUVENILE MATTERS
Adjudicatory hearing
Neglected, abused and uncared for child; termination of
parental rights 35a-1
Appeal, see also APPELLATE PROCEDURE
Applicability of general superior court rules 34a-1
Attorney
Access to reports and studies
Delinquency and family with service needs 30-9, 30a-8
Neglected, abused and uncared for child; termination
of parental rights 32a-1, 32a-7
Review by appellate review attorney 35a-21
Right to 27-5, 27-6, 30-3, 30a-1, 32a-1
Waiver of right, neglected, abused and uncared for child;
termination of parental rights 35a-1
Chief public defender, assignment of attorney to represent
child 32a-1
Child, definition of 26-1
As witness, procedure for testimony 32a-4
Child protection, see Neglected, abused and uncared for
child; termination of parental rights, this title
570
Copyrighted by the Secretary of the State of the State of Connecticut
JUVENILE MATTERS — (Cont)
Commitment, definition 26-1
Commitment of child as mentally ill 31a-15
Revocation of 35a-14A
Complaint, definition of 26-1
Contempt 34a-22
Continuances and advancements 34a-5
For case status conference on denial of petition alleging
neglected, abused and uncared for child and termina-
tion of parental rights 33a-7, 35a-2
Coterminous petitions, neglected, abused and uncared for
child; termination of parental rights 35a-3
Counsel, see Attorney, this title
Court-ordered evaluation of child 34a-21
Custody, order of temporary 33a-6
Emergency or life-threatening situation, application proce-
dure 33a-8
Preliminary hearing 33a-7
Respondent’s rights, statement of 33a-7
Default, opening order obtained by 35a-18
Defenses, disclosure of, delinquency proceedings 31a-17
Definitions 26-1
Delinquency, complaint or petition, nonjudicial handling, see
Nonjudicial handling of delinquency or family with service
needs complaints or petitions, this title
Delinquency hearing, see Hearings: delinquency, family with
service needs, this title
Delinquency informations or petitions, contents and service
29-1, 29-2
Processing 29-1A
Detention
Admission to 31-1A
Advisement of rights 30-3
Notice to parents 30-4
Basis for, requirements 30-6
Conditional release 30-10
Definition of 26-1
Duration of 30-5, 30-8, 30-10
Requirements for extension 30-5
Family with service needs 30-2A
Hearing
Information to be considered 30-9
Place of 30-7
Waiver of 30-8
Initial order for, without hearing 30-8
Release to parents 30-8
Nondelinquent child, other jurisdiction 30-5
Order for, after hearing, on finding of necessary factor
30-10
Release, and periodic drug testing as condition 30-10
Subsequent to dispositional hearing, mandatory review
30-11
Disclosure of defenses, delinquency proceedings 31a-17
Discovery
Delinquency, family with service needs, youth in crisis
matters 31a-16
Neglected, abused and uncared for child; termination of
parental rights 34a-20
Dismiss, motion to 34a-9—34a-11
Electronic filing 26-3
Emergency medical situations requiring temporary custody
33a-8
Emergency relief 34a-23
Evaluation of child 34a-21
Examinations, physical or mental, delinquency or family with
service needs 31a-14
Family support center, definition of 26-1
INDEX
JUVENILE MATTERS — (Cont)
Family with service needs, complaint or petition, nonjudicial
handling, see Nonjudicial handling of delinquency or fam-
ily with service needs complaints or petitions, this title
Family with service needs hearing, see Hearings: delin-
quency, family with service needs, this title
Family with service needs petition, contents and service 29-
1, 29-2
Processing 29-1B
Family with service needs, petition for child at imminent risk
31a-21
Family with service needs, petition for violation of post-
adjudicatory orders 31a-20
Family with service needs petition, preadjudication continu-
ance 30a-1A
Family with service needs referrals 27-9
Guardian, definition 26-1
Hearing procedure, neglected, abused and uncared for
child; termination of parental rights 32a-2
Hearings
Adjudicatory, neglected, abused and uncared for child;
termination of parental rights 35a-1
Advancement of 34a-5
Attendance of persons 26-2
Agency representative 26-2
Exclusion of persons not necessary 26-2
Foster parent 26-2
News media 26-2
Prohibition of disclosure of identifying information for
good cause 26-2
Relatives 26-2
Service Provider 26-2
Termination of parental rights or allegations of uncared
for, neglected or abused child, attendance of per-
sons with legitimate interest 26-2
Victim in delinquency hearings, exclusion of for good
cause 26-2
Audiovisual device, appearance by 35a-22
Civil proceedings, hearings as 32a-2
Continuance 34a-5
For case status conference, neglected, abused and
uncared for child; termination of parental rights 33a-
7, 35a-2
Definition 26-1
Delinquency hearing, see Hearings: delinquency, family
with service needs, this title
Detention hearing, see Detention, hearing, this title
Dispositional hearings 30a-5, 30a-6, 35a-9—35a-11
Dispositive hearing, definition 26-1
Hearings: delinquency, family with service needs
Advisement of rights, initial plea hearing 30a-1
Burden of going forward 30a-3
Continuance for pretrial conference 30a-2
Counsel, request for 30a-2
Dispositional hearing 30a-5
Victim, statement on behalf of 30a-6
Plea agreement 30a-2
Plea canvass 30a-4
Plea hearing, initial 30a-1
Counsel, appointment of 30a-1
Preadjudication continuance 30a-1A
Pretrial conference 30a-2
Recording of hearings 30a-7
Records 30a-8
Testimony admissible at dispositional hearing 30a-5
Hearsay, child’s statement; residual exception 35a-23
Indian child, definition of 26-1
571
Copyrighted by the Secretary of the State of the State of Connecticut
JUVENILE MATTERS — (Cont)
Indigent parties, requests for subpoenas 32a-2
Information, definition 26-1
Informations, delinquency, contents and service 29-1, 29-2
Processing 29-1A
Interactive audiovisual device, appearance by 35a-22
Mentally ill child, commitment as 31a-15
Modification of probation 31a-18
Motions and applications: delinquency and family with ser-
vice needs
Adult criminal docket, motion to transfer to 31a-12
Bill of particulars, motion for 31a-2
Continuances and advancements 31a-1A
Discovery, motions for 31a-16
Dismiss, motion to 31a-3
Extension of delinquency commitment, motion for 31a-19
Extension of family with service needs commitment,
motion for 31a-19A
Form of motions, time for filing, amendment 31a-1
Joint trial of petitions or informations, motion for 31a-10
Judgment of acquittal, motion for 31a-5
Motion in limine 31a-7
New trial, motion for 31a-11
Permanency plan, delinquency, motion for review of
31a-19
Permanency plan, family with service needs, motion for
review 31a-19A
Sequestration of witnesses, motion for 31a-8
Severance of offenses for trial, motion for 31a-9
Suppress, motion to 31a-4
Take into custody order, application for 31a-13
Temporary custody order 31a-13A
Transfer of venue, motion for 31a-6
Transfer to adult criminal docket, motion for 31a-12
Motions, in general 31a-1, 34a-1
Changes in court dates, continuances 34a-5
Contempt 34a-22
Dismiss 34a-9—34a-13
Emergency relief 34a-23
Evaluation of child 34a-21
Intervene 35a-4
Strike 34a-15—34a-19
Transfer of guardianship 35a-12
Neglected, abused and uncared for child; termination of
parental rights
Adjudication 35a-1
Admission or denial of allegations of petition 35a-1
Adverse inference 35a-7A
Burden of proceeding 35a-8
Consolidation of petitions 35a-6A
Consolidation with hearing on temporary custody order
33a-7
Continuance for case status conference 33a-7, 35a-2
Evidence 35a-7
Exclusion of unnecessary persons from courtroom
35a-1B
Explanation of petition 35a-1
Nolo contendere plea 35a-1
Record of case 35a-1A
Advisement of rights 32a-1
Allegations of petition 33a-1
Chief public defender, assignment of attorney to represent
child 32a-1
Child or youth
As witness 32a-4
Consultation with in court 32a-5
Exclusion from courtroom 32a-5
INDEX
JUVENILE MATTERS — (Cont)
Neglected, abused and uncared for child; termination of
parental rights — (Cont)
Competency of parent 32a-9
Coterminous petitions 35a-3
Counsel, right to 32a-1
Default, opening 35a-18
Hearing 35a-18
Discovery 34a-20
Dismiss, motion to 34a-9—34a-13
Dispositional hearing
Evidence and mandated social study 35a-9
Mandated social study, availability to parties, counsel
and self-represented parties 35a-10
Witnesses, respondents’ right to produce 35a-11
Dispositions, motions to modify 35a-16
Evaluation of child 34a-21
Foster parents, prospective adoptive parent, relative care
giver and siblings, right to be heard 35a-5
Guardian, role of 35a-6
Hearing procedure in general 32a-2
Interpreter 32a-6
Intervene, motions to 35a-4
Modification of guardianship, post-disposition motion for
35a-20
Motions to modify dispositions 35a-16
Order of temporary custody 33a-6
Preliminary hearing 33a-7
Permanency plan, motion for review 35a-14
Petitions, allegations 33a-1
Petitions, consolidation of 35a-6A
Petitions, coterminous 35a-3
Petition to reinstate parent or former legal guardian as
guardian 35a-20
Petition to remove parent as guardian, transfer from pro-
bate court 35a-19
Pleading 34a-6—34a-8
Probate court, transfer of petition to remove parent as
guardian 35a-19
Protective supervision
Application to modify 33a-6
Conditions and modification 35a-12
Publication as service 33a-5
Records, confidentiality 32a-7
Records, substance abuse treatment 32a-8
Reinstatement of parent or former legal guardian as
guardian, motion for 35a-20
Removal of child from home 35a-13
Respondent, identity or location unknown 33a-4
Chief child protection attorney to assign counsel 33a-4
Reunification efforts 35a-15
Revocation of commitment 35a-14A
Rights of parents or guardians 32a-1
Service 33a-2
Standard of proof
Clear and convincing evidence and proof beyond a
reasonable doubt, termination of parental rights
32a-3
Fair preponderance of evidence, neglect, uncared for
and dependency petition 32a-3
Strike, motion to 34a-15—34a-19
Subpoenas 32a-2
Substance abuse treatment records 32a-8
Summons accompanying petition, neglected, abused and
uncared for child 33a-2
Temporary custody, order of 33a-6
572
Copyrighted by the Secretary of the State of the State of Connecticut
JUVENILE MATTERS — (Cont)
Neglected, abused and uncared for child; termination of
parental rights — (Cont)
Emergency or life-threatening situation, application pro-
cedure 33a-8
Location of minor child, information provided under seal
to counsel for child 33a-2
Preliminary hearing; notification of rights 33a-7
Respondent’s rights, statement of 33a-7
Transfer of guardianship, motions for 35a-12A
Venue 33a-3
Nonjudicial handling of delinquency complaints 27-1A
Additional offenses and misconduct 27-4
Denial of responsibility for misconduct 27-6
Dismissal following successful completion of nonjudicial
handling 27-8A
Eligibility for delinquency nonjudicial handling, initial inter-
view 27-5
Erasure following successful completion of nonjudicial
handling 27-8A
Ineligibility for nonjudicial handling 27-4A
Initial interview, explanation of allegations 27-5
Notice to appear 27-1A
Probation department, referral to 27-1A
Responsibility, acknowledgment or denial 27-6, 27-7
Nonjudicial supervision of child 27-8A
Written statement of responsibility 27-7
Rights of parties, explanation of 27-5
Successful completion of nonjudicial handling, dismissal
and erasure of matter 27-8A
Notice
Detention 30-4
To appear, delinquency or family with service needs
27-1A
Orders
Custody, take into, definition of 26-1
Application for 31a-13
Following violation of condition of suspended detention
30-10
Temporary custody 33a-6
Emergency or life-threatening situation, application pro-
cedure 33a-8
Location of minor child, information provided to counsel
for child under seal, 33a-2
Preliminary order of first hearing 33a-7
Respondent’s rights, statement of 33a-7
Parent, definition of 26-1
Petition to remove parent as guardian, transfer from pro-
bate court 35a-19
Parties, definition of 26-1
Intervening party, definition of 26-1
Legal party, definition of 26-1
Permanency hearing, following commitment as delinquent
31a-19
Permanency plan, definition 26-1
Motion for review of 31a-19, 31a-19A, 35a-14
Petitions
Amendment 31a-1, 34a-1
Definition of 26-1
Delinquency petition, contents and service 29-1, 29-2
Processing 29-1A
Family with service needs petition, contents and service
29-1, 29-2
Processing 29-1B
Family with service needs, petition for child at imminent
risk 31a-21
INDEX
JUVENILE MATTERS — (Cont)
Petitions — (Cont)
Family with service needs post-adjudicatory orders, peti-
tion for violation of 31a-20
Neglected, abused and uncared for child; termination of
parental rights 33a-1
Removal of parent as guardian 35a-19
Termination of parental rights 35a-19
Physical and mental examinations, delinquency or family
with service needs 31a-14
Pleadings, neglected, abused and uncared for child; termi-
nation of parental rights
Contempt, motion for 34a-22
Dismiss, motion to 34a-9—34a-13
Emergency relief, motion for 34a-23
Evaluation of child, motion for 34a-21
Order 34a-6
Response to summary of facts 34a-14
Strike, motion to 34a-15—34a-19
Time to plead 34a-8
Waiver of right to plead 34a-7
Preadjudication continuance, family with service needs
30a-1A
Pretrial conference, delinquency or family with service
needs 30a-2
Probate court, transfer from, or application for removal of
parent as guardian 35a-19
Probation
Definition of 26-1
Department, assignment to of delinquency or family with
service needs complaints 27-1A
Presentation of information at detention hearing 30-9
Modification of probation 31a-18
Officer, investigation of delinquency or family with service
needs complaints 27-1A, 27-5, 27-8A
Predispositional study by, consideration of at disposi-
tional hearing 30a-5
Records
Attorney access to 30a-8, 32a-7
Confidentiality, copying and reproduction of 30a-8, 32a-7
Erasure 27-8A
Substance abuse treatment 32a-8
Recording of hearings 30a-7, 32a-7, 35a-1A
Removal of child from home, required findings 35a-13
Respondent, definition of 26-1
Rights of parties
Right of respondents to neglected, abused and uncared
for child or termination of parental rights petition 33a-7
To confrontation and cross-examination 30a-1, 32a-1
To counsel 27-5, 30-3, 30a-1, 32a-1, 35a-21
To remain silent 30a-1, 32a-1
Short calendar sessions 34a-2—34a-4
Specific steps, definition 26-1
Staff secure facility, definition of 26-1
Standards of proof 30a-3, 32a-3
Subpoenas 32a-2
Substance abuse treatment records 32a-8
Superior court rules, general provisions, applicability 34a-1
Supervision
Judicial, definition of 26-1
Nonjudicial, definition of 26-1
After acknowledgment of responsibility, delinquency or
family with service needs 27-8A
Protective 26-1, 35a-12
Take into custody order, definition 26-1
After violation of condition of suspended detention 30-10
Application for 31a-13
573
Copyrighted by the Secretary of the State of the State of Connecticut
JUVENILE MATTERS — (Cont)
Temporary custody, order of 33a-6
Consolidation of hearing with underlying petition 33a-7
Emergency or life-threatening situation, application proce-
dure 33a-8
Preliminary order or first hearing 33a-7
Preliminary order 33a-7
Respondent’s rights, statement of 33a-7
Termination of parental rights, see Neglected, abused and
uncared for child; termination of parental rights, this title
Testimony
Admissible at dispositional hearing, delinquency or family
with service needs 30a-5
Child as witness, procedure 32a-4
Narrative form permissible 32a-2
Recording of 30a-7, 32a-7
Transfer from probate court of petition to remove parent as
guardian 35a-19
Transfer to adult criminal docket 31a-12
Uncared for child, see Neglected, abused and uncared for
child; termination of parental rights, this title
Venue, child protection 33a-3
Venue, delinquency or family with service needs, motion for
transfer 31a-6
Victim, definition 26-1
Attendance at hearing 26-2
Youth, definition 26-1
LAND USE REGULATIONS
Copy to be filed with appellate brief 81-6
Statement in brief as to applicable version 67-4, 67-5
LAW DAYS
See FORECLOSURE
LEGAL INTERNS 3-14
Activities of 3-17
Certification of 3-18
Legal internship committee 3-19
Out-of-state interns 3-21
Requirements and limitations 3-16
Supervision of 3-15
LEGAL SEPARATION
See FAMILY MATTERS
MAGISTRATES
Family support, see FAMILY MATTERS
Infractions, hearings on 44-30
MANDAMUS
Complaint 23-45
Order in pending action 23-47
Parties plaintiff 23-45
Pleadings in 23-49
Privileged in assignment for trial 14-9
Temporary order of 23-48
MEDIA
Appellate proceedings 70-9
Arraignments, media coverage 1-11A
Cellular telephones in courts 1-10
Civil proceedings, media coverage 1-11B
Computers, portable in courts 1-10
Coverage of court proceedings in general, requests for and
limitations on 1-10B
Criminal proceedings, media coverage 1-11C
Definition of media 1-10A
Electronic devices in courts, generally 1-10
Exclusion by judicial authority 11-20
INDEX
MEDIA — (Cont)
Juvenile matters 26-2
Personal digital assistant in courts 1-10
MEDICAL, HOSPITAL AND PSYCHIATRIC RECORDS
Family matters, procedure for introducing 25-55
Prerequisites for filing in clerks’ offices 7-18
MORTGAGES
See FORECLOSURE
MOTIONS, APPLICATIONS AND REQUESTS, CIVIL, MIS-
CELLANEOUS
See also FAMILY MATTERS;JUVENILE MATTERS
Appeal period, motions that delay 11-11
Appellate counsel, participation in trial court motions 62-8
Argument of motions 11-18
Cite in new parties 9-22
Definition of 11-2
Destruction of files and records, motion to prevent 7-16
Dismiss, motion to 10-30
Family matters 25-12—25-15
Further pleading by defendant following denial 10-34
Grounds 10-31
Subject matter jurisdiction not subject to waiver 10-33
Waiver of lack of personal jurisdiction, insufficiency of
process or service 10-32
Electronic filing 4-4
Electronic filing system nonoperational 7-17
Exclusion of public, sealing documents, motion for 11-20
Family matters 25-23
Form of 11-1
Health information, motion for authorization to obtain pro-
tected 13-9, 13-11A
Limine, motion in 15-3
Memorandum of law required 11-10
Misjoinder and nonjoinder of parties, motion to strike for 11-3
Motion to dismiss, see Dismiss, motion to, this title
Motion to strike, see Strike, motion to, this title
New trial, motion for 17-4A
Oral argument of motions 11-18
Order of notice, applications for 11-4
Postverdict motions: arrest of judgment, additur, remittitur,
set aside verdict, new trial, collateral source reduction
16-35
Previous motions and applications, disclosure of 11-9
Reargue, motion to 11-12
Request to revise 10-35
Granting of and objection to 10-37
Reasons in 10-36
Waiver of further pleading revisions 10-38
Sealing files and documents 11-20
Strike, motion to, grounds 10-39
Date for hearing 10-40
Family matters 25-16—25-22
Memorandum of decision, when required 10-43
Memorandum of law 10-39
Misjoinder and nonjoinder of parties 11-3
Opposition 10-40
Stricken pleading part of other cause or defense 10-45
Substitute pleading, or judgment after motion granted
10-44
MOTIONS, MISCELLANEOUS, CRIMINAL
See also CRIMINAL PROCEDURE
Acquittal, motion for
Motion for directed verdict of, abolished 42-40
Motion for judgment of 42-40
574
Copyrighted by the Secretary of the State of the State of Connecticut
MOTIONS, MISCELLANEOUS, CRIMINAL — (Cont)
Acquittal, motion for — (Cont)
After guilty verdict 42-51
After mistrial 42-50
At close of evidence, reservation of decision on 42-42
At close of prosecution’s case 42-41
Time limit for filing 42-52
Arrest of judgment, motion in 42-56
Dismiss, motion to, matters to be raised by 41-8
Appeal from denial after conditional plea of nolo conten-
dere 61-6 (a) (2) (A)
Defects not requiring dismissal 41-10
Remedies for 41-11
Restrictions on 41-9
Electronic filing 4-4
Limine, motion in 42-15
Mistrial, motion for
Prejudice to defendant 42-43
Prejudice to prosecution 42-44
New trial, motion for 42-53
Time for filing 42-54
Where based on newly discovered evidence 42-55
Pretrial motions and requests, in general 41-1, 41-2
Form and manner of making 41-6
Hearings and rulings 41-7
List of motions 41-3
Speedy trial 43-41
Time to make, waiver 41-4, 41-5
Suppress, motion to 41-12
Appeal from denial after conditional plea of nolo conten-
dere 61-6 (a) (2) (A)
Intercepted communications 41-14
Judicial authority, when disqualified from hearing 41-17
Seized property, return and suppression 41-13, 41-16
Time to file 41-15
MOTOR VEHICLE OFFENSES
See generally INFRACTIONS
MUNICIPAL OFFICERS
Bond to, action to enforce 9-25
MUNICIPAL TAX LIENS
Foreclosure, allegations 10-70
NOLLE PROSEQUI
Generally 39-29—39-32
NONSUIT
See generally DEFAULT JUDGMENTS
NOTICE
Alimony and support, notice of orders concerning 25-29
Clerks to notify counsel and self-represented parties of judg-
ments, decisions and rulings 7-5
Criminal convictions, notice of right to appeal 43-30
Default judgments 17-22, 17-36
Depositions, criminal cases 40-48
Ex parte temporary injunction 4-5
Habeas corpus, notice of right to appeal 43-30
Juvenile matters, detention 30-4
Orders of notice 11-4—11-8; see ORDERS OF NOTICE
Pleading notice 10-68
Receivers, appointment 21-1, 21-3
Small claims, notice in 24-1
Notice of suit, service of 24-10
Notice of time and place of hearing 24-14
INDEX
OATH
Administration to jurors 16-8, 42-14
Administration to witnesses 5-3
Deposed witnesses, criminal cases 40-49
Juvenile matters, child witnesses 34-4
OFFER OF COMPROMISE
See Judgments
OFF-SITE JUDICIAL PROCEEDINGS
Transcript, recording, summary of 1-24
ORAL ARGUMENT
See also APPELLATE PROCEDURE
Appellate court arguments, precedence over trial court
assignments 1-2
Argument on interlocutory questions during trial 5-5
Child protection matters, appeals 79a-9
Short calendar 11-18
Supreme court arguments, precedence over trial court
assignments 1-2
Time limit 15-7
Criminal cases 42-37
ORDER OF TEMPORARY CUSTODY
See JUVENILE MATTERS
ORDERS OF NOTICE
Applications for 11-4
Attestation, publication, proof of compliance 11-7
Continuance, subsequent orders of 11-5
Directed outside United States 11-8
Family matters 25-23, 25-28, 25-29
Publication, notice by 11-6
Receivers, presentation of claims to 21-7
PARENTAL RIGHTS, TERMINATION OF
See JUVENILE MATTERS
PARKING OR CITATION ASSESSMENT
Petition to open 23-51
PARTIES, CIVIL ACTIONS
See also JOINDER
Addition or substitution of 9-18
Motion to cite in new parties 9-22
Class actions 9-7, 9-8
Adequate representation, orders to ensure 9-10
Dismissal or compromise 9-9
Fiduciaries 9-11
Parents as necessary parties in minor’s name change action
9-24
Real party in interest 9-23
Substituted plaintiff 9-20
Third parties affected by counterclaim 9-21
PATERNITY ACTIONS
Right to counsel 25-68
PERSONAL DIGITAL ASSISTANT IN COURTROOM
See MEDIA
PERSONAL IDENTIFYING INFORMATION
See RECORDS; CIVIL ACTIONS, Motions; FAMILY
MATTERS, Documents; see also APPELLATE PRO-
CEDURE, Appendix
PICTURE IDENTIFICATION CARD
See also MEDIA
Authorizing attorney use of electronic devices in courtroom
1-10
575
Copyrighted by the Secretary of the State of the State of Connecticut
PLAIN ERROR REVIEW 60-5
PLEA AGREEMENTS
See PLEAS—CRIMINAL
PLEADINGS, CIVIL ACTIONS
See also FAMILY MATTERS; JUVENILE MATTERS;
SMALL CLAIMS
Admissions
Express admissions and denials to be direct and specific
10-48
In special defenses 10-52
Of material allegations, implied 10-19
Alternative relief, claims for 10-25
Amendments
Amendment calling for legal relief, issue to be placed on
jury docket 10-64
Amount in demand 10-66
As of right by plaintiff, time limit 10-59
Claim against insolvent estate, amendment of 10-67
Consent, order of judicial authority, or failure to object,
amendment by 10-60
Contract to tort 10-65
Equitable to legal relief, legal to equitable relief 10-63
Pleading after amendment 10-61
Time limit, amendment by plaintiff as of right 10-59
Tort to contract 10-65
Variance between pleadings and proof, amendment in
cases of 10-62
Answer, general and special denial 10-46
Contributory negligence, pleading of 10-53
Counterclaim and setoff, pleading of 10-54
Right to prosecute after withdrawal of action 10-55
Denials to meet substance of allegations 10-47
Express admissions and denials 10-48
General denial in action by corporation on contract 10-49
Response to answer by plaintiff 10-56
Matter in avoidance of answer 10-57
Pleadings subsequent to reply 10-58
Special defenses 10-50
Admissions and denials in 10-52
Several special defenses 10-51
Closed pleadings, certification of 14-8
Common counts writ, abolished 10-9
Complaint, contents of 10-20
Counterclaim, supplemental pleadings 10-10
Dismiss, motion to see Motion to dismiss, this title
Equitable relief, claim for 10-27
Exhibits as part of pleading 10-29
Fact pleading 10-1
Family matters 25-2—25-4, 25-7—25-11
Filing and endorsing pleadings 4-3
Electronic filing 4-4
Signing pleadings 4-2
Prepared with assistance of counsel notation 4-2
Foreign law, notice of claim based on 10-3
Form of pleadings 4-1
Electroncially filed 4-1
Filing and endorsing pleadings 4-3
Signing pleadings 4-2
Prepared with assistance of counsel notation 4-2
Impleading, of third party defendant 10-11
Implied admissions of material allegations 10-19
Implied duty, unnecessary to allege 10-4
Interest and costs, unnecessary to claim 10-28
INDEX
PLEADINGS, CIVIL ACTIONS — (Cont)
Joinder of causes of action 10-21
Legal and equitable relief 10-24
Torts 10-23
Transactions connected with same subject 10-22
Legal effect, pleading 10-2
Miscellaneous special matters and required pleadings
Action by assignee of chose in action, required pleading
10-72
Charters, pleading 10-73
Collateral source payments, pleading 10-78
Foreclosure of mortgage or real property lien, required
pleading 10-69
Foreclosure of municipal liens, required pleading 10-70
Incorporation by General Assembly, pleading 10-73
Insurance, policy limitations or payments by insurer, spe-
cial defense of 10-79
Probate appeals, required pleading 10-76
Appeals from commissioners appointed by court of pro-
bate, required pleading 10-77
Probate bond 10-71
Wrongful sale, wrongful conversion 10-74
Motion to dismiss 10-30
Family matters 25-12—25-15
Further pleading by defendant following denial 10-34
Opposition 10-31
Subject matter not subject to waiver 10-33
Waiver of lack of personal jurisdiction, improper venue,
insufficiency of process or service 10-32
Motion to strike, grounds 10-39
Date for hearing 10-40
Family matters 25-16—25-22
Memorandum of decision, when required 10-43
Memorandum of law 10-41
Substitute pleading, or judgment after motion granted
10-44
Where stricken pleading part of other cause or defense
10-45
Notice, pleading of 10-68
Order of pleading 10-6
Pleadings closed, certification of 14-8
Request to revise 10-35
Granting of and objection to 10-37
Reasons in 10-36
Waiver of further pleading revisions 10-38
Separate counts for separate causes of action 10-26
Service 10-12
Electronic delivery, service by 10-13
Exception for request for mediation 10-12
Indifferent person, service by 10-17
Method of 10-13
Numerous defendants, service where 10-15
Proof of service 10-14
Several parties represented by one attorney 10-16
Signing pleadings 4-2
Prepared with assistance of counsel notation 4-2
Statutory grounds, allegations based on 10-3
Strike, motion to, see Motion to strike, this title
Third party, impleading of by defendant 10-11
Time to plead 10-8
Untrue allegations or denials, payment of reasonable
expenses required 10-5
Variance, in action for goods sold at reasonable price 10-75
Waiver of right to plead 10-7
576
Copyrighted by the Secretary of the State of the State of Connecticut
PLEAS—CRIMINAL
See also APPEARANCE AND ARRAIGNMENT—CRIM-
INAL MATTERS
Agreements, conditional pleas of guilty or nolo contendere
39-5
Alternative dispositions recommended by prosecuting
authority 39-6
Appeal from denial of motion to dismiss or suppress 61-
6 (a) (2) (i)
Disclosure to judicial authority 39-7
Rejection by judicial authority 39-10
Reservation of right to appeal 61-6 (a) (2) (ii)
Sentencing 39-8, 39-9
At arraignment 37-7
Discussions, procedure for in general 39-1
Defendant represented or unrepresented by counsel 39-2
Defense counsel, role in plea agreements 39-3
Subject matter 38-4
Guilty or nolo contendere 37-8, 39-18
Acceptance and canvass of defendant by judicial authority
39-19—39-21
Conditional pleas of 39-5
Other offenses, pleading to after finding of guilty 39-22
Record of proceedings 39-24
Rejected plea inadmissible 39-35
Withdrawal of plea 39-26—39-28
Nolle prosequi 39-29
Dismissal of information or complaint 39-32
Effect of 39-31
Objection by defendant 39-30
Not guilty 37-9
Two part information charging former conviction 37-10, 37-
11, 39-23
PRACTICE OF LAW
See ATTORNEYS
PREJUDGMENT REMEDIES
Disclosure of assets by party against whom prejudgment
remedy granted 13-13
PRESENTENCE INVESTIGATION
See CRIMINAL PROCEDURE
PRETRIAL—CIVIL
Assignment for 14-11
Orders at 14-14
Pretrial procedure 14-13
When case not disposed of at 14-12
Family matters 25-48
Interactive audiovisual device, presence of incarcerated
individual by 23-68
PRETRIAL CRIMINAL PROCEDURE
See CRIMINAL PROCEDURE, Appearance and
Arraignment; Arrest and preliminary procedure;
Bail; Bond; Pleas
PRETRIAL RELEASE
See CRIMINAL PROCEDURE
PRIVILEGE LOG
See CIVIL ACTIONS, Discovery
PROBABLE CAUSE
See APPEARANCE AND ARRAIGNMENT—CRIMI-
NAL MATTERS
PROBATE
Action on bond 10-71
INDEX
PROBATE — (Cont)
Appeals, pleading in 10-76
Commissioners, appeals from, pleading in 10-77
Application for removal of parent as guardian, transfer from
probate court 35a-19
Physical or mental examination, request for 13-11
PROBATE JUDICIAL CONDUCT, COUNCIL ON
Appeals from decisions of, in general 75-1
Appellate rules, applicability of 75-6
Decision of council, statement of 75-4
Fees, costs and security waived 75-1
Papers to be filed 75-1
Parties, proper form of reference 75-5
PROBATION
Delinquency or family with service needs, referral to proba-
tion department 27-1A
Investigation by probation officer 27-1A, 27-5, 27-8A
Modification of probation 31a-18
Nonjudicial supervision of child 27-8A
Predispositional study by probation officer, consideration
at dispositional hearing 30a-5
Vocational probation, definition 26-1
Revocation of 43-29
Stay pending appeal 43-32
PROCESS 8-1
PRO HAC VICE
See ATTORNEYS
PUBLIC DEFENDER
Appeals by indigent defendant 43-33—43-38
Appointment of 37-6
Reference to, investigation of indigency 37-5
Appointment of counsel, criminal cases in general 44-1—
44-6
QUESTIONS OF LAW AND FACT
See generally JURIES—CIVIL;JURIES—CRIMINAL
RECEIVERS
Accounts, semiannual 21-14
Ancillary receivers 21-18
Application for 21-1
Appraisers and temporary receivers, appointment 21-1,
21-3
Bond 21-4
Business, continuance of 21-11
Reports 21-12
Chambers, appointment of receiver in 21-1
Applications for orders, receiver appointed in chambers
21-15
Claims, presentation 21-7
Allowance and disallowance 21-8
Extensions of time 21-9
Hearing 21-10
Clerks, duty to enforce rules 21-16
Inventory of estate, receiver to give 21-5
Insolvent estates, liquidation 21-6
Permanent receivers, assignment of case for appointment
21-2
Removal 21-17
Rents, receivers of 21-19
Appointment 21-20
Bond 21-21
Discharge 21-22
Orders concerning 21-23
577
Copyrighted by the Secretary of the State of the State of Connecticut
RECEIVERS — (Cont)
Rents, receivers of 21-19 — (Cont)
Reports 21-24
Summary of orders, semiannual, receiver to file 21-13
Temporary receivers, appointment 21-1, 21-3
RECORD ON APPEAL
See APPELLATE PROCEDURE
RECORDS
Clerks, records of cases to be kept by 7-1
Destruction of files and records 7-10
Motion to prevent 7-16
Retention and stripping of files, schedule 7-11
Adult probation and family division, reports from 7-14
Criminal actions, records and files 7-13
Title to land, files in actions affecting 7-12
Transfer to records center or state library 7-15
Financial accounts, clerks to keep records of 7-3
Juvenile, erasure 27-8A
Lodged records 7-4C
Treatment during appellate process 68-1, 77-2
Motion to file record under seal 7-4B
Personal identifying information, omission and redaction of
in civil and family matters 4-7
Motion to redact or seal 11-20B
Short calendar matters, records of 7-20
Unfinished record, completion of by clerk 7-9
REFERENCES
See also ARBITRATION;CIVIL ACTIONS, Fact-finding
Acceptance of report, objections 19-14, 19-15
Accountant, reference to 19-19
Application of rules 19-1
Dissolution of marriage or civil union, legal separation,
annulment, excepted from rules 19-1
Appointment, committee or referee 19-2, 19-5
Hearing on motion for 19-2
Appraiser, applicability of rules to 19-1
Appraisal fees, recommendation by committee 19-8
Appraisal report in eminent domain proceeding 19-6
Attorney trial referee, reference to 19-2A
Report by 19-4
Auditor, applicability of rules to 19-1
Cases that may be referred 19-3
Committee, reference to 19-2
Consent of parties 19-2, 19-3
Correction of report 19-17
Court, action by on report 19-17
Dissolution of marriage or civil union, legal separation,
annulment, excepted from rules 19-1
Effect of reference 19-6
Eminent domain proceeding, appraisal report in 19-6
Examination of account or books 19-19
Exceptions to finding and report 19-13
Extension of time 19-18
Family matters 25-53
Finding of facts 19-2
Request for 19-9
Function of court 19-17
Judge trial referee 19-3
Criminal cases 44-19
Powers of superior court to be exercised by 19-3, 44-19
Judgment on report 19-16, 19-17
Motions
Appointment of committee 19-2
Summary judgment, reference of motion for 19-3
Original action, supreme court 84a-4
INDEX
REFERENCES — (Cont)
Pleadings to be closed before reference made 19-7
Recommendations by counsel 19-5
Report 19-8
Acceptance 19-14, 19-15
Alternative claims, report on 19-10
Amendment 19-11
Attorney trial referee, report by 19-4
Judgment on 19-16
Objections 19-14, 19-15
Rejection 19-17
Special assignment probate judges, report by 19-4
Request for finding 19-9
Revocation of reference 19-6
Senior judge, applicability of rules to 19-1
Special assignment probate judges 19-3A
Applicability of rules to 19-1
State referees, applicability of rules to 19-1
Summary judgment, reference of motion for 19-3
REMITTITUR
Judgment too large 17-3
Motion for 16-35
REQUESTS
See MOTIONS, APPLICATIONS AND REQUESTS,
CIVIL, MISCELLANEOUS
REQUESTS TO CHARGE
Civil trials 16-20—16-23
Criminal trials 42-16—42-18
RESCRIPTS
To be sent to trial court and appellate clerk 71-4
RESERVATIONS
Procedure, form 73-1
RETENTION AND DESTRUCTION OF FILES AND
RECORDS 7-10—7-16
RULES OF COURT
Appellate rules, applicability of changes to pending appeals
86-2
Definitions 1-1
Effective date 1-9
Appellate rules 86-1
Emergency powers of rules committee 1-9B
Liberal interpretation of 1-8
Appellate rules 60-1
Promulgation and publication 1-9
Appellate rules 86-1
Emergency 1-9B
Judicial website, placement of rules information on 1-9A
Scope 1-1
SANCTIONS
Actions subject to 1-25
SEALING FILES OR LIMITING DISCLOSURE
Appeal, first time 77-3, 77-4
Civil cases 11-20A, 11-20B
Criminal cases 42-49A
Affidavit supporting arrest warrant application 36-2
During appellate process 77-2
Family matters 25-59A, 25-59B
Identification of cases 7-4A
Motion to file record under seal 7-4B, 77-4
Lodging record 7-4C, 77-4
578
Copyrighted by the Secretary of the State of the State of Connecticut
SENTENCE REVIEW
See SENTENCING
SENTENCING
Correction of illegal sentence 43-22
Defendant’s right to make statement 43-10
Defense counsel
Correction of presentence investigation report 43-14
Disclosure of undisclosed plea agreement 43-15
Supplementary documents, submission of 43-16
Definite sentence, reduction of 43-21
Hearing, procedure 43-10
Illegal sentence, correction of 43-22
Mittimus, where sentence includes fine as well as imprison-
ment 43-20
Prosecuting authority, role 43-11
Disclosure of plea agreement 43-12
Reduction of definite sentence 43-21
Sentence review
Application for, time for filing 43-24
Counsel, representation by before sentence review divi-
sion 43-23
Documents, preparation by clerk 43-25, 43-26
Hearing, briefs and memoranda 43-27
Scope of review 43-28
Stay pending appeal 61-13
Victim, participation at 43-10
SERVICE
See PLEADINGS—CIVIL ACTIONS
SHORT CALENDAR
Generally 11-13
Assignments automatic 11-15
Continuances 11-16
Default for failure to appear, motion for not on short calendar
17-29
Family matters, 25-23, 25-34
Frequency, time of sessions, lists 11-14
Interactive audiovisual device, presence of incarcerated
individual by 23-68
Juvenile matters 34a-2—34a-4
Motion to strike, family matters 25-17
Oral argument 11-18
Records to be kept by clerks 7-20
Time limit for deciding matters 11-19
Transfers 11-17
Unemployment compensation appeals to be claimed for
22-2
SMALL CLAIMS
Actions, institution 24-3, 24-8
Answer, date 24-10, 24-12
Failure to file 24-25
Notice of defense 24-16
Electronic filing 24-3
Filing claims, where 24-4
Notice of suit, service 24-10
Undelivered notice, further notice 24-11
Pleadings
Amendment of claim, answer, counterclaim or setoff
24-20
Answer, notice of defense 24-16
Counterclaim or setoff, claim for 24-19
Deposition or documents, request 24-20A
Dismiss, motion to 24-20
Prohibited pleadings 24-17
Setoff or counterclaim, claim for 24-19
INDEX
SMALL CLAIMS — (Cont)
Actions, institution 24-3, 24-8 — (Cont)
Time to pay, request for 24-16
Service, notice of suit 24-10
Undelivered writ and notice, further notice 24-11
Writ, preparation of 24-9
Affidavits required for judgment 24-24
Allowable actions 24-2
Applicability of rules, limitations 24-2
Attorney, services of not required 24-1
Costs 24-33
Default judgments 24-24, 24-25
Definition of representative 24-6
Deposition or documents, request for 24-20A
Dismissal for failure to obtain judgment 24-27
Electronic institution of action 24-3
Execution, application for 24-32
File, what constitutes 24-7
Hearings
Continuances 24-15
Failure of party to appear 24-26
Hearing in damages following default 24-25
Notice of time and place 24-14
Scheduling 24-15
Judgments 24-24
Appear, failure of party to 24-26
Dismissal of action for failure to obtain 24-27
Execution, application for 24-32
Finality 24-28
Notice of 24-29
Opening, costs 24-31
Satisfaction 24-30
Time limit on 24-29
Written decision, when required 24-29
Purpose of 24-1
Regular docket, transfer to 24-21
Representative, definition of 24-6
Subpoenas, issuance by clerk 24-22
Transfer to regular docket 24-21
Venue 24-25
Where claims to be filed 24-4
Witnesses 24-33
Writ, form of service 24-9
Service 24-10
Written decision, when required 24-29
SPEEDY TRIAL
See CRIMINAL PROCEDURE
STATEWIDE GRIEVANCE COMMITTEE
See ATTORNEYS
STAY OF EXECUTION PENDING APPEAL
See APPELLATE PROCEDURE
STRIKE, MOTION TO
Generally 10-39—10-45
SUBPOENAS
Generally 13-27, 13-28; see also DISCOVERY AND
DEPOSITIONS—CIVIL
Criminal cases, subpoenas for documents or objects 40-2
Issuance by clerk for self-represented parties 7-19
Juvenile matters 32a-2
Small claims, issuance by clerk 24-22
SUMMARY JUDGMENTS
Affidavits, bad faith 17-48
Affidavits, form 17-46
579
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SUMMARY JUDGMENTS — (Cont)
Appropriate documents, unavailability 17-47
Habeas corpus
Civil cases 23-34, 23-37
Family cases 25-46
Judgment 17-49
Judgment for part of claim 17-51
Motion for, proceedings upon 17-45
Triable issue as to damages only 17-50
SUMMARY PROCESS
Default for failure to appear 17-30
Executions 17-53
SUMMONS AND COMPLAINT—CRIMINAL
See ARREST AND PRELIMINARY CRIMINAL PRO-
CEDURE
SUPERIOR COURT
See also CLERKS;FILES;RECORDS
Adjournment 1-13
County court designations, admission of attorneys 2-1
Divisions 1-3
Civil 1-5
Criminal 1-6
Family 1-4
Housing 1-7
Judicial authority, disqualification 1-22
Motion for 1-23
Opening 1-12
Recess 1-13
SUPPORT ENFORCEMENT OFFICER
Services by 25a-30
SUPREME COURT
See generally APPELLATE PROCEDURE
TERMINATION OF PARENTAL RIGHTS
See JUVENILE MATTERS
THIRD PARTY
Impleading in civil action 10-11
TRANSCRIPT, APPELLATE PROCEDURE
Electronic 63-8A
Ordering and filing, paper 63-8
Ordering, child protection matters 79a-5
Rectification, motion for 66-5
Statement concerning, filing with appeal 63-4 (a)
Amendment 63-4 (b)
TRANSFER OF ACTIONS 12-1—12-3
Small claims to regular docket 24-21
Wrong court, appeals brought to 65-4
TRIALS IN GENERAL
See also ASSIGNMENT FOR TRIAL—CIVIL;EVI-
DENCE;JURIES—CIVIL;JURIES—CRIMINAL;
VERDICT
Briefs 5-1
Page limitations 4-6
Civil actions, consolidation for trial 9-5
Counsel
Argument by 15-5—15-7
Criminal trials, time limits 42-37
Failure to appear by, sanctions 5-10
New trial, motion for 17-4A
Order of parties proceeding 15-5
Order of trial of issues 15-1
INDEX
TRIALS IN GENERAL — (Cont)
Protective order, restraining order, criminal protective order
or criminal restraining order, testimony by person on
behalf of whom order issued 5-11
Public, exclusion
Expedited review of order 77-1
From civil proceedings 11-20
From criminal trials 42-48
Question of law that may be subject of appeal, raising 5-2
Separate trials 15-2
UNEMPLOYMENT COMPENSATION
Appeals from employment security board of review
Filing and form of appeal 22-1
Finding of board 22-3
Correction, motion for by appellant 22-4
Additional evidence, filing by appellee 22-5
Decision of board, challenge to 22-8
Duty of board 22-7
Motion by appellee 22-6
Hearing, assignment for, privileged status 22-2
Record 22-1
Time limit 22-1
Court, function on appeal 22-9
VERDICT
Civil actions
Acceptance of 16-31
Communication with jurors prohibited 16-14
Deliberations by jury 16-16
Directed verdict, reservation of decision on motion for
16-37
Discharge of jury 16-33
Impeachment of verdict 16-34
In excess of amount in demand 16-19
Judgment on verdict 16-13, 17-2
Jury interrogatories 16-18
Memorandum of decision by trial court 64-1, 64-2
Motion for directed verdict, reservation of decision on
16-37
Polling jury after verdict 16-32
Postverdict motions: additur, arrest of judgment, remittitur,
set aside verdict, new trial, collateral source reduction
16-35
Reduce verdict, motion to 17-2A
Reduction by judicial authority 16-19
Return of jury for reconsideration 16-17
Return of verdict 16-30
Setting aside, memorandum on 16-38
Criminal matters
Acceptance of verdict 42-30
Acquittal
Judgment of following guilty verdict 42-51
Motion for directed verdict of abolished 42-40
Motion for judgment of 42-40
After guilty verdict 42-51
After mistrial 42-50
At close of evidence, reservation of decision on 42-42
At close of prosecution’s case 42-41
Time limit for filing 42-52
Communication with jurors prohibited 42-8
Deliberations by jury 42-21
Directed verdict of acquittal, motion for abolished 42-40
Discharge of jury 42-32
Impeachment of verdict 42-33
Inability of jury to reach verdict 42-45
Lesser included offense, modification of verdict 42-51
Memorandum of decision by trial court 64-1, 64-2
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VERDICT — (Cont)
Criminal matters — (Cont)
New trial, time limit for motion following verdict 42-54
Polling jury after verdict 42-31
Return of verdict 42-29
Submission of facts to jury 42-20
VICTIM
Inquiry concerning during presentence investigation 43-4
Participation at sentencing 43-10
Statement of at dispositional hearing, delinquency, family
with service needs 30a-6
VIDEOCONFERENCING
Appeals, hearings on motion, certain cases 66-4
Appeals; oral argument, certain cases 70-1
Child protection matters; appeals; oral argument; certain
cases 79a-9
Deposition by 13-30
Family relations matter, testimony in, when protective
order, restraining order or standing criminal restraining
order issued on behalf of party or child 5-11
VOIR DIRE
See JURIES
WARRANT
See ARREST AND PRELIMINARY CRIMINAL PRO-
CEDURE
WITNESSES
Absent witness, missing evidence 14-24
Child witness, juvenile matters 34-3
Discovery concerning, criminal cases 40-13
Examination of 5-4
Oath, administration of 5-3
Expert, appointment by judicial authority in family matters
25-33
Experts, criminal cases 40-18—40-20
Experts, disclosure of 13-4
Fees
In several suits 18-10
Nonresident witnesses 18-9
Witness not called 18-11
Protective order, restraining order, criminal protective order
or criminal restraining order, testimony by person on
behalf of whom order issued 5-11
Sequestration, criminal cases 42-36
Small claims 24-23
WORKERS’ COMPENSATION APPEALS
Applicability of appellate rules 76-1
Case file, exhibits 76-3
Definitions 76-6
Fees and costs 76-4
Filing appeal 76-2
Reservation of question from compensation review board
76-5, 76-5A
WRITS OF ERROR
Generally 72-1
Appellate rules, applicability of 72-4
Assignments of error 23-50
Copy of record not to be taxed in costs 18-6
Form 72-2
Procedure applicable 72-3
Withdrawal 63-9
APPENDIX OF FORMSAPPENDIX 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 . . . . . . . . . . . . . . . . . . . . . . . . 582
201 Plaintiff’sInterrogatories .................................... 583
202 Defendant’sInterrogatories................................... 587
203 Plaintiff’s Interrogatories—Premises Liability Cases . . . . . . . . . . . . . . . . . . . . . 594
204 Plaintiff’s Requests for Production . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 597
205 Defendant’s Requests for Production . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 599
206 Plaintiff’s Requests for Production—Premises Liability . . . . . . . . . . . . . . . . . . . 602
207 Interrogatories—Actions to Establish, Enforce or Modify Child Support Orders . . . . . . 604
208 Defendant’s Supplemental Interrogatories—Workers’ Compensation Benefits—No
InterveningPlaintiff..................................... 609
209 Defendant’s Supplemental Requests for Production—Workers’ Compensation Benefits—
NoInterveningPlaintiff................................... 612
210 Defendant’s Interrogatories—Workers’ Compensation Benefits—Intervening Plaintiff . . 614
211 Defendant’s Requests for Production—Workers’ Compensation Benefits—Intervening
Plaintiff ........................................... 616
212 Defendant’s Interrogatories—Loss of Consortium . . . . . . . . . . . . . . . . . . . . . . 618
213 Plaintiff’s Interrogatories—Uninsured/Underinsured Motorist Cases . . . . . . . . . . . . 621
214 Defendant’s Interrogatories—Uninsured/Underinsured Motorist Cases . . . . . . . . . . 625
215 Plaintiff’s Requests for Production—Uninsured/Underinsured Motorist Cases . . . . . . 633
216 Defendant’s Requests for Production—Uninsured/Underinsured Motorist Cases . . . . . 635
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APPENDIX OF FORMSAPPENDIX OF FORMSForm 101
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)
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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 statementsmade 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.
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(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.)
HISTORY—2018: Prior to 2018, the second sentence of Interrogatory No. 6 read: ‘‘If so, for each set of photographs taken
of each such subject by each photographer, please state.’’ In subpart (a) of Interrogatory No. 6, ‘‘photographer’’ was deleted
and ‘‘person who took, obtained or prepared such photograph or recording’’ was added.
Prior to 2018, the certification read: ‘‘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.’’
COMMENTARY—2018: The changes to this form expand the language in Interrogatory No. 6 to capture each type of recording
identified in that interrogatory and make the certification consistent with Section 10-14.
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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 statementsmade 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
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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.)
HISTORY—2018: Prior to 2018, the second sentence of Interrogatory No. 32 read: ‘‘If so, for each set of photographs taken
of each such subject by each photographer, please state.’’ In subpart (a) of Interrogatory No. 32, ‘‘photographer’’ was deleted
and ‘‘person who took, obtained or prepared such photograph or recording’’ was added.
Prior to 2018, the certification read: ‘‘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.’’
COMMENTARY—2018: The changes to this form conform the language of Interrogatory No. 32 regarding recordings of an
incident by film, photograph, videotape, audiotape or any other digital or electronic means to similar questions in other standard
interrogatories in order to avoid any confusion, and make the certification consistent with Section 10-14.
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APPENDIX OF FORMSForm 203
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.
(4) State whether you had in effect at the time of the Plaintiff’s injuries any written policies or
procedures that relate to the kind of conduct or condition the Plaintiff alleges caused the injury.
(5) 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.
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APPENDIX OF FORMSAPPENDIX OF FORMS Form 203
(6) 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.
(7) 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.
(8) 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.
(9) 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.
(10) 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.
(11) 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.
(12) 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 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., ‘‘scene of incident,’’ etc.);
(d) the number of photographs or recordings;
(e) the nature of the recording (e.g., film, video, audio, etc.).
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APPENDIX OF FORMSAPPENDIX OF FORMSForm 203
(13)–(23) (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.)
HISTORY—2018: Prior to 2018, the certification read: ‘‘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.’’
COMMENTARY—2018: The change to the certification on this form is consistent with the provisions of Section 10-14.
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APPENDIX OF FORMSAPPENDIX OF FORMS Form 204
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
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APPENDIX OF FORMSForm 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.)
HISTORY—2018: Prior to 2018, the certification read: ‘‘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.’’
COMMENTARY—2018: The change to the certification on this form is consistent with the provisions of Section 10-14.
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APPENDIX OF FORMS Form 205
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 FORMSForm 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
600
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APPENDIX OF FORMS Form 205
(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.)
HISTORY—2018: Prior to 2018, the certification read: ‘‘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.’’
COMMENTARY—2018: The change to the certification on this form is consistent with the provisions of Section 10-14.
TECHNICAL CHANGE: Request #7 now refers to Interrogatory #17.
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APPENDIX OF FORMSForm 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 or procedures identified in response to Interrogatory #4.
(2) A copy of the report identified in response to Interrogatory #6.
(3) A copy of any written complaints identified in Interrogatory #10.
(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 #12.
(8) A copy of any written leases(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 aggreement 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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APPENDIX OF FORMS Form 206
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 106.11C.) (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.)
HISTORY—2018: In 2018, Request Nos. 8 and 9 were added.
In addition, prior to 2018, the certification read: ‘‘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.’’
COMMENTARY—2018: The change to this form adds requests for production of any written lease or lease extension for the
premises and for the production of any contract or agreement regarding the maintenance and inspection of the premises in
effect at the time of the alleged incident. Currently, a plaintiff is required to file a motion for permission to file supplemental
requests for production in order to obtain the documents. This change will eliminate the need for such a motion. The change
to the certification makes it consistent with Section 10-14.
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APPENDIX OF FORMSForm 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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APPENDIX OF FORMS Form 207
(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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(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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(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.
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APPENDIX OF FORMSForm 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.)
HISTORY—2018: Prior to 2018, the certification read: ‘‘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.’’
COMMENTARY—2018: The change to the certification on this form is consistent with the provisions of Section 10-14.
608
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APPENDIX OF FORMS Form 208
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 Compensation Commissioner and Employee of Intention to Contest
Employee’s Right to Compensation Benefits, and any reports of medical exams requested by the
commissioner, respondent and/or employer arising out of the incident/occurrence alleged in the Com-
plaint.
(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 FORMSForm 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*
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APPENDIX OF FORMS Form 208
*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.)
HISTORY—2018: Prior to 2018, the certification read: ‘‘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.’’
COMMENTARY—2018: The change to the certification on this form is consistent with the provisions of Section 10-14.
611
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APPENDIX OF FORMSForm 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 Compensation
Commissioner 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 commissioner, 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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APPENDIX OF FORMS Form 209
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.)
HISTORY—2018: Prior to 2018, the certification read: ‘‘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.’’
COMMENTARY—2018: The change to the certification on this form is consistent with the provisions of Section 10-14.
613
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APPENDIX OF FORMSForm 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 Compensation Commissioner and Employee of Intention to Contest
Employee’s Right to Compensation Benefits, and any reports of medical exams requested by the
commissioner, respondents and/or employer arising out of the incident/occurrence alleged in the Com-
plaint.
(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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APPENDIX OF FORMS Form 210
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.)
HISTORY—2018: Prior to 2018, the certification read: ‘‘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.’’
COMMENTARY—2018: The change to the certification on this form is consistent with the provisions of Section 10-14.
615
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APPENDIX OF FORMSForm 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 Compensation
Commissioner 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 commissioner, 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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APPENDIX OF FORMS Form 211
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.)
HISTORY—2018: Prior to 2018, the certification read: ‘‘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.’’
COMMENTARY—2018: The change to the certification on this form is consistent with the provisions of Section 10-14.
617
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APPENDIX OF FORMSForm 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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APPENDIX OF FORMS Form 212
(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
619
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APPENDIX OF FORMSForm 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.)
HISTORY—2018: Prior to 2018, the certification read: ‘‘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.’’
COMMENTARY—2018: The change to the certification on this form is consistent with the provisions of Section 10-14.
620
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APPENDIX OF FORMS Form 213
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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(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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(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
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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.)
COMMENTARY—2018: Standard interrogatories have been developed for use in cases claiming uninsured/underinsured
motorist coverage benefits. The standard interrogatories can be used without the need to file a motion for permission to file
nonstandard interrogatories in any case for which the use of standard discovery is mandated when the underlying claim is for
uninsured/underinsured motorist coverage benefits.
624
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APPENDIX OF FORMS Form 214
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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(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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(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 Compensation Commissioner and Employee of Intention to Contest
Employee’s Right to Compensation Benefits, and any reports of medical exams requested by the
commissioner, respondent and/or employer arising out of the incident/occurrence alleged in the Com-
plaint.
(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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(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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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.
631
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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.)
COMMENTARY—2018: Standard interrogatories have been developed for use in cases claiming uninsured/underinsured
motorist coverage benefits. The standard interrogatories can be used without the need to file a motion for permission to file
nonstandard interrogatories in any case for which the use of standard discovery is mandated when the underlying claim is for
uninsured/underinsured motorist coverage benefits.
632
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APPENDIX OF FORMS Form 215
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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APPENDIX OF FORMSForm 215
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.)
COMMENTARY—2018: Standard requests for production have been developed for use in cases claiming uninsured/underin-
sured motorist coverage benefits. The standard request for production can be used without the need to file a motion for permission
to file nonstandard request for production in any case for which the use of standard discovery is mandated when the underlying
claim is for uninsured/underinsured motorist coverage benefits.
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APPENDIX OF FORMS Form 216
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 Compensation
Commissioner 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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APPENDIX OF FORMS Form 216
(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 commissioner, 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
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APPENDIX OF FORMSForm 216
(Adopted June 23, 2017, to take effect Jan. 1, 2018.)
COMMENTARY—2018: Standard requests for production have been developed for use in cases claiming uninsured/underin-
sured motorist coverage benefits. The standard request for production can be used without the need to file a motion for permission
to file nonstandard request for production in any case for which the use of standard discovery is mandated when the underlying
claim is for uninsured/underinsured motorist coverage benefits.
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Copyrighted by the Secretary of the State of the State of Connecticut
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.
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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.
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